RESETTLEMENT PLAN (RP)

Transcription

1 Public Disclosure Authorized RESETTLEMENT PLAN (RP) SFG2158 V12 Public Disclosure Authorized Type of document: Resettlement plan (RP) Public Disclosure Authorized BAI THUONG HYDROPOWER PLANT INVESTMENT & CONSTRUCTION PROJECT In Thuong Xuan Ditrict Thanh Hoa Province Public Disclosure Authorized Bai Thuong Hydropower Joint Stock Company

2 ABRREVIATIONS AHH Hộ BAH Affected household AP Người BAH Affected person/people CPC UBND xã Commune people s committee DMS Detailed measuring survey DPC UBND huyện District people s committee DRC Hội đồng ĐB-TĐC District resettlement and compensation board EMPF Khung Chính sách Ethnic Minority Policy Framework EMDP Kế hoạch phát triển DTTS Ethnic Minority Development Plan GOV Chính phủ Vietnames Government HH Hộ Household IOL Inventory of losses LAR Land acquisition and resettlement LURC Giấy CNQSDĐ Land use right certificate MOF Bộ TC Ministry of Finance MOLISA Bộ LĐ-TB-XH Ministry of Labour, Invalids and Social Affairs NGO Tổ chức phi chính phủ Non-governmental organisation HPW CTTĐ Hydropower Work/plant OP 4.12 Operational Policy 4.12 by the World Bank PPC UBND tỉnh Provincial People s Committee RAP Kế hoạch TĐC Resettlement action plan TOR Terms of Reference USD Đô la United State dollar VND Đồng Vietnamese dong WB NHTG (Ngân hàng) World Bank WEIGHT AND INDEX EQUIVALENTS ha Hectare km - Kilometer m - meter ii

3 DEFINITION OF TERMS Affected person (AP/Affected Household) - Refers to any person or persons, household, firm, private or public institution that, on account of changes resulting from the Project, will have its (i) standard of living adversely affected; (ii) right, title or interest from any house, land (including residential, commercial, agricultural, forest and/or grazing land), water resources or any other moveable or fixed assets acquired, possessed, restricted, in other word, adversely affected in full or in part, permanently or temporarily; and/or (iii) business, occupation, place of work or residence or habitat are adversely affected, with or without displacement. In the case of affected household, it includes all members residing under one roof and operating as a single economic unit, who are adversely affected by the project or any of its components. Cut-off date - This refers to the date prior to which the occupation or use of the project area makes residents in the area recognized as eligible AP. The persons who are not in the census are not eligible for compensation and other entitlements, unless they can show proof that (i) they have been inadvertently missed out during the census and the IOL; or (ii) they have lawful requirements on the affected assets after completion of the social census and the IOL and before conduct of the detailed measurement survey (DMS). Detailed Measurement Survey (DMS) - With the aid of the approved detailed engineering design, Detailed Measurement Survey will finalize and/or verify the accuracy and validity the results of inventory of losses (IOL), severity of impacts, and list of APs earlier done during RP preparation. The final cost of resettlement can be determined after completion of the DMS. Entitlement - Refers to a range of measures comprising compensation, income restoration support, transfer assistance, income substitution, relocation support, etc. which are due to the APs, depending on the type and severity of their losses, to restore their economic and social base. Host community - Means the community already in residence at a proposed resettlement or relocation site. Income restoration - This is the re-establishment of sources of income and livelihood of the affected households. iii

4 Inventory of loss (IOL) - This is the process where all fixed assets (i.e., lands used for residence, commerce, agriculture, including ponds; dwelling units; stalls and shops; secondary structures, such as fences, tombs, wells; trees with commercial value; etc.) and sources of income and livelihood inside the Project right-of-way (ROW) are identified, measured, their owners identified, their exact location pinpointed, and their replacement costs calculated. Additionally, the severity of impact to the affected assets and the severity of impact to the livelihood and productive capacity of APs will be determined. Land acquisition - Refers to the process whereby an individual, household, firm or private institution is compelled by a public agency to alienate all or part of the land it owns or possesses to the ownership and possession of that agency for public purposes in return for compensation at replacement costs. Rehabilitation - This refers to additional support provided to APs losing productive assets, incomes, employment or sources of living, to supplement payment of compensation for acquired assets, in order to achieve, at a minimum, full restoration of preproject living standards and quality of life. Relocation - This is the physical relocation of an AP from her/his preproject place of residence and/or business Replacement Cost Replacement cost Study The term used to determine the value enough to replace affected assets and/or cover transaction costs necessary to replace the affected assets without depreciation for such assets as well as material advantage, taxes and/or travel expenses. - A process related to evaluating alternative replacement cost for land, housing or other assets based on empirical data as follows: (i) Productive land (Agricultural, fishpond, garden, and production-forest) based on market prices that reflect recent land sales, and in the absence of such recent sales, based on productive value; (ii) Residential land based on market prices that reflect recent land sales, and in the absence of such recent land sales, based on similar location attributes; (iii) Houses and other related structures based on current market prices of materials and labor without depreciation nor iv

5 deductions for salvaged building materials; (iv) Standing crop equivalent current market value of the crop at the time of compensation; (v) Perennial crops and trees, cash compensation equivalent to current market value given the type, age and productive value (future production) at the time of compensation. (vi) Timber trees, based on diameter at breast height at current market prices. Resettlement - This includes all measures taken to mitigate any and all adverse impacts of a project on AP property and/or livelihoods, including compensation, relocation (where relevant), and rehabilitation as needed. Resettlement Plan (RP) - This is a time-bound action plan with budget setting out compensation and resettlement, ethnic minority strategies, objectives, entitlement, actions, responsibilities, monitoring and evaluation. Severely affected households - This refers to affected households who will (i) lose 20% or more of their total productive land and/or assets, (ii) have to relocate; and/or (iii) lose 20% or more of their total income sources due to the Project. Vulnerable groups - These are distinct groups of people who might suffer disproportionately or face the risk of being further marginalized from social development by the effects of property loss and land or other project impacts. The resettlement plan (RP) determines vulnerable households specifically include: (i) female headed households with many dependants and without support, (ii) illiterate; headed households; (iii) disabled headed households, (iv) households falling under the generally accepted indicator for poverty promulgated by Ministry of Labour, Invalids and Social Affairs, (v) children and the elderly-headed households who are landless and with no other means of support, and (v) Severely affected households Practical consultation A process (i) is early started right at beginning of the project and consecutively continued during project progress; (ii) which includes timely disclosure of related project information which is understandable and easy to access by the affected people; (iii) is conducted in an environment of no threatening and force or enforcement; (iv) is integrated and met gender sensitive issues, adjusted as per required by the v

6 disadvantaged and vulnerable groups; and (v) creates conditions to include related view points of affected people and other stakeholders into decision making process like project design, mitigation measures, sharing interest and development opportunities, and implementation issues. vi

7 MỤC LỤC EXECUTIVE SUMMARY... x I. GENERAL INTRODUCTION... 1 A. Overview of Renewable Energy Development Project... 1 B. Bai Thuong Hydropower Plant... 2 C. Objectives of Resettlement Plan... 5 D. Measures to be taken for mitigating impacts caused by the works... 5 II. IMPACT AREA OF BAI THUONG HYDROPOWER PLANt... 7 A. Impacts on land... 7 B. Impacts on Crops and Trees... 9 C. Impacts on works and architectural objects D. Impacts on income and livelihood E. Impacts on vulnerable households F. Impact on community property III. SOCIO-ECONOMIC INFORMATION OF AFFECTED COMMUNITY A. General socio-economic characteristics in project area B. Socio-economic information of affected community C. Gender, gender equality IV. INFORMATION DISCLOSURE, CONSULTATION AND PARTICIPATION A. Information disclosure B. Public consultation and participation C. Results of information dissemination and Public consultation V. LEGAL FRAMEWORK AND ENTITLEMENT A. Policy requirements of WB B. Vietnam policy framework C. Regulations on compensation, assistance and resettlement by the local authority VI. RESETTLEMENT, COMPENSATION AND ASSISTANCE STRATEGY A. Legal basis for calculating compensation prices C. Compensation for impacts and entitlement VII. INSTITUTION ARRANGEMENT AND IMPLEMENTATION SCHEDULE A. Implementation schedule B. Institutional arrangements VIII. GRIEVANCE REDRESS MECHANISM IX. MONITORING AND REPORTING A. Internal Monitoring B. External Monitoring X. BUDGET AND FINANCIAL SCHEDULE vii

8 LIST OF TABLES Table I-1 Work items and key parameters of Bai Thuong Hydropower Plant... 3 Table II-1 Land area and affected households by items of the work... 7 Table II-2 Distribution of land permanently acquired by the work (m 2 )... 7 Table II-3 Classification of land affected by the work (m 2 )... 9 Table II-4 Area of affected land with annual crops and perennial plants Table II-5 Architectural objects of affected households Table III-1 Education background of HH header in the survey at affected communes Table III-2 Information of the main income source of affected ethnic minorities Table III-3: Average monthly income of surveyed households (million VND) Table III-4 Average monthly expenditure of surveyed HHs (%) Table-5 General information on gender rate in the affected communes Table III-6 Labor allocation in families in terms of gender in AHHs Table IV-1 Concerns of affected community and commitment of the investor Table V-1 Entitlement matrix Table VI-1 Compensation for affected crops and trees Table VI-2 Compensation for for affected structures Table VI-3 Total cost of assistance to 4 affected HHs to displace Table VII-1 Implemenation schedule for entire project Table IX-1 Monitoring and Evaluation Indicators Table X-1 Summary of resettlement costs viii

9 ANNEXES ANNEX 1 ANNEX 2 ANNEX 3 ANNEX 4 ANNEX 5 LIST OF AHS BAI THUONG HYDROPOWER PROJECT PROJECT INFORMATION BOOKLET (PIB) TERMS OF REFERENCE CONSULTATION MEETING MINUTES SOME PHOTOS OF CONSULTATION MEETINGS ix

10 EXECUTIVE SUMMARY Introduction 1. The general objective of the Renewable Energy Development Project (REDP) is to increase the supply of least-cost electricity to the national grid from renewable energy sources on a commercially sustainable basis in an environmentally and socially sustainable manner. Bai Thuong Hydropower Plant is planned to be implemented at left shoulder downstream of Bai Thuong Dam which was built, and 40km from the middle of the dam. The hydropower plant is located in Xuan Duong Commune, Thuong Xuan District, Thanh Hoa Province. Bai Thuong is hydropower plant after dam, utilize the built dam (do not built new dam) and only use the flow after watering to generate. Bai Thuong Hydropower Plant will generate to supply national grid electricity with installed capacity of N = 6MW, ensured capacity of 2,24MW, annual average electricity output Eo = 24,7 million kwh. 2. Bai Thuong cluster headwork which was built consists of: the dam with 167m in length, dam crest elevation of +17.2m, the structure is made of crete and steel. The energy line consists of 2 parts, the first part starts from Bai Thuong dam is 15m in length, mainly horizontal canal with small slope. The next part is called the forwarding part which connect directly to water intake and use as horizontal spillaway with the length of 19.4m. The water intakle is close to the plant, intake the water directly to turbine; the intake is 9.8m in length. The hydropower plant has installed capacity of 6 MW, 2 capsun turbine units, calculated water column is Htt = 6m. 3. This resettlement plan is prepared to ensure that: (i) Involuntary resettlement must be avoided where possible, or be reduced to the lowest possible extent by selecting appropriate design options, (ii) Where involuntary resettlement is unavoidable, the resettlement activities must be prepared and executed with sustainable development programs and sufficiently provided investment supports, enabling displaced people to benefit from the subproject. The displaced people will be fully consulted and allowed to participate in preparing and implementing activities in Resettlement Plan. Area of impact 3. Bai Thuong Hydropower Plant will submerge and occupy m2 of land managed by Xuan Duong Commune in the long-term (the detailed information about the types of land and the number of affected households will be shown in the next parts). In addition, the construction process will affect m2 of land by the activities of the contractors. There is no impact on architactural works and secondary structures of the households. Information dissemination and public consultation 4. A lot of public consultation meetings, discussions with stakeholders, especially local governmental authority and affected people were held in November, December, 2014 to disseminate to them sufficient information relating to the project and its activities x

11 from preparation to operation stages, compensation and assistance policy, implementation plan, recording the people s opinions or claim as the basis for preparation of this resettlement plan. 5. Public consultation meetings have been organized in Tho Thanh and Xuan Duong communes in Thuong Xuan district which are affected by the construction, with total 35 participants (from Xuan Duong commune), 8 participants (from Tho Thanh commune) including local officers and heads of households. 6. Important information indicated in the Resettlement Plan (RP) shall be publicly provided to the affected HHs through organizing public meeting during the next stage of the works, project information dissemination and public consultation meeting with the local governmental authority and community shall be held regularly at every important stage or at necessary point of time. Legal Framework and Entitlement 7. Bai Thuong Hydropower Plant is under Renewable Energy Development Project, therefore, compensation, assistance and resettlement plan for this is prepared based on principles defined in Resettlement Framework agreed between Ministry of Industrial and Trade (MOIT) and World Bank (WB) in 2008 for Renewable Energy Development Project. Policies to be applied in implementation of compensation, assistance and resettlement include (i) involuntary resettlement policy by WB. (ii) The current policies on compensation, assistance and resettlement by the Vietnam Government; and (iii) regulations on compensation, assistance and resettlement by the project in Thanh Hoa province. 8. One of the key objects of the project is replacement and compensation for the lost properties basing on replacement cost. Compensation implementation and providing alternative assistant forms to the affected people before they move out of their houses, land and properties under the condition that their living conditions are restored at least as the same as that before the project, and the poor, the prone affected people, including affected people in the vulnerable group (e.g, HHs head with disability, poor HHs, ethnic minority HHs, etc.) shall be assisted to increase their socio-economic situation. Institutional Arrangement and Implementation Plan 9. Construction project shall be in 2.5 years ( ) including last 6 months of 2014 for preparation and construction commencement is expected to be in December 2014 and completed in May Bai Thuong Hydropower Joint Stock Company is responsible for all project implementation components, including preparing and implementing RP as well as monitoring, evaluating this RP. Being as a project implementation agency, Bai Thuong Hydropower Joint Stock Company will have following main responsibilities: (i) updating and implementing RP in coordination with related people s committees at levels and xi

12 provincial and district Compensation, Assistance and Resettlement Board (CARB) and submitting to MOIT and WB for approval; (ii) ensuring government capital available for implementation of RP and availability and sufficiency of funds for resettlement (money for compensation and other assistances). Grievance Mechanism 11. Grievance mechanism in this RP has been built basing on Vietnamese law of disputes, which had been consulted with local authorities and communities in consideration of specific cultural identity and traditional cultural institution of people in the project area. Monitoring and Evaluation 12. Bai Thuong Hydropower Joint Stock Company shall provide the services of an independent internal monitoring agency. Therefore, Bai Thuong Hydropower Joint Stock Company shall collect and record entire site documents, including the database on affected HH and submit quarterly reports to the project management Unit (MOIT) and WB. 13. External monitoring agency (EMA) shall be implemented by experienced resettlement and social development specialist who are selected by PMU (MOIT). Independent supervision inspection and evaluation shall be conducted yearly, except for the first stage semi-annual supervision may be required. Report prepared by EMA shall be placed in project site office and commune people s committee and posted on website of WB. 14. Internal and external independent monitoring system shall be set up including professional experts who are qualified and experience in the field of resettlement, community development and ethnic minorities, in which, Bai Thuong Hydropower Joint Stock Company shall be responsible for internal monitoring; monthly and quarterly monitoring reports shall be submitted to PMU and WB. The EMA shall be selected for implementing independent monitoring and independent evaluation shall be made on annual basis, except for the first stage semi-annual evaluation may be required. Budget and Disbursement Plan 15. The total estimated cost of compensation and assistance against impacts caused by construction of Dong Van Hydropower Plant is VND (equal to ,65 USD). Implementation cost shall be paid by Bai Thuong Hydropower Joint Stock Company. xii

13 I. GENERAL INTRODUCTION A. Overview of Renewable Energy Development Project 16. The objective of Renewable Energy Development Project (REDP) is to assist in developing renewable energy sources to supply least-cost electricity to the national electric grid on a commercially sustainable basis in an environmentally and socially sustainable manner. The project includes three components: (1) investment project implementation component, (2) capacity building component, and (3) information channel development component. 17. The investment project implementation component includes (i) commercial banks are allowed to reborrow the capital for providing credit to eligible renewable energy projects with capacity of no more than 30MW invested by the private investors, and (ii) technical assistance for capacity building for the participating banks and the sub-project private investor in project preparation, appraisal, financing and implementation of renewable energy projects in compliance with international practices. This component shall be collaborated by Rural Electric and Renewable Engery Project Management Unit (PMU) under MOIT. This component consists of two following sub-components: Providing credit for investment assistance in renewable energy: Private investors shall construct sub-projects of small scale hydropower, wind-to-energy and mass solid waste-to-energy plants with capacity of no more than 30MW in compliance with Renewable Energy Development Project criteria including environmental and social safeguards. The investors commit to contribute their equity of at least 20% of total investment cost of a sub-project and the other 80% shall be borrowed from participated commercial banks. The participating banks selected on competition basis are reponsible for verifying the eligible Renewable Energy subprojects proposed by the investors and providing the loans to the projects that fully meet requirements of participating banks. The participating banks will lend subprojects under commercial term determined by the market and will subject to all the credit risks from the loans. Eligible loans shall be refinanced up to 80% of the loan value to the participating banks or 64% of the total investment cost of the subproject. This means the participating banks shall have to commit to lend at least 16% of the total investment cost for each subproject from their funding source and the investors shall contribute 20% of the total investment cost as their equity. Upon the approval of the request for credit, the participating bank shall receive a reborrowed sum from REDP (WB) via the Ministry of Finance (MOF). Such a reborrowed sum from REDP shall be financed by WB to MOF under conditions defined by the WB. It is expected that there are about sub-projects to be assisted via reborrowing mechanism. When they come into operation, total capacity of these subprojects is expected to be 210MW and supply about 880GWh of annual electric output. Technical assistance for implementation of investment projects: the technical assistance (TA) under component 1 shall assist in general management to REDP 1

14 project, reviewing eligibility of the reborrowed sums and capacity building for participating banks, investors and other stakeholders. This TA shall be managed by PMU. TA shall concentrate on guiding sub-project investors to obtain necessary skills to identify viable sub-projects and prepare proposals for the bank loan through loan processing and negotiation. In addition, the TA shall also concentrate on training preparation of viable studies, utilizing design, construction management, operation, maintenance, financial risk management and considering social and environmental safeguard. The participating banks shall be assisted in building capacity of understanding the risks from investment in REDP, supervising the projects to ensure safety, building up credit policies and reviewing sub-project in compliance with these policies. The TA shall also assist PMU in management of REDP. B. Bai Thuong Hydropower Plant 1. Legal base 18. Official Letter No. 4475/UBND-CN of Thanh Hoa Provincial People s Committee issued on 29th June 2012 on the approval that allows Association of Vietnam Large Dam and Water Development to establish Bai Thuong Hydropower plant, in Bai Thuong Dam,Tho Xuan and Thuong Xuan districts, Thanh Hoa province. 19. Official Letter No. 4542/EVN NPC-KT+KDDN on 22nd November 2011 of Northern Power Corporation on agreement about the principle for approval of connecting agreement and power purchase agreement based on document recording the connection plans and decision of Thanh Hoa provincial People s Committee on investment in Bai Thuong hydropower projects. 20. Based on the request of Association of Vietnam Large Dam and Water Development and Institute of Hydropower and Renewable Energy on the establishment of investment project for Bai Thuong hydropower plant. 21. Official Letter No. 6339/UBND-CN on 14th August 2013 on the approval that allows Bai Thuong Hydropower Joint Stock Company to be investor. 2. Characteristics of the plant 18. Bai Thuong Hydropower Plant is planned to be implemented at left shoulder downstream of Bai Thuong Dam which was built, and 40km from the middle of the dam. The hydropower plant is located in Xuan Duong Commune, Thuong Xuan District, Thanh Hoa Province. Bai Thuong is hydropower plant after dam, utilize the built dam (do not built new dam) and only use the flow after watering to generate. Bai Thuong Hydropower Plant will generate to supply national grid electricity with installed capacity of N = 6MW, ensured capacity of 2,24MW, annual average electricity output Eo = 24,7 million kwh. 19. Bai Thuong cluster headwork which was built consists of: the dam with 167m in length, dam crest elevation of +17.2m, the structure is made of crete and steel. The energy line consists of 2 parts, the first part starts from Bai Thuong dam is 15m in length, mainly horizontal canal with small slope. The next part is called the connected part which connect directly to water intake and use as horizontal overflow with the length of 19.4m. The water intakle is close to the plant, intake the water directly to turbine; the intake is 2

15 9.8m in length. The hydropower plant has installed capacity of 6 MW, 2 capsun turbine units, calculated water column is Htt = 6m 20. The main project components of Bai Thuong Hydropower Plant include (i) reservoir on Chu river with capacity of 7.6 million m3; (ii) The cluster headwork (Bai Thuong dam was built) is designed with all works including concrete dam, main spillway dam; sub-spillaway dam, water intake, sand dícharger; (iii) Bai Thuong new construction parts include: collecting water and horizontal-spillaway canal, water intake, hydro power planr and discharge canal, distribution station. 21. Auxiliary facilities include distribution station, management and operation office, road for manage and operate, temporary roads for construction, camp, office producing base, parking area, waste area, storing area... The power is supplied fromt available grid electricity of 35kV. Water for daily activities and production is planned to be supplied from Chu river. The temporary occupied land area is 13,050 ha. 22. Construction of headworks relate to excavating and back filling of soil and stone, concrete work, slope improvement. Construction of energy route, apart from excavation and filling work, concrete work, slope improvement, it relates to installation of hydraulicelectric equipment and electric equipment at water intake. Table I-1 Work items and key parameters of Bai Thuong Hydropower Plant No. Parameter Unit Quantity No. I Reservoir 1 Normal Water level NWL m Design flood water level MNLTK m Monitoring flood water level MNLKT m Dead water level MNC m Total capacity Wtb 10 6 m Useful capacity Whi 10 6 m Dead capacity Wc 10 6 m II Main spillway dam 1 Type Ophixerop 2 Cresr elevation Zdd m Length of spillaway L m Status of spillaway freely 5 Structure Gravity concrete III Sub spillway dam 1 Type Dạng Ophixerop 2 Cresr elevation Zdd m

16 3 Length of spillaway L m 37 4 Status of spillaway Tự do 5 Structure Gravity concrete IV 1 Water canal and intake Type Opening cannal in trapeze shape gets water directly from the reservoir 2 Quantity of nozzle n 01 3 Canal dimensions bxhxl m 15.3x3.9x Crest elevation at the beginning of canal 5 Crest elevation at the end of canal Zđ m 13.3 Zc m Design level Qtk m 3 /s 120 V Water intake 1 Structure Concrete reinforcement 2 Quantity of nozzle n 02 3 Aperture bxh m 6.3x6.8 4 Crest elevation m Design level Qtk m 3 /s 120 VI Plant 1 Installed capacity Nlm MW No. of turbine n 2 3 Design level Qmax m 3 /s Assembly floor elevation Zlr m Turbine floor elevation Zlm m Turbine center elevation Ztm m Dimensions BxLxH m 17.7 x 40.5 x Structure Concrete reinforcement VI Economic and financial target 1 Tổng mức đầu tư G Vốn đầu tư thuần Gt

17 3 Giá bán điện bình quân P đ/kwh Economic target - Economic discount rate i % Capital recovery factor EIRR % Capital recovery thv Year 13n 9th - Profit at the first year ENPV tỷ đồng Rate of benefit and cost B/C - 5 Financial target Financial discount rate i % Capital recovery factor FIRR % Capital recovery thv Year 18n 4th - Profit at the first year FNPV Billion VND - Rate of benefit and cost B/C C. Objectives of Resettlement Plan 23. According to guidelines under OP4.12 by World Bank (WB) on involuntary resettlement, for any project, a resettlement plan must be prepared to ensure that: (i) Involuntary resettlement must be avoided where possible, or be reduced to the lowest possible extent by selecting appropriate design options, (ii) Where involuntary resettlement is unavoidable, the resettlement activities must be prepared and executed with sustainable development programs and sufficiently provided investment supports, enabling displaced people to benefit from the subproject. The displaced people will be fully consulted and allowed to participate in preparatory and implementing activities of Resettlement Plan. 24. The displaced people must be supported in terms of their capacity to improve their living conditions and to rehabilitate their living standards higher than or at least equal to that before constructing the subproject.. D. Measures to be taken for mitigating impacts caused by the works To minimize the impact of the project, during the study, survey and construction of Bai Thuong Hydro power plant, the placement of intake and plant within the old canal is proposed. - The only selected place for the plant is concave slot at the left shoulder dam downstream. This position can reduce the level of rock excavation for assenaly and road for management and operation, this place is near the dam, the canal is short. - There are two alternatives for the place of water intake: close to the plant and located in upstream of the dam (in the reservoir) 5

18 Alternative I (watch factory intake) Diagram: Bai Thuong opening canal forwarding and horizontal spillaway canal water intake hydropower plant Alternative II (water intake is on the dam) Diagram: Bai Thuong, water intake canal with pressure forwarding canal hydropower plant Analyze and select the alternatives of the work: - Economic aspect: By economic calculation and comparison of two alternatives I and II showed that both alternatives has a similar total investment of approximately 150 billion so both alternatives are economically reasonable. - Technical aspect: The alternative I do not affect the flood discharge level of Bai Thuong dam, all the main parts of the work are at the downstream which ensure convinience during ther construction and operation management, so alternative I was agreed to carry out the construction. 6

19 II. IMPACT AREA OF BAI THUONG HYDROPOWER PLANt 1. Measures to minimize permanent affected land area have been studied by the investor of Bai Thuong Hydropower Plant and the calculation is presented in Chapter I in view of considering and selecting the most optimal alternatives. Moreover, many other mitigation measures such as no earth grading for widening the existing road have been proposed; when new road for the plant operation, earth grading can only be done with enough width for movement of vehicles and close monitoring is carried out to control land sliding onto both road sides to minimize affected area; 2. Bai Thuong Hydropower Plant will submerge and occupy m2 of land managed by Xuan Duong Commune in the long-term (the detailed information about the types of land and the number of affected households will be shown in the next parts). In addition, the construction process will temporarily affect m2 of land by the activities of the contractors. The temporary affected land will updated during the implementation. A. Impacts on land 3. During the process of inventory of loss (IOL) in November and December 2014, m 2 acquired land is permanently affected, m 2 acquired land is temporarily affected under management of Xuan Duong and Tho Thanh Communes. There is no land of household being acquired permanently, only one household in Tho Thanh Commune has temporarily acquired land, this area will be returned after finishing the project. Table II-1 provides detail on affected household and the land acquired by the items of the work. No. Commune Table II-1 Land area and affected households by items of the work Total affected area (m 2 ) Permanently acquired land area Land of Affected affected househousehold hold Total Public land Temporarily acquired land area Land of Affected affected Public househouse- land hold hold Total Xuan Duong Tho Thanh ,4 58,6 Total Total land permanently acquired by the work is m2, 100% of the land is public land under management of Xuan Duong Communicial People s Committee, Military Command of the district, Traffic team of the district and Bai Thuong Exploitation Ltd Company. The peramanently acquired land is mainly plain and unused land of 9804,2m2 (accounts for 59,7%), the rest is river land, land with perennial plants, land of head office, traffic land. Table II-2 Distribution of land permanently acquired by the work (m 2 ) 7

20 No. Commune Area of permanently acquired area Type of land Area (m 2 ) Management Unit 1 Xuan Duong River Land (SON) 2.447,0 Plain and unused land (BCS) 9.804,2 Land of head office (TSC) 454,2 Land for irrigation (DTL) 34,1 Land of defense office (CQP) 2.550,0 Traffic land (DGT) 441,2 Land with perennial plants (LNK) 699,3 Total Communicial People s Committee Communicial People s Committee Traffic team of the district Bai Thuong Exploitation Co., Ltd Military Command of the district Communicial People s Committee Communicial People s Committee 5. The total area of temporarily acquired land (land for the construction of auxiliary facilities, camps, storage areas, waste storage area) by the construction is 13,050 m2, in which m2 (accounts for 70 %) is land of defense office managed by district military command; m2 (accounts for 29%) of land with other with perennial plants owned by household of Mr. Vu Quang Tuan in Tho Thanh commune, the rest is traffic land and plain unused land managed by CPCs of Xuan Duong, Tho Thanh. The area of temporarily acquired land will be returned to the owner after construction is completed. No. Table II-3 Distribution of land temporarily acquired by the work (m2) Commune Area of permanently acquired area Type of land 1 Xuan Duong Plain and unused land (BCS) 10 Communicial People s Committee Military Command of the district Land of defense office (CQP) 8998,8 Traffic land (DGT) 91,2 Communicial 8

21 People s Committee Total 9.100,0 Land with perennial plants (BHK) 3.688,8 Household 2 Tho Thanh Land for rice (LUC) 202,6 Household Communicial People s Traffic land (DGT) 58,6 Committee Total 3.950,0 Total area of temporarily acquired land According IOL result, the total number m2 of permanently acquired land are mainly for building the road for construction, operation management which is m2 (accounts for 69.9%), land for canal, plant, discharge canal is 2481m2, (accounts for 15.1%); land for management and operation buildings, distribution station, internal roads is 2466,7m2 (accounts for 15%). Among 13050m2 temporarily acquired land, the land for auxiliary facilities, camps, production area is 9100m2 (accounts for 69.7%), land used for storage area, waste storage area is 3950m2 (accounts for 30.3% ). Table II-3 Classification of land affected by the work (m 2 ) Total area of affected Items No. land 1 Permanently affected land Canal, plant, discharge canal 2.481,1 1.2 Management and operation buildings, distribution station, internal roads 2.466,7 1.3 Land for building the road for construction, ,2 2 operation Temporarily management affected land Auxiliary facilities, camps, production area Land to store excavated soil and rocks 3950 Total B. Impacts on Crops and Trees 7. The project does not acquire permanently land for perennial plants of households. However, there are 27 households cultivating on transport corridors of Bai Thuong bridge, and they has been compensated, there are borrowing land of defense office, river land managed by Xuan Duong CPC. The temporarily acquired land is from 9

22 household of Mr. Vu Quang Tuan in Tho Thanh Commune with the loss of perennial plants. The detail is shown in Table 2.4 Table II-4 Area of affected land with annual crops and perennial plants No. Items Unit Xuan Duong Commune Tho Thanh Commune I Annual crops 1 Crops m ,64 Vegetables and 2 legumes m 2 353,20 3 Grass m ,85 Total 4930,69 II Perennial plants 1 Timber tree tree Fruit tree tree Bamboo tree 657 Total C. Impacts on works and architectural objects 8. Bai Thuong Hydropower plant does not acquire land of household. However, in the area of acquired land to carry out the construction, there are 4 households with housing and architectural objects which are in transport corridor, in ferry dormitory hallway managed by Xuan Duong commune need to be replace. Under the provisions of Land Law, the 4 households do not receive compensation for acquired land, however Bai Thuong Hydropower Joint Stock Company supports and builds resettlement houses for 3 households which are 300 meters far from the old places, supports 1 household by cash (because the houseshold has no housing demand). In addition, some other household who buildings and architectural objects are affected by the construction managed by Xuan Duong commune, the detail is shown in the table below. Table II-5 Architectural objects of affected households No. Commune Items Unit Volume 1 Stone stairs m3 1,62 2 Water tanks m3 2,98 3 Xuan Duong Concrete reinforcement sewer m3 0,90 4 Stone embankment m3 2,24 5 Stone house-foundation m3 33,15 10

23 6 Concrete reinforcement lid for water tanks m3 0,15 7 Bath room m3 9,48 8 Cement yard m3 72, Tho Thanh Stone house-foundation m3 170,28 Concrete house-foundation (no steel) m3 48,20 3 Wall 220 m2 122,85 D. Impacts on income and livelihood 9. Land acquisition, especially agriculture production land of HH shall cause unavoidable impacts on livelihoods and incomes of the HHs. According to the results of IOL, there is one HH affected by temporarily acquired land, 27 HHs in Xuan Duong are affected because of cultivating on the land of Xuan Duong CPC and land of defense office. E. Impacts on vulnerable households 10. The IOL shows that there are 3 affected households (in total 28 HHs, accounts for 10.7%) are classified as the poor HHs. These HHs shall be further assisted in compliance with the project guidelines and more details shall be described in the next chapter. F. Impact on community property 11. The IOL shows that Bai Thuong Hydropower plant will damage 50m of sewer and 5 narce tree of Tieng Long Village, Xuan Duong commune. Bai Thuong Hydropower JSC will be responsible for compensate the damage. III. SOCIO-ECONOMIC INFORMATION OF AFFECTED COMMUNITY A. General socio-economic characteristics in project area 12. Bai Thuong Hydropower Plant are located in Tho Thanh and Xuan Duong commune, Thuong Xuan, Thanh Hoa Province. The socio-economic survey was done in June- July, Thuong Xuan District: 14. Thuong Xuan is a mountainous district, located in the west of Thanh Hoa province, far 60 km away from Thanh Hoa city. It is adjacent to Lang Chanh, Ngoc Lac districts in the North and adjacent to Que Phong, Nghe An province and Sam To district, Hua Phan province, Laos in the west; to Tho Xuan, Trieu Son districts in the east; to Nhu Xuan, Nhu Thanh districts in the South. 15. The district has 17 administrative units including 16 communes, 01 township and 140 villages and 05 towns; 21,414 households with 91,029 inhabitants, the number of 11

24 people in working age is 43,076. There are some ethic minorities in the district, including Thai, Kinh, Muong: Thai ethic people accounts for 53%; Kinh people accounts for 43.3%; Muong ethnic people accounts for 3.7%. The population is unevenly distributed, mainly concentrated in the lowlands; the higher land is, the thinner the population is; The average population density is 76 people/km2, the highest density is 1750 people/km2 in Thuong Xuan town, the average population density in the uplands is 55 people/km2. The rate of natural population growth is 0.97% / year. 16. Economy: Thuong Xuan is a disadvantaged mountainous district, the economy is based primarily on forestry - farming production. The economic structure of the district has shifted to suit economic structure oriented by the province and the country, but still low compared with the growth rate of the province and other provinces in the region. The economic structure is gradually shifting towards reducing agriculture, forestry, increasing industry, construction service, commerce. In 2013, economic growth rate reached 14.75%; the proportion of forest - agriculture and fisheries accounted for 41%; Industry - handicraft - construction accounted for 28%; Commerce and services accounted for 31%. Per capita income reached million/person/year. Per capita food reached 360kg/person/year. The poverty rate fell to 29%, close-poor household rate is 19.14%. The total value of forestry - farming fishery production reached billion VND; The total value of industry - construction production reached billion VND; total value of trade and services reached billion VND. 17. Tho Thanh commune is located in the east, adjacent to Thuong Xuan district, the commune has 1394 households, 5489 inhabitants, the mainly people living in the commune is Kinh ethnic people. The commune has about 13 Thai Ethnic HHs, the rest is Kinh people. Poverty rate is 16.64%. The economy is mainly based on agriculture According to the final report of Thanh Tho CPC in 2013: (i) economic growth rate reached 16.7% (ii) agricultural production: planting rice and intensification to increase productivity, reduce the area of rice on the upland fields, exploiting the plain land to plant vegetables, apply irrigation, improve livestock in households, care and protect forest, cultivated area was ha, the average yield is 48 quintals/hectare, per capita food was 453 kg/person/year, corn area was 304.6ha, peanut area was 91.5 ha area; sugar cane area was 120 hectares, cassava area was 62,3ha, sesame area was 19.5 ha (iii) livestock: 792 buffalos, 402 cows, 3,380 pigs, 29,500 poultries; (Iv) forestry production: continued to fence and protect forest combined with exploiting, selling and planting. In 2013, 21 ha of Acacia trees was sold, organize to plant new trees of 32 ha Acacia trees, no more cleared forest. 18. The commune has a traditional craft which is rattan wicker for export, however, due to the small scale, income is not high, average 500,000/person /year. 19. Education - Health: The education has basically changed on quality of education, infrastructure which has been invested gradually to standardize the sector. In 2014 Tho Thanh Secondary School has achieved national standard school level 1, primary schools and kindergartens maintain the criteria of culture. National health programs, environmental sanitation programs, disease prevention, hygiene and food safety are 12

25 successfully implemented, timely prevent the risk of diseas from occuring, improve the quality of medical examination and treatment for people, continue to improve communication on health education, disease prevention. 20. Xuan Duong commune is located in the east, adjacent to Thuong Xuan district. The commune has 1508 households and 5497 inhabitants in which 39 households, 61 inhabitants are ethnic people (Thai, Muong ethnic minorities) (i) economic growth rate in 2013 reached 17.1%, increase 0.13% compared to 2012, total food production reached tons, per capita income reached million/year. The production value of agriculture and forestry accounted for 55.1%; handicraft and services accounted for 27.2%; value from the jobs accounted for 17.7%. (ii) agricultural production: The total cultivated area was ha/767.1 ha, in which, rice area was 231,8ha/231,8, maize area was 225,2ha/ 230,4ha, sugar cane area was 66,7ha/66.7 ha; other crops area was 224,4ha. (Iii) livestock: total number of buffalo, cow was 995, increased 42 compared with the same period in 2012; total number of pig was 2352, increased 930 compared to 2012; total number of poultry was 18,286, increased 136 compared to (iv) forestry production: in 2013, planted and care of fruit trees, timber trees planted near offices, cultural hall; in hill gardens of the households, land, 1.5ha of rubber trees were planted as planned in 2013, bringing the total area of rubber trees in the commune up to 23.2 ha. There are 2 sucessful models of forest gardenfarms brought good economic result, the average income was from 100 to 150 million VND/year 21. Education and health: implement successfully the movement of the secto to regularly care and invest in construction of physical facilities in the schools to ensure teaching and learning, implement movement of education socialization. Annual graduation rate in the school is 100%. The number of good teachers, good students, and students in grade 10 with the average exam scores are ranked 2nd in the district. Study promotion talent promotion program are always taken care in time, contribute to improve the effectiveness and quality of educational activities in the commune. Health Station well implements the health care and primary health care for the people, preventive medicine task is implemented sucessfullu, is proactive in detecting, preventing and treating diseases, environmental hygiene is implemented, maintain 10 national standards of health care. B. Socio-economic information of affected community 25. The result of IOL shows that 28 AHHs are Kinh people, in which, 27 HHs are in Xuan Duong commune, 1 HH in Tho Thanh commune. 26. The result of IOL also shows that most of the HHs has problem in education, and this has a certain influence on their lives, careers and income. Specifically, among total of 28 households in socioeconomic survey, 3 households (10.7%) did not attend school or have not completed primary education, 4 households (14.3%) had completed primary education, 19 households (75%) had completed Secondary school. Table 0-1 Education background of HH header in the survey at affected communes Education background Xuan Duong Tho Thanh HHs % HHs % 13

26 No/ not complete primary school 3 11,1 Complete primary school 4 16,3 Complete secondary school 19 70,4 - Complete high school - Vocational school - College/University Total % For the people in the project area, agriculture is the main income source, because the actual survey shows that among 28 households interviewed, 18 households (64.3%) have income mainly from agriculture, 9 households (32.1%) had primary income source from fishing, one household (in Tho Thanh commune) has the business of sand. Table III- 2 show the detailed information of the main income source of ethnic minorities affected by the project. Table 0-2 Information of the main income source of affected ethnic minorities No. Main income source Xuan Duong Tho Thanh 1 Agriculture 18 2 Livestock 3 Sales 4 Fish 9 5 Factory worker 6 Government officials Work for private 7 organizations 8 House work 9 Other 1 Total The income of AHHs is relatively low, table III-3 provides detailed information about the average income of the surveyed households in the communes affected by the work. No. 1 Table 0-3: Average monthly income of surveyed households (million VND) Commune Under 2 million 2 million 3 million 3 million 4 million Xuan Duong Over 4 million + 14

27 2 Tho Thanh 1 Total 28. Total monthly income of the households, the main expenditures are for the food and living activities, its proportion is 48.20% to 53.22%. The other part of expenditure is from 46.78% to 51.80% serving other purposes such as health care, education and other expenses (table III-4). Table 0-4 Average monthly expenditure of surveyed HHs (%) No. Monthly expenditure Xuan Duong Tho Thanh 1 Food and monthly living activities 55 48,2 2 Family health care 20 21,31 3 Education 10 15,35 4 Others 15 15,14 Total 100,00 100, Water resources used in daily activities is from boreholes and wells. 10% of households use water purification equipment. Regarding sanitation facilities in the HH 70% HH has permanent toilets, 30% of HH uses temporary toilets. Rgarding medical and public health, the survey result shows that 100% of AHHs needs services at commune health centers to treat common diseases and illness and in unserious case. 30. The Grid is the main source of energy for lighting in daily activities of surveyed AHHs. There is no HH has to use alternative energy sources for lighting. Regarding fuel source for daily cooking, 30% of AHHs use gas, 70% uses the wood/coal as the main energy source. C. Gender, gender equality 22. There is not much different in ratio between women and men in Xuan Duong and Tho Thanh communes. The total inhabitants in Tho Thanh commune is 5503, including 1503 men (51.75%) and 1,395 women (48.25%). The total inhabitants in Xuan Duong commune is 5497, including 2671 men (48.59%) and for women (48.25%). Table-5 General information on gender rate in the affected communes No. Commune Population Rate (%) Total Male Total Male 1 Tho Thanh Xuan Duong The status of education in affected commune: In the commune within the project area, gender equality has been more concerned, the percentage of girls in school were higher, all the girls in the school-age are in school. Secondary universalization has been completed, 100% of children in school-age are universalized secondary school. At the high school level, the number of girls must leave school is very low. 15

28 24. Regardless of gender, most people in the affected communes usually come to commune health centers to treat the disease and illness and unserious cases, the more serious diseases they can to district or provincial hospitals. The poor have benefited from the program of health insurance cards. 25. In working and job, the time of earning between women and men are equal, but women spend more time in housework than men, this issie generally make women bear heavier burden. 26. Due to communication, education, at present women in the project area have benefited from gender equal, they participate more in social activities, have the right to decide important issues in the families or participaten in organizations. However, regarding family issue and property ownership, the traditional regulations on the role of men in worshiping of parents, ancestors from patriarchal society has created inequality for women. Most families in the rural areas, the son has right to inherit most of the land, houses left by their parents. Division of labor in the family still shows gender discrimination. Table 0-6 Labor allocation in families in terms of gender in AHHs Work to be done apart from house works Both male & female Male Female Total Farming Gardening Cultivating on hill field Working in a factory Breeding Small scale business Working in town (away from home) House work Both male & female Male Female Taking care of children Cooking Participating in public and social work Both male & female Male Female 28 Participating in the public consultation meeting Participating in making decision Joining with local organizations

29 IV. INFORMATION DISCLOSURE, CONSULTATION AND PARTICIPATION A. Information disclosure 27. According to the safeguards policy of World Bank on resettlement and ethnic minorities, Bai Thuong Hydropower JSC together with group of consultants coordinate with District Compensation, Assistance and Resettlement Board (DCARB) in Thuong Xuan district to disclose information about frameworks which has been approved for the project about Resettlement Action Plan (RAP) and Ethnic Minority Development Plan (EMDP) rectified by MOIT and WB, RP report and EMDP report shall be translated into Vietnamese to make it easier to read and understand; also help implementation of EMDP and application of compensation and resettlement policies to affected people in a more convenient manner. List of land affected HHs who lost land and property on land with compensation payments shall be indicated clearly. 28. Organization several communication of public consultation to disseminate and address project information to affected people, communities in affected communes in project area. The affected people shall be clearly informed implementation plans for resettlement actions, including (i) contents of public consultation regarding project, its implementation plan, land acquisition plan and construction plan; (ii) investigation and detailed measuring survey; (iii) official and eligible list of affected people and their entitlement; (iv) quantity and compensation unit price; (v) compensation and other assistance payment plan; and (vi) other issues such as framework for income restoration for affected people, grievance redress mechanism, monitoring and evaluation etc.. Notices and related documents shall be posted at affected commune people s committees (CPC)/or community cultural house or posted at easily seen places. Project information booklet (PIB) shall be provided to affected HHs and is available at CPC, hamlet cultural house. (PIB is described in details in Appendix 2 B. Public consultation and participation 29. During preparation of this resettlement plan, several public consultation meetings with affected ethnic minority people were taken place in November, December, 2014 to discuss and evaluate the impacts as well as ensure that comments and opinions from local communities shall be taken in the report. 30. The results from discussions with stakeholders during the information disclosure process and public consultation meetings held in June and July 2014 shows that DCARB and Bai Thuong Hydropower JSC have conducted sufficient necessary steps of disseminating project information, compensation and assistance policies, consulting affected HHs on their actions relating to land acquisition, construction and mitigation measures. However, in order to provide further information about the project as well as policy supplementation in compliance with agreed guidelines for the REDP. the affected HHs continued to participate, consult and disseminate information during the implementation process in June and July (Minutes of public consultation 17

30 meetings and participation, meeting pictures taken are attached in Appendix 4 and Appendix 5) Methodologies used in public consultation are meeting, individual interview and group discussion. People from affected hamlets were ready to discuss and share information. Women and youngsters were invited to participate and encouraged to contribute their ideas, especially ethnic groups in affected communes were consulted. Ethnic groups in project area also had their representative organizations to connect with Women s Association, Farmers Association, Commune and Hamlet Youth Association. C. Results of information dissemination and Public consultation 32. Public consultation meetings on RAP and EMDP with participation of representatives of Bai Thuong Hydropower JSC and consultant team and local communities were held during the survey process. The opinions and desire of the ethnic minority people on Bai Thuong Hydropower project are shown below. 33. Public consultation meetings were held with participation of all relevant stakeholders to collect opinions or concerns of the ethnic minority community who are affected by the project, therefore countermeasures are discussed to avoid or minimize impacts of the construction works on the public living environment and working conditions. Table IV-3 below describes details of community concerns and solutions committed to be implemented by the investor during the project construction process. Table 0-1 Concerns of affected community and commitment of the investor No. Concerns of affected community Commitment of the investor 1 Detailed measurement survey (DMS) The detailed measurement survey should be participated by heads of hamlets and CPC representative 2 Compensation Want satisfactory compensation if they are affected by the project construction 3 Assistance in stabilizing livelihood and working Assist in training on the technique of cage fish breeding when reservoir construction is accomplished, training on production. During the construction period, the investor To be done in compliance with current regulations, the DMS team includes representatives of stakeholders as regulated Regulations on compensation and assistance with appropriate unit price for compensation are commited, results of surveys and detailed compensation alternatives are posted in local public place and hamlet. Affected HHs can participate in training courses on cage fish breeding under the project training program After detailed design, if there is any further severely affected HHs, the investor 18

31 No. Concerns of affected community Commitment of the investor should prepare policies of creating more jobs for local people to work in the plant when it comes into operation. 4 Restoration of public structure impacted by the project shall commit to have policy for further assistance under RP Investor commits to restore the public structures if they shall be impacted by the project 5 Culture and religion At the present, the illiteracy rate in the commune is rather high, training course for eradicating illiteracy is needed for affected people, especially for women. Assistance in contributing funds for operation of social associations to encourage people to participate in and travel fee for hamlet officials to encourage them to maneuver the people to participate together. 6 Relating to design and construction Compensation if architectures of HHs are affected by dynamite when implementing the construction Ensure environment sanitation, return the surface after finishing the construction. This issued will be included in the gender propaganda campaign and encourage the local Women's association to open training classes or groups to teach Vietnamese to each other. Fund for operation and assistance have been approved by the government on a yearly basis for ethnic people development. The investor together with other organizations shall propagandize policies concerning ethnic people development of the State for the local people. The actual house condition of HHs beside the construction will be checked, the compensation will be paid if any impact The implementation of the construction and material transportation within the construction process must be compliant to the approved environment management plan 19

32 V. LEGAL FRAMEWORK AND ENTITLEMENT 31. In the framework of REDP, compensation, assistance and resettlement plan for Dong Van Hydropower project has been prepared based on principles of resettlement framework approved by MOIT and WB in 2008 for REDP. Policies applied in implementation of compensation, assistance and resettlement include (i) involuntary resettlement policy by WB; (ii) present policies and regulations on compensation assistance and resettlement by the Government of Vietnam; and (iii) regulations on compensation assistance and resettlement of the provincial authority (Thanh Hoa province). They are: A. Policy requirements of WB 32. Basic principles in guidelines under OP4.12 of the World Bank (WB) on involuntary resettlement, for any project, a resettlement plan must be prepared to ensure that: Involuntary resettlement must be avoided where possible, or be reduced to the lowest possible extent by selecting appropriate design options; Where involuntary resettlement is unavoidable, the resettlement activities must be prepared and executed with sustainable development programs and sufficiently provided investment supports, enabling displaced people to benefit from the subproject. The displaced people will be fully consulted and allowed to participate in preparing and implementing activities in Resettlement Plan. The displaced people must be supported in terms of their capacity to improve their living conditions and to rehabilitate their living standards at least equal to that before constructing the subproject, equal to the actual present value to the level before displacement or to a common level before commencement of the project or even higher than that. 33. The solutions required to ensure resettlement has active results, including: Consulting project affected people viable solutions for resettlement and livelihood restoration; Providing affected people options of resettlement and livelihood restoration; Compensating entire replacement cost for damages and loss; Selecting sites for resettlement where shall provide minimum benefits and services similar to their existing place ; Providing finance for assistance, training and income support to help them go well during the transitional period; Recognizing vulnerable groups and providing special support for these groups; and Establishing a structure on institution and organization to assist this process to finally succeed. B. Vietnam policy framework 34. At the time of preparing this RP, Land Law and regulations on compensation, assistance and resettlement have been rectified and come into effect (since 1 st July 2014) which shall solve issues that differ from practice of payment for compensation and assistance to land acquired 20

33 people. That is Land Law 2013 (No.45/2013/QH13) has been rectified and issued to replace the previous 2003 Land Law, therefore, some decree's guiding implementation are also issued, including: Decree No.43/2014/NĐ-CP dated 15 /05/2014 by the Governement on detailed regulations to implement some articles of Land Law No. 45/2013/QH13 (replacement of Decree No.181/2004/NĐ-CP; Decree No.17/2006/NĐ-CP; Decree No.84/2007/NĐ-CP; Decree No.69/2009/NĐ-CP; and Decree No.88/2009/NĐ-CP). Decree No.44/2014/NĐ-CP dated 15/05/2014 by the Governement on regulating land prices. (Replacement of Decree No.188/2004/NĐ-CP and Decree No.123/2007/NĐ-CP) Decree No.45/2014/NĐ-CP dated 15/05/2014 by the Governement regulating on collecting land use fee. Decree No.46/2014/NĐ-CP dated 15/05/2014 by the Governement regulating on collecting land leasing fee, water surface leasing fee. Decree No.47/2014/NĐ-CP dated 15/05/2014 by the Governement regulating on compensation, assistance and resettlement when the State acquired land. (Replacement of Decree No. 197/2004/NĐ-CP) dated 3/12/2004) Land Law and Decree guiding implementation mentioned above become effective from 1 st July To Dong Van Hydropower project, these new legal documents shall be applied for payment for compensation and assistance for survey items to be conducted after 1 st July Nevertheless, there are some items that have been completed with compensation and assistance before such new legal documents become effective such items shall follow regulations defined in the legal documents issued before 1 st July 2014, they are: Constitution of the Socialist Republic of Vietnam in 1992 determines the house owner right of citizens and protects their own right; 2003 Land Law issued on 26 November 2003; Decree No.181/2004/ND-CP, dated 29/10/2004 by the Government guiding the implementation of the revised Land Law 2003; Circular No.01/2005/TT-BTNMT dated 13 April 2005 by Ministry of Natural Resources and Environment (MONRE) on guiding implementation of some articles under Decree No.181/2004/NĐ-CP dated 29/10/2004 by the Government; Decree No.188/2004/NĐ-CP dated 16 November 2004 by the Government on methods of identifying land price and tariff of land of all types; Circular No.114/2004/TT-BTC dated 26 November 2004 by Ministry of Finance (MOF) on guiding implementation of Decree No.188/2004/NĐ-CP by the Government; Decree No.123/2007/NĐ-CP dated 27 July 2007 amending and supplementing some articles under Decree No.188/2004/NĐ-CP by the Government; 21

34 Circular No.145/2007/TT-BTC dated 6 December 2007 by MOF guiding implementation of Decree No.188/2004/NĐ-CP and Decree No.123/2007/NĐ-CP by the Government; Decree No.197/2004/NĐ-CP dated 3 December 2004 by the Government on compensation, assistance and resettlement when the State undertaken land acquisition; Circular No.116/2004/TT-BTC dated 7 December 2004 by MOF guiding implementation of Decree No.197/2004/NĐ-CP by the Government; Circular No.69/2006/TT-BTC dated 2 August 2006 by MOF on amendment and supplementation of Circular No.116/2004/TT-BTC by MOF; Decree No.17/2006/NĐ-CP dated 27 January 2006 by the Government on amendment and supplementation of some articles of decrees guiding implementation of Land Law; Decree No.84/2007/NĐ-CP dated 25 May 2007 promugating supplementation on issuance of Land use right certificate, land acquisition, undertaking land use rights, procedures of compensation, assistance and resettlement when the State acquires land and grievance redress mechanism; Circular No.06/2007/TT-BTNMT dated 15 June 2007 by MONRE guiding implementation of some articles under Decree No.84/2007/NĐ-CP by the Government; Inter-ministerial Circular No.14/2008/TTLT-BTC-BTNMT dated 31 January 2008 guiding the implementation of some articles under Decree No.84/2007/NĐ-CP by the Government; Decree No.106/2005/NĐ-CP dated 17 August 2005 by the Government promulgating details and guidance on executing some articles under Electricity law and safe protection to high voltage facility of electric grid; Law of claim and denouncing No.09/1998/QH10 dated 2 December 1998; Decree No.67/1999/NĐ-CP dated 7 August 1999 by the Government on detailed regulation and guiding the execution of Law of claim and denouncing; C. Regulations on compensation, assistance and resettlement by the local authority Land Law and new guiding Decrees become effective on 1 July 2014, up to now Thanh Hoa PPC has been reviewing and adjusting current regulations for compliance with the new policy and such new policy shall be updated during the implementation process. Therefore, current local regulations for implementation of compensation, assistance and resettlement are still effective and proposed to apply, including:: Decision No 2271/2011/QD-UBND on 14 th July 2011 of Thanh Hoa PCP on issuing policy on compensation, supporting land and property, plant on land in safe high voltage grid corridor in Thanh Hoa province. Decision No 3644/2011/QD-UBND on 4 th November of Thanh Hoa PCP on issuing unit price of affected trees and crops on land due to clearance compensation in Thanh Hoa province. Decision No 4293/2011/QD-UBND on 21 st December 2011 of Thanh Hoa PCP on issuing the regulation on prices of all kind land in Thanh Hoa province in

35 Decision No 3162/2014/QD-UBND on 26 th September 2014 of Thanh Hoa PCP on issuing the regulations on compensation, support and resettlement when the State acquires land in Thanh Hoa province. D. Some regulations applied in compensation, assistance of Bai Thuong Hydropower project 37. In order to harmonize policies by WB, Vietnam Government and regulations on compensation, assistance and resettlement by the PPC, the general regulations of the Resettlement Framework for the REDP have been agreed between Que Phong PCARB, investor of Dong Van Hydropower project, CPC and HHs affected by Dong Van Hydropower project, including: During preparation of RP as well as at design stage, an area of land to be acquired shall be minimized as possible and also be trying to avoid impacts on properties of the people as much as possible. For HHs who have their residential land, agriculture land, tree, crops impacted and others in the project area, they will be compensated, assisted for restoration and improvement of their livelihood at least equal status before being impacted by the project, including income and other livelihood development opportunities. Lacking some eligible legal documents on the land use right (including residential land, agriculture land, and others) as well as other kind of eligible documents on property shall not be a problem for them to be entitled to compensation, assistance. Plans on Land acquisition and property with land, plans on compensation, assistance, the ethnic minority development plan shall be implemented with close and regular public consultation to affected people. Land, trees, crops and other properties to be acquired and impacted shall be compensated equal to replacement costs, without deduction of depreciation value, transfer value or any type of deduction. Poor HHs, female headed HHs, ethnic HHs etc. and other vulnerable HHs shall be assisted in compliance with provincial current regulations. Also, the investor shall give other supports depending on results from the public consultation with these groups of HHs. 38. Entitlement matrix for affected people under sub-projects of REDP has been clearly defined in the Resettlement Policy Framework. Basing on this entitlement matrix, entitlement matrix for HHs affected by Dong Van Hydropower project is prepared with details in table V-1 below. The entitlement shall be updated if during the process of implementation, there will be new Thanh Hoa provincial regulations to be issued. 23

36 Table V-1 Entitlement matrix No. Type of Loss/Impacts 1. Productive land (agriculture land, aquaculture land, forestry land, garden) Application Less than 10% of total agricultural land in use of the HH to be a loss The same applies as above Eligible Persons Owners with LURC over the land or eligible property rights to be recognized by the regulations Affected households with long term lease agreement over the affected land Entitlement applied in Dong Van Hydropower project For the permanently acquired land, cash compensation equal to replacement cost. Without mentioning temporary use of land; but normally in Vietnam contractors cannot use any private property without prior agreement with the owner of such property. Adjustment of free of charge possession right for land owner for the remaining land which still in use. For non-land properties, see section 3-6 below. Providing assistance in livelihood restoration in terms of HHs in the vulnerable group (item 12) Providing progress bonus (item13) For the permanently acquired land, cash assistance equal to 30% of replacement cost (this is considered as cost invested into the land, improvement, upgrading etc.) For affected trees, crops, compensation on market price and Issues during implementation If value of the remaining land is lower than regulatory minimum level, entire area of such land lot shall be acquired and the affected people shall be categorized in other level of being affected and entiled to further compensation. In case remain portion of investment is higher than 30% of replacement cost, DCARB shall recalculate for identification of reasonable assistance (or refund such remain portion of investment 24

37 No. Type of Loss/Impacts Application The same applies as above Loss more than 10% total land in use of the HH Eligible Persons Owners without acceptable proof of ownership over the land (illegally appropriated land) Owners with LURC over the land or eligible property rights to be recognized by the regulations Entitlement applied in Dong Van Hydropower project yield to be calculated as the average of the last 3 years Not entitled to compensation for land, but for crop, trees as equal to replacement cost. Provided assistance for livelihood restoration in terms of HHs in vulnerable group (item 12) Cash compensation equal to replacement cost or land for-land compensation Adjustment of free of charge possession right for land owner for the remaining land which still in use. For non-land properties, see section 3-6 below. Assistance for severe damage, see item 9 and 11 below. Providing progress bonus (item13) Issues during implementation + assistance for the leasee for his income impacted.) If value of the remaining land is lower than regulatory minimum level, entire area of such land lot shall be acquired and the affected people shall be categorized in other level of being affected and entiled to further compensation. If land for-land compensation is applied, both wife and husband shall have equal rights to possess the land The same applies as Land lease and permanent land For the permanently acquired land, cash assistance equal to 30% of In case remain portion of investment is higher than 30% 25

38 No. Type of Loss/Impacts Application Eligible Persons Entitlement applied in Dong Van Hydropower project above lease replacement cost (this is considered as cost invested in the land, improvement, upgrading etc.) For affected trees, crops, compensation on market price and yield to be calculated as the average of the last 3 years Affected people shall be informed 4 months prior to the implementation of land acquisition for the project. The same applies as above 2. Residential land Light damage (for ex.: being able to stay on remaining portion of land, no need to relocate); Owners without acceptable proof of ownership over the land (illegally appropriated land) Owners of the land with eligible possession right or possession right acceptable to the law Not entitled to compensation for land, but for crop, trees as equal to replacement cost. Affected people shall be informed 4 months prior to the implementation of land acquisition for the project. Provided assistance for livelihood restoration for AHHs in the vulnerable group (item 12) Similar to affected production land Providing progress bonus (item13) Issues during implementation of replacement cost, DCARB shall recalculate for identification of reasonable assistance (or refund such remain portion of investment + assistance for the lease for his income impacted.) 26

39 No. Type of Application Loss/Impacts Severe damage (for ex.: Not being able to stay on the remaining portion of land or be acquired entire area of land) 3. Houses and shops Light damage (for ex.: being able to stay on remaining portion of house, no need to relocate); Severe damage (for ex.: Not being able to stay on the remaining portion of the house or be acquired entire Eligible Persons Owners of the land with eligible possession right or possession right acceptable to the law Owners of the structures with or without acceptable proof of ownership over the land; with or without building permit. Owners of the structures with or without acceptable proof of ownership over the land; with or without building permit Entitlement applied in Dong Van Hydropower project Similar to affected production land Providing progress bonus (item 13) Cash compensation equal to replacement cost (without depreciation or deduction of salvage material) for the affected structure portion. Cash compensation equal to replacement cost (without depreciation or deduction of salvage material) for the affected structure portion. Regarding to assistance, see item 10 below. Issues during implementation 27

40 No. Type of Application Loss/Impacts structure) 4. Other structures To be destructured or damaged 5 Graves Affected graves 6 Crops and trees Affected Crops and trees Eligible Persons Owners of the structures with or without acceptable proof of ownership over the land; with or without building permit Affected owner Owners regardless of tenure status Entitlement applied in Dong Van Hydropower project Cash compensation equal to market price for material and labor without considering depreciation and deduction of salvage material. Compensation for all costs of digging, exhumation, transporting for reburial for the affected HHs Graves shall be excavated and haulage in compliance with traditional manner and custom Affected people are entitled to cash compensation for affected crops equal to market price. Affected people are entitled to cash compensation for affected trees equal to the market price as per tree type, age and production values. If affected trees can be removable, compensation will be equal to cost for removement and actual damage. Issues during implementation During implementation process, if any gave is found ownerless, CPC will be responsible for relocation of it with costs to be paid from land acquisition budget of the project. Affected people shall be noticed some months prior to commencement of construction. Trees and crops are grown after the notice date will not subject to compensation. 7 Public facilities Works, Village, ward, Restoration of building, community If damage on income is 28

41 No. Type of Loss/Impacts 8 Temporary impacts during project construction process Application structures, community forest/pasture for animal/or other types of land/ irrigation system to be affected as temporary or permanent use of land or landfill of solid waste. Agriculture land to be temporarily impacted Eligible Persons governmental administrative units The affected land owner is Entitlement applied in Dong Van Hydropower project structures at least to its originated conditions, or Replacement in the dedicated area with consultation of the affected community and relevant authorized agencies, or Compensation equal to replacement cost without considering depreciation, but deduction salvage material. Compensation for loss of net income during impacted period of construction. Recovery to the same or better condition than before with methods of soil quality improvement Issues during implementation estimated (for Ex. Irrigation system, community forest, community pasture for animal), hamlets are entitled to compensation to total damages on production, this compensation will be collectively used for solutions of restoration of income and/or new infrastructure. If soil quality cannot recovered as the same as before construction for the affected people, and if the affected people have to change land use purpose, as result of such change, the affected people shall be compensated every cost for the loss, and in case of being unable to change land use purpose then such land shall be acquired and satisfactory compensation shall me made for effected people the same 29

42 No. Type of Loss/Impacts 9 Loss in income/livelihood due to land lost Application Temporary impact of residential land Damages caused by the contractor to the public or private owned structures or land Severely affected due to loss equal to or more than 10% of productive land and income Eligible Persons Owner of affected land Owner or who has land use right Land owners with LURC; or in the process of acquiring LURC; and those covered by customary rights, such as members of ethnic minority groups. Affected households with lease Entitlement applied in Dong Van Hydropower project Compensation for the property impacted equal to replacement cost Recovery of soil to its previous conditions The contractor shall be requested to compensate immediately to the affected HHs, groups, communities or state agencies. Damaged properties shall be recovered to their original conditions. Allowances for stabilizing livelihood Assistance to HHs whose total area of agricultural land is acquired from 10% to 30% is equal to 3 months in case of non-relocation, 6 months in case of relocation). Assistance in cash is equal to 30kg of rice /member/month. Assistance is provided for 6 months basis. In addition, further assistance to HHs whose total area of agricultural land is acquired from 30% to 70% is equal to 6 months in case of nonrelocation, 24 months in case of Issues during implementation entitlement as for other HH who have their land acquired for the project. 30

43 No. Type of Loss/Impacts Application Eligible Persons agreement over the affected land Entitlement applied in Dong Van Hydropower project relocation; whose total area of acquired agricultural land is more than 70% is equal to 12 months in case of non-relocation and 36 months in case of relocation. Assistance in cash is equal to 30kg of rice /member/month. Assistance is provided for 6 months basis. Allow for changing and creating jobs: Assistance equal to 5 times of agricultural land price for entire acquired land regardless the rate of land loss (area to get assistance is not exceeded local land handing limit). Issues during implementation By land support. Affected HHs are compensated in land, assistant rate for production is VND5,000,000/labor, for the HHs with more than one at working age, the second one onward will get the assistance of VND2,000,000/labor. In case land is used for agriculture, forestry, aquaculture purpose in form of fixed rate (excluding special use forest land, protection forest land) handed by 31

44 No. Type of Loss/Impacts Application Eligible Persons Entitlement applied in Dong Van Hydropower project land using organizations to their staff and officer who are still working or retiring, retiring early, leaving job but entitled to support; and who are directly involve in agriculture production for main income, then assistance is equal to 100% of agriculture land price against actual measured acquired area but not exceeding local land handing limit. Issues during implementation 10 Impacts on houses and will require relocation Severe impact on houses Relocating households regardless of tenure status Material Transportation allowance If households must be relocated within the province/city not exceeding 20km, they shall receive a support of VND 3,000,000/HH If households must be relocated within the province/city exceeding 20km, they shall each receive a support of VND 5,000,000 /HH If households must be relocated to another province in the north, they shall each receive a support of VND 8,000,000 /HH; in the central and southern region, they shall each receive a support of VND 10,000,000 /HH. House leasing assistance House leasing assistance in cash 32

45 No. Type of Loss/Impacts 11 Loss of income/ livelihood due to relocation of business 12 Higher risks of impoverishment /hardship due to loss of resource base Application Severe impact on shop Loss of Land and Non-Land Assets Eligible Persons Relocating affected HHs, shop owners (house and shop) regardless of tenure status Affected vulnerable groups regardless of severity of Entitlement applied in Dong Van Hydropower project includes: (i) for HH with 5 and less than 5 members: VND 800,000 /month; (ii) for HH with more than 5 members: VND 1,000,000/month; and single member HH: VND 600,000 /month. Period of time to get assistance is from land handing to the investor to receive land for resettlement. Assistance to house leasing HHs Relocation assistance fee: VND 2,000,000 /HH and transition subsistence allowance in cash equal to 30kg of rice/member/month for 3 month period. Economic organizations, family business enterprises with registered industries are to stop production due to land acquisition for the project, they are entitled to get assistance equivalent to 30% of 1 year s income after taxes, calculated according to the average income level for last three years. Provincial social policies for HHs who are entitled to a social allowance at the time they land is acquired by the State and have to relocate: Issues during implementation Policies for families entitled to social allowances who have to relocate their houses, in case of the HH with many person who are entitled to 33

46 No. Type of Loss/Impacts Application Eligible Persons impacts Entitlement applied in Dong Van Hydropower project Who work for national revolution before 1945, heroes in people s armed force, Vietnamese heroic mothers, Heroes in working, close relative of revolutionary martyr who are presently entitled to monthly State support, wounded soldier, sick soldier, persons who are entitled to the same social support as wounded soldier with 81% or more of their health loss shall be assisted VND5,000,000/house using owner Soldier and wounded persons who are entitled to State support as a wounded soldier whose 61% to 80% of their health lost shall be subject to assistance of VND4,000,000/house using owner. Wounded soldier and persons who are entitled to State support as wounded soldier whose 41% to 60% of their health lost shall be subject to assistance of VND 3,000,000/house using owner. Wounded soldier and persons who are entitled to State support as wounded soldier whose 21% to 40% of their health lost shall be subject to Issues during implementation one of the defined assistance levels, such HH shall be assisted once at the highest level. These supports and 34

47 No. Type of Loss/Impacts 13 Providing progress bonus Application Damage and loss of land and property on land Eligible Persons Owner with affected properties Entitlement applied in Dong Van Hydropower project assistance of VND 2,000,000/house using owner. Those who were awarded Resistance War Medal class I, victory medal class I shall be entitled to assistance of VND1,000,000/house using owner HH with a person who is given other state support will be entitled to assistance of VND 2,000,000/HH Project assistance policies Assistance for changing jobs (working in the Plant) and restoration of income via assistance form of training, workshop on livestock breeding technology. The bonus rate of VND 2,000/m 2 for agriculture land being acquired and handing in a timely manner of progress as requested by the DCARB, max. VND 2,000,000/HH. Bonus to owners whose house, residential land, business and nonagriculture land, structures are destructed entirely or partially. Then: Removement, handing the site at least 15 days prior to dedicated date, the bonus will be VND Issues during implementation assistances shall be developed through Ethnic Minority Development Plan (EMDP) 35

48 No. Type of Loss/Impacts Application Eligible Persons Entitlement applied in Dong Van Hydropower project 5,000,000/HH. Removement, handing the site within 15 days prior to dedicated date, the bonus will be VND 4,000,000/HH. Removement, handing the site on time, the bonus will be VND 3,000,000/HH. Bonus to land ownership, HH whose land is partially acquired, but no destruction of their house, structures on land, then: Removement, handing the site at least 15 days prior to dedicated date, the bonus will be VND 3,000,000/HH. Removement, handing the site within 15 days prior to dedicated date, the bonus will be VND 2,000,000/HH. Removement, handing the site on dedicated date, the bonus will be VND 1,000,000/HH. For economic entities, the bonus will be VND 5,000 /m 2 but not exceeding VND 10,000,000/entity Issues during implementation 36

49 VI. RESETTLEMENT, COMPENSATION AND ASSISTANCE STRATEGY A. Legal basis for calculating compensation prices 39. Thanh Hoa PPC, based on decrees (Decree No.197/2004/ ND-CP and Decree No. 69/2009/ND-CP) every year issues unit price for land and other assets as well as assistances to affected HHs as results of land acquisition for road construction projects. Unit prices for assets are used to calculate total compensation value of affected properties when land is acquired by the State for government projects with communal objectives and for local tax calculation. Decree No. 188/2004/ND-CP has been amended and supplemented to Decree No. 123/2007/ND-CP promulgating on a standard framework for identification of unit prices for land which is evaluated corresponding to the market price on principles of voluntary sale voluntary purchase in the normal status without any sign of speculation, economic or financial inflation, change of policy regime, force to transfer, or blooded relationship. 40. For Bai Thuong Hydropower Plant, according to the design, the construction does not affect the annual crop land so there is no damage of trees and crop, not directly affect the common architectural works of the commune as well as the households. Therefore, the compensation rate base is applied as the regulation of the province. B. Replacement cost identification 36. Bai Thuong hydropower plant is expected to be built behind Bai Thuong dam, intakes water from Bai Thuong reservoir, take advantage of the difference water level between the upstream and downstream of Bai Thuong dam to generate electricity. Because the construction of Bai Thuong hydropower projects does not alter the scope and mission of Bai Thuong Dam, the normal water level of Bai Thuong hydropower plant is the normal water level of Bai Thuong dam m. 37. Compensation, support the influence from the work are determined by the replacement cost according to the latest regulations on land issued by the province, in addition, the actual price at the time of determining the price of the crops with trees, the buildings on affected land is taken account. C. Compensation for impacts and entitlement 1) Compensation for affected land 35. According IOL result implemented in November and December 2014, m2 of permanently acquired land are mainly for building the road for the construction of the project. They are mainly land of transport corridors which was compensated, land of office, land close to the stream under mangement of Xuan Duong commune, thus no compensation of land. 2) Compensation for affected trees, crops 36. Total permanently and temporarily acquired land of the project is m2, in Xuan Duong and Tho Thanh. Xuan Duong has 27 HHs, there is one HH cultivating on 37

50 acquired land. Based on the IOL, the total quantity of annual crops that has not been harvested is estimated to be compensated as following: Table 0-1 Compensation for affected crops and trees No. Commune Unit Quantity Amount (VNĐ) Total ,20 I Xuan Duong ,20 Annual crops and trees ,20 1 Vegetables m , ,20 2 Other vegetables and Legumes m2 353, ,00 3 Grass m , ,00 Perennial plants ,00 1 Timber trees tree Fruit trees tree Bamboo tree II Thọ Thanh Perennial plants Timber trees tree Fruit trees tree Bamboo tree III Tien Long village, Xuan Duong commune Timber trees tree 5,

51 3) Compensation for affected structures 37. The result of IOL shows that there are AHH having affected architectural objects, 4 HHS must displace. In addition, Tien Long village (Xuan Duong) loses 50m of sewer. The losses are shown in the following table (particularly 4 HHs must displace are supported by Bai Thuong Hydropower Joint Stock Company other land and build house which is shown in Table VI - 3). Table 0-2 Compensation for for affected structures No. Items Unit Volume Amount Total I Xuan Duong commune Stone stairs m3 1, Water tanks m3 2, Concrete reinforcement sewer m3 0,90 4 Stone embankment m3 2, Stone house-foundation m3 33, Concrete reinforcement lid for water tanks m3 0,15 7 Bath room m3 9, Cement yard m3 72, II Tho Thanh commune Stone house-foundation m3 170,28 Concrete house-foundation 2 (no steel) m3 48,20 3 Wall 220 m2 122,85 III Tien Long Village, Xuan Duong Commune Concrete reinforcement sewer m3 4,32 4) Assistances for AHHs To implement the project, there are 4 households with housing and architectural objects which are in transport corridor and compensated by Xuan Duong commune in Bai Thuong Bridge project. Under the provisions of Land Law, the 4 households do not receive compensation for acquired land, however Bai Thuong Hydropower Joint Stock Company supports and builds resettlement houses for 3 households which are 300 meters 39

52 far from the old places, supports 1 household by cash (because the houseshold has no housing demand). Table 0-3 Total cost of assistance to 4 affected HHs to displace No. ITEMS AMOUNT 1 Expense of building level 4- houses (3 houses) Support by cash (1 HH) Expense of building infrastructure for the houses Compensation for the acquired land for resettlement houses Support HHs whose lands are acquired to build resettlement houses TOTAL ) Income rehabilitation program 39. As described in Chapter II, implementation of land acquisition for the plant has been carefully calculated to avoid and minimize land area of HHs to be acquired. The project construction shall not have impact on agricultural productive land, however, land acquired for construction of the plant somehow permanently affected to pasture for domestic cattle in the reservoir area and to some fishing activities because of a new dam built for water retaining for the hydropower project. Measures have been discussed and proposed via public consultation meetings with local authority and affected HHs, including: (i) a training course on the technique of breeding fish in cages to these HHs in order to make use of water in the reservoir, (ii) monitoring and supervising implementation of HHs and facilitate HHs during the implementation process, and (iii) regular technical assistance for HHs during early stage and plant operation period. 40

53 VII. INSTITUTION ARRANGEMENT AND IMPLEMENTATION SCHEDULE A. Implementation schedule 40. The project shall be implemented for 2.5 years ( ), in which preparation stage is in the last 6 months of 2014 and expecting that construction 4commencement shall be in December 2015 and completion shall be in May, During detailed engineering design, updating RP shall be done. As soon as updated RP is completed, it will be submitted by Bai Thuong Hydropower JSC to WB for review and approval. All resettlement activities shall be interacted with construction schedule. Land acquisition and relocation of affected HHs shall not be commenced until updated RP has not been reviewed and approved. Bai Thuong Hydropower JSC shall not allow any construction work on site before all resettlement activities have satisfactorily completed and no more obstacles to the site for construction. Table XII-1 summarizes variable interactions that attach to updating and implementing RP. The resettlement implementation schedule is as follows: Table 0-1 Implemenation schedule for entire project Activities Implementation schedule Information dissemination and public consultation 11/ /2014 Preparing RP 12/ /2015 Submission of RP 02/2015 Approval of RP 03/2015 Information dissemination after RP has been approved 04/2015 Payment of compensation and assistance 01-03/2015 Monitoring and evaluation 1/2015-5/2017 Implementation of construction 12/ /2017 B. Institutional arrangements 41. Bai Thuong Hydropower JSC shall be responsible for every project component implementation, including preparation and implementation of RP and monitoring and evaluation of this RP. Woking as a project executing agency, Bai Thuong Hydropower JSC shall have key responsibilities as follows: 41

54 Preparing and implementing RP in coordination with people s committees at levels and Provincial Compensation, Assistance and Resettlement (PCARB), DCARB and submitting to MOIT and WB for approval; Ensuring that WB shall agree with any change in RP; Ensuring budget for RP implementation, financing source for resettlement (e.g., payment of compensation and other assistances) timely and sufficiently; Assisting in solving complaints and claims by affected HHs. 42. The responsibilities include: Providing guidance for PPC, DPC, CPC, PCARB, DCARB, project related groups and project resettlement policies, and concrete tasks of the groups including preparing, updating and implementing RP, if necessary; Coordinating with PPC, PCARB, DCARB; Together with DCARB, conducting key activities on site which relate to setting up, preparing and implementing RP, for example, disseminating project information and discussion with affected people and other project stakeholders. Coordinating with relevant provincial/district agencies to promptly allocate land for affected people who are subject to compensation in land. Monitoring and supervising updating and implementation of RP. Preparing quarterly report on RP preparation and implementation and submitting RP to MOIT and WB. In the report it also includes resettlement audit of the budget for resettlement allocated and the amount of money disbursed. 43. Provincial People s Committee shall take general responsibilities on resettlement activities within its discretion, including: Ensuring updating of unit prices for individual and communal properties affected by the project to reflect replacement cost, when necessary; Monitoring and giving approval to RP; Guiding preparation and implementation of RP 44. District People s Committee shall take general responsibilities on resettlement activities within its discretion, including: Assigning a district officer updating and implementing RP. Identifying replacement land for affected HH. Assisting in the resolution of complaints and claims. Reviewing RP prior to approval by PPC. 45. The CPC shall take the responsibilities on resettlement activities as below: Assigning commune officer to assist DCARB in preparation and implementation of RP 42

55 Undertaking a single payment for compensation, assistance to AHHs. Identifying land replacement cost for AHHs Signing compensation contract forms with affected people. Assisting in solving complaints and claims. 43

56 VIII. GRIEVANCE REDRESS MECHANISM 46. Grievances related to any aspect of the Dong Van Hydropower project will be handled through negotiation aimed at achieving consensus. Complaints will pass through 3 stages before these could be elevated to a court of law as a last resort. To ensure that all grievances of those affected on any aspect of land acquisition, compensation, relocation, and determination and payment of entitlements are resolved in a timely and satisfactory manner. 47. The affected individuals will be made fully aware of their rights (both verbally and in writing) during consultations and at each phase of the resettlement process. Detailed procedures for hearing and redressing grievances, including appeal processes, will be made public through an effective public information campaign. 48. The APs will also be made aware of the WB s accountability mechanism policy by providing copies of the accountability field guide, which has been translated into Vietnamese. 49. A four-stage procedure for redress of grievances is proposed: Stage 1: Complaints from APs on any aspect of compensation, relocation or unaddressed losses are in the first instance lodged verbally or in written form with the Commune s People s Committee (CPC). The complaint will be discussed in an informal meeting with the APs and the CPC. It will be the responsibility of the CPC to resolve the issue within 15 days from the date the complaint is received. Stage 2: If no agreement or amicable solution can be reached or if no response is received from CPC s related officer within 15 days of filing the complaint, the APs can appeal to the District People s Committee (DPC) in the presence of the district-level Compensation, Assistance and Resettlement Board (CARB) to try to solve within 15 days from the date of receipt the complaint. The APs must lodge the complaint within 30 days of registering the original complaint, and must produce documents that support his/her claim. Stage 3: If the AP is not satisfied with the decision of the DPC or in the absence of any response, the APs can appeal to the Provincial People s Committee (PPC). With consultation provided by the Provincial Resettlement and Compensation Committee (PRCC), PCARB and Provincial Department of Natural Resources and Enevironment (DONRE), Provincial Department of Finance (DOF), PPC will provide a decision on the appeal within 30 days from the day it is received. Stage 4: If the APs are still not satisfied with the decision of PPC on appeal, or in the absence of any response within the stipulated time, the APs as a last resort, may submit his/her case to the Provincial Court. 44

57 50. The procedure described in these four steps complies with the legal process for resolution of complaints and denounce in Viet Nam. However, this system mainly refers to civil disputes between citizens, but not to disputes between citizen and governmental authority. In this view, within internal system of monitoring and evaluation, PMU and PCARB need to records in writing complaints and claims that affected people (APs) have brought forward and final solution on such complaint and claims. In addition, APs shall be exempted every fee relating to administrative and legal procedures. With such complaint and claims, the court also has rights to exempt fees for submission. 51. The External monitoring Agency (EMA) contracted for external monitoring and evaluation will be responsible for checking the procedures for and resolutions of grievances and complaints. The EMA may recommend further measures (if necessary) to be taken to redress unresolved grievances. 45

58 IX. MONITORING AND REPORTING 52. The implementation of resettlement will be monitored regularly to help ensure that the RP is implemented as planned and that mitigating measures designed to address adverse social impacts are adequate and effective. Towards this end, resettlement monitoring will be done by an internal body and by an external organization. A. Internal Monitoring 53. Bai Thuong Hydropower JSC will serve as the Project s internal monitoring body. As such, the It will maintain a file of all data gathered in the field, including a database on the affected households. Its internal monitoring unit will submit a quarterly monitoring report to the PMU starting from the commencement of RP updates, which coincides with the conduct of the detailed measurement survey (DMS) and other RP updating activities. The PMU in turn will include updates on resettlement in its regular Project reports to MOIT and WB. Social monitoring reports will be made available to the affected households and will be submitted to WB for web posting. 54. Internal monitoring and supervision will have the following objectives: Compensation and other entitlements are computed at rates and procedures as provided in the approved RP, with no discrimination according to gender, membership in an ethnic group or other relevant factors; Affected households are paid their compensation and other entitlements as per approved Updated RP, ensuring that all entitlements are delivered as planned and agreed, including compensation in cash or in kind, allowances, replacement land, resettlement sites developed and people moved into them; Public information, public consultation and grievance redress procedures are followed as described in the approved updated RP; Affected public facilities and infrastructure are restored promptly; and; The transition between resettlement and commencement of civil works is smooth and that site is not handed over for civil works until affected households have been satisfactorily compensated, resettled and income restoration programs in place. B. External Monitoring 55. The general objective of the external monitor is to provide a third party periodic review and assessment of: (i) achievement of resettlement objectives; (ii) changes in living standards and livelihoods; (iii) restoration of the economic and social base of the affected people; (iv) effectiveness, impact and sustainability of entitlements and income restoration programs; and (v) the need for further improvement and mitigation measures. Strategic lessons for future policy formulation and planning will also be drawn from the monitoring and evaluation of resettlement. The draft TOR for external monitoring consultant is in Appendix 3 46

59 56. The external monitoring agency or EMA, conducted by an experienced resettlement and social development consultant and selected by PMU (under MOIT). External monitoring, inspection and evaluation will be made on a yearly basis, except for the first stage, it is requested to be made twice/year. All external monitoring reports will be made available to the affected households by placing reports in the commune / ward and field offices and will be uploaded on WB website. 57. The methods for external monitoring and evaluation of land acquisition, compensation and resettlement activities include: Review of Detailed Measurement Survey (DMS): As soon as the detailed design is finalized and staked to the ground by Bai Thuong Hydropower JSC and CARB, data collection from all APs to establish their eligibility and entitlements will be carried out. The data that will be entered into a database to document the following: a) socioeconomic status of affected households; b) nature and extent of losses; and c) entitlements to compensation and other assistance. These data will be made available to the EMA, to enable them to establish a baseline for monitoring and evaluating project benefits. During the conduct of the DMS, the EMA will also monitor the DMS process to determine and assess if DMS activities are being carried out in a participatory and transparent manner Socio-Economic Survey (SES): The SES is designed to provide a clear comparison of the success and/or failure of the resettlement program to restore their livelihoods and living standards. In general, if a lag of 3-5 years or more occurs between census and SES and actual land acquisition, demographic and socio-economic factors may change significantly. In this Project, if land acquisition is not carried out within two years after SES, Bai Thuong Hydropower JSC and CARBs will carry out another SES. A post resettlement survey will also be undertaken by the EMA 6-12 months following completion of resettlement activities. Special attention will be paid to the inclusion of women, ethnic groups, the very poor, the landless and other vulnerable groups, with set questions for women and other target groups; and, the database disaggregates information by gender, vulnerability and ethnicity. Participatory rapid appraisals (PRA): The PRA will involve obtaining information, identifying problems and finding solutions through participatory means including: a) key informant interviews; b) focus group discussions on specific topics such as compensation payment, income restoration and relocation; c) community public meetings to discuss community losses, integration of resettled households in host communities or construction work employment; d) structured direct field observations, for example, of resettlement site development; e) formal and informal interviews with affected households, women, ethnic minority, and other vulnerable groups; and, f) in-depth case studies of problems are identified by internal or external monitoring and required special efforts to resolve Verification of Replacement cost survey: The EMA will also verify whether compensation paid were at replacement cost. A special market study to validate whether the rates used in compensation in land and other non-land assets were at replacement cost will be undertaken. 47

60 58. After being submitted, the EMA reports will be brought out for discussion at meetings between EMA, Bai Thuong Hydropower JSC and CARBs. Necessary remedial actions will be taken and documented. Table IX-1 Monitoring and Evaluation Indicators Type Indicator Examples of Variables Staffing Process Indicators (By district and commune) Output Indicators (By district and commune) Consultation, Participation and Grievance Resolution Procedures in Operation Acquisition of Land Structures Trees and Crops The number of Bai Thuong Hydropower JSC staff and field staff on Project assigned by job function; and The number of other line agency officials available for tasks The number of consultation and participation programs held with various stakeholders; Separate consultation with women (Kinh), female headed households and ethnic minority women; Grievances by type and resolution; The number of field visit by EPMU staff; and The number of local organizations participating in project Review of DMS, including verification/quantification procedures in place and effectiveness of compensation delivery system; The number of land transfer taking effect; and Coordination among Ban Ang Hydropower JSC, relevant provincial departments, and provincial and district officials, Area of productive land assets acquired (crop land, aquaculture ponds, garden land, etc.); Area of residential and other non-agricultural lands acquired; Area of communal/government lands acquired; and Area of other lands acquired. Quantity, type and size of private structures acquired; Quantity, type and size of community structures acquired; and Quantity, type and size of government structures acquired. Quantity and type of private crops and trees acquired; Quantity and type of government/community crops and trees acquired; and Destroyed crops by area, type and The number of owner. 48

61 Type Indicator Examples of Variables Compensation and resettlement The number of household affected (for land, buildings, trees, crops); The number of owner compensated by type of loss; Amount compensated by type and owner; Quantity and amount of allowances paid; The number of replacement houses constructed by concerned owners; The number of replacement business constructed by concerned owners; The number of owner requesting assistance to purchase replacement land, and the number of successful purchase; The number of individual site and levels of development of sites; The number of entitlement delivered; The number of entitlement used by APs; Impact Indicators (by district and commune) Household Earning Capacity Changes to Status of Women Suitability of entitlements to affected households as per RP objectives; The number of non-titled AHH receiving replacement land; and The number of severely affected, very poor or other vulnerable household receiving special assistance and participating in income restoration programs. Employment status of economically active members; Landholding size, area cultivated and production volume, by crop; Selling of cultivation land; Changes to livestock ownership pre- and post disturbance; Changes to income-earning activities (farm and off-farm) pre- and post disturbance; and Amount and balance of income and expenditures. Commune/Village Resettlement Committees include Women s Union and Women from affected households; Involvement of women in the process of preparation of IOL; The number of grievance complaint filed by women and resolution The number of woman (including female headed households and ethnic minority women) negotiated compensation effectively; Joint registration of land in the name of husband and wife; 49

62 Type Indicator Examples of Variables The number of meeting held by women from affected households in planning of livelihood activities; The number of woman engaged in gainful livelihood activities/income earning activities/employment in Industrial zones (including female headed households and ethnic minority women); The number of woman participated in capacity building workshop/ training; The number of woman understand the process of resettlement activities (entitlement, compensation process, etc); The number of woman participated in discussion of resettlement site selection; Participation in commercial enterprises; and Changes to Status of Children Settlement, Community and Population Participation in community decision-making School attendance rates (male/female); and Participation in plant construction. Growth in number and size of settlements; Growth in market areas; Influx of new settlers, including those with and without land rights; Changes in economic activities and income-generation opportunities; and Changes in social, cultural and community conditions. 50

63 X. BUDGET AND FINANCIAL SCHEDULE 59. Total compensation and assistance cost or impacts caused by Bai Thuong Hydropower project construction is VND VND (equal to ,65 USD), including (i) compensation and assistance, (ii) implementation management cost of 2% (iii) contingency cost 10%, (vi) independednt monitoring cost. 60. Total cost of implementation of resettlement plan will be paid by Bai Thuong Hydropower JSC. Table X-1 describes in details compensation costs for impacts caused by the plant. Table X-1 Summary of resettlement costs Items Unit Quantity Unit price (VNĐ) Amount (VNĐ) 1 Compensation cost for crops and trees 124,057,103.2 Annual crops m ,766,865.2 Perennial plants tree ,290,238 Compensation cost for affected architectural 2 objects 212,666,561 Xuan Duong 31,635,535 Tho Thanh 181,031,026 3 Cost for building resettlement houses for 4 HHs 857,555,911 Houses house 4 766,614,411 Compensation for the acquired land for building resettlement house VND 83,920,500 VND VND 7,021,000 Total direct compensation and assistance VND costs 1,194,279,575 4 Implementation Management cost (2%) 23,885, Contingency (10%) 119,427, Independednt monitoring cost ( temporary calculated) 150,000,000 Total resettlement cost ( temporary calculated) 1,487,593,124 51

64 ANNEXES ANNEX 1 TYPES OF AFFECTED LANDS BAI THUONG HYDROPOWER PROJECT ANNEX 2 PROJECT INFORMATION BOOKLET (PIB) ANNEX 3 TOR ANNEX 4 CONSULTATION MEETING MINUTES ANNEX 5 SOME PHOTOS OF CONSULTATION MEETINGS

65 ANNEX 1 TYPES OF AFFECTED LANDS BAI THUONG HYDROPOWER PROJECT TT Hạng mục Tổng diện tích BAH 1 Đất bị ảnh hưởng vĩnh viễn Đất BHK 1.1 Khu vực kênh dẫn, nhà máy, kênh xả Khu vực nhà QLVH và trạm PP, đường nội bộ Khu vực đường thi công QLVH Đất bị ảnh hưởng tạm thời Khu phụ trợ, lán trại, khu sản xuất Bãi trữ đất đá đào tận dụng Đất LUC Tổng 29, Đất DGT Đất TSC Đất LNK Đất BCS Đất CQP Đất SON Đất DTL 53

66 ANNEX 2 PROJECT INFORMATION BOOKLET (PIB) MINISTRY OF INDUSTRY AND TRADE BAI THUONG HYDROPOWER JOINT STOCK COMPANY SOCIALIST REPUBLIC OF VIETNAM Independence Freedom - Happiness PROJECT INFORMATION BOOKLET BAI THUONG HYDROPOWER PROJECT Thanh Hoa province Introduction to Bai Thuong Hydropower Project The general objective of the Renewable Energy Development Project (REDP) is to increase the supply of least-cost electricity to the national grid from renewable energy sources on a commercially sustainable basis in an environmentally and socially sustainable manner. Bai Thuong Hydropower Plant is planned to be implemented at left shoulder downstream of Bai Thuong Dam which was built, and 40km from the middle of the dam. The hydropower plant is located in Xuan Duong Commune, Thuong Xuan District, Thanh Hoa Province. Bai Thuong is hydropower plant after dam, utilize the built dam (do not built new dam) and only use the flow after watering to generate. Bai Thuong Hydropower Plant will generate to supply national grid electricity with installed capacity of N = 6MW, ensured capacity of 2,24MW, annual average electricity output Eo = 24,7 million kwh. Bai Thuong cluster headwork which was built consists of: the dam with 167m in length, dam crest elevation of +17.2m, the structure is made of crete and steel. The energy line consists of 2 parts, the first part starts from Bai Thuong dam is 15m in length, mainly horizontal canal with small slope. The next part is called the forwarding part which connect directly to water intake and use as horizontal spillaway with the length of 19.4m. The water intakle is close to the plant, intake the water directly to turbine; the intake is 9.8m in length. The hydropower plant has installed capacity of 6 MW, 2 capsun turbine units, calculated water column is Htt = 6m. The main project components of Bai Thuong Hydropower Plant include (i) reservoir on Chu river with capacity of 7.6 million m3; (ii) The cluster headwork (Bai Thuong dam was built) is designed with all works including concrete dam, main spillway dam; sub-spillaway dam, water intake, sand dícharger; (iii) Bai Thuong new construction parts include: collecting water and horizontal-spillaway canal, water intake, hydro power planr and discharge canal, distribution station. Auxiliary facilities include distribution station, management and operation office, road for manage and operate, temporary roads for construction, camp, office producing base, parking area, waste area, storing area... The power is supplied fromt available grid electricity of 35kV. Water for daily activities and production is planned to be supplied from Chu river. The temporary occupied land area is 13,050 ha. Construction project shall be in 2.5 years ( ) including last 6 months of

67 for preparation and construction commencement is expected to be in December 2014 and completed in May Bai Thuong Hydropower JSC will be main responsible for constructing and managing to operate the Project. The implementation budget for this construction will be financed by World Bank (WB). Table 1 - Implementing Progress of RP Activities Implementation schedule Information dissemination and public consultation 11/ /2014 Preparing RP 12/ /2015 Submission of RP 02/2015 Approval of RP 03/2015 Information dissemination after RP has been approved 04/2015 Payment of compensation and assistance 01-03/2015 Monitoring and evaluation 1/2015-5/2017 Implementation of construction 12/ /2017 Scope of land and asset acquisition for the project. During the process of inventory of loss (IOL) in November and December 2014, m 2 acquired land is permanently affected, m 2 acquired land is temporarily affected under management of Xuan Duong and Tho Thanh Communes. There is no land of household being acquired permanently, only one household in Tho Thanh Commune has temporarily acquired land, this area will be returned after finishing the project. What will happen to AHs with the damaged assets and livelihood income? People affected by the project will be compensated in cash at replacement cost for land and assets on land (such as houses, trees, crops...) and other assistances, including assistance for livelihood restoration depending on the severity of impacts. What are entitlements of project affected households? After considering the factors affect on the market value, replacement cost calculated for the compensation of land and property on the ground, PPC of Thanh Hoa province issued the Decision No.4545/2014/QĐ-UBND dated 18 December 2014 by Thanh Hoa An PPC on promulgating price of types of land in the provincial area in

68 Table 3 Summary of entitlements of the project No. Type of impacts Policy Loss of Income/Livelihood due to loss of productive land Loss of house and have to relocate Loss of income source due to business interruption Assistance for life stabilization and job creation Support equivalent 5 times of agricultural land price of recovered agricultural land not depend on the percentage of land acquisition (Supported area does not exceed the land allocation quota of local) Also, additional assistance for AHs as follows: losing from 30% to 70% of total area of agricultural land: 30 kg of rice per person per month for 6 months if not relocating and 30 kg of rice per person per month for 24 months if relocating; Losing more than 70% of total area of agricultural land: 30 kg of rice per person per month for 12 months if not relocating and 30 kg of rice per person per month for 236 months if relocating. In the case of compensation land for land. With AHs compensated in land, assistance for production will be 5,000,000 VND/peson under working age; for household with members, each person will be assisted plus 2,000,000 VND from the second member. Assistance for transporting materials Moving within a province, not more than 20km: support with 3,000,000 VND/HH Moving within a province, distance more than 20km: support with 5,000,000 VND/HH Moving to the other provinces: if northern provinces, support with 8,000,000 VND/HH; if central and southern provinces, support with 10,000,000 VND/HH. Assistance for renting house Cash assistance as follows: (i) HHs with less than 5 members: 800,000 VND/month; (ii) HHs with more than 5 members: 1,000,000 VND/month; and HHs with single person: 600,000 VND/month. Time of assistance: from handing over their acquired land to the Client until receiving land for resettlement. Assistance for tenants Transportation allowance with 2,000,000 VND/HH and cash assistance for life stabilization equivalent 30kg rice/person/month during 3 months. Economic organizations, households with registered business have been interrupted, assistance with 30% of income after tax according to average income in previous 03 years will be provided. 56

69 No. Type of impacts Policy 4 Assistance for vulnerable groups Local policies for families entitled to social assistance when the State recovers land and they have to relocate: Those who participated in Revolution for Independence before 1945, Military Hero, Vietnamese Hero Mothers, Labor Hero, relatives of military martyr who are receiving monthly social allowance, wounded or disabled soldier, and those ones who receive social assistance similar to war disable persons losing more than 81% human working capacity will be supported 5,000,000 VND/house user; Wounded soldiers, sick soldiers, and those entitled to policies as for wounded and sick soldiers with labor capability loss of from 61% to 80% will be supported 4,000,000 VND/house user; Wounded soldiers, sick soldiers, and those entitled to policies as for wounded and sick soldiers with labor capability loss of from 41% to 60% will be supported 3,000,000 VND/house user; Wounded soldiers, sick soldiers, and those entitled to policies as for wounded and sick soldiers with labor capability loss of from 21% to 40% will be supported 2,000,000 VND/house user Those who award a Resistance Medal - first class; Medal of Victory - First class will be supported 1,000,000 VND/house user; Households entitled to the State s social allowance policies will be supported VND/HH. Assistance policy of the project: (i) Assistance for changing job (work at the factory) and (ii) income restoration in the form of training on farming techniques. Complaints and grievance redress mechanism. The complaint related to any issue of the Bai Thuong Hydropower will be resolved through negotiation to reach consensus, all complaints should be passed 3 steps before elevating to the court: (i) Stage 1: Complaints from APs for the first time shall be lodged verbally or in written form with the resettlement officials of CPC. The resettlement officials of CPC and Task force on resettlement will try to resolve the issue within 15 days from the date the complaint is received. (ii) Stage 2: If no understanding or amicable solution can be reached or if no response is received from the grievance committee within 15 days from filing the complaint, the APs can elevate the case to the DPC or District Compensation Committee. It is expected to respond within 15 days upon receiving the APs appeal. APs should bring his/her complaints within 30 days from the date of initial registration and give the documents to prove their claims. (iii) Stage 3: If the AP is not satisfied with the decision of the DPC, or in the absence of any response, the APs can appeal to the PPC. With the assistance of the Compensation and Resettlement Committee, the Provincial Compensation Committee and Department of Natural Resources and Environment, Department of Finance, the PPC will issue a decision on the appeal within 30 days from the day the complaint is received. (iv) 57

70 Stage 4: If the AP is still not satisfied with the decision of the PPC or in the absence of any response within the stipulated time, the APs, as a last resort may submit his/her case to the provincial court. Where can AHs find more information related to resettlement? Summary of Resettlement plan, the detailed entitlements of the project, compensation unit posted on mass media of CPC, DPC and Bai Thuong Hydropower JSC. Where can AHs find more information related to resettlement? Mr/Ms. Position Tel (Representatives of Thuong Xuan DCARB). Mr/Ms.. Position.Tel. (Representatives of Bai Thuong Hydropower JSC). 58

71 ANNEX 3 TERMS OF REFERENCE FOR INDEPENDENT RESETTLEMENT MONITORING CONSULTANT I. Introduction 61. The general objective of the Renewable Energy Development Project (REDP) is to increase the supply of least-cost electricity to the national grid from renewable energy sources on a commercially sustainable basis in an environmentally and socially sustainable manner. Bai Thuong Hydropower Plant is planned to be implemented at left shoulder downstream of Bai Thuong Dam which was built, and 40km from the middle of the dam. The hydropower plant is located in Xuan Duong Commune, Thuong Xuan District, Thanh Hoa Province. Bai Thuong is hydropower plant after dam, utilize the built dam (do not built new dam) and only use the flow after watering to generate. Bai Thuong Hydropower Plant will generate to supply national grid electricity with installed capacity of N = 6MW, ensured capacity of 2,24MW, annual average electricity output Eo = 24,7 million kwh. 62. Bai Thuong cluster headwork which was built consists of: the dam with 167m in length, dam crest elevation of +17.2m, the structure is made of crete and steel. The energy line consists of 2 parts, the first part starts from Bai Thuong dam is 15m in length, mainly horizontal canal with small slope. The next part is called the forwarding part which connect directly to water intake and use as horizontal spillaway with the length of 19.4m. The water intakle is close to the plant, intake the water directly to turbine; the intake is 9.8m in length. The hydropower plant has installed capacity of 6 MW, 2 capsun turbine units, calculated water column is Htt = 6m. 63. The main project components of Bai Thuong Hydropower Plant include (i) reservoir on Chu river with capacity of 7.6 million m3; (ii) The cluster headwork (Bai Thuong dam was built) is designed with all works including concrete dam, main spillway dam; sub-spillaway dam, water intake, sand dícharger; (iii) Bai Thuong new construction parts include: collecting water and horizontal-spillaway canal, water intake, hydro power planr and discharge canal, distribution station. 64. Auxiliary facilities include distribution station, management and operation office, road for manage and operate, temporary roads for construction, camp, office producing base, parking area, waste area, storing area... The power is supplied fromt available grid electricity of 35kV. Water for daily activities and production is planned to be supplied from Chu river. The temporary occupied land area is 13,050 ha. 65. The Resettlement Plan and the Ethnic Minorities Development Plan have been prepared as requirements of WB to aim: (i) Involuntary resettlement must be avoided where possible, or be reduced to the lowest possible extent by selecting appropriate design options. Where involuntary resettlement is unavoidable, the resettlement activities must be prepared and executed with sustainable development programs and sufficiently provided investment supports, enabling displaced people to benefit from the subproject. The displaced people will be fully consulted and allowed to participate in preparing and implementing activities of Resettlement Plan; (ii) ensure that negative and positive impacts have been considered, and relevant measures have also been proposed to eliminate risks or highly mitigate the impacts of the project on the lives and culture of the ethnic minority at affected areas. II. Objectives 59

72 1. General objectives of External Monitoring Agency (EMA) are to provide the third party with information and periodic assessment reports with: (i) Resettlement activities include: - Achievement of resettlement objectives; - Changes in living standards and livelihoods; - Restoration of the economic and social base of the affected people; - The effectiveness, impact and sustainability of entitlements and income restoration programs; the needs for further improvement and mitigation measures; and - Strategic lessons for future policy formulation and planning will also be drawn from the monitoring and evaluation of resettlement (ii) Issues related to ethnic minorities development such as: - Implementing the proposed measures to minimize the negative impact; - The other negative impacts on EM that have not been evaluated or have not yet identified mitigation measures. - Implementing assistances for developing the local EM community; - Information has been provided fully or not, the consultation process with ethnic minority people has been implemented or not and if even, was it effective? - The process of grievance redresses of ethnic minority people for EMDP and other issues that they have to face. III. Approach methods 2. The methods for external monitoring and evaluation of land acquisition, compensation and resettlement and EM development activities include: - Review of Detailed Measurement Survey (DMS): As soon as the detailed design is finalized and staked to the ground by Bai Thuong Hydropower JSC and CARB, data collection from all APs to establish their eligibility and entitlements will be carried out. The data that will be entered into a database to document the following: a) socio-economic status of affected households; b) nature and extent of losses; and c) entitlements to compensation and other assistance. These data will be made available to the EMA, to enable them to establish a baseline for monitoring and evaluating project benefits. During the conduct of the DMS, the EMA will also monitor the DMS process to determine and assess if DMS activities are being carried out in a participatory and transparent manner. - Socio-Economic Survey (SES): The SES is designed to provide a clear comparison of the success and/or failure of the resettlement program to restore their livelihoods and living standards. In general, if a lag of 3-5 years or more occurs between census and SES and actual land acquisition, demographic and socio-economic factors may change significantly. In this Project, if land acquisition is not carried out within two years after SES, Bai Thuong Hydropower JSC and CARBs will carry out another SES. A post resettlement survey will also be undertaken by the EMA 6-12 months following completion of resettlement activities. Special attention will be paid to the inclusion of women, ethnic groups, the very poor, the landless and other vulnerable groups, with set questions for 60

73 women and other target groups; and, the database disaggregates information by gender, vulnerability and ethnicity. - Participatory rapid appraisals (PRA): The PRA will involve obtaining information, identifying problems and finding solutions through participatory means including: a) key informant interviews; b) focus group discussions on specific topics such as compensation payment, income restoration and relocation; c) community public meetings to discuss community losses, integration of resettled households in host communities or construction work employment; d) structured direct field observations, for example, of resettlement site development; e) formal and informal interviews with affected households, women, ethnic minority, and other vulnerable groups; and, f) in-depth case studies of problems are identified by internal or external monitoring and required special efforts to resolve. - Verification of Replacement cost survey: The EMA will also verify whether compensation paid were at replacement cost. A special market study to validate whether the rates used in compensation in land and other non-land assets were at replacement cost will be undertaken. IV. Requirements for External Monitoring Agency (EMA) 3. EMA will be an experienced resettlement and social or ethnic minority development consultant. EMA has been established from experienced specialists on resettlement, social and ethnic minority development monitoring for projects funded by ADB, WB, and JICA. They have a University or Master degree (in social sciences or related fields), at least 5 years experience in in the preparation and implementation of RP, EMDP and fluency in spoken and written English. V. Reporting 4. External monitoring, inspection and evaluation reports will be made on yearly basis, except for the first stage, it is requested to be made twice/year. All external monitoring reports will be made available to the affected households by placing reports in the commune/ward and field offices and will be uploaded on WB website. Table 1 and Table 2 describes monitoring and evaluation indicators during RP and EMDP implementing phase. Table 1 Monitoring and Evaluation Indicators on implementing RP Type Indicator Examples of Variables Process Indicators (By district and commune) Staffing Number of Bai Thuong Hydropower JSC and field staff on Project, by job function; and Number of other line agency officials available for tasks 61

74 Type Indicator Examples of Variables Output Indicators (By district and commune) Consultation, Participation and Grievance Resolution Procedures in Operation Acquisition of Land Structures Trees and Crops Number of consultation and participation programs held with various stakeholders; Separate consultation with women (Kinh), female headed households and ethnic minority women; Grievances by type and resolution; Number of field visits by EPMU staff; and Number of local organizations participating in project Review of DMS including verification/quantification procedures in place and effectiveness of compensation delivery system; Number of land transfers effected; and Coordination among Bai Thuong Hydropower JSC, relevant provincial departments, and provincial and district officials, Area of productive land assets acquired (crop land, aquaculture ponds, garden land, etc.); Area of residential and other non-agricultural lands acquired; Area of communal/government lands acquired; and Area of other lands acquired. Number, type and size of private structures acquired; Number, type and size of community structures acquired; and Number, type and size of government structures acquired. Number and type of private crops and trees acquired; Number and type of government/community crops and trees acquired; and Crops destroyed by area, type and number of owners. 62

75 Type Indicator Examples of Variables Compensation and resettlement Number of households affected (for land, buildings, trees, crops); Number of owners compensated by type of loss; Amount compensated by type and owner; Number and amount of allowances paid; Number of replacement houses constructed by concerned owners; Number of replacement businesses constructed by concerned owners; Number of owners requesting assistance to purchase replacement land, and number of purchases effected; Number of individual sites and levels of development of sites; Number of entitlements delivered; Number of entitlements used by APs; Suitability of entitlements to affected households as per RP objectives; Number of non-titled AHHs receiving replacement land; and Number of severely affected, very poor or other vulnerable households receiving special assistance and participating in income restoration programs. Impact Indicators (by district and commune) Household Earning Capacity Employment status of economically active members; Landholding size, area cultivated and production volume, by crop; Selling of cultivation land; Changes to livestock ownership pre- and post disturbance; Changes to income-earning activities (farm and offfarm) pre- and post disturbance; and Amount and balances of income and expenditures. 63

76 Type Indicator Examples of Variables Changes to Status of Women Changes to Status of Children Settlement, Community and Population Commune/Village Resettlement Committees include Women s Union and Women from affected households; Involvement of women in the process of preparation of IOL; Number of grievance complaint filed by women and resolution Number of women (including female headed households and ethnic minority women) negotiated compensation effectively; Joint registration of land in the name of husband and wife; Number of meetings held by women from affected households in planning of livelihood activities; Number of women engaged in gainful livelihood activities/income earning activities/employment in Industrial zones (including female headed households and ethnic minority women); Number of women participated in capacity building workshop/ training; Number of women understand the process of resettlement activities ( entitlement, compensation process, etc); Number of women participated in discussion of resettlement site selection; Participation in commercial enterprises; and Participation in community decision-making School attendance rates (male/female); and Participation in project construction. Growth in number and size of settlements; Growth in market areas; Influx of new settlers, including those with and without land rights; Changes in economic activities and income-generation opportunities; and Changes in social, cultural and community conditions. Table 2 Monitoring and Evaluation Indicators on implementing EMDP Monitoring and Evaluation Issues Basic indicators 64

77 Monitoring and Evaluation Issues 1. The progress of EMDP implementation 2. Implementing community consultations and local people s participation 3. Implementation of measures to mitigate negate impacts from the facility. 4. Implementation of specific developmental interventions for local ethnic minority people Basic indicators - The plan has been shared with the community. - The plan is in line with the implementation conditions of ethnic minority people and is joined with them. - The plan is relevant to the progress of other activities. - Adequate human resources available to implement the plan. - Sufficient funding for implementing the plan. - Local EM community, commune authorities and village leaderships and mass organizations are provided sufficient information on EMDP, implementation plan and grievance mechanisms. - Local EM community, commune authorities and village leaderships and mass organizations are involved in relevant activities, especially monitoring the implementation of EMDP. - All measures for mitigating negative impacts from the facility are effectively implemented. - There are no additional negative impacts arising from the facility, and if otherwise, there must be a community consultation on mitigation measures and implementation of the same. - Various sectors and branches effectively collaborate in implementing measures to mitigate negative impacts from the facility. - All activities that support the EM development as set out in the EMDP are implemented effectively. - Various sectors and branches effectively collaborate in implementing interventions for community development. 5. Grievance Mechanisms - Ethnic minority community has a clear understanding of the grievance mechanism. - District Resettlement Compensation Committee, commune-level social organizations and commune people s committee have a clear understanding of grievance mechanism and are able to assist EM people to implement such mechanisms. 65

78 66

79 ANNEX 4 CONSULTATION MEETING MINUTES 67

80 68

81 69

82 70

83 71

84 72

85 73

86 74

87 75

88 76

89 ANNEX 5 SOME PHOTOS OF CONSULTATION MEETINGS Consultation with the leaders of Tho Thanh commune CPC Headquarters of Tho Thanh commune Consultation with the leaders of Xuan Dương commune CPC Headquarters of Xuan Duong commune 77