RESETTLEMENT PLAN (RP) Type of document: Resettlement plan (RP)

Transcription

1 Public Disclosure Authorized RESETTLEMENT PLAN (RP) SFG2158 V6 Public Disclosure Authorized Type of document: Resettlement plan (RP) Public Disclosure Authorized THAN GIAP HYDROPOWER CONSTRUCTION PROJECT Trung Khanh, Ha Lang Districts - Cao Bang Province Public Disclosure Authorized Truong Minh Limited Company

2 ABRREVIATION 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. 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; iii

4 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 pre-project living standards and quality of life. Relocation - This is the physical relocation of an AP from her/his pre-project 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 productionforest) 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. iv

5 (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 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. Introduction of Than Giap Hydropower Project... 2 C. Objectives of Resettlment Plan... 5 D. Mitigation measure to reduce the impact of the construction... 5 I. IMPACT AREA OF THAN GIAP HYDROPOWER PLANT... 6 A. Impact on land... 6 B. Impacts on crops and trees... 8 C. Impacts on works and architectural objects... 8 D. Impacts on income and livelihood... 8 E. Impacts on vulnerable households... 9 II. SOCIO-ECONOMIC INFORMATION OF AFFECTED COMMUNITY A. General socio-economic characteristics in project area B. Socio-economic information of affected community III. INFORMATION DISCLOSURE, CONSULTATION AND PARTICIPATION A. Information disclosure B. Public consultation and participation C. Results of information dissemination and Public consultation IV. LEGAL FRAMEWORK AND ENTITLEMENT A. Policy requirements of WB B. Vietnam policy framework C. Regulations on compensation, assistance and resettlement by the local authority D. Some regulations applied in compensation, assistance of Than Giap Hydropower project V. RESETTLEMENT, COMPENSATION AND ASSISTANCE STRATEGY A. Legal basis for calculating compensation prices B. Replacement cost identification C. Compensation for impacts and entitlement 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.I: Main specifications and parameters of Than Giap Hydropower plant... 4 Table I.I: Land Area And The Number Of AHHs in the project Area... 6 Table I.II: Classification of affected land acquired permanently by the work (m 2 )... 6 Table I.III: Classification of land affected by the items of the work (m 2 )... 7 Table II.I: The number of affected households and ethnic group Table II.II Education level of surveyed HHs in affected communes Table II.III: Income per capita of AHHs Table II.IV Average Expenditure of Surveyed HHs (%) Table II.V: The number of schools in all levels in Than Giap, Doai Con and An Lac Table II.VI General information on gender rate in the affected communes Table II.VII Labor allocation in families in terms of gender in AHHs Table III.I Time, location and the number of participants in consultant meeting in communes Table III.II: Concerns of affected community and commitment of the investor Table IV.I: Entitlement matrix Table V.I Total conpensation for AHHs Table V.II: Compensation for affected trees, crops Table V.III: Compensation for AHHs Table VIII.I Monitoring and Evaluation Indicators Table IX.I Summary of resettlement costs vii

8 ANNEXES ANNEX 1 ANNEX 2 ANNEX 3 ANNEX 4 ANNEX 5 LIST OF AHs THAN GIAP HYDROPOWER PROJECT PROJECT INFORMATION BOOKLET (PIB) TERMS OF REFERENCE CONSULTATION MEETING MINUTES SOME PHOTOS OF CONSULTATION MEETINGS viii

9 EXECUTIVE SUMMARY Introduction 1. The general objective of the Renewable Energy Development Project is to support the development of renewable energy sources producing electricity with lowest costs in sharing with the national total electricity generation under commercial sustainability and ensuring social and environmental sustainability. 2. Than Giap Hydropower Plant is a new construction project on the tributary of Bac Vong river in the area of Than Giap commune, Trung Khanh district and An Lac commune, Ha Lang district, Cao Bang province. It is far around 70km away from Cao bang city, and 12km away from Trung Khanh town in the South. 3. Bac Vong River originates from China and flows into Vietnam in Tri Phuong Commune, Tra Linh District, Cao Bang Province. The total length of the river is about 35 kilometers, the width is from 20 to 30m. Water flow varies by the seasons: in the rainy season, the flow is 85m 3 /s, in the dry season, the flow is 5 m 3 /s. The main source of this river flows from China, through Tri Phuong and Quang Trung Communes in Tra Linh district, and then Trung Phuc, Thong Hue, Than Giap communes in Trung Khanh district, An Lac commune in Ha Lang district, Hong Dai and Trieu Au communes in Phuc Hoa district and then merges with Bang river in Ta Lung town, Phuc Hoa district, Cao Bang province. Geographical location of the project area: + Geographical coordinates of the dam: '09 '' North latitude East longitude. + Geographical coordinates of the plant: North latitude East longitude. 4. Installation capacity of Than Giap hydropower plant is 6 MW, average annual output is approximatetly million kwh, is diversion hydropower plant with daily regulated reservoir. The main specifications are: catchment area to the slected route: km 2, total average annual flow is Qo: 8.93 m 3 /s; reservoir area at normal water level is 8 ha; normal water level is 465m; dead water level is 460m; volume of the whole reservoir is x10 6 m 3 ; useful volume is 0.285x10 6 m 3 ; dead volume is x10 6 m 3 ; the largest flow Qmax: m 3 /s; ensure flow is Q đb: 0.94 m 3 /s, output voltage is 35 kv. 5. 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. ix

10 Area of impact 6. Than Giap Hydropower Plant will permanently occupy 414,628.8m 2 belonging to 44 household in 3 communes: Than Giap, Doai Con in Trung Khanh district, An Lac in Ha Lang district (the detailed information on area of each type of land and the number of AHHs will be shown in the next sections). Architectural and auxiliary works of the households are not affected. Information dissemination and public consultation 7. A lot of public consultation meetings, discussions with stakeholders, especially local governmental authority and affected people were held Dec 2015 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 Than Giap, Doai Con, Ha Lang which are affected by the construction with AHHs in the communes and local officers 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. Than Giap 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 Cao Bang 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. The project shall be implemented for 2.5 years, open in June 2016 and complete in the second quarter of Truong Minh Ltd 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, Than Giap Hydropower will have following main responsibilities: (i) updating and implementing RP in coordination with related people s x

11 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 (money for compensation and other assistances). 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. Truong Minh Ltd company shall provide the services of an independent internal monitoring agency. Therefore, Than Giap Hydropower JSC 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. 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. 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, Truong Minh Ltd 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 The total estimated cost of compensation and assistance against impacts caused by Than Giap HPP is 1,453,369,292 VNĐ (equal to 65,320 USD, foreign exchange rate is 22,250). Implementation cost shall be paid by Truong Minh Ltd Company. xi

12 I. GENERAL INTRODUCTION A. Overview of Renewable Energy Development Project 17. 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. 18. 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 wasteto-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 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. 1

13 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 subproject in compliance with these policies. The TA shall also assist PMU in management of REDP. B. Introduction of Than Giap Hydropower Project 1. Legal basis Investment Certificate No issued by Cao Bang Provincial People s Committee on 22/05/ Document No. 2025/UBND-CN dated 30/9/2011 issued by Cao Bang Provincial People s Committee on approving for adjusted and supplymented small hydropower planning in Cao Bang province. Decision No /BCT-TCNL dated 09/12/2011 issued by Ministry of Industry and Trade about adjusted master plan of Than Giap hydropower project. in Cao Bang province. Document No. 1983/BCT-TCNL dated 13/3/2012 issued by Ministry of Industry and Trade about editting the content in Agreement about adjusted master plan of Than Giap hydropower project Cao Bang province. Decision No. 412/QD-UBND dated 30/03/2012 issued by Cao Bang provincial People's Committee on approving the adjusted master plan of Than Giap hydropower project. Document No. 47/STNMT-KHTC dated 16/01/2012 issued by Department of Environment and Natural Resources of Cao Bang province on the feedback about adjusted master plan of Than Giap hydropower project. Document No. 116/BCH-PTM dated 17/01/2012 issued by provincial military commander on adjusted master plan of Than Giap hydropower project. Document No. 12/SNN-QLXDCT dated 09/01/2012 issued by Provincial Department of Agriculture on adjusted master plan of Than Giap hydropower project. Document No. 16/YK-UBND dated 12/01/2012 issued by People's Committees of Trung Khanh district on adjusted master plan of Than Giap hydropower project. Document No. 03/CV-UBND dated 12/01/2012 issued by People's Committee of Ha Lang District about the comments on adjusted master plan of Than Giap hydropower project. Document No. 2604/EVN NPC-KDDN dated 18/07/2012 of Northern Power Corporation about the agreement on technical power metering system design. Document No. 2228/EVNNPC-KT dated 26/6/2012 of Northern Power Corporation about agreements on connection plan Document No. 690/EVNNPC-KDDN 15/3/2011 of Northern Power Corporation about purchase of electricity from Than Giap hydropower plants in Cao Bang province. 2

14 Document No. 1370/EVNNPC-KDDN dated 19/04/2012 of Northern Power Corporation about acceptance of the power purchase from Than Giap hydropower plant in Cao Bang province. Decision No. 359/QD-UBND dated 28/03/2014 of Cao Bang Provincial People's Committee on approving the Report on Environmental Impact Assessment. Document No. 438/SKHCN-QLCN dated 28/06/2012 of Department of Science and Technology about the technological verification for the project. Document No. 924/SCT-QLDN dated 08/11/2012 of Department of Trade and Industry about approving the basic design. Document No. 329/PC23 dated 29/12/2006 of Cao Bang Provincial Police about approval of Fire Evaluation results. Document No. 203/TD-PCCC dated 19/06/2012 of Cao Bang Provincial Police about approval of Fire. Document No. 1468/STNMT-UBND dated 30/09/2014 of Cao Bang Provincial People's Committee about approval of replacement planting schemes when converting forest use to other purposes. Decision No. 404/QD-UBND dated 01/4/2016 of the Cao Bang Provincial People's Committee about leasing the land for Than Giap hydropower plant project. 2. Characteristics of the plant Than Giap Hydropower Plant is a new construction project on the tributary of Bac Vong river in the area of Than Giap commune, Trung Khanh district and An Lac commune, Ha Lang district, Cao Bang province. It is far around 70km away from Cao bang city, and 12km away from Trung Khanh town in the South. 19. Bac Vong River originates from China and flows into Vietnam in Tri Phuong Commune, Tra Linh District, Cao Bang Province. The total length of the river is about 35 kilometers, the width is from 20 to 30m. Water flow varies by the seasons: in the rainy season, the flow is 85m 3 /s, in the dry season, the flow is 5 m 3 /s. The main source of this river flows from China, through Tri Phuong and Quang Trung Communes in Tra Linh district, and then Trung Phuc, Thong Hue, Than Giap communes in Trung Khanh district, An Lac commune in Ha Lang district, Hong Dai and Trieu Au communes in Phuc Hoa district and then merges with Bang river in Ta Lung town, Phuc Hoa district, Cao Bang province. Geographical location of the project area: + Geographical coordinates of the dam: '09 '' North latitude East longitude. + Geographical coordinates of the plant: North latitude East longitude. 20. Installation capacity of Than Giap hydropower plant is 6 MW, average annual output is approximatetly million kwh, is diversion hydropower plant with daily regulated reservoir. The main specifications are: catchment area to the slected route: km 2, total average annual 3

15 flow is Qo: 8.93 m 3 /s; reservoir area at normal water level is 8 ha; normal water level is 465m; dead water level is 460m; volume of the whole reservoir is x10 6 m 3 ; useful volume is 0.285x10 6 m 3 ; dead volume is x10 6 m 3 ; the largest flow Qmax: m 3 /s; ensure flow is Q đb: 0.94 m 3 /s, output voltage is 35 kv. Table I.I: Main specifications and parameters of Than Giap Hydropower plant No. Specification Unit Value I Catchment 1 Catchment Area Flv km2 496,8 2 Length of the river to the dam route Ls km 51,2 3 The average rainfall for many years Xo mm 1530 II Reservoir 1 Normal water flow NWL m 465,0 2 Dead water level DWL m 460,0 3 Reservoir area responding to NWL ha 8,0 4 Total volume 10 3 m 3 0,702 5 Dead volume 10 3 m 3 0,416 6 Useful volume 10 3 m 3 0,285 III Flow and water column 1 Maximum water column m 54,17 2 Minimum water column m 50,79 3 The highest flow Q max m 3 /s 14,10 4 Average annual flow Qo m 3 /s 8,93 5 Ensure flow Q đb m 3 /s 0,94 IV Energy criteria 4

16 No. Specification Unit Value 1 Installation capacity Nlm MW Average annual electricity output E KWh 21,49 C. Objectives of Resettlment Plan 21. 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. 22. 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 before constructing Than Giap HPP. D. Mitigation measure to reduce the impact of the construction 23. On the basis of studies to exploit energy flow reserve, terrain conditions, geology, diagrams, route and size of the project, flood conditions of the reservoir, regional economic livelihood in the area of Than Giap project, the options of normal water level (NWL): 463m, 465m and 467m; dead water level: 458m, 459m and 460m are recommended. The options with NWL at 465m, dead water level at 460m are selected because they meet economic, technical requirements and minimize the impact of the project. 5

17 I. IMPACT AREA OF THAN GIAP HYDROPOWER PLANT 25. Measures to minimize permanent affected land area have been studied and calculated by the investor of Than Giap 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; 26. Than Giap Hydropower Plant will permanently occupy 414,628.8m 2 belonging to 44 household in 3 communes: Than Giap, Doai Con in Trung Khanh district, An Lac in Ha Lang district (the detailed information on area of each type of land and the number of AHHs will be shown in the next sections). A. Impact on land 27. According to inventory of loss (IOL), there is 351,251.4m 2 land of many types that are affected permanently, including 231,435.7m 2 land of households, 119,815.7m 2 land of river and stream. 63,373.2 m 2 is occupied temporarily for building waste storage and auxiliary works. This area will be returned when the project is finished. Table II-1 provide detailed information on affected land area and the number of AHHs in the construction area. N o. 1 2 Commu ne Than Giap Doai Con 3 An Lac Total Table I.I: Land Area And The Number Of AHHs in the project Area Total affecte d area (m 2 ) 251, , , , of permanently acquired land AH Total Hs 211, , , , Land of AHHs 108, ,214. River and stream land 102, , ,23 15, ,43 119, Diện tích đất chiếm dụng tạm thời River and strea m land AH Total Hs 40, , , , Land of AHHs 34,999,6 5, , , , , , , Total area of permanently acquired land is 414,624.8m 2, most of them are forest land (69.56%) and river land (28.9%), the rest is land for rice and annual crop (see table II-2 for more detail). Table I.II: Classification of affected land acquired permanently by the work (m 2 ) 6

18 Name of commune Total Land for rice Land for annual crops Forest land River land Permanently affected land: 351, , , , ,543.6 Than Giap 211, , ,336.7 Doai Con 23, , An Lac 116, , ,899,2 Temporarily affected land: 63, ,272.3 Than Giap 40, , ,236.6 Doai Con 7, , ,019.5 An Lac 15, , ,016.2 Total 414, ,7 3, , , According to inventory of loss (IOL), as a part in 351,251.6m 2 permanently acquired land, most of the area is for reservoir: 149,742m2, accounting for 42.63%, building headwork: 83,832.2 m2 (23,87%), the rest is for building canal, factory and discharge cannal. In total temporarily acquired land, 63,373.2m2, land for building auxiliary works is 15,778.2 m2 (24,9%), land used as waste dump area is 47,595m2. Table (II-3) provides information on classification of land affected by the construction. No. 1 2 Table I.III: Classification of land affected by the items of the work (m 2 ) Item Permanently affected land: Total affected area (m2) 351,251. The numbe r of AHHs Land for rice Land for annual crops 2, ,171.1 Forest land 235, River land 109, ,742. Reservoir area , ,373.6 Headwork dam 83, , ,199.7 Canal 36, , Factory, discharge 1,502. canal 28,137, ,1 18,920,5 6,970,3 Factory, distribution station, operation management building 26,880, ,1 26,301,9 0.0 Site road to manage the operation 25,831, ,426,1 24,405,2 0.0 Temporarily affected land: 63,373, ,874,3 10,272.3 Auxiliary works, camp, production area 15, , Dug soil and rock storage area 47,595, , ,272.3 Total 414, , , , ,

19 B. Impacts on crops and trees 30. According to the survey results 7,021.6 m2 land for annual crops and 25,692 land for perennial crops will be affected by the construction, including rice, maize, cassava, and other perennial crops (detail on the loss of crops is shown in table II.4). Construction progress in the district has a close coordination with affected households so they can harvest the crop. Table I-5: Affected land area for annual crops and perennial crops No. Items Unit Total An Lac Than Giap Doai Con I Annual crop 1 Rice m 2 2, , Soybean m 2 4, , ,.8 II Perennial crops 1 Timber tree Tree 11,723 1, ,711 2 Fruit tree Tree Indosasa amabilis Tree 13, C. Impacts on works and architectural objects 31. Than Giap HPP do not affect architectural and auxiliary works of the households. No househould has to replace. 32. D. Impacts on income and livelihood 33. Land acquisition, especially land for cultivation will have impact on the livelihoods and income of the households. According to the survey, the construction will affect 7/44 househoulds due to permanently acquired agricultural land in than Giap, An Lac communes. One household in Than Giap commune has more than 30% affected agricultural land, 6 households in An Lac, Than Giap have less than 30% affected agricultural land. The impact levels are shown in Table II 6. Table I-6 Impact levels on agricultural land No. Communes <10% 10% - 30% 30% - 70% >70% Total 1 Than Giap An Lac Total

20 E. Impacts on vulnerable households 34. The socio-economic survey at the time of reporting has shown that as a part of 44 affected households, 17 households are the poor. hộ nghèo BAH. These HHs shall be further assisted in compliance with the project guidelines and more details shall be described in the next chapters. 9

21 II. SOCIO-ECONOMIC INFORMATION OF AFFECTED COMMUNITY A. General socio-economic characteristics in project area Than Giap hydropower plant is located in the area of Trung Khanh and Ha Lang districts, Cao Bang province. The three communes affected directly by the construction are Than Giap, Doai Con, An Lac. Cao Bang Province Cao Bang is a province in the northeast of Vietnam with natural area of km² and population of 510,884 people. The province is adjacent to Tuyen Quang and Ha Giang in the West, Bac Kan and Lang Son to the South, Guangxi Province (China) in the north and northeast with the border of 322 km in the length. As a highland province, although Cao Bang is far from major economic centers of the Northeastern region as well as centers of the country, Cao Bang has three border gates which are Ta Lung, Hung Quoc and Soc Ha. This is an important advantage facilitating economic exchanges with the foreign provinces, especially in China. This is an ancient land with a rich historical and cultural thickness and a system of revolutionary historical relics such as Pac Bo historical relic the root of revolution in Vietnam. The nature blesses Cao Bang with various mineral resources, 150 mines with 22 types of minerals This is a limestone and mountainous region with an average elevation of over 200m, with 8 ethnic groups: Tay, Nung, Dao, Hmong, Viet, Hoa, San Chi and Lo Lo. The mountainous terrain accounts for more than 90% total area of Cao Bang province. Fragmented and complex terrain of Cao Bang forms four ecological economic sub-regions: limestone karst subregion in the north and northeast accounts for 32%, mountainous subregion in the west and southwest accounts for 18%, mountainous subregion in the upstream of Hien river accounts for 38%, the basin subregion of Cao Bang town and Hoa An district along the river accounts for 12% the natural area. The province has many mountains in the east, many mountainous and rocky land in the west, mostly mountains with jungles in the south. Trung Khanh district Trung Khanh is a border district located in the northeast of Cao Bang province; district center is far 62 km away from Cao Bang town through No. 206 provincial road. The district has an area of km2 and population of approximately 50,000 people. Trung Khanh is adjacent to Ha Lang District in the east and southeast, Tra Linh district in the west, Quang Uyen and Phuc Hoa districts in the south; Tinh Tay and Dai Tan districts (Guangxi, China) in the north and northeast. Trung Khanh district has an average altitude of meters above sea level; diverse and complex terrain structure, lower from the northwest to the southeast. Flat valleys are mixed with the rocky mountaines. Trung Khanh is a border district whose provincial roads lead to Peo Po border gate (now belongs to Ngoc Con commune) is 20km in the length and Trung Khanh Bang Ca (Ha Lang) is 38km in the length; Trung Khanh - Tra Linh is 26km in the length. Ha Lang District Ha Lang is a mountainous border district, located in the northeast of Cao Bang province, has more than 72 kilometers of border with China. The district is adjacent to People's Republic of China in the northeast and the south; Trung Khanh district in the northwest; Quang Yen and Phuc Hoa districts in the southwest. Ha Lang district has 14 operating units. The 2 major ethnic group in the district are Nung accounting for 53.44%, and Tray accounting for 45.28%. Than Giap commune: 10

22 The commune is located in the south of Trung Khanh district, Cao Bang province, far 15km away from administrative center of the district and 55km away from Cao bang city center. Than Giap commune is adjacent to Duc Hong, Cao Thang Communes in the north, Kim Loan commune of Ha Lang District in the east, Kim Loan, Doai Con Communes in the south, Thong Hoe and Doai Con communes in the west. Than Giap commune has an area of km² and population of 1,610 people in 1999, population density reaches 73.8 persons / km², the commune has 23 villages. Terrain of Than Giap district is mostly hilly, karst which occupy 82.2% total natural area of the commune, has the average altitude of 600m m above the sea level. Among the mountains, the small valleys along Bac Vong river has relatively flat topography, cool climate and weather which are very favorable for the development of agriculture. Bac Vong river flowing from the begining to the end of the commune provide irrigation for hundreds of agricultural production hectares of the people living on both sides of the river. Tobacco is the key plant of the commune which provides local people with income of billions VND/year, contributes to raising incomes for local people. Food per capita is 700kg / person. Particularly, Thong Loc hamhet in Than Giap commune has traditional craft of producing incense to serve people in the commune and to sell in Thong Hue market to serve neighboring communes, contribute to gradually raising incomes of the households. An Lac commune: An Lac is an extremely disadvantaged commune of Ha Lang District, located in the west of the district, far 9km away from the district center, An Lac Commune has the area of km². The commune has 16 villages, 480 households and 2008 people. Population density reaches 53 persons / km². The commune is adjacent to Kim Loan, Duc Quang comnunes in the north, Thanh Nhật town in the east, Vinh Quy, Trieu Au (Phuc Hoa) communes in the South, Cai Bo commune (Quang Uyen), and Doai Con (Trung Khanh) in the west. Bac Vong river flows through An Lac commune with north-south diection. The provincial road No. 207 run through An Lac commune with east-west direction, Keng Ka pass is on this road. Two main ethnic groups living in the commune is Tay and Nung. (Nung ethnic group accounts for 75%, Tay ethnic group accounts for 25% of the population). As being situated in high mountainous area with difficult transportation, An Lac is one of the poorest communes in Ha Lang district. Total number of poor household is 200, accounting for 42.7%. Food production per capita: 500 kg/person/year. The economy is mainly based on agriculture. Doai Con commune Doai Con commune is located in the south of Trung Khanh district, Cao Bang province, far 13km away from the district center. Doai Con commune has the area of km². The commune has 9 villages, 438 households, 1887 people. Population density reaches person/km². The commune is adjacent to Thong Hoe, Than Giap communes in the north, Than Giap commune and An Lac commune (Ha Lang district) in the east, Cai Bo commune (Quang Uyen district) in the south, Binh Lang commune (Quang Yen district) in the west. The commune is in the catchment of Bac Vong river. Two main ethnic groups living in the commune is Tay and Nung. (Nung ethnic group accounts for 58%, Tay ethnic group accounts for 42% of the population). The economy is mainly based on agriculture. Total number of poor household accounts for 42.5%. Food production per capita: 539 kg/person/year. Total number of poor households accounts for 42.5%. 11

23 B. Socio-economic information of affected community 1. Affected households are ethnic minorities 35. According to IOL, 100% AHHs is ethnic minority. Table III-1 shows the number of affected households and ethnic group in each commune Commune Table II.I: The number of affected households and ethnic group Village Ethnic minority group AHHs Tay Nung Than Giap 32 Thong Loc Ban Mang Soc Chang Doai Con Ban Lung 5 An Lac 7 Khuoi Linh 7 2. Education level of AHHs 36. Due to universalized Government education program, no case of illiteracy in children (> 18 years-old) has been record in the three communes. However, most of elderly women were found to be illiterate and re illiterate since they mostly use their own languages (ethnic languages) and do not have chance to contact with Kinh people. According to the survey result, most of households in two affected communes in the project area did not finish elementary school (53.5% ). (See Table III-2). Commune Table II.II Education level of surveyed HHs in affected communes No/ unfinished elementary school Graduate from elementary school Graduate from Secondary school Graduate from High school Total Than Giap Doai Con An Lac Job and income 37. Income of ethnic minority households in project area is mainly from agriculture. Rice, maize, cassava are the main food source for the local people. In addition, the local people plant some other crops such as vegetables, beans... to diversify the food and increase income. Most of the households in the project area are raising goats, pigs and chickens, cattle, horses, poultry... In 12

24 the communes in project area, tobacco is the key economic plant. Most of the households plsnt tobacco on the fields after haversting. Tobacco is sold to cover the family expenditures. 38. In addition to farming, some surveyed huoseholds do some seasonal jobs for manual labor, such as collecting firewood (30,000-50,000 VND/day), casual jobs (100, ,000 VND/day), but the income from these jobs are unstable, only in spare time. 39. The income of households in northern mountainous communes in general and affected HHs in project area in particular is low, the poverty rate is still high. Than Giap commune has advantages on traffic, larger farmland area and sufficient irrigation system, thus the income of farmers is higher than An Lac and Doai Con communes. An Lac commune has the lowest income because it has the smallest agricultural land area, most of them face watershortage for production, low literacy. The following income per capita of AHHs provides detailed information about income of surveyed households in affected communes and poverty rate in the communes affected by the construction. Table II.III: Income per capita of AHHs Commune Average income/person/month Poverty rate (%) Than Giap 6,500, Doai Con 5,000, An Lac 4,500, The expenditures for daily needs of households vary by income. The expenditure often includes food, clothes, power and water bill, tuition, health care and travel. The communes in project area are poor communes, the affected people live mainly by agriculture, they only buy rice and grain when the quantity of rice is very low, the expenditure for food is very small. AHHs in Than Giap commune have higher income than Doai Con and An Lac communes, thus their income is higher than the two communes. The detailed expenditure of the households is described in Table III-5. 13

25 Table II.IV Average Expenditure of Surveyed HHs (%) No. Monthly expenditure Than Giap (vnd) Rate (%) Doai Con (vnd) Rate (%) An Lac (vnd) Rate (%) 1 Food (rice, meat and spice) 1,000, , , Clothes 100, , , Utilities (power, mobile phone) 100, , , Travel fee (petrol, motorbike maintenance) Education (all levels from pre-school to university and vocational education) Health care Others Total expenditure for each 8 household Expenditure per capita Infrastructure and social service 41. The affected villages are located in the places with traffic advatages, far around 3-9km away from commune center, 2-4km away from provincial road No The roads from the affected villages to the commune centers are concrete. 42. Affected communes in Than Giap commune have national power grid; Khuoi Linh, Ban Lung in An Lac, Doai Con have no national power grid. In these villages, some households use small hydro power for lighting, other households use oil lamp. 43. Regarding fuel sources for daily cooking, most of the affected households use firewood as the main energy source. 44. The households use water mainly from small streams on the mountain. The water is supplied by plastic pipes. The number of HHs using well water is very small. 5. Environmental and hygiene conditions 45. The local people have not cared about sanitation problem due to their low awareness of environmental protection. According to survey results, most of AHHs have no toilet. 46. In the project area, all communes have no waste collecting and disposal system; waste is usually buried in the garden or dumped into canals. 6. Education system 47. According the data in 2014, Than Giap has an elementary at the same place with the kinder garten in the commune center, secondary school for all the communes is located in Thong 14

26 Hue commune which is far 5km away from the commune center, 9km away from the affected villages. Doai Con commune has 2 elementary shools, one in Lung Lo hamlet, another one in Ban Lung hamlet (affected village). Secondary school for all the communes is located in Thong Hue commune which is far 3.5km away from the affected villages. An Lac commune has one elementary school, one secondary school in commune center (far 9km away from affected village), one elementary school in Na Ray hamlet is far 4km away from affected villages. 48. At preschool age, these villages has one-site class, with primary and secondary grades, the schools are concentrated in the commune center. To go to the high school, the students must go to the district center with the distance of about 25-30km. Table II.V: The number of schools in all levels in Than Giap, Doai Con and An Lac Commune Kindergarten Elementary Secondary Total Than Giap 1 1 Doai Con An Lac Health service 49. The communes in the project area have health centers located in the commune center. The local people often come to health centers to get simple medical care such as immunization, vitamin supplementation, maternal health care and drug treatment for common illnesses (colds, headache, and stomach). For more important treatment demand, they will come to hospital in the districts or provinces. 8. Gender and gender equality 50. The ratio between women and men in the villages affected by the plant is not much different. In Than Giap commune, male accounts for 4.,42%, female accounts for 50.58%, in Doai Con, male accounts for 47.76%, female accounts for %, in An Lac, male accounts for 51.1%, female accounts for 48.9% (for more detailed, see Table III-8). No. 1 2 Table II.VI General information on gender rate in the affected communes Commune Than Giap Doai Con An Lac Population Rate (%) Female + Female ,42 50, ,76 52, ,1 48,9 51. At the communes in project area, gender equality has been more concerned, the proportion of girls in school has been higher, all the girls in the age are going to school, education universalization program at secondary school has been completed, 100% of children, both male and female, graduates from secondary school. 15