Chapter 9 Monitoring, Evaluation and Grievance Procedures.. Developm… · 9 MONITORING, EVALUATION...

Volume 3 – Chapter 9: Monitoring, Evaluation and Grievance Procedures

March 2005 Nam Theun 2 Project – Social Development Plan i

VOLUME 3 – CHAPTER 9 MONITORING AND EVALUATION AND

GRIEVANCE PROCEDURES

Table of Content 9 MONITORING, EVALUATION AND GRIEVANCE PROCEDURES............... 1 9.1 INTRODUCTION .......................................................................................................... 1 9.2 INDIRECT MONITORING AND MEASUREMENT ........................................................... 1

9.2.1 Hydrological and Water Quality Monitoring ............................................................................................. 1 9.2.2 Water Quality Monitoring ............................................................................................................................ 2 9.2.3 Socio-Economic Surveys and Indicators.................................................................................................... 4 9.2.4 Health and Nutrition Surveys and Indicators ............................................................................................ 5

9.3 DIRECT MEASUREMENT AND ASSESSMENT OF IMPACTS.............................................5 9.3.1 Determining Extent and Impact of Erosion.............................................................................................. 5 9.3.2 Monitoring Impacts on Fisheries................................................................................................................. 6 9.3.3 Determining Impacts on Riverbank Assets ............................................................................................... 7 9.3.4 Determining Extent of Loss of Riverbank Gardens................................................................................. 7 9.3.5 Determining Impacts on Household Water Sources ................................................................................ 7 9.3.6 Determining Impact on Access across Xe Bangfai (and Tributaries)..................................................... 8

9.4 INTERNAL MONITORING OF RESETTLEMENT AND LIVELIHOOD RESTORATION.......8 9.5 EXTERNAL MONITORING OF RESETTLEMENT AND LIVELIHOOD RESTORATION......9

9.5.1 Independent Monitoring Agency................................................................................................................. 9 9.5.2 Panel of Social and Environmental Experts (PoE)................................................................................... 9

9.6 CONFLICT RESOLUTION AND GRIEVANCE PROCEDURES ...........................................9

List of Annexes

Annex 9-1: Terms of Reference for Internal Monitoring of Resettlement and Livelihood Restoration for Downstream Areas....................................................................................................................... 12

Annex 9-2: Terms of Reference: Independent Monitoring of Resettlement and Livelihood Restoration. .......................................................................................................................................... 15

Annex 9-3: Terms of Reference for Downstream Areas Fisheries Monitoring and Survey Program....... 18

List of Tables

Table 9-1: Future Discharge & Rainfall Measuring Stations in Xe Bangfai Basin ........................................ 2 Table 9-2: Proposed Water Quality Monitoring Stations Related to Xe Bangfai.......................................... 2 Table 9-3: Xe Bangfai Cross Sections Stations, for Erosion Monitoring ....................................................... 6

List of Figures

Figure 9-1: Map of Monitoring Stations: Rainfall, Discharge, Water Quality, River Cross Section. ........... 3 Figure 9-2: Steps in the Grievance Process Regarding Issues of Compensation and Resettlement.......... 10


March 2005 Nam Theun 2 Project – Social Development Plan 1

9 MONITORING, EVALUATION AND GRIEVANCE PROCEDURES Monitoring of project impacts and compensation measures are important parts of the project activities. This is carried out internally by project and GoL staff as well as by external / independent bodies.

9.1 INTRODUCTION

The Concession Agreement between the GoL and NTEC of 3/10/03 states that ‘the company shall provide compensation…to communities adversely affected by the project … (…as indicated by monitoring results …) …on the basis of community selection of desirable livelihood or infrastructure outcomes, rather than compensating households directly’. [Schedule 4, Part 1, Article 9.3] Furthermore, Article 14 states that categories of affected persons includes ‘all those living or working along natural rivers downstream to the Mekong River who will be adversely affected by the operation of the Project either thru loss of land or infrastructure or economic loss or disturbance” and that “infrastructure or economic losses will be compensated at replacement cost (on a community consensus basis)”. Part 2 of Schedule 4, Article 8 (d) states that “The (water quality) monitoring program will identify water quality changes as compared to pre-operational conditions … and where it is not reasonably practical to maintain the conditions … direct impacts on people permanently living in areas adjacent to (the Xe Bangfai) … will be mitigated through alternative means of providing water of that quality …”. Thus, an important component of the compensation strategy and implementation relates to;

(a) How to measure or determine the impact of the NT2 Project; and

(b) How to determine communities’ response to these impacts in terms of reasonable and sustainable compensation for these impacts.

A comprehensive suite of surveys and monitoring programs will be undertaken to monitor, measure and assess relevant aspects of livelihoods and incomes in villages along the XBF. This program will include: (a) Monitoring programs, some already underway; • Environment monitoring programs; • Socio-economic monitoring programs; and

• Fisheries monitoring programs.

(b) Asset surveys to verify specific potentially impacted livelihood conditions; • Riverbank garden systems and assets studies; • Riverside asset study; and

• Study of river based access (crossings and transportation). These surveys and monitoring programs can be considered to be either indirect or direct determination or assessment of project impact.

9.2 INDIRECT MONITORING AND MEASUREMENT

9.2.1 Hydrological and Water Quality Monitoring

The discharges from the Power Plant and especially the resultant discharges of the receiving rivers, especially the Xe Bangfai, will be monitored at several locations as indicated in Table 9-1, and located in Figure 9-1. Rainfall will also be monitored at these and other stations in order to provide a full hydrological understanding of flows and to serve as an early warning in the case of over bank flooding in the Upper Xe Bangfai. Water Quality will also be monitored as described in Section 8.1.5 in Chapter 8.



Table 9-1: Future Discharge & Rainfall Measuring Stations in Xe Bangfai Basin

Location Discharge Rainfall North East

Ban Natangchai Yes Yes 1,931,000 540,000 Ban Hai (Khouan Pho) Yes Yes 1,934,088 545,525 Mahaxai Yes Yes 1,925,137 521,416 Nam Kathang Noi Yes No 1,953,000 517,000 Nam Kathang - Boung Bao (Rd 12) Yes No 1,942,500 524,300 Nam Kathang: just below confluence of Noi and Gnai No No 1,949,400 519,400 Downstream of Regulating Dam Yes No 1,949,400 519,400 Nam Phit (H.Kharma) No No 1,932,700 517,700 Power Station / Regulating Dam No Yes 1,954,560 516,640

Gnommalat No Yes 1,946,397 518,618

9.2.2 Water Quality Monitoring

A water quality monitoring program will be established to monitor key water quality indicators and to extend our existing knowledge of water quality before the start of Project construction. During the Operating Phase, monitoring of these same parameters will continue. The Company will be responsible for reviewing the water quality monitoring program and will notify appropriate authorities about any abnormal/dangerous levels in the water that may cause harm to humans or the environment. Where undesirable change is detected, appropriate adjustments to the operational management of the reservoir and off-take facilities will be made.

Table 9-2: Proposed Water Quality Monitoring Stations Related to Xe Bangfai Coordinates Site Number North East

Xe Bangfai SS15 1935000 531000 SS16 1931000 529000 SS17 1930000 523000 SS18 1928000 522000 SS19 1917000 517000

Nam Phit SS14 1931000 522000

Regulating Pond SS20 Somewhere within Regulating

Pond

Downstream Channel SS21 After aeration weir

Note: actual location of water quality monitoring stations may change



Figure 9-1: Map of Monitoring Stations: Rainfall, Discharge, Water Quality, River Cross Section.



9.2.3 Socio-Economic Surveys and Indicators

Project impact on households will be indirectly measured and monitored by the conduct of socio-economic and health and nutrition questionnaire based surveys. A first survey (25 % sample) was conducted in 2001 to provide data on the socio-economy and livelihoods of villages along the Xe Bangfai. However, the actual baseline socio-economic survey, which will be used to determine compensation, will start at one year prior to COD. Socio-economic surveys will then be undertaken regularly, as follows: COD - 1 year, COD, COD + 2 year and COD + 4 years. These surveys will focus on cash and imputed income; food and nutrition; and fisheries catch. A negative change (which could be fairly attributed to the impact of the NT2 Project) of any of these parameters in any particular village, and at any time, would trigger the implementation of compensation activities and arrangements to restore cash and/or imputed income, food and nutrition, and/or fisheries catch. Thus, the main aims of baseline socio-economic monitoring surveys will be to:

(a) Identify any socio-economic change in project affected areas, whether positive or negative, and especially those that could be attributed to the NT2 Project;

(b) Measure the levels of poverty; (c) Measure the distribution of wealth and resources, to ensure that the compensation program does

not result in inequitable use or holdings of resources. If there are no improvements following compensation programs (or any negative changes due to compensation), then compensation measures will have to be implemented (or increased) to offset these negative impacts, or new measures introduced to improve the existing compensation measures. Thus, a range of relevant socio-economic indicators – those that will enable NTPC and GoL, and external monitors to measure and analyze general trends and changes in communities along the Xe Bangfai – will be the focus of the socio-economic surveys of communities along the Xe Bangfai. Some of these indicators relate to issues which may be directly impacted by the NT2 project (fisheries catch and income for example), while others relate to more general socio-economic indicators which will help GoL and NTPC understand the context within which they are measuring impact and considering compensation. Some crucial indicators may be measured regularly, while most will be measured as part of the normal schedule of socio-economic surveys. These indicators, most of which were included in the first XBF study of August 2001, will include: • Population and household size; • Livestock holdings, and consumption and sales of livestock; • Rice and other agricultural production, sale and consumption; • Fish catch, sale and consumption; • Household assets (hand tractors, rice mills, water pumps, vehicles, radios, etc.); • Other sources of income (imputed and cash); • Percentage of poor households – all households having annual incomes below the national poverty

line; • Land holdings, according to types of land (irrigated paddy according to season, riverbank gardens,

orchards, kitchen gardens, swidden land, etc.) • Type and use of fishing gear, and favoured area for fishing, seasonality of fishing, etc.; and • Commodity prices at selected market sites. (This will monitor any change in availability, supply and

demand and assess whether inflation is having a detrimental effect on communities in the project area such that mitigation measures are being affected and living standards are not improving).



9.2.4 Health and Nutrition Surveys and Indicators

Given that the general health situation of the communities along the Xe Bangfai is rated as ‘poor’, the monitoring of health and nutritional factors is very important. A further degrading of the health status could lead to increased mortality rates. Any increase in diseases or illness, and increased pressure on the health system, or any worsening of the nutritional standard that is attributable to the impact of the NT2 Project will be addressed immediately with appropriate health interventions in order halt any further deterioration (via the Regional Health Program). A number of key health and nutritional indicators will be included in the socio-economic surveys in order to monitor not only the general health situation in communities along the Xe Bangfai but also specific issues such as water usage, food sources and prevalence of water-borne and other diseases that could be a result of NT2 Project. Health and nutrition indicators will include the following: • Domestic water sources, e.g. public piped systems, lined wells, unprotected dug wells rain water,

protected springs, rivers or ponds; • Sanitation in terms of use of latrines; • Presence of acute illness, including malaria and dengue fever; • Maternal, infant and child mortality rates (recorded at 131.8, 133.8 and 34.3 per 1000, respectively in

2001); • Blood tests for anaemia (haemoglobin rates of less than 7 gm/dl) and moderate anaemia

(haemoglobin rates of 7-11 gm/dl); and • Food consumption of mothers and children for nutritional balance and composition of diets.

9.3 DIRECT MEASUREMENT AND ASSESSMENT OF IMPACTS

Specific studies will be undertaken at mainly village level but at times also household level, before and after COD, to directly measure livelihoods or physical aspects, which may be affected by the NT2 Project.

9.3.1 Determining Extent and Impact of Erosion

Riverbank strengthening or protection will be considered by NTPC in key areas where (a) it is demonstrated that erosion has been caused by the NT2 Project impact, and that erosion is

having an impact on livelihoods; (b) it is economically and practically feasible, and socially desirable, to consider such riverbank

strengthening; and/or (c) the value/cost of the potential losses from an economic or cultural perspective are high.

Thus, it is first necessary to determine if the project is causing erosion, and the extent of this erosion, and to determine current and future (project caused) erosion at specific sites. The morphology of the Xe Bangfai river is being monitored by detailed cross-sectional surveys of 29 sites below the confluence of the downstream channel and the Xe Bangfai (see Table 9-3). This monitoring will continue, and intensify at COD and continue for the following five years, after which annual measurements will be undertaken for the next 10 years of the Operational Phase. This monitoring will detect any increase from the natural rate of erosion of the banks. Where it is established that there is an increase in the rate of erosion due to the NT2 project, NTPC will assess the impact of erosion on riverside assets or livelihood, and will compensate accordingly. Bank stabilization and protection may be required in some circumstances, as determined feasible and practical.



Table 9-3: Xe Bangfai Cross Sections Stations, for Erosion Monitoring Section no. Easting Northing Section no. Easting Northing

XBF1 526830.1 1929838 XBF16 517685 1916472 XBF2 524610.3 1929171 XBF17 516121.2 1915998 XBF3 523374.2 1929512 XBF18 514330 1914606 XBF4 524192.2 1927986 XBF19 515300.2 1912589 XBF5 522525.9 1927418 XBF20 514420.6 1910301 XBF6 521909.8 1925875 XBF21 514418.7 1909501 XBF7 521267.7 1925319 XBF22 513883.5 1909163 XBF8 521825.8 1924558 XBF23 512656 1908926 XBF9 521548.7 1923338 XBF24 513594.3 1906951 XBF10 521427 1921186 XBF25 507800 1902076 XBF11 521886.8 1920365 XBF26 507815.7 1898486 XBF12 522293.7 1919162 XBF27 506145.6 1890112 XBF13 521428.7 1917899 XBF28 494823.9 1890281 XBF14 520834.8 1916648 XBF29 498764 1887762 XBF15 519480.2 1916299

9.3.2 Monitoring Impacts on Fisheries

The NT2 Project will cause changes in water discharge, changes in water levels, changes in sedimentation and erosion patterns, and changes in water quality of the Xe Bangfai. Such changes will have environmental impacts on aquatic diversity, aquatic ecology and productivity, and thus the livelihoods of fishers. The exact type and level of this impact is difficult to predict and even more difficult to quantify, although the impact is likely to be more pronounced in the dry season than in the wet season, as the amount of NT2 water discharge will be relatively higher in the dry season, compared to the wet season, when the Xe Bangfai itself carries a lot of water. The Project will also reduce the fish populations in the Nam Theun downstream of the Nam Theun Dam as a result of reduced water. In general, the Xe Bangfai fisheries will be impacted as follows: • Reduced fish populations due to less availability of fish food, as a result of sedimentation caused by

riverbank erosion; • Reduced fish populations due to the modification of aquatic habitats and loss of spawning habitats

such as rapids, deep pools, aquatic vegetation, etc.; • Reduced fish populations and possible some species changes, due to changes in migratory patterns

of fish; and

• Reduced fish catch by villagers due to (a) smaller fish populations, and (b) lower efficiency of fishing gears in deeper water with higher water velocity.

Monitoring of the current fish catch, and then fish catch after Project impacts are felt, is necessary in order to provide a basis for the development of fair and complete compensation programs for Downstream Area fishers. Thus, the NTPC will implement a Downstream Areas Fisheries Monitoring and Survey Program (DA-FMSP) which will include 2 general types of fisheries monitoring, as follows:

(a) Direct Fish Catch Monitoring (DFCM), by selected households in selected villages; and (b) Recall Surveys of Annual Fish Catch (RS-AFC) in all Downstream villages.

While this Fisheries Monitoring and Survey program will be undertaken over, at least, a period of eight years (from FC to FC + 4), it may continue until the yields in the various impacted rivers has stabilised. Due to the difficulties and challenges in accurately monitoring fish catch in the NT2 Downstream Areas, a 1 year pilot FMSP will be implemented during the first year following Financial Close. The draft Terms of Reference of this Phase 1 FMSP are presented in Annex 9-3. The main objective of this Phase 1 is to develop a network of participatory village monitors, supported by a trained staff of fisheries officer, and to develop more accurate methods for recall surveys of fish catch, which will need to undertaken four times in all Downstream Area villages, over the (at least) 8 years DARP implementation period.



The NTPC and the GOL will use the results of the ongoing FMSP to facilitate informed discussions in each village as to how the Project is impacting the fisheries in the Xe Bangfai and Nam Theun. If it is established that the Project has impacted on the fisheries aspects of livelihoods of the communities then adversely affected communities will be compensated, via the Downstream Areas Resettlement Program.

9.3.3 Determining Impacts on Riverbank Assets

In some villages, buildings of various types and purpose are close or very close to the riverbank. These may be shops, houses, temples (cultural property) and other structures. Such buildings in villages on the Upper or Middle XBF could be affected by erosion from the Project. To determine the potential impact of erosion on riverside assets and structures, a baseline study of all physical assets long the river bank (within 30 m of the current bank) in the Upper and Middle Xe Bangfai (25 villages) will be undertaken 18 months prior to COD. Following COD, regular trips (minimum of once per quarter in the first two years) down the Xe Bangfai will be conducted by NTPC and RMU staff to visually detect abnormal erosion, and impacts on previously identified village infrastructure and livelihoods. Apart from these formal trips, villagers along the Xe Bangfai will also be able to alert District Compensation Committees of abnormal erosion rates and affect on village infrastructure and livelihoods. Following such alert, NTPC and RMU will inspect the site within seven days. Thus, a combination of (a) cross-section monitoring, (b) baseline study of riverside assets, (c) regular inspection trips and (c) ad-hoc reports and inspections will be used to determine impact of erosion on river bank assets.

9.3.4 Determining Extent of Loss of Riverbank Gardens

Riverbank gardens will be effected by both (a) NT2 discharges causing erosion and thus slumping of some riverbank garden areas, and (b) the higher water levels flooding the mid and lower riverbank gardens. In determining the extent of riverbank garden loss, and particularly the resulting impact on livelihoods, it must be recognized that there are a variety of types of riverbank gardens along the Xe Bangfai (see Figure 2-4 in Chapter 2): • Gardens above the riverbank; • Riverside crop gardens, usually planted at the end of the rainy season; and • Riverside vegetable gardens, planted in the dry season

Any determination of the effect by the NT2 project must take into account this variation in type and tenure of riverbank garden. NTPC and GoL, together with village authorities, will determine the potential impact of the NT2 Project on riverbank gardens by three means:

(a) Baseline socio-economic surveys (see Section 9.2.3); (b) A study of river gardens in each village, focusing on the ‘gardening system’, tenure and income or

food productivity will be undertaken during the 2 years prior to COD. The hydrology modelling of the NT2 Project and consequent change on river height will enable a good prediction of the Project’s impact on each type of riverside garden, and thus the impact of livelihoods and economy of each village; and

(c) Consultations with villagers. Following COD, and if required by any particular village, a study will be undertaken to assess the actual effect of the new discharge regime on riverside gardens and productivity, and the success of village strategies to re-establish gardens under the new hydrology and morphology regime.

9.3.5 Determining Impacts on Household Water Sources

A water quality monitoring program will be established operated by NTPC to monitor water quality prior to the project and then after COD. This will enable a determination of any changes in the quality of water following operation of the NT2 project. Use of XBF waters for domestic use may be a problem during the early years of operation due to water quality problems in the reservoir. Some villagers currently use XBF waters (or riverside ‘springs’) during



the wet season, dry season or both seasons for various domestic uses. For example, in the dry season, water could be extracted from at least three sources in and around the XBF:

(a) directly from the river; (b) from shallows wells dug on the side of the river; and (c) from small springs / flowing from the side of the banks (actually groundwater, not XBF).

We do not yet know exactly in what season or for what domestic uses XBF waters are used. Thus, in parallel to the riverbank garden study (above), a household water source study will be undertaken to determine, for each village, the source and seasonality of water use by villagers. This study will provide a better understanding of the various types and seasonality of household water supply systems and sources for villages, which will enable NTPC to better predict impact and plan compensation. The effect on water quality as measured by the monitoring program will then be used to determine the effect of the Project on each type of household water source. However, on the assumption that, during the first 2 to 4 years of operation of the NT2 project, the dry season water quality of the Xe Bangfai river may well be a problem in terms of domestic water use, proactive measures to develop alternative water sources in those villages currently depending on dry season Xe Bangfai water for household use will be determined.

9.3.6 Determining Impact on Access across Xe Bangfai (and Tributaries)

Communities living along the Xe Bangfai and its tributaries use several modes to cross the river in dry season, including temporary bamboo bridges, walking across rapids or shallow areas, ferries and dry season vehicle crossings (Nam Oula, Nam Pheet, Xe Noy). The increased water level in the dry season will make river crossings impossible. In order for the Project to consider restoration of key crossing points with safe modes of crossing – where it is deemed practically and economically feasible – the impact of the NT2 on such access needs to be determined. To this end, a study will investigate the objective, means and infrastructure used to cross the Xe Bangfai and tributaries (affected by backwater), and the seasonality of such access. Following this study, a prediction of the impact of the NT2 Project on such access will be made. For example, it may be determined that current dry season bamboo bridges may no longer be feasible, while dry season ferry operation may be more difficult, or possibly made easier by the increased water levels. Dry season low level crossings such as on the Xe Noy may no longer be possible. Following commencement of project operations, the NT2 Project impact on access across the Xe Bangfai will be closely monitored, and pre- or post-COD compensation undertaken as required.

9.4 INTERNAL MONITORING OF RESETTLEMENT AND LIVELIHOOD RESTORATION

To help ensure that the Downstream Areas Resettlement and Livelihood Restoration and Ethnic Minority Development Plan are implemented successfully and that the affected people are able to restore or improve their livelihood and living standards after resettlement, The RMU and RO will monitor the implementation of the Plan. This internal monitoring program will consist of four components:

• Day-to-day process monitoring will be conducted to (i) verify that the baseline information of all potentially affected persons has been carried out, all potential losses inventoried and valued, the ownership and use of land and assets registered, and the provision of compensation, resettlement and rehabilitation entitlements has been carried out in accordance with the Resettlement Policy and approved Plan; (ii) verify that consultation activities are being implemented effectively; (iii) verify that the grievance mechanism is being implemented effectively; (iv) identify any problems with implementation and report those back to management; and (v) verify that funds for implementation are provided by the project management in a timely manner and its amounts sufficient for their purposes, and that such funds are used in accordance with the Plan;

• Day-to day activity-level monitoring will be conducted by the RMU and the RO. This internal monitoring will focus on the physical progress of resettlement implementation and implementation of livelihood restoration programs against the schedule in the approved Plan, and will monitor the progress of inventory of losses, consultation with PAPs, preparation and disclosure of updated Resettlement and Livelihood Restoration Plans and approval by GOL/NTPC/IFIs, compensation payment, infrastructure development, house construction and relocation, delivery of replacement



land, irrigation development, replacement of social services, delivery of agricultural extension assistance, grievances made and resolved, identification of replacement land for alternative livelihoods, development of alternative livelihoods, etc.

• Periodic socio-economic monitoring, to measure the progress being made towards restoring income levels and living standards, or improving income levels and living standards for poor and vulnerable households;

• Reporting to management on any problems encountered during implementation so that necessary action can be taken in a timely manner.

9.5 EXTERNAL MONITORING OF RESETTLEMENT AND LIVELIHOOD RESTORATION

External monitoring is carried out by two bodies: an Independent Monitoring Agency (IMA) and a Panel of Social and Environmental Experts (PoE). This will ensure that independent views on project achievement are made available.

9.5.1 Independent Monitoring Agency

The IMA will be engaged to validate and supplement the internal monitoring. The IMA will monitor (a) the implementation of the Resettlement and Livelihood Restoration Plan(s), and (b) the change of livelihood and restoration or improvement of the standard of living of the affected people. While the main objective of the NT2 Resettlement Policy and Downstream Areas Resettlement and Livelihood Restoration Plans is to ensure that PAPs can at least restore their pre-project conditions, and for vulnerable households to be better off after resettlement and rehabilitation, achievement of this objective may be difficult to judge by those implementing the Plan. To overcome this, monitoring and evaluation will be conducted by an independent institution. The candidate organization or individuals will have extensive experience in social surveys and familiarity with the local language and socio-economic conditions. Summary terms of reference are presented in Annex 9-2. Detailed TOR will be prepared as part of the PIP.

9.5.2 Panel of Social and Environmental Experts (PoE)

A three member Panel of Experts (PoE) has been established by the GOL with approval and guidance from the World Bank. It is mandated to provide GoL with an independent assessment and review of environmental and social issues associated with the NT2 Project. The PoE is required to act independently of both GoL and NTPC and in accordance with relevant World Bank guidelines, and protect both the environment and the interests of those affected by the NT2 Project.

9.6 CONFLICT RESOLUTION AND GRIEVANCE PROCEDURES

Because of different perceptions, values, objectives and responsibilities among different stakeholders, a range of conflicts may occur among and between affected people, resettled villages, district authorities, the RMU, central government and others. Obviously, the most important step in conflict resolution is conflict avoidance, and the consultative and participatory nature of decision making under the SDP is aimed at reducing the occurrence of disagreements and conflicting positions. In instances where disagreements do occur, it is similarly important that they are resolved quickly before positions harden and the conflict escalates. Different approaches may be required according to the level that any conflict has reached, while at the same time, recognizing that the earlier a potential conflict is recognized and dealt with, the higher the chance of a successful outcome. These phases of conflict development and appropriate interventions can be summarized as follows:

Conflict avoidance: > Consultation & participation in planning, decision making

Simple disagreements > Informal negotiation, discussion and mediation

Early conflict development > Reference to Village Resettlement Committee

Conflicting positions taken > Reference to Grievance Committee as District level.

Intractable conflict > Refer conflict to Provincial Court.

To ensure that the basic rights and interests of resettlers are protected, that concerns are adequately addressed and that entitlements are delivered, a grievance procedure has been designed for the NT2



Project. An independent Grievance Committee will be established. It will be chaired by a senior provincial official, probably from the Justice Department, with other members the Lao Women’s Union, the Ethnic Council, civil society, a resettled villager representative and a member of the Resettlement Committee. Justice departments at district and provincial levels are already responsible for resolving village conflicts and property disputes, while the LWU and Ethnic Council are active in solving problems faced by village women and the elderly. If an affected person or group of persons is not satisfied with the compensation package or if, for any reason, the compensation does not materialize according to the CA, he or she has the right to make a claim. There are three basic steps to resolve grievances, as depicted in Figure 9-2.

Figure 9-2: Steps in the Grievance Process Regarding Issues of Compensation and Resettlement

The first step is for a householder or a group of householders to approach the Village Resettlement Committee (VRC) to present their grievance and allow its consideration at the lowest level of the resettlement hierarchy, where frequently issues can be resolved through discussions and adjustments. If the VRC cannot resolve the complaint or if the claimant is not satisfied with their decision, the next step can be taken, either by the claimant or the VRC on his/her behalf. The second step is to present the grievance or complaint to a Grievance committee to be formed at the District level. This committee will be based in the District court, but will also have representatives from all relevant departments, as they will be in a good position to resolve issues brought to their attention by affected individuals. This Committee must respond to any claim within 15 days. At this district level the NTPC's RO and the GOLs RMU would be primary witnesses in order to both;

(a) respond to the claimants grievance in terms of prior activities undertaken etc; and

Examination

PAP still not satisfied

Appeal to Project Grievance Committee and Court at the District Level

Examination

PAP Satisfied - settled

Nam Theun 2 Power Company

Appeal to the Village Grievance Committee of Elders

PAP still not satisfied

Provincial Court

advice advice

PAP not satisfied with Compensation or with the Process

Resettlement Management Unit

PAP Satisfied - settled



(b) to ensure that the claim is reviewed within the context of the existing policy, regulations, procedures and entitlement limits, and that the compensation awarded doe not go beyond established matter of practice or outside the limits of the budgets.

The findings of the Grievance Committee are binding on the RMU and RO. The Committee must maintain a public book showing all claims received and the decisions made, which must be made within 30 days. The Grievance Committee cannot award compensation that goes beyond what is established as a matter of practice or what would be outside the limits of the budgets within which they are operating. If the above action does not yield any results, then the claimant has the right to present their case to Provincial Court. Access to the Court is obviously a last resort. It will be in the interest of the RO and the RMU to resolve issues before they are brought to the Committee. A conflict between RO and RMU would in the first instance be resolved at the RC level. If this is not acceptable to either party, then the matter will be reviewed by the Vice Prime Minister responsible for NT2. If still no agreement is reached, the matter shall be handled according to the Consultation and Dispute Procedures set forth in the CA. While every effort will be made to resolve conflicts by mutual agreement of the parties involved, in some cases, arbitration and adjudication on disagreements and conflicts by an external mediator will be required. Responsibility for arbitration and the means of adjudication will vary according to the parties involved, but will need to be referred to a higher level of authority than the parties concerned. The strategy for this is outlined as follows:

Parties to the conflict Final decision/adjudication Key mediator/arbiter

Within village disputes Majority decision of village meeting Village Chief.

Disputes between Village Joint agreement of appointed village representatives

Relevant district authority.

Village - RMU/district disputes

Joint agreement of both parties endorsed by province

Grievance Committee

RMU-district disputes Joint agreement of both parties endorsed by province

Grievance Committee and Provincial authorities



Annex 9-1: Terms of Reference for Internal Monitoring of Resettlement and Livelihood Restoration for Downstream Areas.

1. MONITORING OBJECTIVE The objectives of internal monitoring are to: • verify that the baseline information of all affected persons has been carried out, all potential losses

inventoried and ownership and use registered, assets valued, and the provision of compensation, resettlement and other rehabilitation entitlements has been carried out in accordance with the provisions of the Resettlement Policy and the approved Resettlement Plan;

• verify that resettlement objectives are being met; • verify that sufficient staff resources are provided by the project management with appropriate skills

and in a timely manner; • verify that funds for implementation of the Resettlement and Livelihood Plan are provided by the

project management in a timely manner and in amounts sufficient for their purposes, and that such funds are used in accordance with the provisions of the Resettlement and Livelihood Plans; and

• verify that replacement houses are ready for occupancy before relocation; • identify any problems with implementation and report these back to management for timely action

2. MONITORING BASIS Internal monitoring will be carried out on the basis of • The agreed Social Development Plan – The Resettlement, Livelihood and Ethnic Minority

Development Plan (EMDP) for the Downstream Areas • Updated Plans for Downstream Areas • The Concession Agreement Schedule 4, Part 1 and 4 • The IFIs’ policies on involuntary resettlement and indigenous peoples • The Monitoring Indicators, to be developed by the FIPS (see Chapter 8, Annex 8-2) • Environmental Plans and Monitoring Indicators to be developed for resettlement sites

3. MONITORING SCOPE 3.1 The detailed planning and preparation of updated resettlement and livelihood plans for implementation. This Resettlement, Livelihood Restoration and EMDP provides an overall plan for the implementation of resettlement for all land required for project construction. This Plan will need to be updated and separate Plans prepared for assets and fisheries losses. The purpose of monitoring this aspect will be to assess whether (i) necessary baseline data is being collected on inventory of losses, valuation of losses, household preferences, asset ownership; (ii) participatory livelihood program design; (iii) preparation, disclosure and approval of updated resettlement and livelihood Plans, and (iv) implementation of the updated Plans. The RMU/RO monitoring team will monitor detailed planning and preparation and implementation of updated Plans.

3.2 Outcome assessment. The RMU/RO would also monitor and assess the attainment and sustainability of the objectives of the Resettlement, Livelihood Restoration and EMDP. Monitoring indicators would include restoration of household income and living standards, and improvement for vulnerable households.

• Housing conditions restored, including size, area and quality • Restoration of commercial activities and business • Infrastructure restored or improved • Sustainable productive alternative livelihood activities • Riverbank gardens and crops and productivity restored.



• Public services and access restored. • Protein nutrition restored • Riverside safety • Restoration of or strengthening of community organizations.

3.3 Social issues. These include issues related to participation, consultation, grievance mechanisms, disclosure, gender, ethnic minority, transparency and vulnerability. These are important issues that deserve particular attention in the detailed planning and implementation process. The RMU/RO will monitor:

• Consultation, participation. The SDP program will follow a participatory planning and

implementation process. The RMU/RO would need to monitor this process and various mechanisms as well as measures taken. The RMU/RO will assess the quality and meaningfulness of this process in terms of allowing the primary stakeholders to participate actively in the process.

• Disclosure. The RMU/RO will monitor disclosure of the updated resettlement plans to affected

people for the cultural and language appropriateness of the disclosure methods, and whether affected people know their entitlements and know whether they have received all of their entitlements.

• Gender. The gender strategy has been mainstreamed in the SDP and would be further incorporated

in the detailed planning and followed through implementation. The RMU/RO will assess (i) whether there has been adequate gender analysis during the detailed planning, design and implementation, ii) the designed institutional and staffing mechanisms as well as its capacity to address gender issues, ii) women’s representation and participation in the detailed planning and implementation process, iii) identification of gender concerns and adequacy of measures taken to address them, iv) women’s overall perception of the detailed planning and implementation process, v) gender inclusiveness such as health programs for men and women and technical training to both men and women, rather than segregating health awareness for women and technical training for men, although the programs might be in women only or men only groups; vi) delivery of land titles in the names of both husbands and wives; and vii) the effectiveness of resettlement and livelihood programs for restoring women’s income and living standards; vii) differential impacts on men and women and design and delivery of appropriate mitigation, compensation, livelihood restoration measures.

• Ethnic minority concerns: The RMU/RO will monitor and assess the adequacy of the measures

taken to address ethnic minority concerns. The RMU/RO will assess whether the principles and strategy outlined in the EMDP have been followed and adequate ethnic sensitivity has been accorded.

• Vulnerable groups: a number of potential vulnerable groups have been identified, including

vulnerable households, communities and small ethnic minority groups. Particular attention will be paid to these groups and additional resources will be needed to monitor performance and involvement. The RMU/RO will monitor the appropriateness of various entitlements, programs and activities and methods of delivery for various vulnerable households and groups, and the need for adjustment or additional measures.

• Transparency: It is necessary to monitor how information is distributed and to whom, in order to

make sure that all PAPs have the proper information and access to knowledge. Related to this is the functioning of decision-making bodies and how this information is properly recorded and made available to the population as a whole.

• Grievance mechanism: The RMU/RO will monitor the effectiveness of the grievance mechanism,

types of grievances, if and how resolved.



4. MONITORING APPROACH AND METHODOLOGY

4.1 The general approach for internal monitoring will consist of the following activities by the RMU/ RO Monitoring Team:

• maintain and regularly update a data base for each affected household with baseline socio-economic data, health and nutrition data, inventory of loss data, values of losses, registration of property and assets, entitlements due, compensation paid, resettlement entitlements delivered, rehabilitation measures delivered; maintain and regularly update a data base of all consultations with affected people, documenting locations, dates, participants, issues discussed, concerns of affected people, actions taken to address concerns, and feedback to affected people on how their concerns are being addressed;

• maintain and regularly update a data base of all grievances made by affected people, including date of grievance, name of aggrieved, nature of the grievance, how and when addressed at each level of the grievance mechanism;

• monitor the use of entitlements by affected people; assess the impact and appropriateness of entitlements and the method of their delivery on affected people, in terms of meeting the resettlement objectives;

• monitor the development, delivery and impact of the livelihood programs; • recommend to management appropriate adjustments to make the resettlement and livelihood

restoration program more effective. All data will be disaggregated by gender and ethnicity. The internal monitoring database shall be made available to the Independent Monitoring Agency. 5. TEAM COMPOSITION

The RMU/RO Monitoring team will be made up of: • One scheduling/monitoring/database officer in each field office being fed data from the teams in

the field • Program officers responsible for each program (i.e., infrastructure engineers and agronomists for

riverbank erosion impacts, community development, aquaculture, natural fisheries) • The ethnic minority, gender, and consultation specialists • Village infrastructure, agriculture, and community development officers

The terms of reference of the above staff would include gathering, recurrent analysis and reporting on quantitative and qualitative data and recurrent analysis. 6. BUDGET AND RESOURCE REQUIREMENTS

The Project has budgeted for the operational costs for the field offices where the RMU and RO staff will work side by side. There is a staffing schedule for all project staff. All key staff, including those needed for resettlement planning, implementation, and monitoring will be recruited and in place within one month of Financial Close.



Annex 9-2: Terms of Reference: Independent Monitoring of Resettlement and Livelihood Restoration. 1. MONITORING OBJECTIVE The purpose of the independent monitoring of the resettlement and livelihood restoration program is two-fold.

(a) To strengthen the management capacity of the implementing agencies through provision of objective analysis of the implementation progress and recommendations to resolve any outstanding issues.

(b) To provide an objective assessment of the achievement of Resettlement and Livelihood Restoration objectives through monitoring various aspects of the implementation program.

Specific objectives will be to (i) verify results of internal monitoring; (ii) assess whether resettlement and livelihood restoration objectives have been met; specifically, whether livelihoods and living standards have been restored or enhanced; (iii) assess program efficiency, effectiveness, impact and sustainability; and (iv) ascertain whether the resettlement entitlements were appropriate for meeting the objectives, and whether the objectives were suited to conditions of affected people. 2. MONITORING BASIS The independent monitoring will be carried out on the basis of • The agreed Social Development Plan – The Resettlement, Livelihood Restoration and EMDP for

Downstream Areas • The baseline socio-economic and asset surveys carried out by NTPC • The fisheries, socio-economic, and environment monitoring programs • The approved updated resettlement plans for the project lands after detailed design, • The Concession Agreement Schedule 4, Part 1 and 4 • The IFIs’ policies on involuntary resettlement and indigenous peoples • The Monitoring Indicators, to be developed by the FIPS (see Chapter 8, Annex 8-2)

The IMA will monitor and evaluate achievements and impacts related to implementation of the approved Resettlement and Livelihood Restoration and EMDP. The IMA will require a database sufficient to evaluate that the objectives of the Plan are being met. The IMA will develop a comparable database of "before" and "after" resettlement conditions. The database will consist of data acquired through the internal monitoring database of each affected household, which will form the basis for the Project's record keeping system. The IMA will expand the database as necessary with maps, charts, photographs of affected properties, copies of compensation agreements and land titles, payments, and valuation documents relating to resettlement. 3. MONITORING APPROACH AND METHODOLOGY 3.1 To achieve the objectives as stated in paragraph 1, the independent monitoring will consist of the following main activities: (i) identification and selection of an appropriate set of indicators for gathering and analyzing information on resettlement impacts; (ii) use of various formal and informal surveys for impact analysis, (including data collection, either by using and validating data collected by the RMU/RO, or by collecting data with the RMU/RO, or by collecting own data); (iii) use of participatory methods for monitoring and evaluation; (iv) assessment of resettlement efficiency, effectiveness, impact and sustainability, drawing lessons as a guide to future resettlement policy making and planning; and (v) reporting. The independent monitoring will include the following activities: 3.1.1 Baseline household survey conducted by NTPC.



3.1.2 A twice-yearly sample household survey, using the same or similar questionnaire to that used during the baseline to determine whether RP objectives are being met, of a representative sample, disaggregated by gender, ethnicity and vulnerable groups, to obtain information on the key indicators of entitlement delivery, efficiency, effectiveness, impact and sustainability. Survey and inventory demographically the following persons affected by the Project, namely: • 100% of persons who had property, assets, incomes and activities severely affected by Project

works and had to move house and/or business, or be compensated with other land; persons are considered to be severely affected if they are displaced or lose 10% or more of their productive (income generating) assets;

• 20% of persons who had property, assets, incomes and activities marginally affected by Project works and did not have to relocate house and/or business or be compensated with other land;

• 20% of those affected by off-site Project activities by contractors and sub-contractors, including employment, use of land for contractor's camps, pollution, public health etc.

3.1.3 Periodic participatory rapid appraisals (PRAs).The IMA shall ensure participation of all stakeholders in the monitoring process, (RMU, DRWGs, RO staff, community based organizations, NGOs, community leaders and affected people especially women and vulnerable groups). PRAs will involve obtaining information, identifying problems and finding solutions through participatory means which will include the following: • Key informant interviews with selected local leaders, resettlement committee members; • Focus group discussions on specific topics such as compensation payment, income restoration,

relocation; • Community public meetings to discuss community losses and impacts, construction work

employment; • Structured direct field observations on the status of resettlement implementation, plus individual

and group interviews for cross-checking purposes; • Informal surveys and interviews of PAPs, special interest or vulnerable groups and women; and • In-depth case studies of problems that have arisen during internal or external monitoring requiring

special efforts for resolution. 3.1.4 A post-resettlement evaluation 6 to 12 months after all resettlement and livelihood restoration activities have been completed, following the same methodology as for the periodic monitoring during RP implementation. Provide an evaluation report covering the following: • Whether the resettlement activities have been completed as planned and budgeted • The extent to which the specific objectives and the expected outcomes/results have been achieved

and the factors affecting their achievement or non achievement • The extent to which the overall objective of the Resettlement Plan and the desired impact of

improving living standards, income earning capacity and production levels or at least restoring them to pre-project levels has been achieved and the reasons for achievements or non achievements.

• Description of any further mitigation measures needed to meet the needs of any affected person or families judged and or/perceiving themselves to be worse off as a result of the Project, and a timetable and budget requirements for supplementary mitigation measures.

• Major lessons learned • Key risk factors • Recommendations



4. TIME FRAME FOR MONITORING The IMA will conduct two monitoring activities per year, continuing until all resettlement activities have been completed. The IMA will be mobilized in May 2005 after Financial Close. 5. REPORTING The IMA will produce a report following each bi-annual monitoring activity, and an evaluation report 6 to 12 months after the completion of all resettlement activities. The reports will contain a description of monitoring activities, findings in relation to whether the project activities have been implemented and completed as planned and budgeted, findings in relation to achievement of objectives, and recommendations, timetable and budget for addressing outstanding problems. The draft monitoring reports will be shared with RMU and RO for their comments before they are finalized and submitted to RC, World Bank, ADB, AFD and other lenders. The IMA will maintain a database of resettlement monitoring information that will be updated following each bi-annual monitoring activity. It will contain files on each monitored household and will be updated based on information collected in successive rounds of data collection. All databases compiled will be fully accessible by the RMU and RO. 6. PROPOSED TEAM COMPOSITION The IMA team will consist mainly of Lao national staff, advised by one or two international resettlement specialists with experience in implementation and/or monitoring of resettlement plans for large hydropower projects. They should have sufficient in-house experience and capacity in place before contracting. The IMA team should include the following specialists: • A Senior Resettlement Specialist with a strong background in relevant social sciences and extensive

experience in planning, implementing, monitoring and evaluating resettlement plans to international standards on large hydropower projects, and preferably with relevant experience in Lao PDR or elsewhere in the region.

• An Ethnic Minority Specialist with experience in working with the ethnic minorities in the Project Area.

• Lao national Resettlement Specialists or Social Development Specialists monitoring team leaders with strong background in relevant social sciences and demonstrated experience in organizing and managing socio-economic data collection and analysis, PRA, group facilitation, and with relevant experience in the Project area.

• A Lao national Gender Specialist with practical experience in gender impact assessment and analysis, preferably with experience in the Project Area.

• Surveyors with demonstrated experience in household surveys, data input and analysis and participatory rapid appraisal techniques, and group facilitation.

• Surveyors and monitoring team leaders should have an equal gender mix and local language skills.



Annex 9-3: Terms of Reference for NT2 Downstream Areas Fisheries Monitoring and Survey Program, Phase 1.

Table of Contents

1 AIM AND OBJECTIVES .........................................................................................20 1.1 ISSUE TO BE ADDRESSED – PROBLEM TO BE SOLVED..................................................20 1.2 LONG TERM AIM OF FISHERIES MONITORING AND SURVEY PROGRAM (FMSP) .......20 1.3 OBJECTIVES OF THIS PHASE 2 OF THE FMSP.............................................................20 2 GEOGRAPHICAL AND DEMOGRAPHIC FRAMEWORK ................................ 21 2.1 DOWNSTREAM REGIONS AND FISHERIES IMPACTS..................................................... 21 2.2 DOWNSTREAM OF NT2 DAM......................................................................................22 2.3 DOWNSTREAM OF NT2 POWERHOUSE.......................................................................22 2.4 UPSTREAM OF THE RESERVOIR..................................................................................25 3 MONITORING AND SURVEY METHODOLOGY.............................................27 3.1 REVIEW OF PREVIOUS PRESENT STUDIES ..................................................................27 3.2 'DIRECT FISH CATCH MONITORING' OR 'RECALL FISH CATCH SURVEYS' ?..............27

3.2.1 Improving Recall Fish Catch accuracy: stratification and triangulation ................................................ 29 3.2.2 Linking - Calibrating - RCS by DFCM ...................................................................................................... 29

3.3 GENERAL PROGRAM OF DFCM AND RS-AFC ...........................................................30 3.3.1 Monitoring Villages (MVs) .......................................................................................................................... 30 3.3.2 All Other Downstream Villages (ODVs) .................................................................................................. 30

3.4 MONITORING AND SURVEY METHODS ....................................................................... 31 3.4.1 Village Fisheries Assessment (VFA) .......................................................................................................... 31 3.4.2 Direct Fish Catch Monitoring (DFCM) by Fish Monitoring Households (MH)................................. 31 3.4.3 Monthly or Quarterly recall surveys in focus villages ............................................................................. 32 3.4.4 Recall Survey of Annual Catch Surveys (RS-AFC) in all DA villages.................................................... 32

3.5 SELECTION OF VILLAGES FOR THE MONITORING PROGRAM.....................................33 3.5.1 Downstream of NT2 Powerhouse ............................................................................................................. 33 3.5.2 Selection of MV Downstream of NT2 Dam. ........................................................................................... 35

4 INSTITUTIONAL ARRANGEMENTS AND STAFFING...................................37 4.1 THE FISHERIES PROGRAM MONITORING AND SURVEY TEAM...................................37

4.1.1 International TA ........................................................................................................................................... 37 4.1.2 Fisheries Monitoring and Survey Program Officer .................................................................................. 37 4.1.3 Village monitors and trainers ...................................................................................................................... 38 4.1.4 Village monitors in the NPA-NT2 Watershed ......................................................................................... 39 4.1.5 Database administrator ................................................................................................................................ 39 4.1.6 RS-AFC TEAM ............................................................................................................................................ 39

4.2 COORDINATION WITH DOWNSTREAM PROGRAM SURVEY AND COMPENSATION TEAM

39 5 WORKPLAN.............................................................................................................40 6 BUDGET FOR FMSP, PHASE 2 (FC TO FC +1) .................................................40

List of Annexes

Annex 1: List of Villages, Number of Households and Main Ethnic Groups. ...........................................42 Annex 2: Monitoring Form, Daily Household Fish Catch .............................................................................54 Annex 3: Questionnaire Village Group Meetings.............................................................................................56 Annex 4: Questionnaire, Household Fish Catch ..............................................................................................58



List of Tables

Table 1: Number of villages downstream of Nakai Dam whose fisheries may be impacted ..................22 Table 2: Number of Riparian and Hinterland Villages Downstream of the Powerhouse that may be

impacted by the NT2 Project..............................................................................................................22 Table 3: Number of villages in the 5 tributaries of the future Nakai Reservoir.........................................25 Table 4: General program of monitoring surveys in selected and then all downstream villages ............30 Table 5: Villages to be monitored, by Region and Impact Zone. ................................................................33 Table 6: Proposed DFCM Monitoring Villages Downstream of NT2 Powerhouse. ...............................34 Table 7: Proposed DFCM Monitoring Villages Downstream of NT2 Powerhouse ................................35 Table 8: Indicative, summary long-term Workplan of the FMSP................................................................40 Table 9: Summary Workplan for the Phase Fisheries program Monitoring and Survey for the n .........40 Table 10: Indicative budget for the Household Fish Catch Monitoring and Survey Program..................41

List of Maps

Map 1: Delineation of Impact Zones and Location of Potentially Impacted Villages Downstream of

NT2 Dam...............................................................................................................................................23 Map 2: Delineation of Impact Zones Downstream of NT2 Powerhouse, and Location of Villages. .24 Map 3: Location of Villages in the NNT-NPA.............................................................................................26 Map 4: Downstream NT2 Powerhouse Fisheries Monitoring Villages.....................................................36



1 AIM AND OBJECTIVES

1.1 ISSUE TO BE ADDRESSED – PROBLEM TO BE SOLVED The NT2 Project must have accurate information and data on household fish catch, now and over the course of the Project, in order to have a basis on which to fairly compensate households whose currently catch fish and gather aquatic products in the Xe Bangfai and other downstream areas that will be impacted by the NT2 Project. However, there are about 29,000 households in about 302 villages who currently catch fish and gather aquatic products in the rivers and wetlands that will be impacted. Obtaining exact data on their daily, monthly and annual fish catch is a daunting task. In addition, this data must be obtained at least four times over the course of the Project, as follows:

Pre-Construction (pre-Project baseline, ending at about October 2005);

Pre-COD (before about October 2009); and

Post-COD - twice, at COD + 1 and COD + 4. Thus, the problem to be solved is "how to gather reasonably accurate household fish catch data, in a large number of villages, over a large area, over a long period of time?"

1.2 LONG TERM AIM OF FISHERIES MONITORING AND SURVEY PROGRAM (FMSP) This above mentioned issue must be addressed through the implementation of a Downstream Areas Fisheries Monitoring and Survey Program (FMSP). The long term aim of this FMSP is to develop a 'live' database on the fish and aquatic products catch of PAPs in the affected areas, pre and post Project implementation, in order to provide a basis for development of adequate compensation and livelihood restoration programs, and then a basis for modification of such livelihood restoration programs (if required) as they are implemented in a dynamic biophysical physical, and socio-economic environment. Thus, the FMSP will play a crucial role in enabling assessment of:

The NT2 Project impacts on household fish catch during construction;

The NT2 Project impacts on household fish catch after COD;

The adequacy and success of the fisheries components NTPC’s Downstream Areas Resettlement Program (DARP) pre- and post- COD.

1.3 OBJECTIVES OF THIS PHASE 2 OF THE FMSP However, a reliable and practical method for fisheries monitoring and survey, over such and large area and addressing impacts on such a large number of people, is not yet available. The 2001 socio-economic survey along the Xe Bangfai and the on-going CPUE monitoring survey have been assessed as being not sufficiently reliable or useful enough for the task at hand. Thus, the fist step in the FMSP must be to develop a better monitoring and survey methodology, and thus the requirement for this Phase 1 which is the subject of this TOR This Phase 1 of the FMSP will be conducted over an approximate 12 months period (FC to FC + 1), with the following objectives:

To develop, test and modify (as appropriate) a participatory fisheries monitoring program in representative households in representative downstream villages (a network of participatory, village based fish catch monitoring);

To asses whether this participatory fisheries monitoring program can be used to calibrate – and thus increase the accuracy of – the recall surveys of annual fish catch (RS-AFC, i.e. of previous



year’s fish catch) which will be undertaken in all downstream villages (unless a village fisheries assessment is sufficient in some villages);

To assess o whether such a correlated/calibrated RS-AFC can provide accurate and/or adequate database

for the targeting and sizing of compensation and livelihood restoration programs at household, group or village level (to compensate for lost fisheries due to impacts of the NT2 Project; or

o whether a Village (level) Fisheries Assessment will be sufficient, in mainly lower impact zones and villages, for the assessment of fisheries impacts and development of compensation programs in those villages.

2 GEOGRAPHICAL AND DEMOGRAPHIC FRAMEWORK

2.1 DOWNSTREAM REGIONS AND FISHERIES IMPACTS The FMSP program must be conducted in all downstream (and one upstream) rivers (and wetlands) that will be impacted the NT2 Project. The two downstream and one upstream Region, and a summary of the fisheries impacts in these regions (see SDP Volume 3, Chapters 4 and 5 for detailed explanations) are as follows: Region 1: Downstream of the Nakai Dam, up until the Theun Hinboun Dam.

This area will be impacted by drastic decrease in water. However, there are no villages actually located on the banks of the Nam Theun river in this stretch, then this impact will be mainly on fisheries in the mainstream Nam Theun, and that part of the fisheries in its tributaries that is reliant on migratory species.

The number of potentially impacted villages in this region is about 51.

Region 2: Downstream of the Powerhouse, in the Xe Bangfai basin, including

The Nam Khama / Nam Phit:

This stream will be canalized into the Downstream Channel;

The Nam Kathang:

The Nam Kathang headwaters will become the regulating pond. While it is planned to reintroduce the same water flows into the Nam Kathang from the regulating pond, these waters will be sourced mainly from the reservoir (not runoff or springs in the upper watershed, as at present). In addition, the headwaters will be cut off from the rest of the river;

The Xe Bangfai river:

From the point of confluence of the Downstream Channel to the junction with the Mekong River. The detailed impacts in the region are described in the SDP, Volume 3; and

Backwater affected rivers and wetlands of the Xe Bangfai.

The number of potentially impacted villages in this region is about 220.

Region 3: Various tributaries upstream of the future reservoir (Nam Sot, Nam Theun, Nam Noy and Nam On)

These tributaries are in the designated NNT National Protected Area and the NT2 Watershed and NPA. The fisheries of migratory species will be impacted.

The number of potentially impacted villages in this region is about 31. In total, there are about 302 villages in these areas whose households fish in the these various potentially impacted rivers, as detailed in Section 2.2 and 2.4 below.



2.2 DOWNSTREAM OF NT2 DAM. Six (6) zones downstream of NT2 Dam have been delineated for the purposes of fish catch assessment and impact assessment, containing about 51 villages, as summarized in Table 1, and listed in detail in Annex 1.

Table 1: Number of villages downstream of Nakai Dam whose fisheries may be impacted

predicted % impact on fisheries

Impact Zone No. Villages wet season dry season

1 Upper Nam Phao 9 not yet possible to predict 2 Lower Nam Phao 10 'as above' 'as above' 3 Nam Kata 14 'as above' 'as above' 4 Nam Phouang / Nam Phiat 7 'as above' 'as above' 5 Nam Kheo 5 'as above' 'as above' 6 Nam Ngoy 6 'as above' 'as above' Total 50

Map 1 illustrates the delineation of these impact zones and location of potentially impacted villages downstream of NT2 Dam.

2.3 DOWNSTREAM OF NT2 POWERHOUSE The NT2 Powerhouse discharges into the Regulating Pond and subsequently into two watercourses – a small quantity into the Nam Kathang and most into the Downstream Channel, which for most of its length is the Houay Khama/Nam Phit, and then both of these flow into the Xe Bangfai. It is possible to distinguish 9 impact zones downstream of NT2 Powerhouse (Table 2), and household fish catch that will be potentially affected due the impacts in these areas will be experienced in about 201 villages. The current fish catch from these rivers and wetland areas is summarized in Table 2 below, and detailed in Annex 1. Some of the villages are located along the mainstreams of Nam Phit, Nam Kathang, Nam Gnom, and Xe Bangfai (riparian villages). In the riparian villages many households fish in the mainstreams. However, some villages are not located along these water courses, but some distance from the watercourse, and are this termed hinterland villages. Villagers in these villages travel to the rivers to catch fish, especially to the Nam Phit and the Xe Bangfai. Only some, not all households in these villages catch fish in the rivers, and may be generally less reliant on fisheries in these rivers than households/villages located on their banks.

Table 2: Number of Riparian and Hinterland Villages Downstream of the Powerhouse that may be impacted by the NT2 Project.

predicted % impact on fisheries

Impact Zone No. Riparian

Villages No. Hinterland

Villages wet season dry season

1 Downstream Channel/Nam Phit 17 19 - 100 % - 100 % 2 Nam Kathang/Nam Gnom 12 2 - 50 % 0 3 Upstream of Upper XBF 12 0 0 0 4 Upper XBF 12 8 - 80 % - 80 % 5 Middle XBF 12 21 - 50 % - 70 % 6 Lower XBF 1 18 20 - 30 % - 60 % 7 Lower XBF 2 24 16 - 10 % - 45 % 8 Lower XBF 3 11 4 - 10 % - 30 % 9 Xe Noi 7 5 0 + 50 % Total 125 76

Map 2 delineates the location of impact zones and of villages downstream of NT2 Powerhouse.



Map 1: Delineation of Impact Zones and Location of Potentially Impacted Villages Downstream of NT2 Dam.



Map 2: Delineation of Impact Zones Downstream of NT2 Powerhouse, and Location of Villages.

DOWNSTREAM CHANNEL (light blue)

LOWER XE BANGFAI 3

UPPER XE BANGFAI

MIDDLE XE BANGFAI

LOWER XE BANGFAI 2

LOWER XE BANGFAI 1

Xe Noi

Nam Kathang/Nam Gnom

Upstream of Upper Xe Bangfai



2.4 UPSTREAM OF THE RESERVOIR There are 5 river valleys upstream of the Nakai Plateau, the area where the Nakai Reservoir will be created (see Table 3 and Map 3). Fish catch in these tributaries of the future reservoir will be potentially affected due to changes in fish migration. That is, that component of the fish catch which is based on migratory species, may be affected. There are about 31 villages in this region – the Nakai Nam Theun NPA and NT2 Watershed – which currently catch fish from these rivers. Fish catch data is still to be collected and impact assessment has not yet been down for fisheries on these tributaries and thus at this stage a prediction of fisheries impact has not been undertaken.

Table 3: Number of villages in the 5 tributaries of the future Nakai Reservoir.

predicted % impact on fisheries Impact Zone No. Villages wet season dry season

1 Nam Sot 9 not yet possible to predict 2 Nam Theun 9 'as above' 'as above' 3 Nam Noy 9 'as above' 'as above' 4 Nam Pheo 4 'as above' 'as above' 5 Nam On 0 'as above' 'as above' Total 31 'as above' 'as above'

Annex 1 provides detailed data on populations and ethnic groups in this region.



Map 3: Location of Villages in the NNT-NPA.



3 MONITORING AND SURVEY METHODOLOGY

The assessment of fish catch – by monitoring of actual catch or by questionnaire-based recall surveys – in this large number of villages is made even more difficult by the complexity of natural fisheries, including:

the large number of species;

the diverse number of habitats where fish and aquatic products are caught and gathered;

the seasonal variation of fish catch; and

the ongoing significant decline of household fish catch due to background impacts. Thus, the focus of this Phase 1 of the FMSP is to develop a reliable, sufficiently accurate and practical way in which to assess household fish catch.

3.1 REVIEW OF PREVIOUS PRESENT STUDIES Previous (and current) monitoring and surveys of fish catch has consisted of:

a recall survey in 2001, based on interviews of 15 households per village, in 89 of the Xe Bangfai mainstream and backwater affected villages and 23 villages along Nam Kathang/Nam Gnom;

a CPUE monitoring program commenced in 2001, involving 21 households – 3 households per village in 7 Xe Bangfai villages;

a PRA type survey of 66 XBF hinterland villages in 2004;

a fish catch survey of 36 villages currently fishing in the Huay Khama/Nam Phit; and

a fish catch survey of 30 villages in the tributaries of the Nam Theun below the future Nakai Dam. Each of these surveys used different methodologies, and data from one survey cannot be compared to the other. Even the XBF CPUE program, commenced in 2002, and the 2001 recall survey cannot be compared or used together. During a survey of 20 selected villages downstream of NT2 powerhouse carried out in 2004 to evaluate the compensation options for losses in household fish catch, it became apparent that while the surveys made in 2001 and 2004 may provide sufficient information to make 'ball park' estimates of the impacts on total fish catch, the surveys do not provide sufficient and reliable data on which the cost of a fair compensation program for each affected village and affected household can be calculated. One problem with the previous surveys is that they did not stratify households into high, average and low catch fishing households, and thus we do not know what spectrum of the village the information represents. The 2004 survey of 20 villages indicated that in a village of say 100 households, about 15 high catch households catch 800 kg of fish per year or more, about 50 average fishing households catch around 300 to 400 kg of fish per year, while the remaining 35 low catch households catch less than 150 kg of fish per year. As the previous surveys just interviewed 10 or 15 households per village without any stratification in high, average, and low catch households, their estimate of average annual household fish catch per village can be too high or too low and in some cases spot on. Furthermore, fish is obtained from different fishing grounds and aquatic habitats such as the Xe Bangfai mainstream, tributaries to Xe Bangfai, ponds, caves, small streams, and floodplains. NT2 will have different impacts on aquatic life and household fish catch at different fishing grounds and different aquatic habitats. Thus, the 1st Phase of the FMSP will develop and employ a standard set of monitoring and survey methodologies, as described below, with a focus on modifying and improving on the methodology as lessons are learned.

3.2 'DIRECT FISH CATCH MONITORING' OR 'RECALL FISH CATCH SURVEYS' ? Fish catch monitoring is the process whereby the actual catch of fish and other aquatic products is measured and recorded as soon as the catch is obtained. Besides the actual weight and number of fish



catch, other data may also be recorded, such as species, fishing gear used, time taken to catch the fish, and location of the fishing. The date, and thus the season would, of course, also be recorded. Fish catch monitoring is a direct measurement of catch and as such the most accurate way of determining fish catch. However, direct fish catch monitoring has its drawbacks, including:

it is costly;

it requires a lot of staff; and

it can generate an overwhelming amount of data. Thus, while ideally the most accurate and ultimately most satisfactory way of understanding PAP fish catch pre- and post- Project would be direct fish catch monitoring of all downstream fisher households, a monitoring program of fish catch of all 27,800 households in all 271 affected villages downstream of NT2 powerhouse and downstream of NT2 dam would be practically impossible to undertake. Fish catch surveys are the process of interviewing fishers, and asking them to recall their fish catch over a certain period of time in the past, usually the past one year. The interview uses specifically designed data entry formats, and methods designed to elicit the most accurate recall data possible. Such recall surveys are generally considered to be the most practical way to estimate fish catch of all PAPs, but such recall questionnaires will only be a rough estimate of the actual fish catch. They rarely produce reliable data of annual household fish catch at different aquatic habitats under circumstances where many fish species seasonally migrate, for the following reasons:

Recall fish catch surveys either over or under estimate fish catch because: o some villagers exaggerate or overestimate (current) annual household fish catch in the expectation

that that they will receive more and better compensation measures for losses in household fish catch by NT2;

o some villagers (and GOL officials), believing that NTPC will more than compensate for losses in household fish catch and other impacts by providing access roads, electricity, irrigation systems, health clinics, water supply, schools, and other badly needed basic infrastructure, tend to downplay the role of fisheries in livelihoods and thus underestimate fish catch. They may hope that fewer studies will be undertaken and thus the NT 2 Project can start operation earlier, and thus each village will receive badly needed basic infrastructures quicker.

It is difficult to accurately recall or remember fish catch over the last year, especially as the species, locations and quantity of catch changes from season to season. It is difficult to provided an accurate response to a long series of questions from an interviewer.

The timing of fish catch is difficult to capture in an interview form, as most fish may be caught at the start and at the end of the wet season. Thus, as many surveys ask about catch in either the wet or dry season, the catch of fish between these seasons may be difficult to define or attribute to any one season.

For the responses to many questions (regarding frequency of fishing, type and quantity of fishing gears, fishing grounds, aquatic habitats, and season of fishing) to be accurate, they must be posed by interviewers with (a) good communication skills who can clearly formulated and present the questions, and (b) who have an understanding of aquatic resources utilization. If interviewers do not have these skills - which is often the case - then villagers will be confused and responses inaccurate.



3.2.1 Improving Recall Fish Catch accuracy: stratification and triangulation

Thus, recall surveys of past fish catch must be improved - to strike a balance between overestimates and underestimates - and ways to improve such surveys that will be tested in this Phase 1 of the FMS will include;

i: stratification of interviewees

Questionnaire based interviews will be undertaken with a representative selection of high, average, and low fish catch households that is the HH for questioning will not be selected randomly, or by the village chief, but by a PRA process called the VFA.

ii: triangulation

Information gathered in the questionnaires will be checked by (i) interviews with fish traders and (ii) village group meetings/interviews (see section 3.4.1 below) and these should ideally be conducted before the questionnaire based HH survey.

iii: calibration

The data gathered in the recall surveys will be related back to the direct household fish catch monitoring and monthly recall fish catch surveys in the selected monitoring villages.

3.2.2 Linking – Calibrating – RCS by DFCM

As noted above, direct fish catch monitoring is the most accurate way of obtaining data on fish catch, but it would be practically impossible to monitor the fish catch of all (or even a reasonable number) of PAPs in the downstream areas. On the other hand, recall questionnaire surveys have problems and will always only be an 'estimate'. Thus, the approach of this Phase 2 is two-fold, as follows:

(a) to improve the accuracy and effectiveness of recall surveys, as much as possible; and

(b) to monitor fish catch in selected villages, and to use this data to calibrate the catch data obtained by recall survey in these same villages, and then use such calibration factor to 'modify' the catch data from recall surveys in all other villages where direct fish catch monitoring cannot be undertaken.



In other words, the approach will be to test the hypothesis that we can 'back-up' the household fish catch survey by actual monitoring of household fish catch at selected but representative villages and at selected but representative households.

3.3 GENERAL PROGRAM OF DFCM AND RS-AFC The general program of detailed monitoring and surveys in selected villages, which will be used to improve the accuracy of recall surveys in all Downstream Area villages is shown in Table 4 below.

Table 4: General program of monitoring surveys in selected and then all downstream villages 45 Focus Villages (11 downstream dam + 27 downstream powerhouse + 7 NBCA)

Recall Surveys

Village Fisheries Assessment (VFA)

Direct Fish Catch Monitoring

(DFCM)

Recall Surveys of Monthly or Quarterly

Fish Catch (RS-MFC)

Recall Surveys of Annual Fish Catch

(RS-AFC) Group

Meetings/Interviews Interviews with

Fish Traders Household basis Household basis Household basis

minimum quorum of 25 % of village HH

5 - 10 households per village, stratified

25 % (monthly) or 100% (if quarterly) of all village HHs stratified

25 % (stratified) or 100 % (for HHs requiring HH level compensation),

Annual Monthly/Quarterly Daily Monthly or Quarterly Annual

All Remaining Downstream Villages Village Fisheries Assessment (VFA) Recall Surveys of Annual Fish Catch (RS-AFC)

Group Meetings/Interviews Household basis 25 % (stratified) or 100 % (for HHs requiring HH level

compensation) 4 times in 8 year period 4 times in 8 year period if 25 % HH sample survey:

2 times (one pre- and one post- COD) for 100 % HH option

3.3.1 Monitoring Villages (MVs)

The following activities and programs will be undertaken in the selected monitoring villages:

(i) The conduct of village level fisheries assessments (VFA) by group interviews/meetings;

(ii) A program of participatory direct fish catch monitoring (DFCM) by selected (high, average and low catch) households, or monitoring households (MHs);

(iii) A program of questionnaire based recall fish catch surveys, to collect data from households in these focus villages by either: • monthly recall questionnaire based surveys (RS-MFC)) of 25 % of the villages households; or • quarterly recall questionnaire based surveys (RS-QFC)) of 100 % of the villages households;

(iv) The same annual fish catch questionnaire based surveys from households in these focus villages as is undertaken in all downstream villages (RS-AFC).

3.3.2 All Other Downstream Villages (ODVs)

The following activities and programs will be undertaken in all other downstream villages:

(i) village level fisheries assessments (VFA) by group interviews/meetings;

(ii) annual fish catch data obtained by questionnaire based surveys from selected households, or in some cases all fishing HHS that would be affected in all other downstream villages (RC-AFC)



3.4 MONITORING AND SURVEY METHODS The following monitoring and survey methods will be developed and improved during the conduct of this Phase 2 of the FMSP.

3.4.1 Village Fisheries Assessment (VFA)

The exemplary questionnaire as presented in Annex 2 shows that the following information will be gathered:

(i) Village group meetings/interviews (or workshops) to: identify village fishing grounds and aquatic habitats; identify fishing and non-fishing households (if any) at each affected village; identify high, average and low fish catch households; estimate average annual household fish catch at different aquatic habitats by these 3 different

groups of fishing households; estimate average annual household collection of aquatic products at different aquatic habitats

(ii) Trader interviews This FMS method will be used in both the MVs and the ODVs. In the ODVs it will be employed at the time of the RS-ARC, which is scheduled to be undertaken 4 times during the course of the NT2 Project. In the MVs this VFA will be undertaken right at the start to select participating fish catch monitoring households, and will be repeated each year in MV’s.

3.4.2 Direct Fish Catch Monitoring (DFCM) by Fish Monitoring Households (MH)

Selection of MH Based on the outcome of the VFA, about 5 to 9 households representing high (about 2 to 3 HH), average (2 to 4 HH) and low (1 to 2 HH) fish catch households, will be selected, trained and then supported to record their daily fish catch by themselves, under the supervision of the Projects FMS Team. After this first Phase 1 year, it will be decided if these MHs should be selected for the whole DARP period of about 8 years, or if they should be reviewed and possibly reselected every year. Data to be recorded by MH The selected MHs will fill in a fish catch monitoring form on a daily basis (see Annex 4 for an example of such form), and the type of information recorded will include:

(i) weight of daily household fish catch, per species (ii) weight of daily collection of aquatic products, per species (iii) (i) and (ii) per aquatic habitat (iv) fishing gears used for A, per aquatic habitat (v) size of fishing gear (vi) date of fishing (vii) utilization of daily fish catch

Thus, the data recorded by the MHs will enable an assessment of both CPUE and of Total Catch, on a daily basis, for the whole year. Training and supervision of of MH Each MH will receive training, including;

use of a scale to weight all fish caught and aquatic products collected; recording of data in format provided; basic numeracy and literacy: and identification of fish species or species groups.

A Project Fisheries Monitoring and Survey team will provide training to the MHs, and will be responsible to supervising the monitoring through regular village visits (at least twice per month). The monitoring



forms will be collected on a fortnightly basis and submitted to database administrator who will be responsible for input in a database. Support provided to MH Physical support to the MHs will include

pens, pencil, folders scales forms monthly per diem: US$8/hh

3.4.3 Monthly or Quarterly recall surveys in focus villages

In order to convert the data collected from actual monitoring of daily fish catch by about 5-9 % (selected) into a better estimate of fish catch of the whole village - or of all households in the village - a monthly recall survey of the past months fish catch will be conducted on 20 % of the households in the monitoring villages. This survey will use the same questionnaire format as the RC-AFC survey, but will seek information concerning a much shorter period of time This Phase 1 of the FMSP will also test the method of a recall survey of 100 % of the monitoring villages’ households on a quarterly basis.

3.4.4 Recall Survey of Annual Catch Surveys (RS-AFC) in all DA villages

A recall catch survey of the past years fish catch will be undertaken at least four times during the 8 year Downstream Program, in all villages whose fisheries will be potentially impacted by the NT2 Project. The first RS-AFC to be undertaken as part of this Phase 1 of the FMS program will test both:

A: An improved VFA, which would be preferred method if impact and compensation are not based on the household basis but on a whole village basis.

and

B: A RS-AFC of selected individual HHs, which will be required if the impact and compensation is to be undertaken or base on a household basis. The outstanding issue is that - does the RS-AFC cover only a "representative sample" of the village households, or will it try to cover all households.

The improved VFA, rather than the RS-AFC, may be sufficient to estimate fish cash and as a basis for compensation in those villages in which village level compensation is required. Thus, the choice of village or HH level compensation will depend on:

(a) the extent of the impacts in relation to the income of the impacted persons. An extrapolation of ADB/WB policies would suggest that if the fish loss impact is less than 10 % of their income (cash and imputed) then village level compensation would be the preferred option. However, if the impacts are more than 10 % on any HH income, then that HH must be treated and compensated as an individual HH - although the compensation program may well be as part of a village level or village wide development program

(b) the decision of the village - village consensus. In fact, they may decide that for these heavily impacted HHs, HH level compensation must be provided - and thus HH level RACS survey is required for each HH, but for the rest of the village, a village level compensation is the path to follow, and fish catch estimated by the VFA method

The type of data to be collected from each surveyed HH (during RS-AFC) will include (see Annex 4 for details):

weight of fish catch, per month, per fishing location gillnets used - size and number



mainstream fish catch by gillnets, disaggregated by various indicators weight of aquatic product caught or gathered, per location etc,

The RS-AFC will be managed and led by the FMS team, as these personnel will already be fully involved in communication with villagers, have an overview of aquatic resource utilization, and have also gained experience with group interviews and fishing household interviews. This RS-AFC will be closely coordinated with the participatory Socio-Economic Survey Program of the Nam Theun 2 Downstream Araes Resettlement Program (DARP), which will also seek to collect data on income sources (cash and imputed), on river bank gardens and other agriculture, and health etc. As the Fisheries Program Monitoring and Survey Team will manage the collection and analysis of the RC-AFC data, no independent fisheries monitoring will be required. An independent review will be sufficient to evaluate if the monitoring/survey exercise program has been carried out adequately.

3.5 SELECTION OF VILLAGES FOR THE MONITORING PROGRAM. The number of Monitoring Villages, compared to all villages in the Regions, are listed in Table 5 below.

Table 5: Villages to be monitored, by Region and Impact Zone. no. villages impact region/zone riparian hinterland total MVs OVs

MHs (assume av. 7/village)

downstream of dam 1 Upper Nam Phao 4 4 8 2 6 14 2 Lower Nam Phao 4 6 10 2 8 14 3 Nam Kata 9 5 14 2 12 14 4 Nam Phiat 4 3 7 2 5 14 5 Nam Kheo 5 0 5 1 4 7 6 Nam Ngoy 6 0 6 2 4 14 sub-total 32 32 64 11 39 77 downstream of powerhouse 1 DC/Nam Phit 17 19 36 5 32 35 2 Nam Kathang/Gnom 12 2 14 3 11 21 3 Upstream of Upper XBF 12 0 12 2 10 14 4 Upper XBF 12 8 20 4 16 28 5 Middle XBF 12 21 33 3 30 21 6 Lower XBF 1 18 20 38 3 35 21 7 Lower XBF 2 24 16 40 3 37 21 8 Lower XBF 3 11 4 15 3 12 21 9 Xe Noi 7 5 12 1 11 7 sub-total 125 95 220 27 194 189 upstream of reservoir 1 Nam Sot 9 0 9 2 7 14 2 Nam Theun 11 0 11 2 9 14 3 Nam Noy 9 0 9 2 7 14 4 Nam Pheo 5 0 5 1 4 7 5 Nam On 0 0 0 0 0 0

sub-total 34 0 34 7 27 49 grand total 191 127 318 45 260 315

3.5.1 Downstream of NT2 Powerhouse

The selection of villages is based on impact zone, and Table 6 shows the 27 villages which are proposed to conducted the monitoring/survey calibration program. Four villages are selected along the Downstream Channel and current Nam Phit. At this impact zone, household fish catch will be impacted earlier - at the start of construction activities. Starting from the Nam Kathang headwaters - which will be transformed into the regulating pond and dam - to the



Houay Khama and Nam Phit, which will be transformed into the downstream channel, at about FC + 5 months. Three villages are selected along Nam Kathang and Nam Gnom. The fish catch at this impact zone may be adversely impacted, not be impacted at all, or even positively impacted. Nam Kathang and Nam Gnom will receive water from the regulating pond. There is a risk that during the first few years after COD, water quality may have adverse impacts on aquatic life. If such may not be the case then increase of the water discharge of Nam Kathang and Nam Gnom with not more than a few m3/sec during the dry season alone can have positive impacts on fisheries and irrigation. Such can be evaluated by the monitoring of household fish catch. Two villages are selected Upstream of Upper Xe Bangfai. Water quality at this area may form some negative impacts during the first few years of operation, but backwater effect from the discharge of the downstream channel in Xe Bangfai is expected to have positive impacts on household fish catch. Five villages along the Upper XBF and three villages along the Middle Xe Bangfai are selected. It is expected that the adverse impacts on household fish catch is highest in these two zones. Further downstream, the adverse impacts will reduce according to distance from the downstream channel. At the impact zones of Lower XBF 1, 2, and 3, household fish catch will be less and less affected. In these 3 impact zones, a total of 9 villages are selected. One village is selected in the Xe Noi zone. As a result of increased backwater effect from Xe Bangfai, household fish catch could be expected to increase in this zone after COD. Seven Xe Bangfai hinterland villages are selected. Generally all households in the villages located close to the Xe Bangfai (riparian villages) fish in Xe Bangfai mainstream, but not all households of the villages located further away from Xe Bangfai (hinterland villages) fish in the mainstream, and households are generally less depending on fish catch from Xe Bangfai. They fish more in tributaries, small streams, paddies, and ponds that are not or little impacted by NT2. The location of the selected villages is shown on Map 4 below.

Table 6: Proposed DFCM Monitoring Villages Downstream of NT2 Powerhouse. Village Province District

Village Location

Impact Zone

1 1 Phonkhane/Lat Khuay Khammouane Gnommalat Riparian Downstream Channel 2 2 Pha Tung Khammouane Gnommalat Riparian Downstream Channel 3 3 Phonekhene Khammouane Gnommalat Riparian Downstream Channel 4 4 Khogyai/Khognoi Khammouane Gnommalat Hinterland Downstream Channel 5 1 Koodphadaeng Khammouane Gnommalat Riparian Nam Kathang/Nam 6 2 Nong Ping Khammouane Gnommalat Riparian Nam Kathang/Nam 7 3 Naveang Khammouane Gnommalat Riparian Nam Kathang/Nam 8 1 Dangkang Khammouane Gnommalat Riparian Upstream of Upper XBF 9 2 Nakio Khammouane Gnommalat Riparian Upstream of Upper XBF 10 1 Mahaxai Tai Khammouane Mahaxai Riparian Upper XBF 11 2 Poova Tai Khammouane Mahaxai Riparian Upper XBF 12 3 Poova Neua Khammouane Mahaxai Riparian Upper XBF 13 4 Keng Pe Khammouane Mahaxai Riparian Upper XBF 14 5 Khamfeuang Khammouane Mahaxai Hinterland Upper XBF 15 1 Vernsananh Khammouane Xe Bangfai Riparian Middle XBF 16 2 Had Pek Khammouane Xe Bangfai Riparian Middle XBF 17 3 Ban Sang Khammouane Xe Bangfai Hinterland Middle XBF 18 1 Xiengkhay Khammouane Xe Bangfai Hinterland Xe Noi 19 1 Gnangkham Khammouane Xe Bangfai Riparian Lower XBF1 20 2 Hadkhamhieng Khammouane Xe Bangfai Riparian Lower XBF1 21 3 Vernsivilai Savannakhet Xaibouli Hinterland Lower XBF1



22 1 Dong Phakpheua Khammouane Nongbok Riparian Lower XBF2 23 2 Navangneua Khammouane Nongbok Riparian Lower XBF2 24 3 Beungbouatong Savannakhet Xaibouli Hinterland Lower XBF2 25 1 Nasang Savannakhet Xaibouli Riparian Lower XBF3 26 2 Thaphoxai Savannakhet Xaibouli Riparian Lower XBF3 27 3 Nonenakham Savannakhet Xaibouli Hinterland Lower XBF3

3.5.2 Selection of MV Downstream of NT2 Dam.

In total 11 villages are selected for the participative monitoring program downstream of NT2 dam. The selection is based on the location of village in the different watersheds, the presence of households that fish in Nam Theun, and the occurrence at the village fishing grounds of fish species that migrate from Nam Theun. Table 7 shows the villages were the monitoring program downstream of NT2 dam site is proposed to be carried out.

Table 7: Proposed DFCM Monitoring Villages Downstream of NT2 Powerhouse

Village District

Tributary to Nam Theun

HHs Fishing in Nam Theun

Catch of Fish Migrating from Nam Theun

1 Phontaan Khamkerd Nam Kheoao + - 2 Nakham Khamkerd Nam Ngoi + + 3 Nongsong Khamkerd Nam Ngoi + + 4 Khammouane Khamkerd Nam Phiat + - 5 Sopphouan Khamkerd Nam Phiat + + 6 Vangkor Khamkerd Nam Katha - + 7 Vangpa Khamkerd Nam Katha - + 8 Phonehong Khamkerd Upper Nam Phao + + 9 Phonepheng Khamkerd Upper Nam Phao + + 10 Seneoudom Khamkerd Lower Nam Phao + + 11 Phonethong Khamkerd Lower Nam Phao + +

.



Map 4: Downstream NT2 Powerhouse Fisheries Monitoring Villages.



4 INSTITUTIONAL ARRANGEMENTS AND STAFFING.

The FMSP program to be conducted in 38 monitoring villages in areas downstream of NT2 powerhouse and downstream of NT2 dam, and in all the other downstream area villages but at a lower scale of intensity will be managed and implemented by the Fisheries Program Monitoring and Survey Team (MST)

4.1 THE FISHERIES PROGRAM MONITORING AND SURVEY TEAM At least in this Phase 1, the Fisheries Program MST will consist of the following members:

International Technical Assistance (2 in number, both part time)

Fisheries Monitoring and Survey Program Officer

Village Monitors and Trainers (6 in total)

A database administrator, and assistant

A finance and administration officer

A driver In this Phase 1, the MST will most likely be assembled and directly managed by NTPC's Environment and Social Division. In following years the program may be contracted out to an agency or consulting firm.

4.1.1 International TA

International TA1 roles and responsibilities:

(i) provide overall technical and managerial guidance to the MST and FMSP;

(ii) be responsible for methods development, including evaluate the various methods and formats and Questionnaires used, and ensure these are improved as required;

(iii) together with the PO, train monitoring staff;

(iv) together with the PO, supervise monitoring staff;

(v) ensure the database is implemented and managed effectively;

(vi) ensure quality control in all of the program;

(vii) assist in the selection of participating households in fish catch monitoring

(viii) supervise the procurement and distribution of equipment and stationary

(ix) ensure accurate translation of forms and questionnaires in Lao language

(x) ensure that fisheries monitoring and survey program officer will manage and supervise well during the Time of International TA’s Absence.

(xi) draft the required reports to be produced by the FMSP International TA2 roles and responsibilities

(i) provide overall technical advice and quality control in regard to the species ID and analysis components of the FMSP, especially as they relate to the Nam Theun downstream of the dam and the XBF.

(ii) Assist TA1 in any tasks as required

(iii) Other tasks that may be required by the Environmental and Social Divisions Fisheries Program.

4.1.2 Fisheries Monitoring and Survey Program Officer

Roles and responsibilities

(i) train fishing households in the use of scales to weight fish



(ii) train fishing households in filling in forms regarding their daily fish catch and collection of aquatic products

(iii) train monitors how to train fishing households

(iv) carry out group village interviews

(v) train monitors how to carry out group interviews

(vi) carry out interviews with fish traders

(vii) train monitors how to carry out interviews with fish traders

(viii) supervision of monitors

(ix) quality control

(x) distribution of equipment and stationary

(xi) collection of fish catch monitoring forms on a two weekly basis

4.1.3 Village monitors and trainers

The Village Monitors and Trainers can be either DAFO/PAFO staff or hired staff. It is most likely, however, that they will be the latter because:

District fisheries officers may not have the drive and the capability for continuous fieldwork; and

District fisheries officers may also be concerned with formal and informal taxation of fishers. These general attributes of DAFO staff do not provide the right conditions under which reliable and objective household fish catch data can be obtained. The roles and responsibilities of the Village Monitors and Trainers staff will include:

training villagers (MHs) in use of scales reading scales and weighing fish catch;

training villagers and filling in monitoring forms in regard to their daily fish catch and collection of aquatic products;

develop a common understanding in regard to fish species or groups of species to be recorded;

observe and encourage accurate recoding of fish catch;

contribute to the development and improvement of the DFCM methodology;

submit household fish catch monitoring forms each fortnight to two administrators;

assist in the conduct of the VFA; and

lead the conduct of RC-AFC. They will:

live in District centers;

travel to villages by motorbikes; and

have review workshops - with the full FPMST - at least every quarter.



4.1.4 Village monitors in the NPA-NT2 Watershed

The fish catch in villages in the NT2 watershed will be monitored and surveyed in basically the same way as in downstream areas. However, the village monitors will be staff of the WMPA who are already placed and living in each of the NT2 Watershed 4 valleys, and who will have fish catch monitoring included in their TORs. These WMPA staff will be trainee by the FMSP team and its TA. they will make some study tours to observe the conduct of the FMSP in downstream villages and will attend the regular quarterly meetings of the FMSP team.

4.1.5 Database administrator

The database administrator and database assistant will be based in Thakhek. They will enter all of the data gather on a daily, monthly or annual basis into a Microsoft Access program.

4.1.6 RS-AFC TEAM

The RC-AFC to be undertaken in all DA villages will be undertaken by a team of:

• The FMSP International TA;

• The FMSP Team Village Monitors, who will take the lead in the ; :

• DARP fishers staff;

• selected DAFO and PAFO fisheries staff; and

• university students or new graduates hired and trained especially for the job This team will be formed for a period of about 3 to 4 moths to undertake the RC-AFC (as part of the overall DARP Socio-Economic Survey), about 4 times over the 8 year DARP. It each District, the RC-AFC the teams of 4 to 6 members will aim to complete a RS-AFC (including the VFA first) in 1 to 2 days per village.

4.2 COORDINATION WITH DOWNSTREAM PROGRAM SURVEY AND COMPENSATION TEAM The Fisheries Monitoring and Survey Program will need to coordinate closely with the NTPCs Fisheries and non Fisheries Livelihood Restoration Program: They will need to coordinate with the livelihood survey component of the DARP

FMSP team will manage the fish catch component of the surveys FMSP team will assist n the fisheries income component of the income survey the VFA should be part of the DARPs socio-economic survey program



They will need to coordinate with the resettlement (livelihood restoration) component, as their data and analysis of the data will be of paramount to the Livelihood Restoration Program. (Phase 2 of the FMSP could possibly be included in the TOR of the team implementing the Fisheries and non fisheries Livelihood Restoration Program, in which case it would be termed the "Livelihood Monitoring and Restoration Program".) .

5 WORKPLAN

The full Fisheries Monitoring and Survey program will have a duration of at least 8 years, starting from Financial Close to 4 years after COD, as illustrated in Table 8 below.

Table 8: Indicative, summary long-term Workplan of the FMSP Before COD After COD Monitoring/Survey Program Year

1 Year

2 Year

3 Year

4 Year

5 Year

6 Year

7 Year

8 Monitoring Villages Fish Catch Monitoring and Surveys in 38 Monitoring Villages

+ + + + + + + +

All other DV VFA + + + + 25 % HH sample RS-AFC + + + + 100% impacted HH sample + +

The semi- detailed program for this Phase 1 is shown in Table 9 below, and this will be further detailed during the early moths of the Phase 1 of the FMSP.

Table 9: Summary Workplan for the Phase 1 of the Fisheries Monitoring and Survey Program. month -2 -1 1 2 3 4 5 6 7 8 9 10 11 12

Monitoring/Survey Program Ap Ma Ju Ju Au Se Oc No De Ja Fe Ma Ap Ma

1 contract Int'l TA 2 seek and contract Lao team 3 training, methods development monitoring villages 4 VG-PFA, select Monitor HH 5 DFCM 6 Recall Monthly Catch Surveys 7 Recall Annual Catch Surveys all other DS villages 8 Annual Recall Catch Surveys data entry and analysis 9 data compilation 10 data review, analysis, calibration 11 decision re ongoing FMSP

6 BUDGET FOR FMSP, PHASE 2 (FC TO FC +1)

Cost estimates for the establishment and conduct of the Phase 2 of the Fisheries Monitoring and Survey program are shown in Table 13.



Table 10: Indicative budget for the Household Fish Catch Monitoring and Survey Program.

1. Capital Costs Number Unit USD Scales 310 10 3,100 Vehicle: 4 x 4 1 22,000 22,000 Motorcycles: off road 5 2,200 10,000 Motorcycles: city 2 1,100 2,200 Computers and printers 3 2,200 6,600

Subtotal Capital Costs 43,900

2. Annual Operating Costs mthly rate Unit USD/year Remunerations: FMST Int TA: Fisheries (NTPC staff ??) 9,000 5 mths/yr 45,000 Int TA: Fisheries 9,000 3 mths/yr 27,000 Lao senior TA 1,200 12 mths 14,400 Lao junior TA 450 12 x 5 27,000 Database consultant 50/day 30d/yr 1,500 Database administrator 650 12 5,400 assistant database administrator 350 12 4,200 Finance and admin officer 400 12 5,400 driver 200 12 2,400 other consultants ls 5,000 Subtotal 137,300 Remunerations: FMHHs households remuneration $8/mth 12 mths 96/yr/MH

total num of FMHH 302 $28,992 calculators, books. pens etc $15/yr/MH 302 $4,530 Subtotal 32,522 Other Fuel: car 1 x 150/mth 12 1,800 Fuel motorcycles 7 x 50/mth 12 4,200 maintenance : car 1,500 maintenance: motorcycles 1,500 Stationary 2,000 Miscellaneous 3,000 Subtotal 13,000 RS-AFC (no. 1) all villages GOL staff DSA 6 D x 2p/d 12p x 90d x 6$/d 6,480 Other staff stipend 6 D x 2p/d 6p x 90d x 10$/d 5,400 expenses 5,000 data entry and analysis ls 4,000 Subtotal 20,880 Training, etc villager training 3,000 villager study tours 3,000 FMST quarterly meetings 4 1000 4,000 FMST training 3,000 Subtotal 12,000

Total Annual Operating Costs $215,702



Annex 1: List of Villages, Number of Households and Main Ethnic Groups. Total Region Zone District Impact zone Village No. HH Main ethnic groups Riparian/Hinterland Fisheries

Villages below NT2 Dam 1 1 1 Khamkeut Lower Nam Phao Senesoudom 150 Riparian yes 2 2 2 Khamkeut Lower Nam Phao Sengsavang 120 Riparian yes 3 3 3 Khamkeut Lower Nam Phao Namphuao 178 Riparian yes 4 4 4 Khamkeut Lower Nam Phao Nongdong 174 Riparian yes 5 5 5 Khamkeut Lower Nam Phao Somsanouk 168 Riparian yes 6 6 6 Khamkeut Lower Nam Phao Nongpong 409 Riparian yes 7 7 7 Khamkeut Lower Nam Phao Phonethong 97 Riparian yes 8 8 8 Khamkeut Lower Nam Phao Phonexay + Naphet 72 Riparian yes 9 9 9 Khamkeut Lower Nam Phao Namthi 143 Riparian yes

Lower Nam Phao

1,511 10 10 1 Khamkeut Upper Nam Phao Lak 20 126 Riparian yes 11 11 2 Khamkeut Upper Nam Phao Phonemuangnoy 167 Riparian yes 12 12 3 Khamkeut Upper Nam Phao Phonehuong 188 Riparian yes 13 13 4 Khamkeut Upper Nam Phao Houaykeo 252 Riparian yes 14 14 5 Khamkeut Upper Nam Phao Phonepheng 248 Riparian yes 15 15 6 Khamkeut Upper Nam Phao Thongchalueng 226 Riparian yes 16 16 7 Khamkeut Upper Nam Phao Thaveng + Ban Phonesay 144 Riparian yes 17 17 8 Khamkeut Upper Nam Phao Samtheu 82 Riparian yes 18 18 9 Khamkeut Upper Nam Phao Nachalai 79 Riparian yes 19 19 10 Khamkeut Upper Nam Phao Nong Or 98 Riparian yes 20 20 11 Khamkeut Upper Nam Phao Napai 154 Riparian yes 21 21 12 Khamkeut Upper Nam Phao NaHat 71 Riparian yes 22 22 13 Khamkeut Upper Nam Phao Lak 5 95 Riparian yes 23 23 14 Khamkeut Upper Nam Phao Lak 7 143 Riparian yes 24 24 15 Khamkeut Upper Nam Phao Lak 10 112 Riparian yes 25 25 16 Khamkeut Upper Nam Phao Thongpet 243 Riparian yes 26 26 17 Khamkeut Upper Nam Phao Naheuang 183 Riparian yes 27 27 18 Khamkeut Upper Nam Phao Hangna 67 Riparian yes

Upper Nam Phao

2,678 28 28 1 Khamkeut Nam Phouang / Nam Phiat Khammouane 107 Riparian yes 29 29 2 Khamkeut Nam Phouang / Nam Phiat Dongbang 167 Riparian yes



Total Region Zone District Impact zone Village No. HH Main ethnic groups Riparian/Hinterland Fisheries 30 30 3 Khamkeut Nam Phouang / Nam Phiat Donesaat 49 Riparian yes 31 31 4 Khamkeut Nam Phouang / Nam Phiat Nadeua 95 Riparian yes 32 32 5 Khamkeut Nam Phouang / Nam Phiat Houaikeo 141 Riparian yes 33 33 6 Khamkeut Nam Phouang / Nam Phiat Sopphouan 45 Riparian yes

Nam Phouang / Nam Phiat

604 34 34 1 Khamkeut Nam Kata Kor Hai 148 Riparian yes 35 35 2 Khamkeut Nam Kata Phonesi 67 Riparian yes 36 36 3 Khamkeut Nam Kata Phonevilai 133 Riparian yes 37 37 4 Khamkeut Nam Kata Sophia + Nam Nian 77 Riparian yes 38 38 5 Khamkeut Nam Kata Phonesaat 172 Riparian yes 39 39 6 Khamkeut Nam Kata Vangpha 98 Riparian yes 40 40 7 Khamkeut Nam Kata Nam Deuan 155 Riparian yes 41 41 8 Khamkeut Nam Kata Nongmek 84 Riparian yes 42 42 9 Khamkeut Nam Kata Thongket 127 Riparian yes 43 43 10 Khamkeut Nam Kata Namuang 104 Riparian yes 44 44 11 Khamkeut Nam Kata Nahai 96 Riparian yes 45 45 12 Khamkeut Nam Kata Vangkor 67 Riparian yes 46 46 13 Khamkeut Nam Kata Nagadonk + Ban Namhouai 99 Riparian yes 47 47 14 Khamkeut Nam Kata Nathone + Banpoungkieut 102 Riparian yes

Nam Kata

1,529 48 48 1 Khamkeut Nam Ngoy Phonelom 32 Riparian yes 49 49 2 Khamkeut Nam Ngoy Nakham 83 Riparian yes 50 50 3 Khamkeut Nam Ngoy Nongsong 102 Riparian yes 51 51 4 Khamkeut Nam Ngoy Phamuang 98 Riparian yes 52 52 5 Khamkeut Nam Ngoy Nagnoi + Navaat 77 Riparian yes 53 53 6 Khamkeut Nam Ngoy Phonegnap 53 Riparian

Nam Ngoy

3,503 54 54 1 Khamkeut Theun Hinboun Headpond Nong Kok + Latmuang 161 Riparian yes 55 55 2 Khamkeut Theun Hinboun Headpond Sabgnuang 86 Riparian yes 56 56 3 Khamkeut Theun Hinboun Headpond Thabak 175 Riparian yes 57 57 4 Khamkeut Theun Hinboun Headpond Khengbeat 118 Riparian yes

Theun Hinboun Headpond

540 yes 58 58 1 Khamkeut Nam Gnouang Thongviengkham + Phonekham 138 Riparian yes



Total Region Zone District Impact zone Village No. HH Main ethnic groups Riparian/Hinterland Fisheries 59 59 2 Khamkeut Nam Gnouang Phonetan 120 Riparian yes 60 60 3 Khamkeut Nam Gnouang Pakha 78 Riparian yes 61 61 4 Khamkeut Nam Gnouang Khouachanh 125 Riparian yes 62 62 5 Khamkeut Nam Gnouang Napavane 122 Riparian yes 63 63 6 Khamkeut Nam Gnouang Sobkoub 164 Riparian yes 64 64 7 Khamkeut Nam Gnouang Sobpon + Haileng 103 Riparian yes 65 65 8 Khamkeut Nam Gnouang Sod 73 Riparian yes 66 66 9 Khamkeut Nam Gnouang Phabang 60 Riparian yes 67 67 10 Khamkeut Nam Gnouang Poug 67 Riparian yes 68 68 11 Khamkeut Nam Gnouang Thasala 61 Riparian yes 69 69 12 Khamkeut Nam Gnouang Pong + Ban Bo 69 Riparian yes 70 70 13 Khamkeut Nam Gnouang Nonesomboun + Ban Don 69 Riparian

Nam Gnouang

1,249 Villages in NNT NPA

71 1 1 Nakhai Nam Noy MaKa 47 Kri, Phong1 yes ? 72 2 2 Nakhai Nam Noy Nam Noy 50 Sek yes ? 73 3 3 Nakhai Nam Noy Seuk 17 Brou yes ? 74 4 4 Nakhai Nam Noy ThongNoi 24 Phong 2 yes ? 75 5 5 Nakhai Nam Noy VangLae 24 Phong 2 yes ? 76 6 6 Nakhai Nam Noy Phoung 28 Phong 2 yes ? 77 7 7 Nakhai Nam Noy Peu 17 Brou yes ? 78 8 8 Nakhai Nam Noy Dtong 28 Phong 2 yes ? 79 9 9 Nakhai Nam Noy Vangkhouay 21 Phong 2 yes ?

80 10 1 Nakhai Nam Pheo HuaySarn 27 Sek yes ? 81 11 2 Nakhai Nam Pheo Beuk 31 Sek yes ? 82 12 3 Nakhai Nam Pheo NaMeo 29 Sek yes ? 83 13 4 Nakhai Nam Pheo NaMouy 59 Brou yes ?

84 14 1 Nakhai Nam Sot Thameuang 72 Arao, Malang, Atel yes ? 85 15 2 Nakhai Nam Sot SongKone 32 Malang (Brou) yes ? 86 16 3 Nakhai Nam Sot NaHao 41 TaiSin, PhuTai yes ? 87 17 4 Nakhai Nam Sot Navang 52 Brou yes ?



Total Region Zone District Impact zone Village No. HH Main ethnic groups Riparian/Hinterland Fisheries 88 18 5 Nakhai Nam Sot Kajing 31 Brou yes ? 89 19 6 Nakhai Nam Sot Huay Maxong 24 Brou yes ? 90 20 7 Nakhai Nam Sot Fangdaeng Neua 20 Brou yes ? 91 21 8 Nakhai Nam Sot Fangdaenga Tai 30 Brou yes ? 92 22 9 Nakhai Nam Sot ThongXart 26 Brou yes ?

93 23 1 Nakhai Nam Theun Vangjang 38 Brou (Themarou) yes ? 94 24 2 Nakhai Nam Theun Sorklek 61 Brou yes ? 95 25 3 Nakhai Nam Theun Singthong 27 Brou yes ? 96 26 4 Nakhai Nam Theun NaGhang 44 Brou yes ? 97 27 5 Nakhai Nam Theun Thaipaiban 44 Brou yes ? 98 28 6 Nakhai Nam Theun Gorbong 39 Brou yes ? 99 29 7 Nakhai Nam Theun Nava 27 Brou yes ?

100 30 8 Nakhai Nam Theun Makfeuang 59 Brou yes ? 101 31 9 Nakhai Nam Theun Peung 23 Brou yes ?

Upstream of Reservoir

1,092 Villages fishing in Nam Phit / Houay Khama

102 1 1 Gnommalath Nam Phit / Houay Khama Kaun phan 182 Chalui, Lao and Tai Katak Riparian yes 103 2 2 Nam Phit / Houay Khama Khok svang 41 Brou and Lao Riparian yes 104 3 3 Nam Phit / Houay Khama Khok (Lak 5) 12 Brou Riparian yes 105 4 4 Nam Phit / Houay Khama Lak 7 144 Lao and Brou Riparian yes 106 5 5 Nam Phit / Houay Khama Lak 9 25 Phou Thay, Lao and Brou Riparian yes 107 6 6 Nam Phit / Houay Khama Muang khai 71 Brou Riparian yes 108 7 7 Nam Phit / Houay Khama Na khok nai 28 Lao and Brou Riparian yes 109 8 8 Nam Phit / Houay Khama Pa thoung 75 Sek and Tai Moey Riparian yes 110 9 9 Nam Phit / Houay Khama Phit sikhai 85 Brou Riparian yes 111 10 10 Nam Phit / Houay Khama Phon saat and Lak 6 305 Phou Thay, Kaleung, and Brou Riparian yes 112 11 11 Nam Phit / Houay Khama Phone sang 26 Brou Riparian yes 113 12 12 Nam Phit / Houay Khama Phone thoy 48 Brou Riparian yes 114 13 13 Nam Phit / Houay Khama Phon kham 49 Lao Kaleung Riparian yes 115 14 14 Nam Phit / Houay Khama Pha chom khong 58 Lao Kaleung Riparian yes 116 15 15 Nam Phit / Houay Khama Tat 130 Brou Riparian yes 117 16 16 Nam Phit / Houay Khama Tham phuang 50 Lao, Brou and Sek Riparian yes



Total Region Zone District Impact zone Village No. HH Main ethnic groups Riparian/Hinterland Fisheries 118 17 17 Nam Phit / Houay Khama Thang beng 43 Brou Riparian yes

119 18 1 Nam Phit / Houay Khama Boung bao 79 Lao Kaleung Riparian yes 120 19 2 Nam Phit / Houay Khama Done peauy 73 Lao Kaleung Riparian yes 121 20 3 Nam Phit / Houay Khama Fang deng 25 Chalui Riparian yes

122 21 4 Nam Phit / Houay Khama Gnommalat Neua 125 Lao Kaleung, Brou, Phou Thay,H190+H51 Tai Riparian yes

123 22 5 Nam Phit / Houay Khama Gnommalat Tai 162 Lao Kaleung, Brou Riparian yes 124 23 6 Nam Phit / Houay Khama Kheng lek 80 Chalui Riparian yes 125 24 7 Nam Phit / Houay Khama Muang 57 Tai Katak Riparian yes 126 25 8 Nam Phit / Houay Khama Na mi xai 88 Brou and Lao Kaleung Riparian yes 127 26 9 Nam Phit / Houay Khama Nong ping 107 Tai Katak Riparian yes 128 27 10 Nam Phit / Houay Khama Pak phung 34 Brou Riparian yes 129 28 11 Nam Phit / Houay Khama Somsanouk (Gnommalat) 112 Brou Riparian yes 130 29 12 Nam Phit / Houay Khama Thong mang 53 Brou Riparian yes 131 30 1 Nam Phit / Houay Khama Phone Bok 81 Tai Katak Hinterland yes 132 31 2 Nam Phit / Houay Khama Si vi lai 55 Tai Yooy Hinterland yes

133 32 1 Nam Phit / Houay Khama Dang 167 Brou Riparian yes 134 33 2 Nam Phit / Houay Khama Na kio 100 Brou Riparian yes 135 34 3 Nam Phit / Houay Khama Somsanouk (Mahaxai) 53 Brou Riparian yes 136 35 4 Nam Phit / Houay Khama Kieng svang 26 Tai Lao, Phou Thay Riparian yes 137 36 5 Nam Phit / Houay Khama Mahaxai Neua 64 Kaleung, Lao, Tai and Brou Riparian yes

Nam Phit / Houay Khama

2,913 Villages along Nam Kathang / Nam Gnom

138 1 1 Nam Kathang / Nam Gnom Laonnagam 130 Brou Riparian yes 139 2 2 Nam Kathang / Nam Gnom Keovilay 104 Brou Riparian yes 140 3 3 Nam Kathang / Nam Gnom Koodphadang 55 Kaleung Riparian yes 141 4 4 Nam Kathang / Nam Gnom Nongsaeng 64 Lao Kaleung Riparian yes 142 5 5 Nam Kathang / Nam Gnom Vatthat 51 Brou Riparian yes 143 6 6 Nam Kathang / Nam Gnom Korbong 60 Brou Riparian yes 144 7 7 Nam Kathang / Nam Gnom Somsanook 87 Brou Riparian yes 145 8 8 Nam Kathang / Nam Gnom Namixay 86 Brou and Lao Kaleung Riparian yes 146 9 9 Nam Kathang / Nam Gnom Gnommalath Neua 75 Lao Kaleung, Brou, Phouthai, Tai Riparian yes 147 10 10 Nam Kathang / Nam Gnom Gnommalath Tay 57 Lao Kaleung, Brou Riparian yes



Total Region Zone District Impact zone Village No. HH Main ethnic groups Riparian/Hinterland Fisheries 148 11 11 Nam Kathang / Nam Gnom Nongping 104 Tai Katak Riparian yes 149 12 12 Nam Kathang / Nam Gnom Kaenglake 96 Chalui (Brou) Riparian yes 150 13 13 Nam Kathang / Nam Gnom Naphoxay 88 Brou Riparian yes 151 14 14 Nam Kathang / Nam Gnom Boungbao 46 Lao Kaleung Riparian yes 152 15 15 Nam Kathang / Nam Gnom Donepeuang 67 Lao Kaleung Riparian yes 153 16 16 Nam Kathang / Nam Gnom Houiyeanh 72 Lao Kaleung Riparian yes 154 17 17 Nam Kathang / Nam Gnom Thaphaa 59 Lao Kaleung Riparian yes 155 18 18 Nam Kathang / Nam Gnom Naveang 65 Phouthai and Lao Kaleung Riparian yes 156 19 19 Nam Kathang / Nam Gnom Phontoum 67 Phouthai and Lao Kaleung Riparian yes 157 20 20 Nam Kathang / Nam Gnom Nahay 40 Phouthai and Lao Kaleung Riparian yes 158 21 21 Nam Kathang / Nam Gnom Nakatang 64 Phouthai and Lao Kaleung Riparian yes

159 22 22 Nam Kathang / Nam Gnom Phonsaerd 51 Lao Kaleung, Nyo, Phouthai, Tai, Brou Riparian yes

160 23 23 Nam Kathang / Nam Gnom Phonsavang 44 Phouthai and Lao Kaleung Riparian yes

Nam Kathang / Nam Gnom

1,632 Villages along Xe Bangfai (Riparian and Hinterland)

161 1 Mahaxai Upstream of upper XBF Kangyangkham 28 Tai Lao Riparian yes 162 2 Mahaxai Upstream of upper XBF Nathanedong 36 Tai Lao Riparian yes 163 3 Mahaxai Upstream of upper XBF Nathanethong 32 Tai Lao Riparian yes 164 4 Mahaxai Upstream of upper XBF Veun 33 Tai Lao Riparian yes 165 5 Mahaxai Upstream of upper XBF Nakhay 51 Tai Lao Riparian yes 166 6 Mahaxai Upstream of upper XBF Nongkok 22 Tai Lao Riparian yes 167 7 Mahaxai Upstream of upper XBF Eelane 59 Brou Riparian yes 168 8 Mahaxai Upstream of upper XBF Naphong 56 Brou Riparian yes 169 9 Mahaxai Upstream of upper XBF Dangkang 58 Brou Riparian yes 170 10 Mahaxai Upstream of upper XBF Vatthat 37 Brou Riparian yes 171 11 Mahaxai Upstream of upper XBF Somsanook 45 Brou Riparian yes 172 12 Mahaxai Upstream of upper XBF Nakio 80 Brou Riparian yes

Upstream of upper XBF

537 173 1 1 Mahaxai Upper XBF Khaengsavang 23 Tai Lao, Phou Tai Riparian yes 174 2 2 Mahaxai Upper XBF Mahaxayneua 66 Tai Lao, Brou, Phou Tai Riparian yes 175 3 3 Mahaxai Upper XBF Mahaxaykang 99 Tai Lao, Phou Tai Riparian yes 176 4 4 Mahaxai Upper XBF Mahaxaytay 146 Tai Lao, Phou Tai, Upland Tai, Brou Riparian yes 177 5 5 Mahaxai Upper XBF Povaneua 86 Tai Lao Riparian yes



Total Region Zone District Impact zone Village No. HH Main ethnic groups Riparian/Hinterland Fisheries 178 6 6 Mahaxai Upper XBF Povatay 90 Tai Lao, Upland Tai, Phou Tai, Brou Riparian yes 179 7 7 Mahaxai Upper XBF Phanang 44 Tai Lao Riparian yes 180 8 8 Mahaxai Upper XBF Khamfeuang 88 Tai Lao Riparian yes 181 9 9 Mahaxai Upper XBF Pong 36 Brou, Tai Lao Riparian yes 182 10 10 Xe Bangfai Upper XBF Kengpair 75 Tai Lao Riparian yes 183 11 11 Xe Bangfai Upper XBF Thakhor 49 Tai Lao Riparian yes 184 12 12 Xe Bangfai Upper XBF Thahant 50 Brou Riparian yes 185 13 1 Mahaxai Upper XBF Khamfeungnyai 92 Hinterland yes 186 14 2 Mahaxai Upper XBF Khampenyai 54 Hinterland yes 187 15 3 Mahaxai Upper XBF Khampena 63 Hinterland yes 188 16 4 Mahaxai Upper XBF Khampedong 50 Hinterland yes 189 17 5 Mahaxai Upper XBF Phonkham 53 Hinterland yes 190 18 6 Mahaxai Upper XBF Phonsa-at 300 Hinterland yes 191 19 7 Mahaxai Upper XBF Pachoomkong 56 Hinterland yes 192 20 8 Mahaxai Upper XBF Phonkhen 12 Hinterland yes 193 21 9 Xe Bangfai Upper XBF Some 85 Hinterland yes 194 22 10 Xe Bangfai Upper XBF Tamlay 91 Hinterland yes

Upper XBF

1,708 195 1 1 Xe Bangfai Middle XBF Kengkhean 44 Brou, Tai Lao Riparian yes 196 2 2 Xe Bangfai Middle XBF Kengkasee 43 Brou, Tai Lao, Phou Tia Riparian yes 197 3 3 Xe Bangfai Middle XBF Veunsananh 63 Tai Lao Riparian yes 198 4 4 Xe Bangfai Middle XBF Hatpeak 38 Brou Riparian yes 199 5 5 Xe Bangfai Middle XBF Paksenoy 85 Tai Lao Riparian yes 200 6 6 Xe Bangfai Middle XBF Thasida 32 Phou Tai Riparian yes 201 7 7 Xe Bangfai Middle XBF Nathane 83 Phou Tai Riparian yes 202 8 8 Xe Bangfai Middle XBF Lao 29 Phou Tai Riparian yes 203 9 9 Xe Bangfai Middle XBF Xiengkhay 91 Phou Tai Riparian yes 204 10 10 Xe Bangfai Middle XBF Kaengveang 69 Phou Tai Riparian yes 205 11 11 Xe Bangfai Middle XBF Dongmarfai 91 Tai Lao Riparian yes 206 12 12 Xe Bangfai Middle XBF Pahlay 36 Brou, Phou Tai Riparian yes 207 13 1 Xe Bangfai Middle XBF Noy 44 Hinterland yes 208 14 2 Xe Bangfai Middle XBF Yangnyai 204 Hinterland yes 209 15 3 Xe Bangfai Middle XBF Dongsavanh 35 Hinterland yes 210 16 4 Xe Bangfai Middle XBF Khongkengkhene 38 Hinterland yes



Total Region Zone District Impact zone Village No. HH Main ethnic groups Riparian/Hinterland Fisheries 211 17 5 Xe Bangfai Middle XBF Nakhomkao 54 Hinterland yes 212 18 6 Xe Bangfai Middle XBF Deung 178 Hinterland yes 213 19 7 Xe Bangfai Middle XBF Beunghuanatai 116 Hinterland yes 214 20 8 Xe Bangfai Middle XBF Dongmakbah 115 Hinterland yes 215 21 9 Xe Bangfai Middle XBF Nongbone 139 Hinterland yes 216 22 10 Xe Bangfai Middle XBF Huaylangmeu 66 Hinterland yes 217 23 11 Xe Bangfai Middle XBF Nakhomthong 107 Hinterland yes 218 24 12 Xe Bangfai Middle XBF Beunghuanakang 37 Hinterland yes 219 25 13 Xe Bangfai Middle XBF Sang 149 Hinterland yes 220 26 14 Xe Bangfai Middle XBF Som 141 Hinterland yes 221 27 15 Xe Bangfai Middle XBF Beunghuananeua 56 Hinterland yes 222 28 16 Xe Bangfai Middle XBF Dongphang 44 Hinterland yes 223 29 17 Xaybouli Middle XBF Nathong 48 Hinterland yes

Middle XBF

2,275 224 1 Xe Bangfai Lower XBF Kuase 285 Tai Lao, Phou Tai Riparian yes 225 2 Xe Bangfai Lower XBF Dangtha 85 Phou Tai Riparian yes 226 3 Xe Bangfai Lower XBF Naphoktha 73 Tai Loa Riparian yes 227 4 Xe Bangfai Lower XBF Somsa-at 43 Phou Tai, Tai Lao Riparian yes 228 5 Xe Bangfai Lower XBF Yangkham 216 Tai Lao Riparian yes 229 6 Xe Bangfai Lower XBF Hatkhamhieng 239 Phou Tai Riparian yes 230 7 Xe Bangfai Lower XBF Naphoktheung 85 Hinterland yes 231 8 Nongbok Lower XBF Namphou 64 Phou Tai Riparian yes 232 9 Nongbok Lower XBF Dongkaasinh 79 Phou Tai Riparian yes 233 10 Nongbok Lower XBF Sorkbau 105 Phou Tai, Tai Lao Riparian yes 234 11 Nongbok Lower XBF Natay 76 Phou Tai Riparian yes 235 12 Nongbok Lower XBF Phak-eetou 63 Phou Tai Riparian yes 236 13 Nongbok Lower XBF Hatxiengdee 204 Phou Tai, Tai Lao Riparian yes 237 14 Nongbok Lower XBF Dongsaangam 68 Phou Tai, Tai Lao Riparian yes 238 15 Nongbok Lower XBF Dongphakpheua 153 Phou Tai Riparian yes 239 16 Nongbok Lower XBF Tanetheung 148 Tai Lao, Phou Tai Riparian yes 240 17 Nongbok Lower XBF Sumnadee 30 Tai Lao, Phou Tai Riparian yes 241 18 Nongbok Lower XBF Navangneua 196 Phou Tai Riparian yes 242 19 Nongbok Lower XBF Navangthong 123 Phou Tai, Tai Lao Riparian yes 243 20 Nongbok Lower XBF Hatxaifong 56 Phou Tai Riparian yes



Total Region Zone District Impact zone Village No. HH Main ethnic groups Riparian/Hinterland Fisheries 244 21 Nongbok Lower XBF Navangnoy 69 Phou Tai Riparian yes 245 22 Nongbok Lower XBF Navangtay 73 Phou Tai Riparian yes 246 23 Nongbok Lower XBF Saadeauneua 130 Tai Lao Riparian yes 247 24 Nongbok Lower XBF Saadeautay 90 Tai Llao, Phou Tai Riparian yes 248 25 Nongbok Lower XBF Phonhsaoea 66 Khmu, Tai Lao, Phou Tai Riparian yes 249 26 Nongbok Lower XBF Thamoang 38 Phou Tai Riparian yes 250 27 Nongbok Lower XBF Danepakse 84 Tai Lao, Phou Tai Riparian yes 251 28 Nongbok Lower XBF Navangkang (Tai) 79 Hinterland yes 252 29 Nongbok Lower XBF Khogsavang 65 Hinterland yes 253 30 Nongbok Lower XBF Nakham 448 Hinterland yes 254 31 Nongbok Lower XBF Nongli 142 Hinterland yes 255 32 Nongbok Lower XBF Phon 165 Hinterland yes 256 33 Nongbok Lower XBF Dongkhung 93 Hinterland yes 257 34 Nongbok Lower XBF Dongbounnoi 49 Hinterland yes 258 35 Nongbok Lower XBF Nongdone 181 Hinterland yes 259 36 Nongbok Lower XBF Dongbounyai 210 Hinterland yes 260 37 Nongbok Lower XBF Sibounhoung 170 Hinterland yes 261 38 Nongbok Lower XBF Nongsapangthong 78 Hinterland yes 262 39 Nongbok Lower XBF Phonephieng 130 Hinterland yes 263 40 Nongbok Lower XBF Nongpham 95 Hinterland yes 264 41 Nongbok Lower XBF Nongsapangtha 108 Hinterland yes 265 42 Nongbok Lower XBF Nongbok 202 Hinterland yes 266 43 Nongbok Lower XBF Dongpangpao 84 Hinterland yes 267 44 Nongbok Lower XBF Nonchick 56 Hinterland yes 268 45 Nongbok Lower XBF Dongyang 16 Hinterland yes 269 46 Xaybouli Lower XBF Manilad 41 Tai Lao, Phou Tai Riparian yes 270 47 Xaybouli Lower XBF Khamsavang 29 Tai Lao Riparian yes 271 48 Xaybouli Lower XBF Daangsavanh 59 Tai Lao Riparian yes 272 49 Xaybouli Lower XBF Souvanxai 73 Phou Tai, Tai Lao Riparian yes 273 50 Xaybouli Lower XBF Hatkhamdee 38 Tai Lao Riparian yes 274 51 Xaybouli Lower XBF Tonhaen 175 Tai Lao Riparian yes 275 52 Xaybouli Lower XBF Beungse 122 Phou Tai, Tai Lao Riparian yes 276 53 Xaybouli Lower XBF Hatsaisugneua 129 Tai Lao Riparian yes 277 54 Xaybouli Lower XBF Hatsaisugtay 105 Tai Lao Riparian yes 278 55 Xaybouli Lower XBF Thadorkham 36 Phou Tai, Tai Lao Riparian yes



Total Region Zone District Impact zone Village No. HH Main ethnic groups Riparian/Hinterland Fisheries 279 56 Xaybouli Lower XBF Kangpa 71 Phou Tai, Tai Lao Riparian yes 280 57 Xaybouli Lower XBF Thabor 57 Phou Tai, Tai Lao Riparian yes 281 58 Xaybouli Lower XBF Kaengphosy 69 Tai Lao Riparian yes 282 59 Xaybouli Lower XBF Sakong 86 Tai Lao Riparian yes 283 60 Xaybouli Lower XBF Phakfeuaneua 61 Tai Lao Riparian yes 284 61 Xaybouli Lower XBF Phakfeuatay 63 Tai Lao Riparian yes 285 62 Xaybouli Lower XBF Somsaa-at 102 Tai Lao Riparian yes 286 63 Xaybouli Lower XBF Houi-hai 76 Tai Lao Riparian yes 287 64 Xaybouli Lower XBF Naxiengkhane 65 Tai Lao Riparian yes 288 65 Xaybouli Lower XBF Nongheuathongneua 58 Tai Lao, Khmu Riparian yes 289 66 Xaybouli Lower XBF Nongheuathongtay 23 Tai Lao Riparian yes 290 67 Xaybouli Lower XBF Thaphoxai 102 Tai Lao Riparian yes 291 68 Xaybouli Lower XBF Thakharm 97 Tai Lao Riparian yes 292 69 Xaybouli Lower XBF Nasang 121 Tai Lao, Phou Tai Riparian yes 293 70 Xaybouli Lower XBF Bouakhay 109 Tai Lao, Phou Tai Riparian yes 294 71 Xaybouli Lower XBF Pong 84 Phou Tai, Tai Lao Riparian yes 295 72 Xaybouli Lower XBF Paksebangfai 96 Tai Lao Riparian yes 296 73 Xaybouli Lower XBF Nonenakham 80 Hinterland yes 297 74 Xaybouli Lower XBF Donggnang 47 Hinterland yes 298 75 Xaybouli Lower XBF Vernneua 159 Hinterland yes 299 76 Xaybouli Lower XBF Naoneua 127 Hinterland yes 300 77 Xaybouli Lower XBF Kangmixay 104 Hinterland yes 301 78 Xaybouli Lower XBF Kangthong 104 Hinterland yes 302 79 Xaybouli Lower XBF Yangkhamtai 100 Hinterland yes 303 80 Xaybouli Lower XBF Dongpao 145 Hinterland yes 304 81 Xaybouli Lower XBF Vernxai 126 Hinterland yes 305 82 Xaybouli Lower XBF Dongpou 164 Hinterland yes 306 83 Xaybouli Lower XBF Syxiengmai 200 Hinterland yes 307 84 Xaybouli Lower XBF Yangkhamneua 70 Hinterland yes 308 85 Xaybouli Lower XBF Naotai 166 Hinterland yes 309 86 Xaybouli Lower XBF Vernsivilai 162 Hinterland yes 310 87 Xaybouli Lower XBF Nakhanay 129 Hinterland yes 311 88 Xaybouli Lower XBF Phontan 62 Hinterland yes 312 89 Xaybouli Lower XBF Verntai 157 Hinterland yes 313 90 Xaybouli Lower XBF Beungbouathong 130 Hinterland yes



Total Region Zone District Impact zone Village No. HH Main ethnic groups Riparian/Hinterland Fisheries 314 91 Xaybouli Lower XBF Laodokmai 72 Hinterland yes 315 92 Xaybouli Lower XBF Kangtha 91 Hinterland yes

9,854 Villages affected by flooding in Lower Xe Bangfai

316 1 Xe Bangfai Lower XBF Xenoi 42 317 2 Xe Bangfai Lower XBF Beunghouana 38 318 3 Xe Bangfai Lower XBF Ting 239 319 4 Xe Bangfai Lower XBF Nabeung 95 320 5 Xe Bangfai Lower XBF Phondeetong 42 321 6 Xe Bangfai Lower XBF Nongphang 42 322 7 Xe Bangfai Lower XBF Koktong 84 323 8 Xe Bangfai Lower XBF Sokbor 66 324 9 Xe Bangfai Lower XBF Than 85 325 10 Xe Bangfai Lower XBF Khoksavang 50 326 11 Xe Bangfai Lower XBF Khokkheemine 44 327 12 Xe Bangfai Lower XBF Khapha 65 328 13 Xe Bangfai Lower XBF Khamtear 56 329 14 Xe Bangfai Lower XBF Pongdeng 61 330 15 Xe Bangfai Lower XBF Nonkatea 64 331 16 Xe Bangfai Lower XBF Vangdeunha 41 332 17 Xe Bangfai Lower XBF Veunkhamkeio 36 333 18 Xe Bangfai Lower XBF Donesaad 21 334 19 Xe Bangfai Lower XBF Nachoi 90 335 1 Nongbok Lower XBF Somsanouk 27 336 2 Nongbok Lower XBF Mouangkhai (40% flood by XBF) 93 337 3 Nongbok Lower XBF Beungtaneteung 114 338 4 Nongbok Lower XBF Xiengvangthong 94 339 5 Nongbok Lower XBF Songneuangtai 109 340 6 Nongbok Lower XBF Songneuang 141 341 7 Nongbok Lower XBF Phonetiew 43 342 8 Nongbok Lower XBF Nongsaphanmouang 68 343 9 Nongbok Lower XBF Khokkhong 99 344 10 Nongbok Lower XBF Naongsome 159



Total Region Zone District Impact zone Village No. HH Main ethnic groups Riparian/Hinterland Fisheries 345 11 Nongbok Lower XBF Santisouk 106 346 12 Nongbok Lower XBF Nongpalat (40% flood by XBF) 64 347 13 Nongbok Lower XBF Napamane 191 348 14 Nongbok Lower XBF Phonexay 69 349 15 Nongbok Lower XBF Nanoi 56 350 16 Nongbok Lower XBF Laokhung 43 351 17 Nongbok Lower XBF Nachampa 121 352 18 Nongbok Lower XBF Laona 135 353 19 Nongbok Lower XBF Nalak 85 354 20 Nongbok Lower XBF Pongkiew 112 355 1 Xaybouli Lower XBF Sikhay 135 356 2 Xaybouli Lower XBF Naoneua 127 357 1 Takhek Lower XBF Dongmakeak 127 358 2 Takhek Lower XBF Naphotha 114 359 3 Takhek Lower XBF Nadinejee (30% flood by XBF) 128 360 4 Takhek Lower XBF Mai 109 361 5 Takhek Lower XBF Donengai (30% flood by XBF) 93 362 6 Takhek Lower XBF Donethong (30% flood by XBF) 47 363 7 Takhek Lower XBF Nahea (30% flood by XBF) 62 364 8 Takhek Lower XBF Pakbang 176 365 9 Takhek Lower XBF Dongchok 97 366 10 Takhek Lower XBF Phonxay 107 367 11 Takhek Lower XBF Nontoum 56 368 12 Takhek Lower XBF Khokpathone 70

Lower XBF flooding only

4,638

Grand Total

34,734



Annex 2: Monitoring Form, Daily Household Fish Catch

Date of Fish Catch:......................................../............../.............

Leng

th [m

]

Wid

th [m

]

Ran

ge M

esh

Size

[cm

]

Gear 1 1

2

3

4

5

6

7

8

9

10

11

12

13

14

15

Gear 2 1

2

3

4

5

6

7

8

9

10

11

12

13

14

15

Gear 3 1

2

3

4

5

6

7

8

9

10

11

12

13

14

15

Village Name:

DAILY Fish Catch Monitoring Form on Household Basis

Name Monitoring Fisher:

Total Number of Fish Caught

per Fishing

Gear and per Fish Species

Total Weight of

Fish Caught

per Fishing

Gear and per Fish Species [gram]

Name of Fishing Gear Used by Household Members

Fish

ing

with

Boa

t (Ye

s/N

o)

Lao Name of Fish SpeciesName of Aquatic Habitat (Keng, Vang, Had, Pak, Nga,

Houay, Nong, Tha) Where Fishing Gear was Set; in mainstream XBF, outside

mainstream XBF

Size of Fishing Gear



Leng

th [m

]

Wid

th [m

]

Ran

ge M

esh

Size

[cm

]

Gear 4 1

2

3

4

5

6

7

8

9

10

11

12

13

14

15

Total Weight [gram]

Location of Collection1. Aquatic Vegetation

2

3

45

2. Mussels

3. Snails

4. Crabs

Total Number of Fish Caught

per Fishing

Gear and per Fish Species

Total Weight of

Fish Caught

per Fishing

Gear and per Fish Species [gram]

Name of Fishing Gear Used by Household Members

Fish

ing

with

Boa

t (Ye

s/N

o)

Lao Name of Fish SpeciesName of Aquatic Habitat (Keng, Vang, Had, Pak, Nga,

Houay, Nong, Tha) Where Fishing Gear was Set; in mainstream XBF, outside

mainstream XBF

Size of Fishing Gear

5. Shrimps6. Other (Specify)

Fish Catch Utilization

Aquatic Life other than Fish

Weight [gram]Lao Vernacular Name

1. Sold to Trader

2. Sold to Other Households

3. Used for Household Consumption4. Other (Specify)

Weight of Fish [gram]

Pba Soi Catch During September/October

Estimated Total Number of Fish SpeciesName of Fishing Gear

1



Annex 3: Questionnaire Village Group Meetings Group Interview

(i) Name Members of Consultation Team (ii) Name of Village (iii) Number of Villagers attending meeting (iv) Number of Households in Village (v) Number of Families in Village (vi) Number of Persons in Village (vii) Number of Households that Fish (viii) Number of Households that do not Fish (ix) Number best fishing HH (x) Number average fishing HH (xi) Number worst fishing HH (xii) Catch of Average Fisher as % of Catch of Best Fisher (xiii) Catch of Worst Fisher as % of Catch of Best Fisher (xiv) Annual Fish Catch best fishing HH (kg/year) (xv) Annual Fish Catch average fishing HH (kg/year) (xvi) Annual Fish Catch worst fishing HH (kg/year) (xvii) Number of HH fishing in Xe Bangfai (or Nam Theun) (xviii) Are they Best, Average, or Worst Fishing HH (xix) Number of HH fishing in Local Tributary to Xe Bangfai (or Nam Theun) (xx) Specify Name Local Tributary (xxi) Are they Best, Average, or Worst Fishing HH (xxii) Number of HH fishing in Other Locations (Wetlands, Floodplains, including Streams) (xxiii) Are they Best, Average, or Worst Fishing HH (xxiv) % of Total Village Fish Catch from Xe Bangfai (or Nam Theun) Mainstream

Name of Tributaries where fishing:

1. 2. 3. 4. 5.

(i) % of Total Village Fish Catch from Tributaries (ii) % of Total Village Fish Catch from Paddy, Small Streams, Ponds, Wetlands (iii) What other kind of aquatic products than fish do households catch in your village

Give Lao names of class/family and species: mussels eels turtles crabs shrimps snails aquatic vegetation:

Number of hh collect aquatic products Average weight of aquatic products collected per year

(i) What is average value of 1 kg of fish caught [Kip/kg] (ii) What is average value of 1 kg of aquatic animals caught [Kip/kg] (iii) What is average value of 1 kg of aquatic vegetation collected [Kip/kg] (iv) Does the village receive any money from fishing rights by large scale fisheries (v) Do people in the village pay for fishing rights to the Districts (vi) Is there any large scale fisheries in the tributaries or in the mainstream (vii) Is there any thong fisheries in the tributaries or in the mainstream (viii) Changes in fish catch during the Last 10 Years (ix) Increase or Decrease of fish catch



(x) How much increase or decrease in %, during last 10 years, 5 years, and 3 years What are the reasons for increase or decrease in order of importance: Population growth (more fishers) Too many fishing gears Over fishing Blocking river and tributaries with nets (Thong) Theun-Hinboun Dam Sand and gravel mining in riverbed River bank erosion Small Dams Goldmining Road Construction Other (specify)

Which species became completely new to your catch during the last 10 years Which species disappeared completely from your catch during the last 10 years Calculations

Number HH

Catch [kg/year] Number hh X

Catch per yearCalculate Total Annual Catch of All Best Fishing HH in Village

Calculate Total Annual Catch of All Average Fishing HH in Village

Calculate Total Annual Catch of All Worst Fishing HH in Village

Total Annual Village Fish Yield

% Total Annual Village Fish Yield

Village Fish Yields from Fishing Grounds

Calculate Annual Fish Yield from Mainstream

Calculate Annual Fish Yield from Tributaries

Calculate Annual Fish Yield from Wetlands

*************

Volume 3 – Chapter 2: Baseline Data


Annex 4: Questionnaire, Household Fish Catch

Jan

Feb

Mar

Apr

May

Jun

Jul

Aug

Sep

Oct

Nov

Dec

1. health 6. debris2. temperature 7. algae3. rain 8. other income activities, rice land preparation, rice transplantation, harvest, etc.4. high water level5. public holidays/wedding/festival/funeral, etc.

Rea

sons

for

Tim

es o

f Fis

hing

per

Mon

th

Gillnets of IntervieweeMonth Other Fishing Gears Interviewee

When Happy

[kg/fish/time]

When Disappointed [kg/fish/

time]

Estimate by

Fisher:Total Fish

Catch by Other

Gears per Month [kg

fish/ month]

Mesh Size [cm]Length

[m]Width

[m]

Estimate by

Fisher:Total Gillnet

Fish Catch per Month

[kg fish/ month]

Catch When

Normal [kg fish/ Time]

How Many Times

Happy per Month

Average of Happy and

Dis- appointed [kg/fish/ti

me]

How Many Times Dis-Appointed

Catch When Happy

[kg fish/ Time]

Total Fish Catch With Other

Gears than Gillnets

per Month [kg fish/ month]

Catch When Dis- appointed [kg fish/

time]

Average of Happy, Normal, and Dis-

appointed [kg fish/

time]

Cal- culated Total

Gillnet Fish Catch per Month

[kg fish/ month]

Catch Per Time in Mainstream with Gillnets

How Many Times

Happy per Month

How Many Times Dis-Appointed

How Many Times

Normal

Individual Fish Catch Interview 1

Times per Months

Fishing in Main-

stream with Gillnets [Times/ month]

Fish Catch in Mainstream

Size Number

Gillnets Times per Month

Fishing in Main-

stream with other

Fishing Gears

[Times/ Month]

Catch Per Time in Mainstream with other Gears than Gillnets (specify which fishing gears)

…………………………………………………………………………………………………………………………………………………………………………………………

………………………………………………………..

Volume 3 – Chapter 2: Baseline Data


Jan

Feb

Mar

Apr

May

Jun

Jul

Aug

Sep

Oct

Nov

Dec

Catch of Fish per Month by Other

House- hold Members in Main-

stream [kg/ month]

Catch of Other Aquatic Animals

than Fish per Month by

yourself and other House-

hold Members in Main- stream [kg/ month]

Harvest Aquatic Plants per Month by yourself and

other House- hold Members in Main-

stream [kg/ month]

Fish Catch Other Household Members

Individual Fish Catch Interview 2

Fish Catch All Household Members Including Interviewee

How Many Kilograms of Fish

do All the Members of Your Household Catch Per Month in the

tributaries [kg/month]

How Many Kilograms of Fish do All the Members of Your

Household Catch Per Month in Nong,

Paddyfield, Floodplain, Small Streams, etc.

[kg/month]

How Many Kilograms of

Aquatic Animals do All the Members of

Your Household Catch Per Month in Nong, Paddyfield, Floodplain, Small

Streams, etc. [kg/month]

How Many Kilograms of

Aquatic Plants do All the Members of

Your Household Catch Per Month

in Nong, Paddyfield, Floodplain,

Streams, etc. [kg/month]

Outside Mainstream

Month

Inside Mainstream

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