VIE: Northern Power Transmission Expansion (Sector) Project

Transcription

1 Social Monitoring Report Post-Evaluation Report April 2016 VIE: Northern Power Transmission Expansion (Sector) Project Prepared by the Northern Power Project Management Board for the Asian Development Bank (ADB). This social monitoring report is a document of the borrower. The views expressed herein do not necessarily represent those of ADB's Board of Directors, Management, or staff, and may be preliminary in nature. In preparing any country program or strategy, financing any project, or by making any designation of or reference to a particular territory or geographic area in this document, the Asian Development Bank does not intend to make any judgments as to the legal or other status of any territory or area.

2 NORTHERN POWER TRANSMISSION EXPANSION PROJECT ADB LOAN No VIE (SF) POST EVALUATION REPORT Submitted to: THE ASIAN DEVELOPMENT BANK Prepared by: NORTHERN POWER PROJECT MANAGEMENT BOARD Hanoi,

3 TABLE OF CONTENT 1. PROJECT BACKGROUND Project components and locations Project components with resettlement impacts Categories of resettlement impact and payment of compensation Categories of resettlement impact payment for compesation OBJECTIVES OF POST EVALUATION METHODOLOGY FINDINGS Basic information about displaced persons households Profile of Affected household Income sources, Income separation and Distribution Livelihood and Subsistence Economy Houses and House styles Access to Infrastructure and Social Services Participation in neighborhood or community groups Compensation and resettlement Resettlement and livelihood restoration Before and after land acquisition and resettlement comparison Restoration of livelihoods Income restoration models/programs Restoration of livehoods Public, participation, consultation and Grievance resolution Public Consultation, Disclosure, and Participation Grievance Resolution Effectiveness of resettlement planning Resettlement Objects Executing Agency and Implementation Agency and RP implementation progress Time frame and budget arrangements LESSONS LEARNT 41 Page 2

4 5.1. Monitoring and Evaluation CONCLUSIONS, LESSONS LEARNT 42 ANNEXES 43 Annex 1:Relevant Documents on Resettlement and Compensation 44 Annex 2: Status of Land Clearance and Compensation of Subprojects until December Annex3. Status of the implementation of Corrective Action Plans 51 Annex 4. List of Participants and Interviewees 62 Annex 5. Some photographs about the field work 68 Annex 6. Socio-economic Questionnaires of Affected Households 78 Annex 7: List of people in department of NPMB 83 LIST OF TABLES Table 1: Summary of Subprojects... 7 Table 2: Number of households and the impacts on land by sub project Table 6: Number of AHs interviewed in socio-economic survey in project L Table 7: Total AHs collecting data by subproject Table 8: Gender and Age of people collecting data Table 9: Erthic minority rate of collecting people Table 10: Education level of respondent Table 11: Occupation of surveyed HH Table 13: Average income by ethnic group Table 14: Resettlement status of AHs in subprojects Table 15: Comparision income ratio, occupation ratio before and after project implementation26 Table 16: Allowances of Project for AHs Table 17: Status of compensation implementation of L2225 subprojects (up to December/2015) Table 18. Status of Issuance LURC Table 19: All complaints in the subprojects L Table 20: Quantities of AHs by RP/DDR and actual Page 3

5 LIST OF BOX Box 1: Local citizens 'opinions about the project impacts Box 2: Model of change of job structure in Hiep Hoa Bac Giang Box 3: opinion by local citizens in project area Box 4: Feedback of people on grievance redress Box 5: Opinion on compensation for AHs in project area ACRONYMS ADB AP CPC DMS DCARB EM LIC GoV PPCs RPF ROW RP RS NPPMB VND TNA TOR T/L Asian Development Bank Affected Person Commune People s Committee Detailed Measurement Survey District Compensation and Resettlement Board Ethnic Minorities Local Implementation Consultant Government of Viet Nam Provincial People s Committees Resettlement Policy Framework Right of Way Resettlement Plan Resettlement site Northern Power Project Management Board Viet Nam Dong Training need assessment Terms of Reference Transmission line Page 4

6 1. PROJECT BACKGROUND 1. The Project represents a 5-year time slice of Electricity of Viet Nam s (EVN) transmission expansion program, covering 500 kilovolt (kv) and 220 kv transmission lines and associated substations. The Project covers the northern part of Viet Nam, which is relatively poor. The Project will enable power to be supplied to the planned industrial zones in the region, thereby facilitating employment and income-generating opportunities. Thus, it will benefit the poor and ethnic minorities living in the project area. Map of L2225 Project area Page 5

7 2. The Project is to (i) strengthen the northern transmission network to improve system reliability and quality of supply, (ii) facilitate power transfers by removing transmission bottlenecks, (iii) reduce transmission losses, and (iv) facilitate efficient utilization of existing and planned power plants. 3. EVN is the Executing Agency (EA) responsible for overall implementation of the Project. The Project will be implemented as a sector loan, and additional subprojects will be introduced during implementation. NPPMB and CPPMB, as the implementing agencies, will be responsible for the dayto-day implementation of the 500 kv and 220 kv project substations and transmission lines. Adequately staffed project offices have been established in the Hanoi headquarters of NPPMB and CPPMB to supervise the Project. The loan was approved on 21 December 2005, signed on 22 August 2006 and declared effective on 24 November 2006 for a total amount of $360 million. Original loan closing date was 30 June 2010 which was extended thrice until 31 December 2013, 30 June 2014 and 31 December Project components and locations 4. The Project scope included twelve 500 kilovolt (kv)& 220 kv transmission lines and substations in Northern Viet Nam, and provision of spare substation equipment/materials (power transformers, switchgear, tele-thermal cameras and transformer oil filters). There were twelvesubprojectsimplemented under the sector loan, comprising three core subprojects (appraised prior to loan approval) and ninenon-core subprojects (appraised during project implementation), as follows: (i) Son La Hoa Binh and Son La Nho Quan 500 kv transmission lines; (ii) Thanh Hoa Nghi Son Vinh 220 kv transmission line;(iii) expansion of Van Tri 220 kv substation*; (iv) Son La Hiep Hoa 500 kv transmission line; (v) expansion of Thuong Tin 500 kv substation**; (vi) Hiep Hoa 500 kv new substation; (vii) expansion of Nho Quan 500 kv substation*** 1 ; (viii) Tuyen Quang 220 kv new substation; (ix) Bim Son 220 kv new substation; (x) Hai Duong kv new substation; (xi) Kim Dong 220 kv new substation; and (xii) Thuong Tin Kim Dong 220 kv transmission line. Subprojects (i) to (iii) are the core subprojects. 5. All the 12 subprojects were completed by the loan closing date, except several towers in Thuong Tin Kim Dong transmission lines which were completed inaugust 2015after resolving compensation issues. It is expected to energizeabove transmission line by the end of September 2015.The Project has helped the Government in adequate and reliable transmission of electricity, including evacuation of powerfrom new power plants that have come into operation during the project period. 1 *; ** and ***: 3 subprojects do not have affected household, no compensation and resettlement Page 6

8 Table 1: Summary of Subprojects No. Subproject Commune/district Started Date Completion Date Actual cost Transmission Lines Son La Hoa i Binh and Son La Nho Quan 500 kv transmissio n lines* km (177km ofdouble circuitand 28.6 km and 77.3 km single circuit ii SonLa Hiep Hoa 500 kv transmission Line km double circuit 36 communes of 11 districts in03 provinces: - Son La province: Muong La, Mai Son, Yen Chau and Moc Chau districts. - Hoa Binh province: Cao Phong, Mai Chau, Hoa Binh city, Lac Son, Yen Thuy and Tan Lac districts - Ninh Binh province: Nho Quan district 18 districts of 5 provinces: - Son La province: Muong La, Mai Son, Bac Yen and Phu Yen districts. The length of the section traversing Son La was km. - Phu Tho province: Tan Son, Thanh Son, Yen Lap and Tam Nong districts and Phu Tho town and Phu Ninh district. The length of the section traversing Phu Tho was km. - Vinh Phuc province: Lap Thach, Song Lo, Tam Duong, Tam Dao, Binh Xuyen districts and Phuc Yen town. The length of the section traversing Vinh Phuc was km. - Thai Nguyen province: Pho Yen district with the length of km. - Bac Giang province: Hiep Hoa district with the length of 2.32 km. $million November 2008 December November 2009 March iii Thanh Hoa Nghi Son Vinh 220 kv transmission lines* 147km double circuit 10 districts of 2 provinces: - Thanh Hoa province: Thieu Hoa, Dong Son, Nong Cong, Tinh Gia and Trieu Son - Nghe An province: Vinh city, Nghi Loc, Dien Chau, Quynh Luu and Yen Thanh districts October 2011 July iv Thuong Tin Kim Dong 220 kv transmission line 03 districts of 02 provinces: - Ha Noi city: Thuong Tin district May 2013 December Page 7

9 No. Subproject Commune/district Started Date Completion Date Actual cost 27 km double circuit - Hung Yen province: Kim Dong and Khoai Chau districts Substations v Hiep Hoa 500 kv new substation Total 1,800 MVA (2900MVA Transformers) Hop Thinh and Dai Thanh communes, Hiep Hoa district November 2009 TF1: March 2011 TF2: March 2013 $million vi vii viii ix Expansion of Thuong Tin 500 kv substation 450 MVA Expansion of Nho Quan 500 kv substation 450 MVA Bim Son 220 kv new substation 1x125 MVA with provision for 2 nd transformer Tuyen Quang 220kV new substation 1x125 MVA with provision for 2 nd transformer x Hai Duong kvnew substation 1x250 MVA Thuong Tin district December 2009 January Nho Quan district June 2011 March Bim Son town, Thanh Hoa province August 2012 July Kim Phu commune, Yen Son district, Tuyen Quang city December 2012 July An Phu commune, Kinh Mon district, Hai Duong provine August 2013 substantially completed as of Dec 2014, commissioned in Feb Page 8

10 No. Subproject Commune/district Started Date Completion Date Actual cost xi xii Kim Dong 220 kv new substation 1x250 MVA Expansion of Van Tri 220 kv substation* 1250 MVA * appraised during project design (core subprojects) Toan Thang commune, Kim Dong district March 2013 substantially completed as of Dec 2014, commissioned in 2015 $million Van Tri commune,dong Anh district, Ha Noi city September 2010 September Page 9

11 1.2. Project components with resettlement impacts. 6. The Northern Power Transmission Expansion Project (the Project or NPTEP) represents a 5- year time slice of Electricity of Viet Nam s (EVN) transmission expansion program, covering 500 kilovolt (kv) and 220 kv transmission lines and associated substations. The Project covers the northern part of Viet Nam, which is relatively poor. The Project will enable power to be supplied to the planned industrial zones in the region, thereby facilitating employment and income-generating opportunities. Thus, it will benefit the poor and ethnic minorities living in the project area. 7. The Project is to (i) strengthen the northern transmission network to improve system reliability and quality of supply, (ii) facilitate power transfers by removing transmission bottlenecks, (iii) reduce transmission losses, and (iv) facilitate efficient utilization of existing and planned power plants. 8. There are 9409 affected households in projects in there 4,983,138 m2 affected kinds of land in provinces Son La, Hoa Binh, Ninh Binh, Thai Nguyen, Phu Tho, Vinh Phuc, Bac Giang, Hai Duong, Hung Yen, hanoi, Thanh Hóa, Nghe An There are 2826 household erthic minority and 746 women household.. The project has been implemented 23 resettlement site for 758 affected household focus in 500kV Son La Hiep Hoa subproject with 21 resettlement site. Impact on land 9. The project affected different types of land:.the total land area affected by the project is 4,983,138 m2, including 2,043,526 m2 of agricultural land. The rest is mainly forest land (2,903,101 m2) and garden land (36,511 m2). Impact on structure There are 34 household affected the infrastructure, 758 household resettlement in 23 resettlement sites. Impact on tree and crops Having 9362 household affected the tree and agriculture land Table 2: Number of households and the impacts on land by sub project No. Subprojects AHs Impact of Land (m 2 ) Resettlement Sites 1 Bim Son 220 KV Substation 24 43, Tuyen Quang 220 kv Substation 93 72, Son La-Nho Quan-Hoa Binh 500kV T/L 2,911 1,811, Thanh Hoa - Vinh 220kv T/L , Hai Duong kv Substation 90 33, Son La Hiep Hoa transmission line ,500, Hiep Hoa SS Kim Dong SS kV Thuong Tin Kim Dong T/L Extension of Nho Quan 500 kv Substation Expansion of Thuong Tin 500 kv substation Expansion of Van Tri 220 kv substation Total 9,409 4,752, (Source: consolidated from RP/DDRs and data on compensation from NPPMB, 2014) 10. Page 10

12 11. The project affected different types of land: agricultural land...beside, the project affected crops and trees and structures of the households during the project implementation. Table 3: Types of land and assets of Ahs No Subprojects Total affected land area (m2) Garden *(m2) Agricultural land (m2) Forestland (m2) Affected crops/ trees (HHs) Affected structures (HHs) 1 Son La- Hiep Hoa 500 KV T/L 2,500,961 23, ,460 1,749, Hiep Hoa 500 KV substation 180, , Kim Dong 220 KV substation 33, , Thuong Tin- Kim Dong 220 KV T/L 5 Bim Son 220 KV Substation 6 Tuyen Quang 220 KV Substation 7 Son La-Nho Quan-Hoa Binh 500kv T/L 8 Thanh Hoa - Vinh 220kv T/L 15, , , , , , ,811,232 12, ,121 1,153,460 2, , , Hai Duong kv Substation 33, , Total 4,983,138 36,511 2,043,526 2,903,101 9, Source: Socio-economicsurvey by LIC, December, The total land area affected by the project is 4,983,138 m2, including 2,043,526 m2 of agricultural land. The rest is mainly forest land (2,903,101 m2) and garden land (36,511 m2). The details infomation by subprojects in below: Son La-Nho Quan-Hoa Binh 500kv T/L is the subproject with the largest number of AHs (316 resettled HHs out of 2,911 AHs) and involved 1,811,232 m2 impacted land of different types i.e. agricultural land, forestland, garden. Most resettled HHs arranged for selfresettlement on the area left after land acquisition or move to a nearby place. There was only 01 Resettlement Site constructed in Tan Lac district for resettled HHs here. No HHs had more than 10% of their agricultural land affected. Tuyen Quang 220 kv Substation involved 04 resettled HHs and 72,677 m2 land of different types (mostly forestland and agricultural land). However, there were only 02 HHs building houses on the land lot assigned by the project. No HHs had more than 10% of their agricultural land affected. Bim Son 220 KV Substation had no resettled HHs but impacted 43,000 m2 land of different types(agricultural land). There were 02 HHs having more than 10% of their agricultural land affected. Hai Duong 220 kv Substation had no resettled HHs but impacted 33,397 m2 land of different types (mostly agricultural land). There were 29 HHs having more than 10% of their agricultural land affected Page 11

13 13. Thanh Hoa - Vinh 220kv T/L caused impacts to 950 HHs with 291,453 m2 land agriculture. Nevertheless, there was no HH having more than 10% of agriculture land affected and no resettled HH. 500 KV Son La- Hiep Hoa transmission line: The subproject crosses 19 districts of five provinces: Son La, Phu Tho, Vinh Phuc, Thai Nguyen and Bac Giang. The total length of the T/L was 268,47km. The starting point of Son La Hiep Hoa 500kV T/L was the Son La 500KV substation and the ending point was Hiep Hoa 500KV substation. The number of affected households (AHs) is 4115, in which 438 AHs were subject to relocation. Resettlement activities have been undertaken and relocation is basically completed. Hiep Hoa SS: The Hiep Hoa 500kV Substation Subproject traverses 2 communes (Dai Thanh and Hop Thinh) of Hiep Hoa district, Bac Giang province. Total 770 HHsareaffected by the subproject in Dai Thanh and Hop Thinh communes. There are 244 AHs losing more than 10% of their agricultural land and no AH being relocated or resettled, no AH having their houses/structures affected as well as no AH having their business affected. 220 KV Kim Dong SS: The subproject is located in Toan Thang commune, Kim Dong district, Hung Yen province. Total of 187 HHs are affected by the substation. 220 KV Thuong Tin- Kim Dong T/L: passing 3 districts in Hung Yen province (Khoai Chau and Kim Dong districts) and Hanoi City (Thuong Tin district). There are 3 districts with 16 communes in 2 provinces affected by the subproject. The number of affected households (AHs) is 269, in which 7 AHs losing more than 10% of productive land Categories of resettlement impact and payment of compensation Categories of resettlement impact The project is Category A, but there are 2 subproject in Category A 500kV Son La Hiep Hoa TL and 500kV Son La Nho Quan Hoa Binh TL, 7 subproject in Category B and 3 subproject in Category C (Detail in the Tabole No 4). 14. Since February 2010, VICA Consultants International Company Ltd. (VICA) has been engaged by NPPMB to provide services in preparation of safeguards (resettlement and environment) documents. VICA has helped NPPMB to supervise the implementation safeguard policies of ADB in every subproject during the construction and operation. 15. During its implementation, the project acquired land and non-land assets for the construction and maintenance. The social safeguards policies applied under the Project are: (i) Involuntary Resettlement,(1995) guided by the Operations Manual on Involuntary Resettlement (OM/F2, 2006); (ii) other relevant policies and guidelines of ADB, i.e., Gender (1998), Indigenous Peoples (1998), Accountability (2003), Public Communications (2005), and Incorporating Social Dimensions on ADB Operations (2007); and (iii) current regulations of Government of Viet Nam (GoV) related to land acquisition, compensation, assistance and resettlement (i.e. Land Law 2003; Decree No. 197/2004/ND-CP; Decree No. 84/2007/ND-CP; Decree No. 69/2009/ND-CP and other relevant Circulars to guide the implementation of the Decrees etc.). 16. There are 24 RPs and EMDPs, 23 DDRs have been prepared for project since 2005 to 2014 by PB Power in PPTA, VICA, CEFACOM and LICs There are 2 Local Implementation Consultant working in this loan. The first LIC covers 05 subprojects namely (i) Son La Hoa Binh Nho Quan 500kV T/L, (ii) 220kV Thanh Hoa Vinh T/L; (iii) 220kV Bim Son substation; (iv) 220kV Tuyen Quang substation; (v) Hai Duong KV substation; and the Page 12

14 second LIC covers 04 subprojects namely (vi) Son La Hiep Hoa 500kV T/L; (vii) 500kV Hiep Hoa substation; (viii) 220kV Kim Dong substation; (ix) Thuong Tin Kim Dong 220kV T/L.(x) Expansion of 500kV Thuong Tin Substation; (xi) Expansion of 500kV Nho Quan substation; (xii) Expansion of 220kV Van Tri substation. 17. International and national experts assisted NPPMB and CPPMB in undertaking the resettlement and environmental management plans payment for compesation 18. As it could be seen from the data in RP/DDRs and compensation data provided by NPPMP, the total amount of compensation and assistance for AHs in 12 subprojects was roughly VND 539,798,000,000 (equivalent to US $25,218, ). Such amount covered compensation for land, trees/crops, structures and assistance for AHs in their relocation, house construction, temporary assistance during relocation, electricity fee etc. Table 4: Compensation and assistance for AHs under 9 subprojects No. Subprojects Actual Level of DPs Relocated Impact 3 1 Bim Son 220 KV Substation 2 Tuyen Quang 220 KV Substation 3 Son La-Nho Quan-Hoa Binh 500kv T/L 4 Thanh Hoa - Vinh 220kv T/L 5 Hai Duong kv Substation 6 Son La Hiep Hoa transmission line 24 0 B 93 4 B 2, A B 90 0 B Compensation and assistance (million VND) 7,519,000,000 6,713,000, ,350,000,000 25,726,000,000 7,315,000, A 251,170,000,000 7 Hiep Hoa SS B 37,500,000, Kim Dong SS B 8,860,000, kV Thuong Tin Kim Dong T/L 10 Extension of Nho Quan 500 kv Substation 11 Expansion of Thuong Tin 500 kv substation 12 Expansion of Van Tri 220 kv substation B 9,645,000, Total 539,798,000,000 (Source: synthesized by LIC from the actual compensation payment for the subprojects in L2225, 2015) C C C Provisional exchange rate on 15 December 2014, US$1 equal to VND 21,405 3 Level of impact: (i) Group A consists of 200 and above severely affected persons (APs) (resettled and lose more than 10% of their agricultural land or income-generating assets); (ii) Group B consists of less than 200 severely APs; (iii) Group C has no APs. Page 13

15 19. The scope of impact caused by 09 subprojects was significant and thus, the number of AHs was large with various types of impacts such as resettled HHs, HH only losing assets of trees/crops, structures and lands of types i.e. agricultural land, forestland, garden, residential land. In addition, there were direct impacts on vulnerable groups such as female-headed HHs and ethnic minority HHs: Mường, Thái, Mông, Sán Rìu... The details of such impacts are presented in the table below: Table 5: Number of AHs in sub-projects of Project L2225 No. Subprojects Total AHs Severel y affected househ olds Ethnic minority household Single woman headed households AHs receivin g compen sation AHs not yet receivin g compen sation Resettle d househ olds Resettlem ent sites 1 Bim Son 220 KV Substation Tuyen Quang 220 kv Substation Son La-Nho Quan-Hoa Binh 500kV T/L 2, , Thanh Hoa - Vinh 220kv T/L Hai Duong kv Substation Son La Hiep Hoa transmission line Hiep Hoa SS Kim Dong SS 9 220kV Thuong Tin Kim Dong T/L Total Source: Socio-economicsurvey by LIC, December, 2015 Payment for compensation has implemented from 2009 to At the end of 2015 there are 5 household don't receive compensation (05 household in Le Loi commune, Thuong Tin district, Hanoi and the household Mr Tran Thanh Tung in Phu Tho town) 20. As of December 2014, all 12 subprojects have been basically completed. Given previous results of the resettlement monitoring; there wasno significant resettlement issues observed. 21. According toadb s SPS 2009 and GoV s policies on compensation, assistance and resettlement, the implementation of subprojects shall ensure that all affected people will be compensated for their damages at replacement cost and propose life rehabilitation methods to help them to improve or at least maintain living standards and income generation capability to the pre- Page 14

16 project level. Thus, the evaluation report covers the present monitoring results of corrective action plan for all subprojects of Loan L2225 as of 30 th December, OBJECTIVES OF POST EVALUATION 22. The key purpose of this report is to evaluate the project s compliance with ADB s Safeguards policies via some specific objectives including: Restoration income of affected household: Compensation, payment for compensation and allowance for affected household. Restoration livehood for affected household. Compliant and claim of affected household. Attaining the goal in RP/DDR about resettlement Evaluation about heavy affected household: Full receiving the allowance payment and the policies of restoration income; Lessons learn to implement the similar projects. 3. METHODOLOGY 23. The post evaluation for resettlement has been used the methodologies below: Documents study: Loan Agreement, Project documents: Project Feasibility Study, RPs of the subprojects (Son La Hoa Binh transmission line, Hiep Hoa substation, Kim Dong substation, Thuong Tin-Kim Dong transmission line, DDR of Son La- Hiep Hoa transmission line subproject, Hiep Hoa substation subproject; Memorandum of Understanding from ADB s missions (2012, 2013, 2014 and 2015); ADB s SPS 2009; ADB s Guideline on resettlement assessment, Land Law 2003 and Decree 69 (guiding Land Law 2013); LIC's quarterly reports and Policy framework and entitlement matrix for AHs in project L2225. Document analysis: Studying legal documents, internal reports on safeguards and document reflecting results of compensation, assistance and resettlement to obtain diverse information to analyze and assess the relevant issues during the RP implementation. LIC randomly checked the documents and papers related to compensation, assistance and resettlement of Compensation and Resettlement Board/Center for Land Fund Development and studied the documents related to livelihoods Qualitative analysis: Interview: The consultant has interviewed the division concerned to collect information. Interviewing implement with: (i)leaders in Division of Compensation and Resettlement under NPPMB (2 persons); (ii) Leaders of Compensation and Resettlement Board in the sub-projects i.e. 500kv Son La Hiep Hoa, 500kV Son La- Hoa Binh, 500kV Hiep Hoa substation, 220kV Kim Dong substation, 220kV Bim Son substation, 220 Tuyen Quang substation and the districts where the 220kV Thanh Hoa Vinh transmission line going through (1 person/unit); (iii) Commune leaders in the affected communes in the subprojects of 500kV Son La Hiep Hoa substation, 500kV Son La Hoa Binh transmission line, communes of Dai Thanh and Hop Thinh - Hiep Hoa, communes in 220kV Thanh Hoa Vinh subproject,.. (1 person/unit);(iv) In-depth interviews AHs in Page 15

17 21 resettlement sites (one per site), besides, we interviewed 7 single woman headed households, 5 households loosing assets, and 10 households loosing less than 10% of total land area. LIC conducted in-depth interview with AHs, project officers and persons in charge during the RP implementation according to the prepared questions: (i) advantages and difficulties during the project implementation; (ii) positive and negative impacts of the project; (iii) resettlement related issues; (iv) effects of livelihoods models deployed; (v) lessons learnt during the project etc 24. Group discussion: Organized 07 focus group discussion, each include 8-10 persons:02 FDG male and female discussion groups in 500kV Son La Hiep Hoa transmission line subproject; (poor households, single woman householders, ethnic minority households ); 01 FDG male and female discussion group in 500kV Hiep Hoa substation subproject;02 FDG female discussion group in 500kV Son La Hoa Binh substation subproject and 02 FDG male discussion groups in 200kV Bim Son substation and 200kV Tuyen Quang substation Observation: LIC directly interviewed AHs at their houses, while observing their living standards and the convenience. In addition, LIC interviewed AHs on how they use the money and the methods to restore livelihoods of AHs after the project Quantitative analaysis: Collect the information of affected household, 100% of heavy affected household and 20% of other affected household. 25. The methods were applied throughout the following process: (i) Sampling process (sample selection and size); (ii) Data collection and analyzing; and (iii) Implementation arrangement. Sampling and sample size Sampling 26. AHs were the target group, including: (i) resettlers, (ii) households loosing more than 10% of agricultural land, (iii) households loosing agricultural land and/or forestland and/or garden LIC chosen to interview 20% of total AHs including about 20% severely affected households (resettlers and households loosing more than 10% land). 27. The selection of interviewees was made in two steps: (i) selecting surveyed districts and (ii) selecting AHs in the communes. In the selected districts, AHs were selected based on simplified random selection method, from the list of AHs by subproject. In the selected households, the interviewer prioritized heads of the households. In case they could not do not, the interviewers asked other family members (who are from 18 to 60 years old, in their right mind, etc. In case they could not meet AHs (working elsewhere, not at home after two visits, etc) the interviewer replaced them with other AH next to that AH. Sample size The sample size was selected to represent the total AHs in the project. In this survey, the sample size was identified based on the following principles: (i) 20% of total AHs (ii) 20% of total severely AHs (resettlers, more than 10% agricultural land area). 10% samples were added (about 160 households) of the interviewed households in case the selected AHs refuse to answer or working elsewhere or for any reasons of not answering the questions. The sampling is as follows: Page 16

18 Table 3: Number of AHs interviewed in socio-economic survey in project L2225 Total surveyed affected people Subprojects Total HHs Survey Severely Affected HH Insignificantly Affected HHs Son La- Hoa Binh- Nho Quan Thanh Hoa-Vinh 220kV T/L Hai Duong 220kV Substation Bim Son 220kV Substation Tuyen Quang 220kV Substation Son La- Hiep Hoa T/L KV Hiep Hoa SS KV Thuong Tin- Kim Dong T/L KV Kim Dong SS Total 1, ,071 (Source: Socio-economic survey by LIC, August, 2014) 28. AHs in the sub-projects were interviewed in a revolving mode, means that after enough interviews were made in one subproject, we moved to another subproject and continued until all the interviews in all subprojects were done. 4. FINDINGS 4.1. Basic information about displaced persons households Profile of Affected household Demographic charactesistics 29. The Consultant did collect information from 1376 AHs, including 305 severely affected HHs and 1071 insignificantly affected HHs. Total number of number of surveyed HH members was 5,978 (3122 males and 2856 females). The average scope of survey HH was 4.3 people per HH. Among those, 68,2% of HHs had 5-8 members/hh. 30. The consultant has collected information with 1376 Ahs in there 305 heavy AHs and 1071 other Ahs. Total 5978 people 3122 men and 2856 women. Average is 4,3 people / AH. The group 5-8 people in 1 AH 62,8%. AH is less than 4 people 21,6% and more 8 people 10,2%. Table 4: Total AHs collecting data by subproject Subprojects Son La- Hoa Binh- Nho Quan Thanh Hoa-Vinh 220kV T/L Total HHs Surve y Total surveyed affected people severe ly affecte d HH insignif icantly affecte d HHs Male Fem ale Total Avera ge HH s size (pers. /HH) Distribution of APs by HH s size (pers./hh) <4 perso ns From 5 to 8 perso ns >8 perso ns Hai Duong Page 17

19 Subprojects 220kV Substation Bim Son 220kV Substation Tuyen Quang 220kV Substation Total HHs Surve y Total surveyed affected people severe ly affecte d HH insignif icantly affecte d HHs Male Fem ale Total Avera ge HH s size (pers. /HH) Distribution of APs by HH s size (pers./hh) <4 perso ns From 5 to 8 perso ns >8 perso ns Son La Hiep Hoa 500kV KV Hiep Hoa SS 220 KV Thuong Tin- Kim Dong T/L KV Kim Dong SS Total 1, , (Source: Socio-economicsurvey by LIC, August, 2014) Population and ethnicity, ager distribution Table 5: Gender and Age of people collecting data Subprojects Son La- Hoa Binh- Nho Quan Thanh Hoa-Vinh 220kV T/L Hai Duong 220kV Substation Bim Son 220kV Substation Tuyen Quang 220kV Substation Total HHs Survey Sex ratio (%) Male Distribution of the surveyed population by age group (%) Femal e < > Son La- Hiep Hoa KV Hiep Hoa SS KV Thuong Tin- Kim Dong T/L KV Kim Dong SS Total Source: Socio-economicsurvey by LIC, August, In total 1376 people have been collected data, rate of men is 52,7% and women is 47,3%. In there age from 3-40 is highest rate 30%, age 23,1%, group age 20,3% and over 60 age 7,2%. Table 6: Erthic minority rate of collecting people Subprojects Total HHs Survey Ethnic minority (%) (APs) Kinh Muong Thai Mong Sán Rìu Page 18

20 Subprojects Total HHs Survey Ethnic minority (%) (APs) Kinh Muong Thai Mong Sán Rìu Son La- Hoa Binh- Nho Quan Thanh Hoa-Vinh 220kV T/L Hai Duong 220kV Substation Bim Son 220kV Substation Tuyen Quang 220kV Substation Son La Hiep Hoa KV Hiep Hoa SS KV Thuong Tin- Kim Dong T/L KV Kim Dong SS Total Source: Socio-economicsurvey by LIC, August, Out of the 1376 people surveyed, the majority of the affected people are Kinh, accounting 68.8% of the respondents. However, the project also affects EMs such as Muong, Thai, Mong and San Diu. These EMs mainly concentrated in two subprojects of Son La - Nho Quan Hoa Binh and Son La - Hiep Hoa. 33. EMs affected by the project is distributed in the provinces of Son La, Hoa Binh, and a few districts in Phu Tho. EMs has seperated language and culture. Most of the project areas are convenient to transport links, infrastructure, as well as basic social services. Agriculture is their main source of income including annual agricultural crops as well as the type of product to be harvested from the forest: wood, mushrooms, bamboo shoots, as well as the exploitation of non-timber products to serve their life. 34. Today, EMs has access to all production activities, animal husbandry as well as the business of the Kinh (agricultural trade, handicrafts, as well as models of agriculture production...). Most of them go to school and are able to communicate in Vietnamese (except for some elderly and illiterate). Therefore, they also contribute to the development of the region in general and in particular projects. Education Table 7: Education level of respondent Subprojects Total HHs Survey Distribution of the surveyed population by academic level (%) Primary Lower Secondary Upper Secondary College/ University Son La- Hoa Binh- Nho Quan Thanh Hoa-Vinh 220kV T/L Hai Duong 220kV Substation Bim Son 220kV Substation Page 19

21 Tuyen Quang 220kV Substation Son La Hiep Hoa KV Hiep Hoa SS KV Thuong Tin- Kim Dong T/L KV Kim Dong SS Total Source: Socio-economicsurvey by LIC, August, Out of 1376 surveyed people, the education level of secondary school and high secondary school was similar (32.3% and 32.1% of respondents). Besides, 27.3% of respondents have primary school, and only 8.3% of the respondents have college degree or higher. This also reflects the education level of the project affected areas, mainly rural and mountainous areas Income sources, Income separation and Distribution Table 8: Occupation of surveyed HH Occupation/income sources of APs members (%) Total HHs Trading/Busi Wage and hire Subprojects Survey Agriculture ness Labor Son La- Hoa Binh- Nho Quan Thanh Hoa-Vinh 220kV T/L Hai Duong 220kV Substation Bim Son 220kV Substation Tuyen Quang 220kV Substation Son La Hiep Hoa KV Hiep Hoa SS KV Thuong Tin- Kim Dong T/L KV Kim Dong SS Total Source: Socio-economicsurvey by LIC, August, It can be seen that main occupation of serveyd HH is agriculture. Because project area goes through provinces of the midland northern and mountainous and some provinces of the Red River delta, the affected area is largely agricultural and forest land. Thus, the job of affected people are agriculture, 72.6% of the respondents work as agriculture, the number of business / services and salary/employees is 10.8% and 16.6% of the total surveyed HH. 37. There is a big change in comparision with pre-project implementation, the proportion of people engaged in agriculture has decreased (72.6% and 79%; the percentage of business and trade has also increased to 10.8% compared with about 4.8%. The ratio of income from wage / salaried workers also increased significantly from 9.7% previously to 16.6%. The reseon leading the change is due to the impact of the project, in the fact, project provinces are where implemented various projects funded by the government, such as northern mountainous poverty reduction project, 30A programs, 135 programs... and some other programs. Page 20

22 Table 9: Average income of surveyed HHs Subprojects Surveyed population n (person Monthly per capita income Average income by sex of HHs (thousand VND) Male Female Son La - Hoa Binh Nho Quan Thanh Hoá _ Vinh Hai Duong 220kV Substation Bim Son 220kV Substation Tuyen Quang 220kV Substation Son La - Hiep Hoa 500kV KV Hiep Hoa SS Thuong Tin - Kim Dong 220Kv KV Kim Dong SS Source: Socio-economicsurvey by LIC, August, Average income of the interviewees has difference between areas of project implementation, for example, in Thuong Tin Kim Dong sub-project has the highest average income of 989 thousand VND / person / month, whereas 2 subprojects of Son La - Hiep Hoa and Bim Son, Thanh Hoa, have the lowest income, respectively 670 thousand and 672 thousand VND / person / month. Besides, the average income for men is higher than women around tens of thousand VND / month. Table 10: Average income by ethnic group Subprojects Surveyed populatio n n (person Average income by ethnic group of HHH(thousand VND) Kinh Muong Thai Hmong Sán Dìu Son La - Hoa Binh Nho Quan Thanh Hoá _ Vinh Hai Duong 220kV Substation Bim Son 220kV Substation Tuyen Quang 220kV Substation Son La - Hiep Hoa 500kV KV Hiep Hoa SS Thuong Tin - Kim Dong 220Kv KV Kim Dong SS Source: Socio-economicsurvey by LIC, August, However, there was difference in income per capita among ethnic groups when Kinh and Muong people had highest monthly income of VND 694,000 and VND 698,000 per person respectively while Hmong people only got around VND 350,000/person/month. 40. The surveyed female household heads accounted for 26.5% of surveyed people and the rest 73.5% was occupied by male household heads. The percentage of household heads engaged to Page 21

23 agriculture was 81.6% while that of hired labors was 17.6% and only 1% of surveyed household heads were traders but they only had small stores selling necessary goods with limited capital. 41. The survey reveals no difference in access to social, educational and health care services among ethnic groups. Such social services were accessible to all surveyed people in their living places. Besides, ethnic AHs were also entitled with Governmental preferential policies for ethnic minority groups and for northern mountainous region. 42. Relocated HHs also rebuilt their houses upon their desires as well as in line with their own traditions (stilt house for Muong and Thai people). HHs having their assets or agricultural land affected often spent a part of compensation on repairing their houses. The survey showed that most AHs still have agricultural land for cultivation and thus, productive land for AHs is still guaranteed. 43. During public consultation, most AHs attended activities in their living places organized in village meetings or local festivals and ceremonies. Most surveyed people admitted that there was no impact caused by the project on their traditions and culture. Box 1: Local citizens 'opinions about the project impacts The ethnic minority people now benefit from many Government s preferential policies such as periodic provision of rice, money etc on annual basis. No matter which ethnic group they are from, all little children are encouraged to attend school and arranged into the same class without any discrimination. In addition, ethnic people are also provided with medical insurance certificate so that they could visit the district s general hospital when needed at no charge etc In-depth interview, Project staff in Thuong Coc commune, Lac Son, Hoa Binh The transmission line causes no impact on Muong people s traditional culture as even in the event of relocation, we still live near our old living place. We might be afraid of being infected by the magnetic field In-depth interview with Bui Van Tien, Phu Cuong commune, Tan Lac, Hoa Binh We still have farming and forest land as the project only acquired small area for poles and there are some areas on which perennial tree plantation is limited given possible impact cause to the gridline. Compensation receivers also rebuilt their houses or rehabilitate their kitchen, yard for better living conditions etc In-depth interview with Ngan Van Phan, Mai Son, Son La. (Source: Socio-economic survey by LIC, August, 2014) Livelihood and Subsistence Economy (i) Agricultural activities 44. The agricultural activities of HH concentrated in activities such as: (i) cultivation; (Ii) livestock. Agricultural production is the main economic activity of HH. Therefore, agricultural activity is the main source of income of the local people in general and in particular project areas. The survey data showed that 66.6% of those surveyed have a job and main source of income from agricultural activities. Agricultural production activities usually associated with crops such as rice, maize, cassava or timber tree from forests. Other products include bamboo and other plant species diversity. Howeer, now, resources are being overexploited. (ii) Livestock raising 45. Livestock is also an active production, however breeding purposes only small scale and mainly used for their family. The main livestock inlcude cattle, goats, pigs and chickens, however the qualily is small, mainly serve for needs of the family, or the livestock accordingly traditional methods, so the value is not big. Pets play an important role in the income of households, an average of 2.4 buffaloes / cattle / household. Livestock graze freely; there is not hay or pasture is planted. The average time for livestock is by 2.7 pigs in a year. Cattle manure, poultry are often used as organic fertilizer. Page 22

24 (iii) Forest resources 46. The income from forest and non-timber products also brings significantly income for HHs. Forest land assigned to households for management and using in accordance with the law. Local people plant crops such as bamboo, acacia. In addition, people also make use of non-timber products such as rattan... to cater to the needs of traditional crafts. (iv) Non-agricultural activities 47. The non-agricultural sources of income: the business of HH is small scales with products such as basic necessities, daily living supplies. In addition, some households do traditional handicrafts such as rattan, bamboo weaving, baking, art... purchase agricultural and forestry products of the household Houses and House styles 48. According to the survey result, the ownership of housing includes wooden housing, bricks or traditional housing. Basically, accordingly characteristics customs of their people: Kinh often build bricks housing with or flat roofs, groups of Thai, Muong often use stilt houses, and the San Diu, Hmong groups use the wooden housing with the architecture of their ethnicity. 52. The surveyed resultes presented that the ownership and the form of the households changes in comparision with pre-project implementation. Especially for relocation HH. Most of resettlement HH have rebuilt a new house, in the resettlement areas, as well as their land accordingly their needs. The observation results showed that the new housings of resettlement HH are better than the on in the past. Working with these HHs, they said they felt happy about their new home. Households only have affected land, property, some HH use the money to repair and rebuild their homes Access to Infrastructure and Social Services resettlement sites of the sub-projects are built in project communes and they are near with old places. Therefore, the access to basic social services, including health, transport, electricity and schools are favorable. Moreover, in the project provinces, during 10 years of project implementation of, the government of Vietnam has implemented some programs and projects to improve the infrastructure, inclduing transportation projects, Northern mountainous poverty reduction programs, the new rural program, 135,... has invested in subprojects districts / communes. All districts and communes have inter- district and inter-commune road. Besides, many districts also developed waterways, transported by boat, raft for commodities such as bamboo, wood or sand mining in the river Health services: All the project communes have health stations, districts has the general hospitals to meet the health care needs of local people. Households can access health services through this channel. Also, communes and villages also have other private clinics else. 50. Market: subproject areas have marketplaces for trading, buying and selling. Markets are arranged depending on the local and meetings rotate periodically. People can access the market via the transport system of communes and districts. 55. Schools: communes have nursery schools, primary schools, secondary school and high secondary school. The high secondary school is arranged for the village cluster or in a location convenient for transportation. Most of the people in these areas have access to education, especially for young people Participation in neighborhood or community groups 51. The project's impact caused by T/L is small and mostly relocated households selected self relocation. For the displaced households in resettlement areas, HH are consulted to select locations to Page 23

25 build resettlement areas and entire resettlement sites are located in the communities of the displaced households, so the displaced people are not much affected by the loss of relationships, the connections in the community. 52. The survey results presented that 80% of respondents participated in the mass organizations at the local movement: farmer s union, women union, youth union, veteran s union.the project information are also informed and disclosure in community meetings, thus HH know fully about the project information Compensation and resettlement Resettlement and livelihood restoration 53. The compensation for land affected by project was applied regulation and law. After the 2003 Land Law put in use, Project province People s Committees issue the regulation related to annual unit price of land, trees and crops and structures for compensation calculation. The DMS results presented that there is not business affected by the project. 54. During the resettlement of AHs, they had been informed about the involuntary resettlement policy and involved in selecting and preparation of resettlement sites. The RPs and compensation plans had been disclosed to APs during community meetings and loudspeakers. APs were also consulted on safety while working under the high voltage transmission lines. 55. DMSs were conducted for the assets of AHs (land, crops and trees and structures). Most of the assets were adequately counted (some case of inadequacy, additional DMS was carried out upon the request of AHs). 56. Compensation plan for AHs included the amounts for compensation and assistance for AHs which were very clear and detailed (compensations for land, crops and trees, and structures) and the assistance together with compensation were paid to all AHs. 57. Payment of compensation and assistance was conducted in a public and transparency way, at the coordination and witness of NPPMB staff and local staff as well as AHs. Documents related to the project were relayed to the AHs, both the husband and wife had been signed in the payment receipts. 58. In general, the payment of compensation did not meet with difficulties thanks to consultation and consensus with the local people in advance. There was no incident during compensation. 59. Payment of compensation was conducted in line with the procedures and processes (with the participation of local leaders, Center for Land Fund Development, NPPMB, Bank, Police ). 60. All entitlements of APs including compensation and allowances have been delivered to them prior to displacement from their houses, land, and assets. In some cases, where construction of resettlement site could not be completed before displacement the rent has been provided for relocated household until a plot has been allocated in the resettlement site. For vulnerable affected households including poor and ethnic minority people, addition to compensation, special allowances have been provided to help them improve their socio-economic status. Severely affected households have been also provided allowances of job training and subsistence so that they have restored and improved their living standard. 61. After receiving the compensation payment, during consultation process of RP implementation, all relocation HH wanted to build thier new houses accordingly their needs. For households received plots in resettlement sites, they carried out building houses. Some households have not built or selling to another person. For households who did no receive plots in resettlement sites, they built houses on the remaining land. LIC found that, there is not impact on livelihood restoration for households in Page 24

26 resettlement sites or built houses, in the fact, the resettlement sites are near the old place where they live in the past. Table 11: Resettlement status of AHs in subprojects Nho Quan - Son La - Hoa Binh 500kV T/L Tuyen Quang 220kV substation Son La- Hiep Hoa T/L Total AHs AHs HH Compensa District Total Relocati ted on Notes Son La province Muong La HHs self-resettled Complete Mai Son, HHs self-resettled Complete Yen Chau HHs moving Complete voluntarily, 9 HHs voluntarily resettled in concentration Moc Chau, HHs moved houses Complete Hoa Binh province Hoa Binh Complete city Cao Phong HHs required to Complete resettle separately Tan Lac HHs required to Complete resettle separately Mai Chau in which : 7 hộ sử dụng Complete đất công ; 9 HHs selfresettled Lac Son HHs required to Complete resettle on their land Yen Thuy HHs required to resettle on their land Complete Ninh Binh Province Nho Quan Complete Complete Yen Son 2 HHs received land for resettlement Muong La, HHs self-resettled Complete Mai Son HHs self-resettled Complete Bac Yen HHs self-resettled Complete Phu Yen HHs self-resettled Complete Tam Nong HHs self-resettled and Complete 9 HHs in Hien Quan RS Phu Tho Not yet town 23 HHs in Ha Thach RS Phu Ninh RSs Complete Song Lo RSs Complete Lap Thach RSs Complete Tam 11HHs self-resettled and Complete Duong 10 RSs Tam Dao RSs Complete Binh Xuyen RSs Complete Pho Yen HHs self-resettled, 02 Complete Page 25

27 District Total AHs HH Total Relocati on AHs Compensa ted (Source: Socio-economic survey by LIC, August, 2014) RSs Before and after land acquisition and resettlement comparison Notes 62. The survey results presents that there is a change both income and job of AHs.The socioeconomic survey of RP implementation shows that the average incomes of AHs is 600 thousand / person / month. At the time of evaluation, the average income has increased by about 792 thousand / person / month. In the fact, these households have used the compensation payment to continue agricultural production and investment in farming or business. Table 12: Comparision income ratio, occupation ratio before and after project implementation Before (%) After (%) Income from business/trade 4,8 10,8 Change for occupation structure Agriculture 80,5 68,2 Service 9,3 12,5 Salary/Hired worker 10,2 19,3 Source: Socio-economicsurvey by LIC, August, The survey results present that the change of job structure is quite obvious for AHs. The ratio of employees has increased from 10.2% to 19.3%, the ratio of agriculture reduced, accounting for 68.2% of total surveyed households. In project areasl, in addition to L2225 project, there are some programs and projects, this led to this change. For example, in Hiep Hoa 500kV station subproject, who are beolw 40 year-olds or younger were involved in secondary job, such as masonry, motor-bike repairment, carpentry... Those people who are in the age group of often do as workers for industrial areas such as Yamaha, Samsung, or Pho Yen industrial zone... Box 2: Model of change of job structure in Hiep Hoa Bac Giang Currently, Bac Giang has 39 traiditional handicraft villages (to the end of 2015, 2 more villages) recognized by PPC; including 14 traditional handicraft villages, in addition to nearly 14.3 thousand of handicraft workshops with processing industries such as agriculture and forestry product; mechanical production; building materials; crafts, weaving, paper making do... attract significant local labor and labor from other places. In the past, mostly rural labor resources have low education levels, seasonal workers are low disciplined. By implementing the criteria of employment and education structure mentioned in the national criteria of new rural has contributed to reduce the percentage of workers in the field of agriculture - forestry fishery, it is expected at the end of 2015 was 56% ; the trained-employment rate reached 47% (up 13.5% compared to 2011), in which trained worker reached 30.5%, meet 2015 target sooner 1 year. This is annually addition labor resource and provide to local enterprises. The success of the expansion and development of industry, handicraft and traditional craft villages has contributed to change of economic and labor structure, land accumulation and consumption of agricultural products. This is an important making change of economic and labor structure, the ratio of agricultural labor is transferred workers. This helps to improve income for rural people. Source: dich-vu--lang-nghe.html 64. There are employment opportunities in garment and other factories in the provinces/ districts and there are existing training courses offered by the Department of Labor, Invalids and Social Page 26

28 Affairs (DOLISA) to help members of AHs to obtain employment. However, shifting to nonagricultural work remains a challenge for people who are more than 50 years old due to the preference of factories to hire younger applicants. Trading is another opportunity, but would require good planning, location and capital. Because of these challenges, many older APs are resigned to the idea of not finding alternative jobs, and relying only on the capacity of the younger members of their HHs to find better paying and sustainable jobs, thereby adding economic strain to the household. 65. The success of resettlement planning in restoring living conditions is thus inextricably bound to income restoration, and effective income restoration in turn necessitates a clear understanding of livelihoods, capacities and risks faced by those displaced. 66. The crucial role that women play in the socio-economic well-being of the HH can often be overlooked when AHs livelihoods are only examined at the HH level. The nature of women s work can often be quite different to that of men. The implications for resettlement are that these differences in the general characteristics of productive work mean that women can experience different risks and impacts on livelihoods compared to men. Work located close to the home tends to be the income source most severely affected by resettlement. Women s separate incomes, while generally lower than those of men, are an important element for empowerment within the HH and make a significant contribution to HH wellbeing. Overall, lost incomes for women pose significant risks in terms of increased time, poverty, disempowerment within the family as well as impoverishment of HHs Restoration of livelihoods Income restoration models/programs 67. Following Decision No. 1956/QD-TTg dated 27 November 2009 of the Prime Minister, and Decision No. 1201/QD-TTG dated 31 August 2012 of the Prime Minister approving the National Target Program on Employment and Training for the period of , local authorities in subproject area: Organize annual surveys on labor supply and demand and develop a database of households within the communes; Established a steering committee to oversee the implementation of the employment and training plan in the commune; Conduct information dissemination on the vocational training scheme for rural laborers; Guide departments, divisions and missions in implementing the vocational training program; and Monitor the implementation of vocational training classes in the commune. 68. Vocational training and job referrals have been implemented widely, resulting in significant improvement in skills development, job creation, and increasing income of people in the commune. This program is carried out for people under working age affected resulting from land acquisition by various projects in the province/district. Members of AHs) losing agricultural land under the Project are eligible to participate in one short term vocational training course (up to 6 months) free of charge. The main State provider of vocational training is the Provincial DOLISA as stated in Decision 1956/QD-TTg. 69. In the fact, income restoration program for the AHs has not implemented in project area. The reason is that the ratio of severely affected households is small (less than 10% of total AHs) and not focus (only 21 resettlement sites of Project). Aside from compensation for tác assets Costs Applying the unit stipulated by PPC, những HHs received assistances phụ thuộc on Regulations in each province, như relocation assistance, and temporary housing assistance, and finding new residence and bonus for themselves. Page 27

29 70. In the project areas have some programs and projects, includinge 30A, 135,... of the government. Therefore, programs of job training, job change have combined into these programs. AHs have not only received support from L2225 project but also receied from nother projects done in local areas. Table 13: Allowances of Project for AHs Assistance selfresettle Relocati Incenti Resettle Occup Assista Assista Assistance on ve for ment ation nce for nce for to HHs ment assistan relocati house change house vulnera temporally assistan ce on by leveling and life rent ble affected Assista ce progre stabiliz HHs during nce to ss ation project HHs Subprojects construction electric Son La- Hiep Hoa 500 KV T/L x x x x x x x x x Hiep Hoa 500 No No No No require No KV substation require require x require x x x require Kim Dong 220 No No No No require No KV substation require require x require x x x require Thuong Tin- Kim Dong 220 KV T/L Bim Son 220 KV Substation Tuyen Quang 220 KV Substation Son La-Nho Quan-Hoa Binh 500kv T/L Thanh Hoa - Vinh 220kv T/L Hai Duong kv Substation No require No require x No require No require x x x x x x x No No No No No x require require require X require require x x x x x x x x No require No require No require x No require No require No require No require No require Source: Socio-economicsurvey by LIC, December, 2015 x x x x x x No require No require No require x x x No require No require No require x No require No require 71. The vulnerable groups had chances of income improvement in construction time (hire local labour) or receive allowances from the project, such as vocational training and particularly allowance for vulnerable groups and priority access to microfinance loans for economic development. In general, vulnerable groups felt quite happy with the project allowance. The implementation of the project activities has brought quite sustainable opportunities for vulnerable groups. They can have access to various resources through local organizations and unions 72. Generally, resettled HHs received same assistances such as relocation assistance, assistance to self-resettled HHs, incentive for relocation by progress; assistance for occupation change and job creation, assistance for electricity fee, assistance for vulnerable HHs etc Mostly HH did have any complaint (excepts HH of Mr Trần Thanh Tùng under Sơn La Hiêp Hoà subproject). 73. For the resettled HH received plots in resettlement sites felt happy, because the location is not far from their old home. Thus, there is not difference for their relationship and livelihood. These households who did not receive land in resettlement sites often built houses in the remaining area, they also receive compensation amount as well as project allowance. 74. Those HHs only having their land and assets affected were provided with assistance for occupation change and job creation. In addition, HHs who were temporally affected during project construction were provided with assistance for their affected assets (for example: soil, sand filled on Page 28

30 productive land, damages caused to trees etc). All AHs did directly receive compensation in payment meetings with participation of NPPMB, DCRB and local commune/village s authority at the appointed time which was notified to HHs. The receivers all signed for confirmation in the list of compensation payment receivers. For households losing of asset, land, crop and tree, compensation payment completed. There is not any compalints (except five/5 HH of Trại village, Lê Lợi commune, Thường Tín district, Hanoi). 75. The project had no impacts on public and spiritual works and thus, no impacts on the community s benefits in local activities. Therefore, traditional and cultural features suffered no influence. Table 14: Status of compensation implementation of L2225 subprojects (up to December/2015) Subproject Thanh Hoa-Vinh 220kV T/L Son La- Hoa Binh- Nho Quan 500kV Tuyen Quang 220 kv substation Bim Son 220 kv substation Hai Duong 220 kv Substation Son La- Hiep Hoa T/L 500 KV Hiep Hoa substation 220 KV Thuong Tin- Kim Dong T/L 220 KV Kim Dong substation Total AHs Total HH Relocation HH Compensation Current Status All AHs received compensation All AHs received compensation All AHs received compensation All AHs received compensation All AHs received compensation Tran Thanh Tung did not receive compensation payment and allowance All AHs received compensation HH of Pole No 32 in Xom Trai, Tu Van hamlet, Le Loi commune Thuong Tin district, Hanoi did not receive compensation payment All AHs received compensation Source: NPMB report, December, In order to ensure the entitlement of severely AHs, NPPMB should closely coordinate with local authority to prepare a list of severely AHs which then shall be sent to District Agriculture Extension Center (agriculture extension services) and the district Vocational Training Centre (training) Restoration of livehoods 77. The income restoration has been implemented through allowances in cash as RPF required, including: job training, job change for wholly project. 78. Vulnerable Groups: According to the RPF, vulnerable groups include the (i) female-headed households with dependents; (ii) disabled household heads; (iii) poor households; (iv)landless elderly households with no means of support; and (v) households without security of tenure. Vulnerable group have to receive a cash allowance equivalent to 30 kg of rice per family member per month for a minimum period of six months as per RPF. LIC found the number of vulnerable households through DMS data. The data of vulnerable groups presented that (i) Son La-Hiep Hoa Page 29

31 T/L has 146 poor HHs; (ii) Hiep Hoa substation has 95 poor HH; 40 female-headed HHs ; (iii) Kim Dong substation had 15 poor HH; 42 female-headed HHs and (iv) Thuong Tin- Kim Dong T/L had 3 poor HHs, 40 female-headed HHs and these two subprojects had none ethnic minorities HHs. They received a specific allowance equivalent to VND/AH. 79. For households losing of asset and land, the remaining land is enough to produce, there is not much difficulty. Resettled HHs has disruption due to housing rebuilding. However, LIC found, the remaining land area is combined with project allowances, their livelihoods are restored. 80. It can be seen that, some findings related to livelihood restoration of subproject presents following paragraphs: Son La - Hiep Hoa subproject: Households received allowances for r livelihoods restoration. In this sub-project, there were some households losing more than 10% of productive land. However LIC found, their livelihood restored. The infrastructure works in the resettlement sites completed and handed over to the household here. Currently, only case of Mr. Tran Thanh Tung still lives under operated transmission lines, and has not built new house in resettlement sites. Phu Tho town PC coordinated with stakehoders settle this case. Hiep Hoa 500kV Substation subproject: completed payment of additional alowance for 200 seriously affected households losing more than 10% of total gricultural land in the end of The surrounding fence of station made difficulties for sewerage. Thus, stakeholder should study to construct a pumping station to ensure drainage in rainy season. Besides, the operation of the substation use regular light system at nigh, this attracts worms, butterflies and affects agricultural production. NPPMB should consider to solve this situation. 220kV Thanh Hoa - Vinh T / L: Completed compensation and assistance payment for households in 10 districts / cities in 2 provinces of Thanh Hoa and Nghe An. 220kV Tuyen Quang substation: Completed compensation and assistance payment, especially severely AHs and 04 resettled AHs (issued LURC for resettlement plots) based on DMS result. Both husband and wife were named in LURC. Besides, some HH felt unhapply for temporarily affected land used by the contractors, because the contractor used land without their acceptance ( they provided compensation payment for affected asset on land). 500kV Son La - Nho Quan Hoa Binh T/L : Completed compensation and assistance payment. Hai Duong 220kV station: Completed compensation and assistance payment 220kV Bim Son: Completed compensation and assistance payment (including 2 HHs of Nguyen Thi Nhuong and Le Thi Voi). The contractors handled land spill out some land in the construction time. 220kV Kim Dong: Completed compensation and assistance payment 220kV Thuong Tin - Kim Dong: Completed compensation and assistance payment. AT this moment, only 5 households in Tari villafe, Le Loi commune, Thuong Tin District requires land for land. LFDC has coordainted with stakeholders to soon settle. 81. The full package of compensation resulted in all interviewed households being able to live better condition than previous. The AHs received compensation for the structures and no deductions were made for the value of the salvageable material from their former houses. It was noted that new houses built were larger and of better quality than their original houses. For Son La Hoa Binh NhoQuan T/L, Son La Hiep Hoa T/L and 4 HHs of subproject Tuyen Quang 220 kv substation, Page 30

32 some of the affected houses have been relocated onto remaining land owned by the affect households. Therefore, compensation provided to AHs appears to be satisfactory. With the compensation received, AHs were able to buy an equivalent plot of land in a RS or at an individual site in the same vicinity. They were also able to build a larger house and of better quality. Box 3: opinion by local citizens in project area In Tien village Thung Nai commune, many affected HHs converted land use purpose from farm land to residential land. Districts must be adjusted annual price fluctuations. The Red Book is done in parallel with to compensation payment for land and new house construction. (Dinh Van Thanh, CPC chairmen Binh Thanh Commune, Cao Phong district, Hoa Binh province) "You can see, most households which have been relocated have relocated onto remaining land. Relocated houses were reconstructed on the AH land owned by themselves and they were safe and far away the transmission lines.where AHs were relocated off their own property, they were able to use compensation money to purchase land in the immediate vicinity of their original house, and to build a new house. (Vu Dinh Viet, Chairman of DRC and Vice Chairman CPD of Cao Phong district, Hoa Binh province.) ((Source: Socio-economic survey by LIC, August, 2014) 82. In summary, most HHs were satisfied with the project compensation and assistance. Selfrelocated HHs did reconstruct their houses, which were mostly better than their old one. There was no enterprise/trading HH affected by the project. Vulnerable groups were able to access job creation opportunities via project compensation and assistance. 83. Issuanceof Land Use right Certificate (LURC), which serves as ownership document for the new plot of land, in a resettlement site or for individual plot, has not been provided to all relocated HH due to slow process. Currently, only 8 RS completed issuance of LURC. Table 15. Status of Issuance LURC No List of Resettlement site No of plot I/I/ PHU THO 71 Status of issuance of LURC () 1 Hien Quan, Tam Nong dis 11 Completed Ha Thach 4,Phu Tho town 10 1 AHs had LURC 2 Ha Thach 11,Phu Tho town 13 7 AHs had LURC 3 Phu Loc commune, Phu Ninh dis 6 Not completed 4 Phu Nham commune Phu Ninh dis 6 Not completed 5 Phu Ninh commune, Phu Ninh dis 14 Not completed 6 Tien Du commune, Phu Ninh dis 5 Not completed 7 Tu Da commune, Phu Ninh dis 6 Not completed II/ VINH PHUC Yen Thach Song Lo dis 13 Completed 9 Dong Thinh 1, Song Lo dis 12 Not completed 10 Dong Thinh 2, Song Lo dis 20 Not completed 11 Xuan Loi commune, Tam Duong dis 13 Completed 12 Tien Lu commune, Tam Duong dis 5 Completed 13 Dong Ich commune, Tam Duong dis 2 Completed 14 An Hoa commune Tam Duong dis 6 Completed 15 Noi Bai - Lao Cai resettlement site Page 31

33 No List of Resettlement site No of plot Status of issuance of LURC () Roadsize 2C Tam Duong dis 11 Not completed Le village, Tam Duong dis 1 Not completed Kim Long, Tam Duong dis 2 Not completed 16 Dong Ban, Tam Duong dis 7 Not completed 17 Long Son Tam Duong dis 2 Not completed 18 2C street Not completed 19 Go village Tam Duong dis 45 Not completed 20 Village No 8 Tam Duong dis 16 Not completed 21 Trai Khong, Tam Dao dis 24 Completed 22 Trung My commune, Binh Xuyen dis 8 Completed III/ THAI NGUYEN Trung Thanh, Pho Yen dis 7 Not completed 24 Thuan Thanh, Pho Yen dis 5 Not completed (Source: Socio-economic survey by LIC, December, For the issuance of LURC of resettled households in resettlement sites, as LIC knows that Department of Natural Resources and Environment of District (or LFDC) is repsonsible for issurance of LURC. However, the procedures for change of land use purpose local needs appraisal, thus, this leads to extended time. In addition, some resettled households said that they do not need to use LURC due to in the process of life restoration, so, the time of LURC issurance may take longer than they expected. Currently, local government has mobilized quickly households to soon complete the procedure to LURC issurance, to ensure their entitlement Public, participation, consultation and Grievance resolution Public Consultation, Disclosure, and Participation 85. The main objectives of information disclosure, stakeholders participation and consultation with APs aim: (i) provide AHs project information, both project components and operation; (Ii) collect information on the needs and desire of AHs and affected communities, their views to project policies and activities; (iii) mobilize the cooperation and participation of AHs in the proposed activities related to the preparation and implementation of RP; (iv) ensure AHs can participate and express their direct opinions to income and life restoration; and (v) ensure transparency in the process of land acquisition, relocation and life restoration. 93. The information disclosure has been made for all AHs. AHs understand fully about the implementation project as well as the grivance mechanism, compensation and allowance of the project. However, the implementation of information disclosure is not uniform and frequently, because, project areas goes through many provinces/districts/communes. Mostly commune staffs are part-time workers... Overall, the project gets effectiveness to provide the information to AHs. 94. The consultation results present that, the meeting was held for AHs. In addition, the project information is combined into community meetings, village meetings. The meeting time is flexible and they are usually in the evening to ensure the participation of AHs. Participants in community meeting included both men and women. These meetings often held in house of the village heads or community house. LIC reliazed that, all AHs fully informed about the project and the project's impact 95. At the project area where ethnic minorities live, in addition to arrangement of suitable meeting Page 32

34 time, the use of language is also particularly considered. In the fact, LIC reliazes that mostly ethnic minorities in the project areas can understand and speak Kinh language. The project areas have also implemented many projects/program so they know fully about project cycle. In addition, selling of agricultural products also helps to reduce the gap of language of EMs group in the project area. Therefore, Kinh language is used in community meetings (only a small number of elderly people, the use of Kinh language is limited - such as project staff used local interpreters to consult with them. 96. In addition, project information is often consulted on compensation and resettlement regulation according to the current regulations of Vietnam. Very few people can understand ADB policy. Local AHs only care about the money and where are their resettlement plots? 97. AHs also involved in DMS and they signed in the inventory minutes of the project. However, the inventory records can present a part of affected asset, not clarify that households belonging to which groups (vulnerable households, resettled households...). Thus, LIC met some difficulties to check allowance accordingly project RPF Grievance Resolution 86. During the consultation process, project staff informed grivance mechanism for affected households. Besides, during the DMS, to avoid complaints, public disclosure was made at the office of CPC. Since then, complaints will be collected and processed, resolved in the meeting. These complaints often involve to the lack of inventored assets and additional requirements. Mostly these complaints settled. 87. According to the regulation of the Law on Complaints in 2011, and Decision No 75 on the implementation of the Law on Complaints, all complaint must be recorded to solve. The settlement results must be publicly posted at the CPC s office Howeve, mostly sub-projects are not carried out this process, working with District Compensation Board of the Project presents that the implementation of this issue is not good. Besides, NPPMB did not consider this issue, thus, LIC met difficulties to synthese the complainants. 88. Some problems during the compensation, resettlement and site clearance of the sub-projects are as follows: (i) provision of allowance for 83 vulnerable households in Hiep Hoa substation, (ii) compensation for small and not viable remaining land area affected by Thuong Tin-Kim Dong transmission line, (iii) disagreement of 16 AHs on low compensation price for land in Nghi Loc district, Nghe An province and Nong Cong district, Thanh Hoa province under Thanh Hoa-Vinh transmission line, (iv) complaint of Mr. Tran Thanh Tung about compensation price and relocation in Phu Tho town under Son La-Hiep Hoa transmission line, and (v) issuance of LURC for relocated HHs. At time of this mission, all above pending issues have been resolved by responsible agencies, except issuance of LURC: 83 vulnerable AHs have been provided allowance by cash equal to 30kg of rice per person per month for 6 months for all members of the HHs. In Thuong district, Ha Noi PC has approved compensation plan for the small and infeasible remaining land area, payment for AHs has been done. Nghe An and Thanh Hoa provinces have recruited independent appraisers to evaluate the market land price and paid compensation for the complainants according to the market price. NPPMB agreed to pay 100% compensation amount for Mr. Tran Thanh Tung s affected house (not 50% as proposed). He agreed but still asking allocation of 3 plots in resettlement site for his household whereas he is eligible for one plot of 400m2 only. Currently, he is building a new house in the resettlement site. Page 33

35 Box 4: Feedback of people on grievance redress "We sent our complaints to the commune. The commune endorsed and relayed to the project about our case. We waited for about 30 days, before we received feedback from the Project on the assistance policy for our family. We agreed with the compensation rate and handed over the site to the construction unit (Tran Van Lam, Tung Lam commune, Tinh Gia district, Thanh Hoa Province). "Out family mostly doing agriculture. Now the land is acquired, we afraid that the farming is not enough. We want land-for-land compensation to ensure the production. However, the project informs us that due to the local land fund is not available so they cannot arrange land-for-land compensation. Also other agencies and organizations visited us to talk to us about that. After sometime we agree because we think we should let go some of the benefits to contribute to the work of the country (Nguyen Van Thu, Dien Chau district, Nghe An Province). "We ready to move, however we should have 3 resettlement lots, since our children got married still living with us, so we need more land for them. Regarding affected land and assets, we want to be compensated properly according to the law. We sent our letter to Provincial Peoples Committee of Phu Tho for consideration. (Tran Thanh Tung, Phu Thu town, Phu Tho Province). (Source: Socio-economic survey by LIC, August, 2014) Page 34

36 Table 16: All complaints in the subprojects L2225 Subprojects Issue How to resolve Agencies in charge Target completion date Bim Son 220 KV Substation No written complaint logged Tuyen Quang 220 KV No written complaint logged Substation Son La-Nho Quan-Hoa Binh 500kv T/L No written complaint logged Thanh Hoa - Vinh 220kv T/L 2 HH in Tower position 125a (Dien Chau District) want to receive land for land compensation. For small areas, it may bedifficult to provide land for land; in addition, compensation for small areas of land has been done by cash for the subproject In Dien Chau District Nghe An Province compensation for land is based on 2012 compensation rates From tower positions 51 to 52(G9-G9a) Nong Cong district 8 HHs refused compensationbecause they do not agree with current compensation price because it is too low; Cong From tower positions 116 to 118 (G20a- G21a) Tinh Gia district, Thanh Hoa province: 02 HHs claim to move out of transmission line because they are afraid their health may be affected by the power lines. If land for land is not possible, NPT/NPPMB in coordination with CARB Dien Chau to provide explanation to these HH in order for them to accept cash compensation. Document the consultations and the results NPT/NPPMB to ensure that Dien Chau districtupdates compensation rates based on 2013 rates and pay the balance to the affected households NPT/NPPMB to ensure that Nong Cong district updates compensation rates based on 2013 rates and pay the balance to the affected households NPT/NPPMB in coordination with the CARB Tinh Gia district to ensure that in the NPT/NPPMB in coordination with CARB Nong Cong, Tinh Gia, Dien Chau district Complete Page 35

37 Subprojects Issue How to resolve Agencies in charge Target completion date CPC andahs are informed that the distance from the houses to the power lines poses no health impacts. Hai Duong kv Substation No written complaint logged Son La Hiep Hoa transmission line Compensation of Mr. Tran Thanh Tung (Phu Tho Province, Phu Tho Town) Mr. Tran Thanh Tung refused compensation and didn t hand over his land to the project. He is still living under the transmission line. According to legal documents, Mr. Tung is living on forest land. He considers that he is living stably and wants to be compensated as for residential land. Compensation for forest land is 35,000 VND/m 2, while compensation for residential land in RS is 70,000/m 2. He required 3 plots of land free in the RS. NPPMB/DCRB proposed to provide free one plot of land in the RS of 400 m 2 but he refused. AH have usually to buy the plot of land. He lodged a complaint to the Phu Tho Town Court which was dismissed. He is living under the operated line since 1 year. In April, 2013 he lodged a complaint to the Province Court which was also rejected. Phu Ninh RS (Phu Tho Province, Phu Ninh District) - NPPMB to ensure that the offer to allocate a plot of land of 400 m 2 in the RS - NPPMB to compensate for all other assets (trees, crops, structures) at replacement costs NPPMB to confirm whether the splitting of the family into three separate households was done before the cut-off date. If so, two additional households should be provided two plots in the resettlement site, otherwise, the Phu Tho Town people s committee should consider selling the additional plots for his family. - NPT/ NPPMB in coordination with DPC Phu Tho Town Pending Phu Tho Township People s Committee will continue tracking this case. Page 36

38 Subprojects Issue How to resolve Agencies in charge Target completion date In Phu Ninh RS, there is risk of landslide due to steep slope without erosion protection. Landslide could affect properties and infrastructures (drainage ditch). NPPMB to study options to protect slope against erosion and implement these protective measures. Hiep Hoa SS No written complaint logged 220 Kim Dong SS No written complaint logged 220kV Thuong Tin Kim 05 households in Thuong Tin district did Dong T/L not receive compensation since they asked all their small and scattered remaining land areas acquired since the land area were not viable for cultivation. Ha Noi PC has approved compensation plan for the small and unviable remaining land area, payment for AHs has been done. NPT/NPPMB in coordination with CARB Thuong Tin district complete (Source : Socio-economicsurvey by LIC, August, 2014) Page 37

39 4.5. Effectiveness of resettlement planning Resettlement Objects According to the Consultant s assessment, agencies responsible for preparation of RP / DDR (VICA, CEFACOM) conducted the resettlement plan rather than the actual situation. According to RP / DDR and actual situation, there are 9309/9409 AHs for the project. In addition, resettled HH determined in the first phase, this helps to prepare the capital, resettlement sites as well as implementation plan to better support these AHs. Table 17: Quantities of AHs by RP/DDR and actual No. Subprojects RPs/DDRs Actual AHs Relocated AHs Relocated 1 Bim Son 220 KV Substation Tuyen Quang 220 kv Substation Son La-Nho Quan-Hoa Binh 500kV T/L 2, , Thanh Hoa - Vinh 220kv T/L Hai Duong kv Substation Son La Hiep Hoa transmission line Hiep Hoa SS Kim Dong SS kV Thuong Tin Kim Dong T/L Total Source: Socio-economicsurvey by LIC, August, Subproject Son La-Hoa Binh- Nho Quan 500 kv transmission lines showed were that for this transmission line resettlement activities have been well implemented. The seriously AHs are also discussed and advised for their resettlement from NPPMB and DCRB. The AHs received compensation for the structures and no deductions were made for the value of the salvageable materials from their original house. It was noted that new houses built were larger and of better quality than their original houses. DCRB also provided specific allowance to relocated HH to drill wells. For Son La Hoa Binh Nho Quan TL, some of the affected houses have been relocated onto remaining land owned by the AH. Compensation provided to AHs appears to be satisfactory. With the compensation received, AHs were able to buy an equivalent plot of land in a RS or at an individual site in the same vicinity. They were also able to build a larger house and of better quality. Therefore, basically, in the subproject 500 KV Son La - Hoa Binh - Nho Quan, the social safeguard requirements of the ADB have been well complied with. The construction component of subproject was completed and the line put in use in December of The transmission line was fully energized in November 2010 and has been evacuating power from Son La hydropower since December Box 5: Opinion on compensation for AHs in project area In the past, I lived with my parent. When our residential land was affected, our family was compensated with some money and a piece of resettlement land. We were then supported to buy land to build a new house, so now I have a new one. Now my wife and I only do business. I think we're very lucky (Bui Van Tien, Tan village, Phuc Lai commune, Yen Thuy district, Hoa Binh province). I received VND 600 million, (70% value of compensation) in May /2012. I used the money to buy my father's land. He half sold but also half gave me for free, so I had land to build a new house. I also received the remaining compensation amount. Although I have used all amount of compensation for house, but a new building is large and beautiful like this, we're glad to investment in this beautiful home (Hoang Thi Duc, village 13, Kim Phu Page 38

40 commune, Yen Son district, Tuyen Quang province) (Source: Socio-economic survey by LIC, August, 2014) 90. Interviewed AHs confirmed that they were very happy, because the compensation provided by the District/Project as well as the infrastructure provided allowed them to improve their living conditions. Examples include that where two households lived in one house (parents and a son and his family) both the parents and the son and his family were provided with land and compensated and after that they can build two houses and operated live. The result is that for them, the post project condition is better than the pre-project condition. 91. It is considered by LIC that the entitlements of AHs as well as relocated HHs were all secured when they did receive compensation for their lost assets and assistances. Vulnerable groups were identified and paid with assistance in accordance with decisions approving compensation plans. 92. At the time of evaluation, in some cases, AHs who have stable incomes from some employments, such as: staff, employee can well settle down in their new accommodation. These AHs usually are civil servants for state offices, or working as permanent staff for private sectors. In general, these AHs settled down well in their new accommodations, and did not complain much. They also get used to the life in RS. Gender and Ethnic Minority Issues 93. Monitoring results presents that stakeholders consultation and HHs interviews discussions revealed that local women, generally are treated in an equitable way with males. Females/ ethnic minority HHs are invited and actively participate in different social, economic events, meetings, agricultural extensions, etc held in the communes. In the preparation of RP and DDR, women attended in detailed measurement survey, community consultation meetings. This is to ensure that all information and opinions can be collected and that they include the women s perspectives. Women also presented when compensation payments are made to ensure that any decisions regarding use of compensation monies will be open to decisions made by husband and wife. Sexdisaggregated data was collected in the socio-economic survey and inventory of loss. 94. Regardless of fairly good status of women observed in the affected communes, to ensure gender equity, the following points has been implemented to obey the gender strategy for the subproject: Ensure registration of land-use rights in the names of both husband and wife in instances where households are allocated alternative agriculture and/or residential land. Husband and wife attended to receive compensation payment from RC and local PPMU 95. Monitoring results didn t find inequality in land holdings nor reasonable differences of subproject impacts between male and female. 96. Besides, the contractors hired female in subproject area for simple works at site, in which woman also participated in odd-jobs in construction time (cooks for worker, auxiliary workers) 97. Son La has different ethnic groups live in the region, where the most populous ethnics include Thai and Muong minorities, other named ethnic groups including Hmong and Dao. During process of technical design, preparation of RP different measures and many efforts were taken by NPPMB and its consultant, in conjunction with local authorities and concerned agencies, to minimize land acquisition and resettlement impacts on the local population. The measures taken included selection of route or alignment that crosses the residential, historical and preserved areas. Page 39

41 98. There is no specific ethnic minority development plan prepared for Son La, Hoa Binh province. In the fact, action plans applied for EM were mentioned and mixed in RP to ensure the entitlement of EM. 99. Relating ethnic minority issues, there is notem in 3 subprojects of 500 KV Hiep Hoa substation, Kim Dong substation and Thuong Tin- Kim Dong T/L, except 500kv Son La- Hiep Hoa hasem (in Son La province) 100. During process of technical design, preparation of RP different measures and many efforts were taken by NPPMB and its consultant, in conjunction with local authorities and concerned agencies, to minimize land acquisition and resettlement impacts on the local population. The measures taken included selection of route or alignment that crosses the residential, historical and preserved areas There is not specific ethnic minority development plan prepared for Son La. In the fact, action plans applied for EM mentioned and mixed in RP to ensure the entitlement of EM Executing Agency and Implementation Agency and RP implementation progress 102. Ministries, Departments: MOF, MONRE, MPI coordainted to provide guidance as required laws Implementing Agency - NPPMB: NPMB has strengthened implementation ability to and coordination for resettlement activities through training courses by the project before proceeding. Project Preparation Technical Assitance (PPTA) organized training courses for NPPMB, training in combination with job performance. NPPMB established Department of Environment and Society, specialized staff qualified will monitor and implement resettlement, compensation activities, closely coordinate with the project districts, the Council of Compensation and Resettlement (CARB); and guide and support the districts/ communes. NPPMB are responsible for preparing and implementing the RPs. NPPMB appoint at least 3 staff with social science qualification and / or working experience in social safeguard to working with CARB. If there is disagreement between CARB and NPPMB staff, NPPMB and EVNNPT will participate to solve the problem if any. However, during implementation of the project, due to overload work, the project area extends on many provinces/districts and the number of staffs of Compensation department under NPPMB is limited (26 people - Annex 5) and they are responsible for many projects. Thus, complaints have not yet recorded fully. In general, NPPMB solved arising problems during the project implementation People s Committee at province/district level PPC: direct departments or authorize the DPC to solve the problems in project implementation. District PC: as direct agency repsonsible for inventory, arrangement of resettlement sites and livelihood restoration programme for AHs through CARBs. These CARBs support PC at all level to implement compensation, allowance and resettlement. Chairman of DPC is head of CARB of District and representative from Finance, client, department of natural resoures and environment, CPC, AHs and other people. In coordination with NPPMB, CARB set up compensation cycle for AHs: (i) inform payment work plan for AHs at least 2 weeks; (ii) prepare the list of AHs and the entitlement and compensation amounts for AHs; (iii) prepare 03 copies of Page 40

42 compensation document (for AH, PPC and NPPMB); prepare and update the list of AHs, including payment date and data. However, the munite of comaplants have not yet recored fully. CPC: as direct agency to coordinate with local people and CARB to implement project. Basically, the CPC has completed the task RP and DDR preparation consultants : VICA and CEFACOM are agencies to prepare RP and DDR for L2225 subprojects. Basically, these agencies have completed accordingly required TOR LIC: carry out basic survey and submit progress report once/6 months and give out recommendations related to certificated issues after 6-12 months of resettlement activities 107. Project monitoring consultant: this is one loan project, thus, mobilize monitoring consultant and improve capacity to ensure effectiveness of land acquisition. Monitoring consultants include a international expert (working for a short time ) and a national expert (working for overall project) 108. In general, agencies implemented well proposed objectives. However, the enhance of capacity is limited: only used for IEE preparation without resettlement Time frame and budget arrangements 109. As workplan and budget are sufficient to meet the objectives of this project. Based on the approved RP, NPMB registried the capital plan for the implementation of compensation. The cost of compensation is from the counterpart funds of National Power Transmission Corporation (EVNNPT) Every year, based on recommendations of agencies, EVNNPT assess and assign the capital plan for the unit members including full cost of compensation and site clearance for each sub project National Power Transmission Corporation uses annual, quarterly, monthly capital to prepare the budget to meet the timely compensation implementation. When CARB has approval decision, NPMB will report to EVNNPT to issue the cost for compensation payment. 5. LESSONS LEARNT 112. All subproject provinces have put a lot of efforts on undertaking compensation, site clearance and all accomplishments have been analyzed above. DCRCs are very experienced in compensation and resettlement in line with Government s policy, if training on ADB s policy is given, it is sure that they can handle it well too NPPMB is coping with a great deal of obstacles during the implementation of compensation and resettlement which is attributable to the deficiency in fulfilling its responsibility in the project activities at both provincial and district levels. The subprojects were carried out in significantly large area which spreads through many remote areas; its staffing for compensation is insufficient which is exacerbated by its plurality to lots of different subprojects so NPPMB has to hire consulting units for compensation and assistance, it is the result why the quality management of these units leaves much to be desired Information disclosure on Vietnam s resettlement policy at local level has been carried out relatively well; however, ADB s compensation policy for this project has been yet made known to the district level and especially AHs and other stakeholders at district level Compensation staff at the sample districts have not yet been trained on the ADB s policy for compensation and resettlement under which NPPMB should pursue a plan to improve this issues; Page 41

43 116. The information of Project policy and grievances mechanism has not been fully disclosed to the APs.People also said that there is a need to inform them the complaint process before payment of compensation amounts In order to facilitate women s involvement in the project implementation process, LIC recommend that the requirements on gender which set out in the Resettlement Plan should be fully complied with NPPMB has not provided enough guidance and/or supervision at all stages of the ADB s resettlement process, as well as there is an absence of external independent monitoring and evaluation of either activities or outcomes From starting every project, NPPMB and stakeholders should be together introduction of livelihood programs on seriously affected HHs and vulnerable groups in project regions Monitoring and Evaluation 120. For external monitoring, at the time of assessment, NPPMB has not hired any agency (or individual consultant) to carry out independent monitoring assignment; therefore, no independent monitoring and evaluation report is available to submit to stakeholders on the implementation of RP and compensation payment for AHs. 6. CONCLUSIONS, LESSONS LEARNT 121. All subproject provinces have put a lot of efforts on undertaking compensation, site clearance and all accomplishments have been analyzed above. DCRCs are very experienced in compensation and resettlement in line with Government s policy, if training on ADB s policy is given, it is sure that they can handle it well too NPPMB is coping with a great deal of obstacles during the implementation of compensation and resettlement which is attributable to the deficiency in fulfilling its responsibility in the project activities at both provincial and district levels. The subprojects were carried out in significantly large area which spreads through many remote areas; its staffing for compensation is insufficient which is exacerbated by its plurality to lots of different subprojects so NPPMB has to hire consulting units forcompensation and assistance, it is the result why the quality management of these units leaves much to be desired Information disclosure on Vietnam s resettlement policy at local level has carried out rather well; however, ADB s compensation policy for this project has been yet made known to the district level and especially AHs and other stakeholders at district level. Page 42

44 ANNEXES Annex 1: Relevant Documents Annex 2: Status of Land Clearance and Compensation of Subprojects until December Annex 3: Status of the implementation of Corrective Action Plans Annex4: List of Participants and Interviewees Annex 5: Some photo field work Annex 6: Socio-economic Questionnaires of Affected Households Annex 7: List of People in Compensation department of NPMB Page 43

45 Annex 1:Relevant Documents on Resettlement and Compensation 1. As being mentioned above, all surveyed districts comply with the policies of GoV related to land acquisition, compensation, assistance and resettlement. The key laws, Decrees, Circulars all the districts applied to 4 subprojects are as below. Land Law 13/2003/QH11. Decree 197/2004/ND-CP dated 3 December 2004, on compensation, assistance and resettlement when the land is recovered by the State, as amended by Decree 17/2006/ND- CP. Decree 188/2004/ND-CP and 123/2007, specifying the methods for land pricing and land price framework in the event of land recovery by the State. Decree 84/2007/ND-CP, dated May 25, 2007 supplementary stipulations on issue of land acquisition, land use right, procedure of compensation, assistance in the event of land recovery by the state and grievance redress. Circular 116/2004/TT-BTC, December 7, 2004 guiding the implementation of Decree 197. Circular 116/2004 TT-BTC setting out in detail the types of compensation for different types of users and losses; assistance policies; provisions for individual and group resettlement; and the roles and responsibilities for the implementation of resettlement projects. Circular 114/2004/TT-BTC elaborating the methods (direct comparison and income methods) for determining land prices. Decree No. 69/2009/NĐ-CP issued by Government dated 13/08/2009 supplementary stipulations on land use right, land price, land acquisition, compensation, allowance and resettlement. 2. All surveyed districts comply with national policies on compensation, assistance and resettlement as set forth in Land Law 2003, Decree 197/2004, Decree 84/2007, Circular 114/2004; Circular 116/2004, Decree No. 69/2009/NĐ-CP etc, and decisions of the provinces on compensation, assistance and resettlement. No district applied project s RPF, consequently, DMSs and compensation plans were in conformity with legal requirements on compensation and resettlement policies of the Viet Nam Government. 3. The differences between the Project s RPF and the actual implementation are (i) compensation and other payments have been calculated and paid in accordance with the project provinces regulations rather than at market prices as being requested in RPF (in our experience, the replacement price is usually higher than the prices as the one being issued by the Project PPCs); (ii) eligibility for compensation and assistance (legal basis); (iii) special assistance to the vulnerable groups, female headed household etc). The main gaps between the implemented entitlement by the districts and the ADB policies are shown in Table 4below. Page 44

46 Discrepancies between the implemented entitlement by the districts and the sub project policies Type of impact 197/2004/ND-CP, 69/2009/ND-CP Subproject Policy Severely impacted DPs losing productive land Decree 69, Art 20: For significantly impacted DPs, livelihood restoration measures cut in when DP loses at least 30% of productive agriculture land. Losing 10% or more of the household s assets shall be considered as threshold. DPs LURC without Decree 69: Article 23: Persons whose main income is derived from agricultural production whose land is acquired by the Government and cannot satisfy LURC and compensation conditions stipulated in Article 8 of Decree No. 197/2004/ND-CP and Articles 44, 45 and 46 of Decree No. 84/2007/ND-CP will be referred to the Provincial Peoples Committee for consideration of the level of assistance to be provided in conformity with the locality s actual conditions Subproject affected people, without legal or recognizable legal claims to land acquired, will be equally entitled to participation in consultations and subproject benefit schemes where possible, and be compensated for their lost non-land assets such as dwellings and structures occupied before cut-off date. They will be entitled to resettlement assistance and other compensation and social support to assist them to improve or at least restore their pre-subproject living standards and income levels. Compensation for lost land Differences between compensation rates and market rates Article 9, Decree 197: The compensation rates for land shall be determined by the PPC in accordance with the Government regulations for the type of land which has been used for at the time of land acquisition. Decree 69, Art 11, Art 16, Compensation is land for same-use land or if not available the DP can be compensated in cash based upon the market transfer price of such land at the time of the decision to acquire. Compensation limited to the allowable land quota, unless land over limit due to inheritance or legally transferred from other persons, or unused land developed according to the land use plan approved by the authorities. If not, compensation only for improvements on that land. Dec 69 Art 14(2): If compensation is through new land or allocation of land at a resettlement area or by housing and the replacement is valued at less than the land acquired, the price difference will be paid in cash. Dec 69 Art 14(2a) If replacement residential land or the amount compensated to purchase a replacement house is more than the actual replacement cost, the DP still receives the full amount. Dec 69 Art 14(2b) if the compensated amount is less than the replacement residential land and house the DP will pay the difference themselves except for cases covered by Art 19(1) this will not apply to (poor) DPs who will be assisted by the State. If the DP does not receive land or house at the resettlement site the DP will receive the cash difference. Where appropriate land-based compensation is not viable, replacement cost surveys will be carried out by the subproject staff to ensure that subproject rates for all categories of loss will be equivalent to replacement cost at current market value. This work will be updated at the time of compensation and will combined with other assistance and livelihood restoration measures to ensure full restoration and improvements. Provided DP has legal or recognizable claim, compensation will be for full amount of land acquired. Based on the ADB SPS 2009 land-for-land compensation strategy is mandatory in the case of involuntary resettlement impact on Ethnic Minorities. Physically displaced (relocated) DPs are to receive relocation assistance, secured tenure to relocated land, with comparable access to production and employment opportunities, and civic infrastructure and community services as required, transitional support and development assistance such as land development, credit facilities, training or employment opportunities. Page 45

47 Type of impact 197/2004/ND-CP, 69/2009/ND-CP Subproject Policy Compensation for structures Compensation for registered businesses Compensation for nonregistered businesses Dec 69 Art 24 Compensation for House, Structures on Acquired Land. Clause (1) Compensation for DPs residential structures based on value of newly constructed house/structure equal to technical standard issued by MoC and based on house area and unit prices issued by PPC. Clause (2) other structures compensation equal to: a) total present value using unit costs for newly constructed house/structure using MoC technical standards and depreciated to present value of acquired house/structure. Maximum value cannot exceed 100% of new value of acquired house/structure Articles 26, Decree 197: Only registered businesses are eligible for assistance. Decree 69 Art 20(2) if business must be suspended DP is compensated with max 30% of after tax income in one year, averaged over last 3 years as certified by Tax Dept. Decree 69 only recognizes formal registered businesses as entitled to compensation for lost income based upon Tax Office records Full compensation at replacement cost will be paid for all affected structures without any deductions for salvageable materials or depreciation, full replacement costs, based upon: i) fair market value, ii) transaction costs, iii) interest accrued, iv) transitional and restoration costs, v) other applicable payments Affected business owners are entitled to i) costs of re-establishing commercial activities elsewhere, ii) the net income lost during the transition period, iii) costs of transferring and reinstalling plant, machinery and equipment. The DPC must certify that the DP has a business in current operation and approve the level of lost income. Monitoring No monitoring indicators indicated The EA must appoint an independent external monitor and undertake internal monitoring according to the critical indicators. Page 46

48 Annex 2: Status of Land Clearance and Compensation of Subprojects until December Subproject RP/DDR Total AHs Total HH Relocation AHs Compensation AHs Relocated Current Status I. Thanh Hoa-Vinh 220kV T/L Trieu Son. Thanh Hoa RP 39 None 39 0 Dong Son, Thanh Hoa RP 30 None 30 0 Nong Cong, Thanh Hoa RP 236 None All AHs received compensation Tinh Gia, Thanh Hoa RP 25 None Quynh Luu, Nghe An RP 241 None Yen Thanh, Nghe An RP 27 None 27 0 Dien Chau, Nghe An RP 151 None Vinh, Nghe An RP 19 None 19 0 Nghi Loc, Nghe An RP 82 None 82 0 II. Nho Quan-Son La-Hoa Binh 500kV T/L Mai Son, Son La RP All AHs received compensation Moc Chau, Son La RP Cao Phong, Son La RP Hoa Binh city, Hoa Binh RP Tan Lac, Hoa Binh RP Lac Son, Hoa Binh RP Yen Thuy, Hoa Binh RP III. Tuyen Quang 220 kv substation Page 47

49 Subproject RP/DDR Total AHs Total HH Relocation AHs Compensation AHs Relocated Current Status Yen Son, Tuyen Quang RP All AHs received compensation Tuyen Quang city, Tuyen Quang RP IV. Bim Son 220kV substation Bim Son, Thanh Hoa RP 24 None 24 0 V.Nho Quan 220kV substation Nho Quan, Ninh Binh RP 0 None 0 0 VI. Hai Duong 220 kv Substation Kinh Mon, Hai Duong RP 90 None 90 0 Page 48

50 Data Required for Project Impacts4 Foundations RoW Total Province District/Town/city AHs Loss of productive land >10% Relocated HH AHs Loss of productive land >10% Relocated HH I.Son La- Hiep Hoa T/L 4115 Muong La, Son La Mai Son Bac Yen Phu Yen Phu Tho Tan Son Thanh Son Tam Nong Phu Tho town Yen Lap Phu Ninh Viet Tri town Song Lo Lap Thach Vinh Phuc Tam Duong Tam Dao Thai Nguyen Binh Xuyen Phuc Yen Pho Yen Bac Giang Hiep Hoa II. 500 KV Hiep Hoa substation 770 Bac Giang Hiep Hoa III. 220 KV Thuong Tin- Kim Dong T/L 607 Hung Yen Khoai Chau Kim Dong, Hanoi Thuong Tin IV.220 KV Kim Dong substation 176 Hung Yen Kim Dong Sources: Updated data of LIC from NPPMB/DCRC Page 49

51 The list of vulnerable group of 04 subprojects 5 Subproject Poor HH Female headed HH with dependents Disabled HH heads Ethnic Minority HH I. 500 KV Son La- Hiep Hoa substation Muong La, Son La Mai Son, Son La Bac Yen, Son La Phu Yen, Son La Tan Son, Phu Tho Thanh Son, Phu Tho Tam Nong, Phu Tho Phu Tho town, PhuTho Yen Lap, Phu Tho Phu Ninh, Phu Tho Viet Tri town, Phu Tho Song Lo, Vinh Phuc Lap Thach, Vinh Phuc Tam Duong, Vinh Phuc Tam Dao, Vinh Phuc Binh Xuyen, Vinh Phuc Phuc Yen, Vinh Phuc Pho Yen, Thai Nguyen Hiep Hoa, Bac Giang KV Hiep Hoa substation Hiep Hoa, Bac Giang Thuong Tin- Kim Dong T/L 3 40 Thuong Tin district, Hanoi Kim Dong district, Hung Yen Khoai Chau district, Hung Yen kV Kim Dongsubstation Source: RAP, DDR reports and DMS of 04 subprojects 6 SES and DMS of RAP reports shows that about 90% of AHs belong to ethnic group in subproject districts in Son La province, mainly is Hmong, Muong, Dao and Thai ethnic minorities. Page 50

52 Annex3. Status of the implementation of Corrective Action Plans Thanh Hoa Vinh Transmission Line Findings Actions to Take Status as of 30 May 2014 Responsibility Compensations not completed in some of the affected communes. In Tuong Lam commune has compensated 35 out of 41 AHs; TungLam commune 8 out of 11 AHs; Phu Lam communeis 9 out of 12 AHs. 07 AHs in Nghi Van commune and 01 AH in Nghi Thuan commune, Nghi Loc district, Nghe An province have not received compensation due to low compensation price for land. Two HHs in Tower position 125a (Dien Chau District) want to receive replacement land as compensation for their affected land. For small areas, it may bedifficult to provide land for land; in addition compensation for small areas of land has been done by cash for the sub-project In Dien Chau District Nghe An Province compensation for land is based on 2012 compensation rates From tower positions 51 to 52(G9-G9a) Nong Cong district, eight HHs refused compensationbecause they do not agree with current compensation price because it NPT/NPPMB to complete compensation payments NPT/NPPMB and Nghi Loc DRC provide actions for resolving If land for land is not possible, NPT/NPPMB in coordination with CARB Dien Chau to provide explanation to these HH in order for them to accept cash compensation. Document the consultations and the results NPT/NPPMB to ensure that Dien Chau districtupdates compensation rates based on 2013 rates and pay the balance to the affected households NPT/NPPMB to ensure that Nong Cong district updates compensation rates based on 2013 rates and pay the balance to the affected Compensations fully completed for all AHs in 3 communes and the line is energized on 24 Mar 2014 Nghi Loc DRC has recruited an independent appraiser to verify land price, then revise compensation plan accordingly and submit to PPC for approval Only Land without houses/structures is affected by the transmission line. Support for limitation of land use, equal to 80% of compensation price was prepared and submitted to district PC for approval. Payment will be done on 30 April 2014 Additional compensation was prepared and payment will be done on 30 April 2014 Compensation price was increased, 8 HHs received compensation in Nov 2013 LIC monitor and report to ADB NPT/NPPMB and Nghi Loc DRC NPT/NPPMB in coordination with CARB Dien Chau. LIC will monitor and report to ADB NPT/NPPMB in coordination with CARB Dien Chau. LIC will monitor and report to ADB LIC will monitor and report to ADB Target completion date completed completed it s done it s done completed Page 51

53 is too low; Findings Actions to Take Status as of 30 May 2014 Responsibility From tower positions 116 to 118 (G20a- G21a) Tinh Gia district, Thanh Hoa province: 02 HHs claim to move out of transmission line because they are afraid their health may be affected by the power lines. households NPT/NPPMB in coordination with the CARB Tinh Gia district to ensure that in the CPC andahs are informed that the distance from the houses to the power lines poses no health impacts. NPT/NPPMB to conduct consultations NPT/NPPMB in coordination with CARB Tinh Gia district should consult local people and explain Target completion date it s done Page 52

54 Tuyen Quang Sub-station Findings Actions to Take Status as of 30 December2014 Responsibility Target completion date The content of the Resettlement Policy Framework has not been understood and in particular the grievance redress mechanism is still unclear to AHs NPT/NPPMB to immediately prepare a public information booklet (PIB) which summarizes the main content of the RF and especially the grievance redress mechanism with contact numbers of relevant agency and disseminate PIB prepared and disseminated NPT/NPPMB confirm LIC will monitor and report to ADB it s done No income restoration program was implemented NPT/NPPMB in coordination with Yen Son and Tuyen Quang DCRC to inform HH (losing more than 10% of productive land) and the vulnerable HHs on existing programs such as Program 1956 and assist them to register to these programs. NPPMB and DCRC will coordinate with local implementing agencies, such as the district Agriculture Extension Center (agriculture extension services) the district Vocational Training Centre (training), to provide necessary assistance. Four relocated HHs loose more than 10% of productive land. Tuyen Quang DCRC has provided resettlement allowances for them. The allowances for leveling house foundation has provided for 02 selfrelocated HHs. Job Training/creation allowance has been provided for these AHs NPT/NPPMB in coordination with Yen Son and Tuyen Quang DCRC LIC will monitor and report to ADB Completed Only poor and special policy HHs were identified during DMS. NPT/NPPMB in coordination with Yen Son and Tuyen Quang DCRC to check in the DMS list and with local organization (Farmer s Union, Women s Union) if potential vulnerable HH ; As per agreed RF all poor and vulnerable APs, even if they are not severely affected, should receive a cash allowance equivalent to 30 kg of rice per family member per month for a minimum period of six months (amount to be determined by Yen Son District PC). Please ensure the implementation. Three poor AHs received allowance One woman headed HH was paid allowance in mid- May NPT/NPPMB in coordination with Yen Son and Tuyen Quang DCRC LIC will monitor and report to ADB It s done Page 53

55 Findings Actions to Take Status as of 30 December2014 Responsibility Target completion date Four AHs received rental allowance only for 6 months but have to rent a house for 11 months. NPT/NPPMB to ensure rental allowance paid to 4 affected households cover the actual rental period. Make pending additional allowances. LIC has checked and confirm that there is not delay of allocation of land plot for relocated HHs, so 6 month renting allowance provided is compliance with the RF NPT/NPPMB in coordination with Yen Son and Tuyen Quang DCRC Completed Gender and ethnic minorityissues have not been covered As per agreed RF, NPT/NPPMB in coordination with Yen Son and Tuyen Quang DCRC to conduct specific consultation meetings with female headed HHs, and poor women and ethnic minority AH to identify their concerns and needs. Following this assessment, prepare a socioeconomic program in order to maintain and/or improve their income generation potential and implement. Implementation of Gender action plan and EMDP has been incorporated in RP implementation. NPT/NPPMB in coordination with Yen Son and Tuyen Quang DCRC It s done NPT/NPPMB in coordination with Yen Son and Tuyen Quang DCRC to ensure joint registration of land use rightsfor 4 relocated HH Impacts during construction (agriculture lands filled with sand) NPT/NPPMB in coordination with Yen Son and Tuyen Quang DCRC to follow-up if compensation received was sufficient for HH to cover their loss of incomes and report any discrepancies. In the case of any discrepancy ensure additional compensation. 31 AHs were paid in February 2014 LIC monitors Completed Many households who temporarily lost use of land during the construction of service roads were getting upset because the contractors occupied their land without reaching agreements for compensation NPT/NPPMB in coordination with Yen Son and Tuyen Quang DCRC to ensure that contractors reach agreements with AHs and pay compensation. It has been resolved NPT/NPPMB in coordination with Yen Son and Tuyen Quang DCRC Contractor Done Page 54

56 Bim Son Sub-station Findings Actions to Take Status as of 30 December2014 No public information on project policy and on grievance process There are two women headed HHs affected from the project, They are also the most affected losing more than 10% of their land. No specific assistance was given to them During construction, there was land filling on pineapple fields of some households. Local authorities provided assistance, however information is not clear. Gender issues have not been taken into account. NPT/NPPMB to prepare a public information booklet (PIB) which includes information on project policy and grievance process and contact numbers of relevant agencies. NPT/NPPMB need to disseminate the PIB as stipulated in the RP NPT/NPPMB in coordination with Bim Son DCRC to conduct an assessment of the income restoration needs for two AHs (Mrs. Le Thi Voi and Nguyen Thi Nhuong) and implement actions for income restoration. NPT/NPPMB to ensure that LIC follow up if the compensation received was satisfactory to AHs and report the status. NPT/NPPMB in coordination with Bim Son DCRC to conduct consultation meetings assess if there are any complaints and grievances and take actions. Report on the status Responsibility Target completion date It s done LIC will monitor Completed These HHs used plantation lands. They received support equal to 100% of compensation value. Payment was done. Assessment of their socioeconomic conditions showed that these 2 HHs don t need specific assistance Contractor paid compensation for additional impacts It was integrated in resettlement implementation LIC will monitor LIC will monitor LIC will monitor Completed Completed Completed Page 55

57 Hai Duong 2 S/S Findings Actions to Take Status as 20 May 2014 Responsibility Target completion date No livelihood restoration programs are established and implemented for severely affected households; however AH don t rely only on agriculture activities from their affected land; they have additional sources of income; AHs are generallyaware of existing programs for agriculture improvement and vocational training provided by the government; HHs received allowance for occupation change (2 times compensation rate for agriculture land) Confirm through monitoring that AHs have several sources of income and don t rely only on their productive land; Inform HH (losing more than 10% of productive land) on existing programs such as Program 1956 and assist them to register to these programs. To be assessed To be done Resettlement Committee of Kinh Mon District LIC during monitoring NPPMB, DRC, CPC Vocational Training Centers Done Done Page 56

58 Son La Hiep Hoa T/L Findings Actions to Take Status as of 30 December 2014 Responsibility Target completion date Restoration of livelihoods. Along the transmission line there can be households (HH) losing more than 10% of their total productive land. - Identify through DMS list, the number of affected HHs (AH) losing more than 10% of their productive land in each district, town or city; - Assess if these HHs could restore their livelihoods. - Prepare adapted incomerestoration measures and implement NPPMBconfirmed there are no any HHs losing more than10% of productive land, so corrective actions is not applicable NPT/NPPMB confirmed the status Completed Completion of Infrastructures in Thuan Thanh Resettlement Site In Thuan Thanh Resettlement Site (RS) in Thai Nguyen Province, Pho Yen District, drainage, inner roads and electricity are not completed; no activity occurred on this RS. - Preparedisbursementdetailsanddisburse funds - Complete all the infrastructure - Inform the HHs regularly of the schedule of work - Extendallowanceforrentinghousesuntil completion of the resettlement site - Completed all the infrastructure - Paid extendallowanceforrentinghousesun til completion of the resettlement site NPT/NPPMB in coordination withcontractor, PMU Construction &Investment Pho YenDistrict, DRCBPhoYen/Contractor, DRCB PhoYen,DCRBPho Yen Not completed disbursement for the resettlement areas Vulnerable Except poor, no other vulnerable people have been identified Check the DMS list and with local organization (Farmer s Union, Women s Union) if potential vulnerable HHs are ((i) female headed HH with dependents, (ii) disabled HH heads, (iv) children and the elderly HH who are landless and with no other means of support, and (v) landless HH. Determine the allowances as necessary and provide the allowances to the AHs. No other vulnerable people identified, except poor HHs. They have been provided special allowance. NPT/NPPMB confirmed Completed Issuance of Land Use Right Certificate The Land Use Right Certificate (LURC), which serves as ownership document for the new plot of land (in a resettlement site or for individual plot) has not been provided to all Issuance of LURC for HHs which have already been allocated a plot of land and who have paid their land use fees. Not completed NPT/NPPMB in coordination with District People s Committee Page 57

59 Findings relocated HH due to slow processes. The LURCisissuedbytheDistrictPeople s Committee. Slow Process of disbursement of Funds. Delays in transfer of funds from NPPMB to DCRB have been observed in most of the districts. These delays hamper the resettlement activities and especially the completion of RS. Disbursement documents are prepared first by the contractor and send through the PMU of Construction and Investment (DPC) to NPPMB forreview, approval and disbursement. According to NPPMB, contractors don t send documents to DPC. Compensation of Mr. Tran Thanh Tung (Phu Tho Province, Phu Tho Town) Mr. Tran Thanh Tung refusedcompensation, didn t hand over his land for the project construction and still living under the transmission line. According to legal documents, Mr. Tung has been living in a forest land. His arguments are that he and his family have been living stably for a long time and he wants to be compensated at residential landrate.compensationforforestlandis 35,000 VND/m 2, while compensation for residential land in RS is Actions to Take NPPMB to continue assisting contractors and PMU of Construction and Investment to prepare acceptable disbursement documents; - NPPMB to transfer remaining funds - NPPMB to ensure allocation or 400 m 2 plot in the RS - NPPMB to compensate for all other assets (trees, crops, structures) at replacement costs - NPPMB to confirm whether the splitting of the family into three separate HHs was done before the cut-off date. If so, two additional HHs should be provided two plots in the resettlement site, otherwise, the Phu Tho Town people s committee should consider selling the additional plots for his family. Status as of 30 December 2014 Paid 100% for DCRB, NPPMB will check whether contractors got the money for disbursement to the affected people - Compensated for houses/structures at replacement costs; - The splitting of the family into three separate HHs was done after the cut-off date (2011). Responsibility NPT/NPPMB confirmed Additional compensation for house/structure at 100% instead of 50% have done. NPT/NPPMB shall provide evidence on the additional payment made Target completion date Not completed disbursement for the resettlement areas. Not completed Page 58

60 Findings Actions to Take Status as of 30 December 2014 Responsibility Target completion date 70,000/m 2. He also demands3plotsoflandfreeinthers. NPPMB/DCRB offered to provide one plot of land 400 m 2 in the RS but he refused. Usual practice is that AHs should buy the plot of land using the compensation. The resettlement site is just adjacent to his old house. He lodged a complaint to the Phu Tho Town Court which was dismissed. He is living under the energized line. In April, 2013 he lodged a complaint to the Province Court which was also rejected. Phu Ninh RS (Phu Tho Province, Phu Ninh District) In Phu Ninh RS, there is a risk of landslide due to steep slope without erosion protection. Landslide could affect properties and infrastructures (drainage ditch). NPPMB to study options to protect slope against erosion and implement these protective measures. NPPMB and LIC consultant will check the site and report to ADB on 15 April 2014 NPT/NPPMB and LIC Completed Grievance Process The grievance process is followed; there is however some delays in the information to Affected people (AP) who made complaints. NPPMB to review complaints in all affected districts/towns/cities and review how grievances were addressed, and resolve any residual grievances. All grievances must be addressed within the time regulated by the law (30-45 days after receiving the official complaints). - NPPMB to ensure APs raising complaints are informed about the results of the decision within the timeframe indicated in the RP. Please continue redressing the grievances Comply with grievance mechanism NPT/NPPMB confirmed Completed Page 59

61 Findings Actions to Take Status as of 30 December 2014 Responsibility Target completion date and report Monitoring External monitoring to be conducted by LIC - NPPMB to list each monitoring activity conducted as stipulated in the agreed RF; - NPPMB to pay special attention to the needs of women and ethnic minority people and ensure all consultation and participation processes with affected people are coordinated in a participatory manner. LIC will conduct regular monitoring and report to ADB NPT/NPPMB Page 60

62 Hiep Hoa substation Findings Actions to Take Status as of 30 December 2014 Responsibility Target completion date Only some HH were identified during DMS and received assistance. Other vulnerable HH were not identified As per agreed RPF all poor and vulnerable APs, even if not severely affected, should receive a cash allowance equivalent to 30kg of rice per family member per month for a minimum period of six months (amount to be determined by Hiep Hoa district PC) Completed additional allowance forvulnerable HH CPPMB Completed LFDC to check in the DMS list and through local organization (Farmer s Union, Women s Union) if potential vulnerable HH: (i) female- headed HH with dependent; (ii) disabled HH heads; (iii) poor HHs; (iv) HH without with no means of support; and (v) HH without security of tenure; are present and provide the agreed allowance Following construction, drainage is not adequate and led to frequent flooding to the cultivation area of Ha Noi, Dai Mao and Huong Ninh hamlets despite some work (drainage channel, dykedone to reduce flooding ) NPT/ CPPMB to ensure that support to localities for drainage installation and pumping stations in the areas affected by flooding is provided LIC has worked with local authority about this. In the fact, typical terrain of project area is low land. Thus, flooding situation usually occurred here before project implementation. Working with local authority and people, they wants to have a assistance (if any) from project to construct a pumping station to prevent this flooding. During operation. Lights from the substation attracts butterfly and worms at right affecting crop productivity NPT/ CPPMB to coordinate with various stakeholders and ensure that a solution for the butterfly and worms attracted by the light from the substation is found. CPPMB ensure that the protective measures are implemented immediately This is not impact on production and lives of local people Page 61

63 Annex 4. List of Participants and Interviewees No Name Address Position 1. Bui Cao Cuong AMB Clearance staff 2. Nguyen Van Ha LILAMA join stock company( construction unit) Vice department technical 3. Trinh Xuan Toan CARB Bim Son Vice of CARB 4. Vu Thi Thu Hang CARB Bim Son Member of CARB 5. Nguyen Khoa Truong 10 group Bac Son Ward, Bim Son Affected person 6. Do Luong Chinh 10 group Bac Son Ward Affected person 7. Cu Thi Thuy 10 group Bac Son Ward Affected person 8. Hoang Thi Hoi 10 group Bac Son Ward Affected person 9. Nguyen Thi Phuong 10 group Bac Son Ward Affected person Yen Son district, Tuyen Quang province 10. Doan Khac Muoi Kim Phu commune Chairman of CPC 11. Luu Van Khang Hoang Khai commune Chairman of CPC 12. Ha Thi Than village 13, Kim Phu commune village 13 leader 13. Dinh Thi Luong village 13, Kim Phu commune Affected person 14. Au Van Doai 15 village, Kim Phu commune Affected person 15. Au Xuan My 15 village, Kim Phu commune Affected person 16. Tieu Van Phuc 15 village, Kim Phu commune Affected person 17. Tran Tien Hong 15 village, Kim Phu commune Affected person 18. Ngo Ba Cu 26 village, Kim Phu commune Member of DRC 19. Hoang Van Nhan Che Den village, Hoang Khai C. Village leader 20. Nguyen Mai Huy Che Den village, Hoang Khai C. Affected person 21. Luong Thi Chanh Che Den village Hoang Khai C. Affected person T/L Thanh Hoa-Vinh 220KV Nghi Loc district, Nghe An province 22. Nguyen Ba Diep Nghi Loc district, Nghe An Vice CARB Nghi Loc district 23. Nguyen Van Toan IEC company Construction unit 24. Dang Ba Hai Nghi Dien commune Cadastral officials 25. Nguyen Van Chanh IEC( construction unit) Clearance staff of IEC Page 62

64 No Name Address Position 26. Mr. Vuong IEC( construction unit) Technical staff of IEC 27. Dang Huu Quang Quan Hanh ward Affected person 28. Nguyen Thi Ly Hamlet 7 Nghi Dien commune Affected HH 29. Luong Duc Hoan Nghi Hoa commune Cadastral officials 30. DangVanHoa Hamlet 10 Nghi Hoa C. Affected HH 31. DangVanLuu Hamlet 10 Nghi Hoa C. Affected HH 32. DangThiHien Hamlet 10 Nghi Hoa C. Affected HH 33. Phan CongVan Nghi Van commune Vice-president CPC 34. Thai Thi Khiem Hamlet NamBo Son Nghi Van C. Affected HH 35. NguyenVanDuc Hamlet Cho Nghi Van C. Affected HH 36. LeVan Kieu Hamlet Thinh Lac Nghi Van C. Affected HH 37. LeVanHoang Hamlet Thinh LacNghi Van C. Affected HH 38. Nguyen Quoc Hung Nghi Thuan commune Cadastral officials 39. Bui KhacToan Hamlet 11 Nghi Hung C. Affected HH 40. HoVan Huong Hamlet 12 Nghi Hung C. Affected HH 41. Nguyen Phu Hoan Hamlet 12 Nghi Hung C. Affected HH Dien Chau district, Nghe An province 42. LeVan H Dien Phu C., Dien Chau district Cadastral officials 43. Hoang Huu Canh Hamlet 9 Dien Phu commune Affected HH 44. Vo Xuan Trong Hamlet 9 Dien Phu commune Affected HH 45. Tran Ngoc Hoa Hamlet 9 Dien Phu commune Affected HH 46. Dang Xuan Long Hamlet 1 Dien Phu commune Affected HH 47. Nguyen Huu Nhan Hamlet 16 Dien Loc commune Affected HH 48. LeVan Manh Hamlet3 DienQuang commune Affected HH Tinh Gia district, Thanh Hoa province 49. Nguyen Trong Nam Tan Truong commune Chairman of CPC 50. Pham Xuan Tu Tung Lam commune Chairman of CPC 51. Le Trong Ngan Phu Lam commune Affected person 52. Le Trong Ngo Phu Lam commune Affected person Page 63

65 No Name Address Position 53. Pham Van Chu Truong Lam commune Vice chairman of CPC 54. Luong Quoc Dot Truong Lam commune Affected person 55. Le Thi Toi Truong Lam commune Affected person 56. Ha Van Duc Phu Son commune chairman of CPC 57. Mai Van Do Phu Son commune Affected person 58. Le Ngoc Dung Phu Son commune Affected person 59. Le Dinh Sang Phu Son commune Affected person Nong Cong district, Thanh Hoa province 60. Tran Thi Ngan Van Thien commune Affected person 61. Le Van Hung Van Thien commune Affected person 62. Nguyen Van Thon Van Thien commune Affected person 63. Nguyen Van Quyt Van Thien commune Affected person 64. Le Xuan Nguoc Te Loi commune Office staff of CPC 65. Tran Van Uu Te Loi commune Affected person 51 Hoang van Tau Te Loi commune Affected person 52 Le Van Ban Trung Chinh commune Cadastral Officers 53 Hoang Thi Hoan Trung Chinh commune Affected person 54 Nguyen Xuan Nghia Trung Chinh commune Affected person 220kV Hai Duong 2 substation Kinh Mon district, Hai Duong province 55 Nguyen Duc Tinh Hue Tri village, An Phu C. Affected person 56 Duong Dang Hop Hue Tri village, An Phu C. Affected person 57 Nguyen Van Tuan Hue Tri village, An Phu C. Affected person SON LA- HIEP HOA Mai Son district, Son La Ms Doan Thi Xuan Mr. Vu Huu Dung Mai Son district Mai Son district Vice director of PC, Head of DCRC Deputy head of Division of Natural resources and environment, member of DCRC Page 64

66 No Name Address Position Giang A Tua Chieng Sung commune, Mai Son district Relocation HHs Mua Pao Cua Chieng Chan commune, Mai Son district APs Mua A Po Chieng Chan commune, Mai Son district APs Phu Yendistrict, Son La Mr. Ngo Duc Duong Deputy head of Division of Natural resources and environment, member of DCRC Mr. Vi van Truong Huy Ha commune, Phu Yen district Relocation HHs Mr. Vi Van Chon Huy Ha commune, Phu Yen district APs MS Sa Van Anh Huy Ha commune, Phu Yen district APs Tam Nong district, Phu Tho Mr. Tran Quoc Thuy Tam Nong district Deputy of District Finance, member of DCRC Mr. Tran Van Chinh Tam Nong district Member of DCRC Mr. Ngo Quang Truong Hien Quan commune, Tam Nong district Relocation HH Phu Ninh district, Phu Tho Mr. Vu Tien Dung Phu Ninh district Deputy of District Finance, member of DCRC Mr. Nguyen Xuan Cac Phu Ninh district Vice-chairman of DPC Mr. Ngo Van Quang Phu Ninh commune,phu Ninh district Relocation HH Mr. Nguyen Van Vinh Mr. Nguyen Ba Dung Phu Nhamcommune, Phu Ninh district, Phu Tho Mr. Nguyen Ton Hung Mr. Huynh Van Tam Mr. Dao Van Bien Mr. Nguyen Van Long Phu Ninh commune,phu Ninh district Phu Ninh commune,phu Ninh district Phu Nham commune Phu Nham commune Phu Nham commune Phu Nham commune APs APs Vice-chairman of CPC, member DCRC Commune cadastral, APs Relocation HH Page 65

67 No Name Address Position Phu Loc commune, Phu Ninh district, Phu Tho Ms Duong Thi Tong Mr. Ngo Van Hau Tu Da commune, Phu Ninh district, Phu Tho Phu Loc commune Phu Loc commune Relocation HH Relocation HH Mr. Vu Van Lieu Tu Da commune Relocation HH Ms Nguyen Thi Thu Ha Tu Da commune Relocation HH Thanh Son district, Phu Tho province Ms Nguyen Thi Lan Thanh Son district Deputy of District Finance, Vice Head H of DCRC Mr. Tran Dinh Tuan Son Hung commune APs Ms Nguyen Thi Kim Ngan Son Hung commune APs Mr. Nguyen Duc Tan APs Self- relocation HH Tam Phuc Duongdistrict,Vinh Mr. Nguyen Van Cuong Vice Head of DPC, Head of DCRC Tam Duong Mr. Nguyen Hoang Thai Member of DCRC Tam Duong Ms Nguyen Thi Xuan Self- relocation HH Dao Tu commune Mr. Pham Van Duyen Self- relocation HH Dao Tu commune Ms Phan Thi Hoa Self- relocation HH Dao Tu commune HIEP HOA SUBSTAITON Mr. Tran Van Dong Head of Dai Thanh CPC Mr. Ngo Van Tuyen Dai Thanh APs Ms Nguyen Thi Cu Dai Thanh APs Mr. Ngo Van Thuan Dai Thanh KIM DONG SUBSTATION Mr. Nguyen Ngoc Hoang Chairman of Toan Thang CPC Mr. Nguyen Van Am Toan Thang commune APs Page 66

68 No Name Address Position Ms Nguyen Thi Cuong Toan Thang commune APs Ms Nguyen Thi Am Toan Thang commune APs THUONG TIN- KIM DONG T/L Mr. Do Hong Quang Thuong Tin district Vice Chairman of Centre, DCRC. Mr. Dang Van Thanh Thuong Tin district Member of DCRC Mr. Nguyen Quoc Viet Thuong Tin district Member of DCRC Mr. Hoang Van Tuu Khoai Chau, Hung Yen Vice Chairman of Khoai Chau DPC, Chairman of DCRC Mr. Le Ngoc Dich Mrs.Dao Thi Thuy Mr. Dao Duy Hien Khoai Chau, Hung Yen Khoai Chau, Hung Yen Khoai Chau, Hung Yen Head of Khoai Chau DONRE Chairman of Dai Hung CPC Cadastral of Dai Hung CPC Mr. Dao Ngoc Thach Khoai Chau, Hung Yen Head of village No 3 Mr. Dao Van Dung Khoai Chau, Hung Yen APs Page 67

69 Annex 5. Some photographs about the field work Pic 5: Representatives of ADB, NPPMB and LIC met DPMU Cao Phong district, Hoa Binh province in the site visit on September 2012 (subproject 500 kv Son La- Nho Quan- Hoa BinhT/L) Pic 6:Mrs. Bui Thi Hiep, Tan village, Phu Lai commune, Yen Thuy district, Hoa Binh Province looks happy to welcome team work in her relocated house (subproject 500 kv Son La- Nho Quan- Hoa BinhT/L) Pic 8: House of AH Nguyen Thi Voi, the women is HH leader in Area 10B, Bac Son ward, Bim Son town( Bim Son S/S) Pic 9: AH Nguyen Thi Nhuong( Phuong) the women HH leader in Area 10B, Bac Son ward, Bim Son town( Bim Son S/S) LIC met relocated HH Tieu Xuan Nhat and his wifein their new house in village 13 Kim Phu Page 68

70 Pic 11: LIC Met CPC An Phu commune, Kinh Mon district, Hai Duong province Pic 12: Mission group staffs met Mr. Tran Ngoc Son, AHH in Hue Tri village, An Phu commune, Kinh Mon district Pic 13:Mission group staffs met CARB Kinh Mon district Pic 14:Hai Duong 2 S/S is under construction in May, 2014 Field team met head of AH Nguyen Van Giơi in Field team met head of AH Nguyen Van Giơi in Page 69

71 Ng c Trao ward, Bim Son Ng c Trao ward, Bim Son Construction Substation Bim Son on the time ADB Mission schedule on March, 2014 Review ADB Mission Schedulefrom 20to 28 February 2014 in substation Bim Son New house of Bui Van Tien, Tan village, Phuc Lai commune, Yen Thuy district, Hoa Binh province New house of Bui Van Ua, Mun village, Dinh Giao commune, Tan Lac district, Hoa Binh province Page 70

72 The construction site of 220 kv transformer stations Tuyen Quang LIC InterviewedMr. Tieu Minh Thien,AHH in village 13, Kim Phu commune LIC Interviewed Mrs. Hoang Thi Duc (Tieu Xuan Nhat 'wife), relocated HH in village 13, Kim Phu Page 71

73 commune Inventory records of village 13 forcultivate land damage from construction unit Inventory records and list of received compensation payment ( By AMB) Page 72

74 New house of relocated HHTieu Xuan Nhat Mr. Ngo Ba Cu,relocated HH is promoting construction his new house Page 73

75 Worked with Mai Son DCRC, Son La province Interviewed Mr. Ly Van Nhuan, Tan Lang commune, Phu Yen dis, Son La Worked with Song Lo DCRC, Vinh Phuc province Worked with Tam DaoDCRC, Vinh Phuc province Worked with Tam NongDCRC, Phu Tho Worked with Khoai ChauDCRC, Hung Yen Page 74

76 Worked with Van Phu Commune, Thuong Tin district Worked with Tu Dan Commune, ThuongTin district Dong Thinh 1 RS, Song Lo district, Vinh Phuc province Phu Nham RS, Phu Ninhdistrict, Phu Tho Self resettled of Pham Van Duyen, Dao Tu commune, Tam Duong district, Vinh Phu Page 75

77 New house of Mr. Giang A Tua, Chieng Sung commune, Mai Son dis, Son La New house of Mr. Vi Van Truong, Huy Ha commune, Phu Yen dis, Son La PHU THO has 09 RS (02 of Phu Tho town; 01 of Tam Nong dis;06 of Phu Ninh dis) Phu Loc RS, Phu Ninh Tu Da RS, Phu Ninh Hien Quan RS, Tam Nong Phu Nham RS, Phu Ninh Phu Ninh RS, Phu Ninh Page 76

78 VINH PHUC has 10 RS (01 of Tam Dao; 05 of Tam Duong dis; 03 of Song Lo; 01 of Binh Xuyen) Dong Thinh 1 RS, Song Lo Yen Thach RS, Song Lo Trung My, Binh Xuyen Trai Khoong RS, Tam Dao An Hoa RS, Tam Duong The minutes of inventory of Mr. Nguyen Van Them, Toan Thang commune, Kim Dong (Kim Dong SS) Page 77