RESETTLEMENT PLAN (RP)

Transcription

1 Public Disclosure Authorized RESETTLEMENT PLAN (RP) SFG2158 V4 Public Disclosure Authorized Type of document: Resettlement plan (RP) Public Disclosure Authorized SON TAY HYDROPOWER PLANT INVESTMENT & CONSTRUCTION PROJECT In Son Tay Ditrict Quang Ngai Province Public Disclosure Authorized Quang Ngai SOVICO Energy One Member Limited 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 DEFINITION OF TERMS ii

3 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. 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 iii

4 (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 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 iv

5 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 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. v

6 INDEX EXECUTIVE SUMMARY... ix I. GENERAL INTRODUCTION... 1 A. Overview of Renewable Energy Development Project... 1 B. Son Tay Hydropower Plant... 2 D. Measures to be taken for mitigating impacts caused by the works... 7 II. IMPACT AREA OF SON TAY HYDROPOWER PLANT A. Impacts on land B. Impacts on Crops and Trees C. Impacts on works and architectural objects D. Impacts on income and livelihood III. SOCIO-ECONOMIC INFORMATION OF AFFECTED COMMUNITY A. General socio-economic characteristics in project area C. Gender, gender equality B. Public consultation and participation C. Results of information dissemination and Public consultation A. Policy requirements of WB B. Vietnam policy framework C. Regulations on compensation, assistance and resettlement by the local authority V. RESETTLEMENT, COMPENSATION AND ASSISTANCE STRATEGY A. Legal basis for calculating compensation prices VI. INSTITUTION ARRANGEMENT AND IMPLEMENTATION SCHEDULE A. Implementation schedule B. Institutional arrangements VII. GRIEVANCE REDRESS MECHANISM VIII. MONITORING AND REPORTING A. Internal Monitoring B. External Monitoring IX. BUDGET AND FINANCIAL SCHEDULE vi

7 LIST OF TABLES Table I-1 Work items and key parameters of Son Tay Hydropower Plant... 3 Table I-2 Result of selecting alignment alternatives for the work... 8 Table II-1 Land area occupied by Son Tay Hydropower Plant Table II-2 Information about vulnerable HHs Table III-1 AHHs are ethnic minorities in Social-Economic survey Table III-2 Education level of surveyed HHs in affected communes Table III-3 Monthly average income of surveyed HHs Table III-4 Average Expenditure Rate of Surveyed HHs (%) Table III-5 General information on gender rate in the affected communes Table V-1 Total conpensation for AHHs Table V-2 Compensation for affected trees, crops Table V-3 Total cost of assistance for AHHs Table VI-1 Implemenation schedule for entire project Table VIII-1 Monitoring and Evaluation Indicators Table IX-1 Summary of resettlement costs vii

8 ANNEXES ANNEX 1 LIST OF AHS ANNEX 2 PROJECT INFORMATION BOOKLET (PIB) ANNEX 3 TERMS OF REFERENCE ANNEX 4 CONSULTATION MEETING MINUTES AND LIST OF ATTENDEES ANNEX 5 SOME PHOTOS OF CONSULTATION MEETINGS viii

9 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. Son Tay Hydropower Plant is built on Darkdrinh river,level-1 tributary of Tra Khuc river, flows from the Southwest to Northeast, the bedriver slope is high, the terrain is totally mountainous, the vegetation cover is mainly primary forest and regenerating forest. Son Tay Hydropower Plant will generate to supply national grid electricity with installed capacity of 18MW. 2. Son Tay Hydropowerplant is located in Son Mua, Son Tan and Son Dung Communes, Quang Ngai Province. It is far 3km away from Son Tay center, far 60 km away from Quang Ngai city in the West, next to roads and there are natural conditions which facilitate the construction. The main objective of Son Tay Hydropower Plant is to supply electricity to the local and connect to national grid electricity, give contribution to increase industrial output of the province, create jobs for people, businesses and the area. With the capacity of 18MW, anually, Son Tay Hydropower Plant will supply national grid electricity with around 72, kwh. Besides, the hydropower plant plays an important role in local economic development and landscape. 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 4. Son Tay Hydropower Plant will occupy m2 of land belonging to 131 households in three communes Son Dung, Son Mua and Son Tan. Compensation plan for the loss caused by Son Tay Hydropower Plant will be implemented as follow: the compensation will be comliant to the unit prive of Quang Ngai Provincial People s Comittee. Good deployment of the compensation plan will give positive contribution in minimizing social-economic impact of the project. General Social-Economic characteristics 5. Social-economic survey on the area and AHHs was carried out in July and August The survey has shown that the main livehood of local people is argriculture. 6. Regarding infrastructure, social and education services, the poverty reduction programs and policies of the Government, such as the program 134, 135, 30A... as well as benefits from former hydropower plants (Dakdring 1 Hydropower Plant, Dakdring 2, Dak Ba Hydropower Plant...) have attracted more investment in ix

10 agricultural production as well as infrastructure for households, so that infrastructure has also improved markedly in recent years, ethnic minorities in the project area have been using the grid electricity, radio... Information dissemination and public consultation 7. A lot of public consultation meetings, discussions with stakeholders, especially local governmental authority and affected people were held in July, August 2014 to disseminate to them sufficient information relating to the project and its activities 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. 8. Public consultation meetings have been organized in 3 communes Son Mua, Son Tan, Son Ding in Son Tay District, with total 115 participants including local officers and heads of households. 9. 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 10. Son Tay 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. 11. 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 12. Construction project shall be in 2.5 years ( ) including last 6 months of 2015 for preparation and construction commencement is expected to be in October 2015 and completed in December Quang Ngai Sovico Energy One Member Limited Company is responsible for all project implementation components, including preparing and implementing RP as x

11 well as monitoring, evaluating this RP. Being as a project implementation agency, Quang Ngai Sovico Company will have following main responsibilities: (i) updating and implementing RP in coordination with related people s committees at levels and 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. Grievance Mechanism 14. 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 15. Quang Ngai Sovico Energy One Member Limited Company shall provide the services of an independent internal monitoring agency who will collect and record entire site documents, including the database on affected HH and submit quarterly reports to the project management Unit (MOIT) and WB. 16. 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. 17. 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, Quang Ngai Sovico 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 18. The total estimated cost of compensation and assistance against impacts caused by construction of Son Tay Hydropower Plant is 5,390,925,721 VND (equal to 256,711 USD. Implementation cost shall be paid by Quang Ngai Sovico Energy One Member Limited Company xi

12 I. GENERAL INTRODUCTION A. Overview of Renewable Energy Development Project 19. 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. 20. 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

13 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. Son Tay Hydropower Plant 1. Legal base 21. Son Tay Hydropower Plant construction investment project is one of the projects in the "Plan for electricity development in Quang Ngai province period with a vision to 2020" dated 07/12/2007, issued by Quang Ngai Provincial People's Committee with Decision No. 2848/QD-Committee approving plan on small hydropower plants in Quang Ngai province. 22. Decision No. 677/QD-Committee of Quang Ngai province dated 14th March 2007 approving Bac Ha Investment Joint Stock Company to survey and set up Son Tay Hydropower Plant investment project. 23. Pursuant to Decision No. 80/2009/QD-HDQT on 02 March 2009 of Board of Directors, Bac Ha Investment Joint Stock Company on the establishment of a member Quang Ngai Sovico Energy Limited Company who directly manage, invest in the construction and manage operation of Son Tay Hydropower Plant. 24. Based on the report of Investment Project - Preliminary Design of Son Tay Hydropower Plant on Dakdrinh river made by Power Engineering Consulting 1 Joint Stock Company in October Based on the survey documents of Consulting &Construction 23 Limited Company. 26. Based on the intermediate report made by Song Da - Ucrin Consulting and Construction Co., Ltd. in May 2010 on improving normal water level of Son Tay reservoir to m because reservoir volume is different from the investment project. 27. Decision No. 4404/QD-BCT dated 3rd August 2012 of Ministry of Trade and Industry approving the plan for power development in Quang Ngai province in period with a vision to Characteristics of the plant 28. Position of Son Tay Hydropower Plant was studied and approved in Additional Planning of Hydropower System on Dakdrinh River, Quang Ngai Province, this is a plant at the middle of two hydropower plants Dakdrinh 1 (now is Dakdrinh Hydropower Plant) and Dakdrinh 2 (had been planned, not built yet) in order to utilize the remaining 2

14 unexploited catchment of Dakdrinh hydropower plant (the works of Son Tay hydropower plant are all in energy route of Dakdrinh hydropower plant). 29. Son Tay hydropower plant is supplied water from two reservoirs: (i) the first reservoir is catchment of major dam (the main water supply regulated by day and night) and (ii) the second reservoir is catchment of sub-dam (no capacity regulated by day and night). The total catchment area to dam system of Son Tay Hydro Power Plant is 186,0km2, in which the second reservoir cluster has catchment area of 8,0km2 and catchment area of the first reservoir cluster is 178,0km The whole proposed project includes two main components: the cluster headwork (dam, spillaway dam, water intake, sand discharger, sub-dam, water transfer channel) and energy route (collecting water channel,water intake, connecting concrete pipe, tunnel, surge tank, penstock, plant, discharge channel. Pressure boosting station and operational management buildings). 31. The operational buildings of Son Tay hydropower plant is only considered at a sufficient size to serve operational personnel, with some items allocated as follows: (i) 2- storey center management building. The structure is tempered wall with 220mm brick and concrete floor. The center building is near the plant and transformer station, this can ensure operational management is facilitated; (ii) houses for staffs are in the area with enough space for the daily needs of about 15 people (iii) the scale of operational management building for pressure is large enough for 1-2 staffs working 24/24 hours a day; (iv) the scale of operational management building of cluster headwork is enough for 1-2 staffs working 24/24 hours a day. 32. Currently, in the area of Son Tay Hydropower Plant, Dak Drinh 1 hydropower plant - far 500m away from Son Tay Hydropower Plant - is being built. Son Tay hydropower plant with capacity of 18MW is expected to connect to the national grid by 110kV line through 110kV transfomer station of Dakrinh 1 hydropower plant. Under this option, the 110kV line with AC-185/29 cables and length of 15km will be built from Son Tay Son Hydropower Plant and connect to the 110kV transformer station of DakDrinh 1 hydropower plant. Dak Drinh 1 will connect National grid by 220 kv double-circuit line, with length of about 15km to Son Ha 110/220k transfomer station. Connection option for Son Tay hydropower plant is record and made in a separate contract and has submitted the competent authority for approval. Table I-1 Work items and key parameters of Son Tay Hydropower Plant No. Parameter Unit Specification (1) (2) (3) (4) I Work level level III II Catchment 1 Catchment area F lv km Average rainfall over years X 0 mm

15 III 3 Evaporation loss DZ mm Flow module M 0 l/s/km Average annual flow Q 0 m 3 /s Total annual flow volume W m Reservoir Annual monitoring flood water level P = 0.2% m Design flood water level P = 1% m Normal water level MNDBT m Dead water level MNC m Total capaciy W tb 10 3 m Useful capacity W hi 10 3 m Dead capacity Wc 10 3 m Area responding to MNDBT, F MNDBT km IV Output 1 Output ensure flow Q đb d/c 85% m 3 /s Highest output through the plant Q Tmax m 3 /s Highest output through a turbine Q min 1 tổ m 3 /s Output of flood crest responding to consequency - P = 0.2%. monitoring flood m 3 /s P = 1%. design flood m 3 /s P = 10% m 3 /s V Water column 1 Largest water column H max m Calculated water column H tt m Smallest warter column H min m VI Capacity, electricity consumption 1 Installed capacity N lm MW Ensured capacity N đb MW Annual average electricity consumption E 0 tr.kwh The number of hour using installed capacity HsdNlm giờ VII Scale of main works 1 Righ dam 4

16 - Dam structure BTTL - Crest elevation m Top dam length L m Top dam width B m Left dam - Dam structure BTTL - Crest elevation m Top dam length L m Top dam width B m Spillaway dam for flood discharge - Dam structure BTTL - The number of spillaway chamber, n khoang Width of spillaway chamber m Spillaway crest elevation m Max dam height, H đ m Flood discharge flow with design P 1% m 3 /s Biggest water column before spilling with P 1% m discharge flow responding to monitoring flood P 0,2% m 3 /s Biggest water column before spilling with P 0,2% m Water intake - Elevation m Crest elevation m Bottom elevation m Dimensions BxH m 3.0x3.0 - Design flow, Q tk m 3 /s Concrete pipe connects to tunnel - Length of concrete pipe m Dimensions of concrete pipe m 3x3 6 Collecting water tunnel - Length of tunnel m Diameter of tunnel m Slope of tunnel % Sub-tunnel 5

17 - Length of tunnel m Diameter of tunnel m Slope of tunnel % Surge tank - Crest elevation m Bottom elevation m Dimensions of tank m Penstock - Length m Dimension m Hydropower plant - Max catchment water level responding to monitoring flood m Catchment water level of working plant with Q 0,5 tổ máy m The number of turbine turbine Type of turbin Francis - Impeller diameter D1 m Installation floor elevation m Floor elevation for turbine m Size of the turbine room AxB m x m 21,3 x 24,4 10 Discharge channel - Width of bottom channel m Slope of channel % Length of channel m VIII Sub-headwork 1 Sub-dam - Dam structure BTCT - Crest elevation m Max dam height, H đ m Top dam length, L m Top dam width, B m Water transferring channel - Width of bottom channel m Length of channel m Slope of channel %

18 - Design flow, Q tk m 3 /s 1.20 IX Total investment 1 Investment capital excluding loan with interest 10 9 đ Total investment amount 10 9 đ X Financial and economic target 1 Economic target - B/C NPV 10 9 đ EIRR % Financial target - Mobilizing interest rate for local currency %/year B/C NPV 10 9 đ FIRR % Payback time T hv year C. Objectives of Resettlement Plan 33. 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. 34. 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 35. In order to avoid involuntary resettlement or to minimize impacts caused by the works, there are two alternatives of alignment proposed during survey and study for construction of Son Tay Hydropower Plant. After careful analysis of economic efficiency in which analysis and comparison of the impact area of these two alternatives were included, alternative 1 was highly agreed and selected for construction of the plant. With this alternative, impact scale shall not be significant to communities who are living in the 7

19 project area. This alternative does not affect significantly to the local people s lives and production and especially, none of the households are subject to displace as a result of land acquisition for the hydropower plant construction. Table I-2 Result of selecting alignment alternatives for the work Specification Unit Comparison between MNDBT and MNC 183,5 m 192,0 m 192,5 m 193,0 m MNDBT m 183, ,5 193 MNC m Wtb 10 3 m 3 151,0 506,0 535,0 565,0 Whi 10 3 m 3 39,0 394,0 397,0 401,0 Wch 10 3 m 3 112,0 112,0 138,0 164,0 Qmax m 3 /s 22,46 22,46 22,20 21,96 Hmax m 116,8 116,8 117,8 118,8 Htb m 110,2 110,2 111,2 112,2 Htt m 96,1 96,1 97,1 98,1 Hmin m 94,9 94,9 96,0 97,1 Nlm MW Nđb MW 2,78 2,90 2,92 2,94 Enam 10 6 kwh 59,20 72,39 72,85 73,23 HsdNlm giờ Qxa m 3 /s 6,29 6,29 6,33 6,38 Qđb m 3 /s 3,15 3,15 3,15 3,15 Qo m 3 /s 15,53 15,53 15,53 15,53 ẹ đáy sông NMTĐ m 73,58 73,58 73,58 73,58 Fmh km 2 0,03 0,06 0,06 0,06 Average power price under TT 05/2011/TT- BCT & QĐ 66/QĐ- ĐTĐL đồng/ kwh 727,6 916,0 916,0 916,0 Total capital 10 9 VND 368,98 404,14 406,23 409,74 NPV 10 9 VND -7,22 131,07 132,30 131,78 EIRR % 9,74 14,08 14,10 14,05 B/C - 0,977 1,380 1,382 1,377 NPV/K - -0,020 0,324 0,326 0,322 8

20 Specification Recommendation Unit Comparison between MNDBT and MNC 183,5 m 192,0 m 192,5 m 193,0 m selected 36. In addition, Quang Ngai Sovico Energy One Member Limited Company and the local governmental authority shall be surely responsible for land acquisition, affected properties, payment for compensation, assistance to the affected HHs, except for activities for long-term development, and have to complete this before issuance of Notice To Proceed (NTP) for hydropower plant construction commencement. 9

21 II. IMPACT AREA OF SON TAY HYDROPOWER PLANT 37. Measures to minimize permanent affected land area have been studied and calculated by the investor of Son Tay Hydropower Plant when selecting the best alternative. 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; Lowering retention water level to reduce flooded area. Work components are constructed far away from community areas and HH s caltivated areas. Aslo road for transportation of materials and borrow pits shall be arranged not in community area (explosive storage is arranged along the cannel, sand and construction materials are gathered in a blank yard under management of the commune etc.) to avoid land acquisition for this and impact to local community life. 38. Son Tay Hydropower Plant will submerge and occupy 394,187of land managed by 3 communes Son Dung, Son Mua, and Son Tan in the long-term (in which the affected land of Ms. Nguyen Thi Hoi is 429.5m2). 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. Table II-1 Land area occupied by Son Tay Hydropower Plant No. Name of iterm, type of land Managed by Area (m 2 ) 1 Residential land (ONT) HH Ms. Tran Thi Hoi in Son Tan commune 429,5 2 Land for rice cultivation (LUC) Son Tan commune 12494,3 3 Other perennial land (LNK) Son Tan commune ,1 4 Forest land for production (RSM) 3 communes Son Dung, Son Tan, Son Mua ,2 5 Land of rivers and streams (SON) Son Tan commune 6198,7 6 Land for traffic (DGT) Son Tan commune 466,8 7 Unused land (DCS) Son Tan commune 1233,4 Total

22 (Source: Son Tay Hydropower Plant Compensation and Ground Clearance Committee) A. Impacts on land 39. During the process of inventory of loss (IOL) in July and August 2014, 394,187 m2 acquired land of 131 HHs in 3 communes Son Dung, Son Tan and Son Mua is affected, m2 land managed by Son Tan commune is affected (including land of river and stream, land for traffic and unused land). Table II-2 provides detail on affected households and the land acquired by the items of the work. (List of AHHs is at Appendix 1) Table II-2 Affected land area in three communes No. Commnune Unit + Son Dung Son Mua Son Tan Residential land (ONT) Land for rice cultivation (LUC) Other perennial land (LNK) m2 429,5 429,5 m m Forest land for production (RSM) m Total According to inventory of loss (IOL), the total 394,187,131m2 land of affected households consists of m2 residential land (0.1%); m2 land for rice cultivation (3.17%); 102,596.1 m2 land for annual crops and perennial crops (26.03%) and 278,667.2 m2 forest land for production (70.69%); in which, most of the area returned for headwork area is 206,773.8 m2 (52.46%), the area returned for building plant site is ,9 m2 (19.94%) and for auxiliary works is 108,795.4 m 2 (27.6%). For the area of affected households, investors are coordinated with Son Tay Hydropower Plant Compensation and Ground Clearance Committee to carry out the land acquisition compensation for the progress of the project. Table II-3 Classification of affected land acquired by the work (m2) Total affected area Residentia l land (ONT) Land for rice cultivatio n (LUC) Other perennial land (LNK) Forest land for production (RSM) Items Headwork Plant area

23 Auxiliary works Total B. Impacts on Crops and Trees 41. According to the survey results, because the work items affect annual and perennial crop land, result of counting and compensation was listed by investor and Ground Clearance Committee. (Table II-4). The crops are associated with specific price unit according to growth stage and degree to be exploited. Table II-4 Quantity of trees are compensated to AHHs Conpensation No. Tree Unit Quantity amount (đ) 1 Acacia tree 17, ,160, Areca tree 16, ,160,000 3 Firewood tree 5, ,319,000 4 Neem tree tree 1, ,922,000 5 Rice m2 6, ,457,762 6 Banana tree 1, ,160,000 7 Jackfruit tree tree ,550,000 8 Bamboo bụi 2, ,430,000 9 Bambusa balcooa tree 1, ,396, Litsea glutinosa tree ,310, Wheat m ,729, Carambola tree 43 2,580, Rambutan tree 5 600, Cinnamomum tree 49 5,530, Pineapple tree 858 1,550, Guava tree , Mango tree 15 1,810,000 C. Impacts on works and architectural objects 42. As stated in the previous section, Son Tay Hydropower Plant mainly acquire agriculture land for production and therefore do not affect the works and architactureal objects. D. Impacts on income and livelihood 43. Land acquisition of the AHHs, especially land for cultivation will have impact on the livelihoods and income of the households. According to the survey, when Son Tay hydropower plant is built, it will affect m2 land for rice cultivation and 102,596.1 m2 land for annual plants and perennials. The acquired area will be compensated in cash 12

24 by the investor under the provisions of the state. In addition, the displaced households will be supported through livelihood programs to recover incomes. E. Impacts on vulnerable households 44. The IOL shows that there are 123 affected households (in total 131 HHs) are ethnic minorities. These HHs shall be further assisted in compliance with the project guidelines and more details shall be described in the next chapters. See Table II-5 below Table II-2 Information about vulnerable HHs No. District/Commu ne Total HHs Total number of people Poor HHs Ethnic Monority HHs 1 Son Dung Son Mua Son Tan Total F. Impact on community property 45. The IOL shows that only 7898,9 m2 land managed by Son Tan CPC is affected (including land of river and stream, land for traffic and unused land). Quang Ngai Sovico will have methods to solve the problems. 13

25 III. SOCIO-ECONOMIC INFORMATION OF AFFECTED COMMUNITY A. General socio-economic characteristics in project area 46. Son Tay Hydropower Plant affects 3 communes (Son Dung, Son Tan and Son Mua) in Son Tay district, Quang Ngai province. During the survey, many meetings, group discussion, in-depth interviews with leaders and representatives of affected communes were held to collect information on economic-social conditions, especially the views, opinions regarding land acquisition and livelihood restoration to affected households. 47. Son Dung commune with district center located in the commune area, has a natural area of 8,796 hectares, population is 4916 people. The commune is divided into 6 villages: Huy Mang, Dak Lang, Go La, Ra Manh, Ra Pan, Dak Tren. 48. Son Mua Commune with 3002 people has natural land area of 7397 ha; divided into 5 villages: Huy Em, Nuoc Min, Mang Tu La, Nuoc Vuong - Tang Tong, Tang Tong (the words: Mang in Ca Dong Mang language means flat area, Huy means friend). Son Mua is a difficult commune of the district. 49. Son Tan commune has natural area of 7356 hectares, with 870 households, 3497 people, divided into 5 villages: Ra Nhua, Dak Be, Ta Do, Ha Leu, Ta Vinh. Son Tan commune was particularly difficult. 50. Like the other villages in the district, in recent years, in the three commnunes, agriculture and forestry economy have stable growth. Applying more scientific and technical progress for seed, fertilizer... and restructuring seasonal crops has created an important change in agricultural production of local people. Allocation of land and forest were closely controlled, so people know the harmful effects of deforestation and invest in planting and forest protection. Now, the forest is being restored and developing. Since the protection of forests is noticed by the forces in the province and local governments, the situation of trafficking, illegal exploitation and transportation of forest products are reduced. There is no forest fire occurs. 51. At present, many households in the area know gardening for economy development and many models developed towards the farm economy. The local authorities direct drastically the work on improving fruit trees gardens and this work has achieved good results. 52. Sedentarization: The communes now have basically completed sedentarization, people have fields or flat land to cultivate, are facilitated to develope economy by gardening, farming. The people can take care of forest, afforestation and forest protection. 53. Cultural-social situation: in general, local government has taken notice and invested to develop this aspect. The villages in the communes have built new cultural family, but the standard rate is low, about 75% of households. The units, such as hamlet, village have built village and commune regulation. Every year, the communes organize communal sport, competition and cultural exchanges among villages. 54. Education: the communes have built primary schools, secondary schools and kindergartens in the communes; mobilize and maintain high enrollment rate. Health: the communes have medical staff, health station for examination and treatment for people in the region. The national programs such as malaria, goiter, leprosy, addiction... are deployed quite well. Epidemiological monitoring is done regularly, preventive and 14

26 curative medicines are bought to the health facilities promptly so the dangerous diseases are very rare. 55. Infrastruture: In general, the communes have inter-village roads and national grid electricity. B. Socio-economic information of affected community 56. The IOL has been implemented with 18 HHs in Son Dung Commune, 13 HHs in Son Mua commune and 100 HHs in Son Tan commune. In 131 AHHs, 123 AHHs is ethnic minorities (KDong ethnic people). Table III-1 AHHs are ethnic minorities in Social-Economic survey The number of AHHs The number of AHH sis ethnic minorities Surveyed Survey Ethnic No. Commune HHs percentage group 1 Son Dung % 14 Kdong 2 Son Mua % 13 Kdong 3 Son Tan Kdong Total % The majority of households have limited education, and this has a certain impact on the lives, careers and incomes of the households. Particularly, in total 131 surveyed households, 82 households (62.59%) are not in school or have not completed primary education, 40 households (30.53%) completed primary education, 9 households (6.78%) completed secondary school program. Table III-2 Education level of surveyed HHs in affected communes Son Dung Son Mua Son Tan Education level HH % HH % HH % Unschooled/Not complete primary school ,00 Complete primary school ,00 Complete secondary school ,00 Complete high school Vacational school College / University Total % % % 58. For ethnic minorities in the project area, agriculture is the main source of household s income. Since the main source of income is from agriculture, income of the households is very low. This has been proved by the survey results with 54 ethnic minority households affected by the project. The result shows that there are 29 households with monthly per capita income less than 1 million, 24 households earning between

27 million/month (table III -4). Thus, we can see that the expenditure and earning of the households is inadequate and may even be short; the majority of ethnic minority households in the last 2 years are do not have enough of food from 1 to 2 months. Table III-3 Monthly average income of surveyed HHs No. Commune Under 1 million From 1 to 1.5 million Above 1.5 million + 1 Son Dung Son Mua Son Tan Total In the total monthly income of the households, the main expenditures primarily focus on food and monthly activities, its proportion is from about to 59.10%. The remaining expenditure are health care (13.27 to 23.11%; education (14.37 to 17.35%); Other expenses (11.15 to 13.27%). Table III-4 Average Expenditure Rate of Surveyed HHs (%) No. Monthly expenditure Son Dung Son Mua Son Tan 1 Monthly food and living activities Family health care Education Others Total 100,00 100,00 100, National grid electricity is the main source of lighting energy in daily activities of affected households who are surveyed. No household has to use other alternative energy sources for lighting. 61. Regarding fuel sources for daily cooking, 100% of the affected households use firewood/coal as the main energy source. C. Gender, gender equality 62. The ratio between women and men in the villages affected by the plant is not much different. Particularly, the total people of 2 affected villages are 11,415 people, in which 5,888 is women (or 51.58%) and 5,527 is men (or 48.42%). However, in reality, the level of participation in economic - social activities, division of labor between women and men, the access of each gender to resources and benefits, the views of each ethnic group values and standards for women and men are rooted from culture of each ethnic group. Therefore, this gender relation is very diversified and varies by each community group. Table III-5 General information on gender rate in the affected communes 16

28 No. Commune Population Rate (%) Total Male Total Male 1 Son Dung ,78 50,22 2 Son Mua ,90 54,10 3 Son Tan ,67 51, The number of female children going to school is much lower than male children. The number of ethnic minority students leaving school is high the reason is difficult family economic situation. Despite tuition fee exemption policy, the other costs are burden and girls have to leave school to support the family. 64. There is the difference in the level of access to health services of the ethnic minority women. They only come to the health station when the diseases are too serious and cannot be cured. Public health officials frequently communicate, so the perception of ethnic women has changed. However, most of them do not care about their health. The ethnic women have been benefited from health insurance card program, so the health of communities in affected communes is improved. 65. In working and jobs, ethnic people, particularly ethnic women have fewer opportunities to develop their economy. Over 90% of ethnic women do farm works for families. They have to take responsibilities of working on terrace field, breeding poultry, livestock and taking care of children, etc. Their limited education access is one of the main reasons that limit their opportunities to find non-agriculture jobs. Ethnic women are entitled to a lot of priority policies by the government, such as assistance in credit, seedlings and,breed livestock but as a result of limited knowledge and being unable to apply technical methods learnt from hamlet officials workers into practice of production, the productivity is not high and some livestock die due to coldness and epidemic diseases, etc. The reasons mentioned above make ethnic women have even more difficulties. 66. In family and land use right and property: Family assets are possessed, managed and decided by the men. Traditional regulations on the roles of men in a family in worshiping parents and ancestors in patriarchy society create gender inequity for women. Labor allocation within a family in ethnic group still appears gender discriminatory treatment. The work of men are "heavy" and require "engineering", communication with the outside world while the women works are often more slight work. 17