SFG2158 V10 RESETTLEMENT PLAN (RP) BAO LAM 1 HYDROPOWER PLANT INVESTMENT & CONSTRUCTION PROJECT. Type of document: Resettlement plan (RP)

Transcription

1 Public Disclosure Authorized RESETTLEMENT PLAN (RP) SFG2158 V10 Public Disclosure Authorized Type of document: Resettlement plan (RP) Public Disclosure Authorized BAO LAM 1 HYDROPOWER PLANT INVESTMENT & CONSTRUCTION PROJECT In Bao Lam district, Cao Bang province Public Disclosure Authorized Prepared by: Power Construction JSC, No. 1

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

3 DEFINITION OF TERMS Affected person (AP/Affected Household) - Refers to any person or persons, household, firm, private or public institution that, on account of changes resulting from the Project, will have its (i) standard of living adversely affected; (ii) right, title or interest in any house, land (including residential, commercial, agricultural, forest and/or grazing land), water resources or any other moveable or fixed assets acquired, possessed, restricted (like as safety zone) or otherwise adversely affected, in full or in part, permanently or temporarily; and/or (iii) business, occupation, place of work or residence or habitat adversely affected, with or without displacement. In the case of affected household, it includes all members residing under one roof and operating as a single economic unit, who are adversely affected by a project or any of its components. Cut-off date - This refers to the date prior to which the occupation or use of the project area makes residents/users of the same eligible to be categorized as AP. Persons not covered in the census are not eligible for compensation and other entitlements, unless they can show proof that (i) they have been inadvertently missed out during the census and the IOL; or (ii) they have lawfully acquired the affected assets following completion of the census and the IOL and prior to the conduct of the detailed measurement survey (DMS). Detailed Measurement Survey (DMS) - With the aid of the approved detailed engineering design, this activity involves the finalization and/or validation of the results of the inventory of losses (IOL), severity of impacts, and list of APs earlier done during RP preparation. The final cost of resettlement can be determined following completion of the DMS. Entitlement - Refers to a range of measures comprising compensation, income restoration support, transfer assistance, income substitution, relocation support, etc. which are due to the APs, depending on the type and severity of their losses, to restore their economic and social base. Host community - Means the community already in residence at a proposed resettlement or relocation site. Income restoration - This is the re-establishment of sources of income and livelihood of the affected households. Inventory of loss (IOL) - This is the process where all fixed assets (i.e., lands used for residence, commerce, agriculture, including ponds; dwelling units; stalls and shops; secondary structures, such as fences, tombs, wells; trees with commercial value; etc.) and sources of income and livelihood inside the Project right-of-way (ROW) are identified, measured, their owners iii

4 identified, their exact location pinpointed, and their replacement costs calculated. Additionally, the severity of impact to the affected assets and the severity of impact to the livelihood and productive capacity of APs will be determined. Land acquisition - Refers to the process whereby an individual, household, firm or private institution is compelled by a public agency to alienate all or part of the land it owns or possesses to the ownership and possession of that agency for public purposes in return for compensation at replacement costs. Rehabilitation - This refers to additional support provided to APs losing productive assets, incomes, employment or sources of living, to supplement payment of compensation for acquired assets, in order to achieve, at a minimum, full restoration of pre-project living standards and quality of life. Relocation - This is the physical relocation of an AP from her/his pre-project place of residence and/or business Replacement Cost Replacement cost Study The term used to determine the value enough to replace affected assets and/or cover transaction costs necessary to replace the affected assets without depreciation for such assets as well as material advantage, taxes and/or travel expenses. - A process related to evaluating alternative replacement cost for land, housing or other assets based on empirical data as follows: (i) Productive land (Agricultural, fishpond, garden, and productionforest) based on market prices that reflect recent land sales, and in the absence of such recent sales, based on productive value; (ii) Residential land based on market prices that reflect recent land sales, and in the absence of such recent land sales, based on similar location attributes; (iii) Houses and other related structures based on current market prices of materials and labor without depreciation nor deductions for salvaged building materials; (iv) Standing crops equivalent current market value of the crop at the time of compensation; (v) Perennial crops and trees, cash compensation equivalent to current market value given the type, age and productive value (future production) at the time of compensation. (vi) Timber trees, based on diameter at breast height at current market prices. iv

5 Resettlement - This includes all measures taken to mitigate any and all adverse impacts of a project on AP property and/or livelihoods, including compensation, relocation (where relevant), and rehabilitation as needed. Resettlement Plan (RP) - This is a time-bound action plan with budget setting out compensation and resettlement, ethnic minority strategies, objectives, entitlement, actions, responsibilities, monitoring and evaluation. Severely affected households - This refers to affected households who will (i) lose 20% or more of their total productive land and/or assets, (ii) have to relocate; and/or (iii) lose 20% or more of their total income sources due to the Project. Vulnerable groups - These are distinct groups of people who might suffer disproportionately or face the risk of being further marginalized from social development by the effects of property loss and land or other project impacts. The resettlement plan (RP) determines vulnerable households specifically include: (i) female headed households with many dependants and without support, (ii) illiterature headed households; (iii) disabled household heads, (iv) households falling under the generally accepted indicator for poverty promulgated by Ministry of Labour, Invalids and Social Affairs, (v) children and the elderly-headed households who are landless and with no other means of support, and (v) Severely affected households Practical consultation A process (i) is early started right at beginning of the project and consecutively continued during project progress; (ii) which includes timely disclosure of related project information which is understandable and easy to access by the affected people; (iii) is conducted in an environment of no threatening and force or enforcement; (iv) is integrated and met gender sensitive issues, adjusted as per required by the disadvantaged and vulnerable groups; and (v) creates conditions to include related view points of affected people and other stakeholders into decision making process like project design, itigation measures, sharing interest and development opportunities, and implementation issues. v

6 TABLE OF CONTENT I. GENERAL INTRODUCTION... 1 A. Overview of Renewable Energy Development Project... 1 B. Bao Lam Hydropower Plant... 2 C. Objectives of Resettlement Plan... 5 D. Measures to be taken for mitigating impacts caused by the works... 6 II. IMPACT AREA OF BAO LAM 1 HYDROPOWER PLANT... 7 A. Land Impacts... 8 B. Impacts on Crops and Trees... 8 C. Impacts on Structures... 9 D. Impacts on Livelihoods and Income... 9 E. Impact on Vulnerable Groups F. Impacts on Community Assets G. Summary of Impacts III. SOCIO-ECONOMIC INFORMATION OF AFFECTED COMMUNITY A. General socio-economic characteristics in project area A. Socio-economic characteristics of affected households B. Gender, gender equality and ethnic minorities IV. INFORMATION DISCLOSURE, CONSULTATION AND PARTICIPATION A. Information disclosure B. Public consultation and participation C. Results of information dissemination and Public consultation V. LEGAL FRAMEWORK AND ENTITLEMENT A. Requirement on policies of WB B. Vietnam policy framework C. Regulations on compensation, assistance and resettlement by the local authority D. Some regulations applied in compensation, assistance of Bao Lam 1 Hydropower Plant V. RESETTLEMENT, COMPENSATION AND ASSISTANCE STRATEGY A. Legal basic for calculating compensation prices B. Replacement cost identification C. Compensation for impacts and entittlement VI. INSTITUTION ARRANGEMENT AND IMPLEMENTATION SCHEDULE A. Implementation schedule B. Institutional arrangements VII. GRIEVANCE REDRESS MECHANISM VIII. MONITORING AND REPORTING A. Internal Monitoring B. External Monitoring IX. BUDGET AND FINANCIAL SCHEDULE vi

7 LIST OF TABLES Table I-1 Work items and key parameters of Bao Lam 1 Hydropower Plant... 3 Table I-2 Alignment alternatives in design to minimize impacts caused by land acquisition... 6 Table II-1 Affected land area and number of affected HHs upon each work item... 7 Table II-2 Total HH s afftect land... 8 Table II-3 Allocation of plant affected land (m 2 )... 8 Table II-4 Area of annual crop land to be affected... 9 Table II-5. Household affected by the construction... 9 Table II-6 Level of impact on production land Table II-7 Information on Vulverable Groups Table II-8 Summary of impacts caused by the plant construction Table III-1 Enthnic Minority Affected HHs under socio-economic investigation Table III-2 Education level of HH heads investigated per affected commune Table III-3 Information on main income sources of investigated HHs Table III-4 Average income of the investigated HHs (VND mil) Table III-5 Monthly average expenditures of investigated HHs (proprotion %) Table III-6 General information on gender rate in the affected commune Table III-7 Labor allocation in families in terms of gender Table IV-1 Time, venue and number of participants in commune public consultation meetings Table IV-2 Summary of contents of discussion and opinions at the Public consultation meetings Table IV-3 Concerns of affected community and commitment of the investor Table V-1 Entittlement matrix Table V-1 Total compensation cost for affected HHs Table V-2 Compensation for affected trees, crops Table V-3 Total cost of assistance to affected HHs Table VI-1 Implemenation schedule for entire project Table VIII-1 Monitoring and Evaluation Indicators Table IX-1 Summary of resettlement costs vii

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

9 EXECUTIVE SUMMARY Introduction 1. The general objective of the Renewable Energy Development Project (REDP) is to increase the supply of least-cost electricity to the national grid from renewable energy sources on a commercially sustainable basis in an environmentally and socially sustainable manner. 2. Bao Lam 1 hydropower plant is implementing on the side of River Gam, and 500m distanced from the confluence point of river Nho Que, the capacity of the plant estimated about 30 MW. All the supply and logistic areas will set up at Ly Bon local - Bao Lam district, the reservoir supplies water jet to the hydropower plant along to rivers Gam, Que and located in Ly Bon, Vinh Quang locals of Bao Lam district and Bao Toan locals of Bao Lac district. 3. This resettlement plan is prepared to ensure that: (i) Involuntary resettlement must be avoided where possible, or be reduced to the lowest possible extent by selecting appropriate design options, (ii) Where involuntary resettlement is unavoidable, the resettlement activities must be prepared and executed with sustainable development programs and sufficiently provided investment supports, enabling displaced people to benefit from the subproject. The displaced people will be fully consulted and allowed to participate in preparatory and implementing activities of Resettlement Plan. Area of Impact 4. The serving areas to the Bao Lam hydropower plant will take around 103,91 ha, 203 household/3 locals should be re-alocated following a resettlement project. The subtract land lost due to the hydropower plant implementing can be counted by 8,6 ha (8,28%) basement, 95,31 ha (91,72%) reservoir construction, 300m of rural road inflected. Socio-economic Characters 5. A social-economic investigation and survey in the area and households affected by the works was carried out in June and July, 2014 over 100% of households (203 HH). Main income of almost the HHs (188 HHs or 92.61%) is depended on agriculture production, however, such production is still in mode of self-production self supply. Therefore, the household income is rather low (188 HHs have their income below VND1,000,000/month), and poor HH rate is rather high. 6. Under government programs of 134, 135, 30A, etc. on poverty eradication and poor reduction through development of rural infrastructure, social services and education, there have been a lot of investments in agriculture as well as in infrastructure for the use of HHs that significantly improve the infrastructure in the area in recent years and local people in the project area have been supplied electricity from national grid for daily life and audio and video devices etc. Information dissemination and public consultation 7. A lot of public consultation meetings, discussions with relevant stakeholders, especially local governmental authority and affected people were held in June, July, 2014 to disseminate to them sufficient information relating to the project and its activities from preparation to operation ix

10 stages, compensation and assistance policy, implementation plan, recording the people s opinions or claim all of which have been base for this resettlement plan preparation. 8. Public consultation meetings have been organized in 3 communes from 2 affected districts with total 225 participants (including local officers, heads of hamlets and 203 affected households). 9. Important information indicated in the Resettlement Plan (RP) shall be publicly provided to the affected HHs through organizing public meeting during the next stage of the works, project information dissemination and public consultation meeting with the local governmental authority and community shall be held regularly at every important stage or at necessary point of time. Legal Framework and Entilement 10. Bao Lam 1 Hydropower Plant is under Renewable Energy Development Project, therefore, compensation, assistance and resettlement plan for this is prepared basing on principles defined in Resettlement Framework agreed between Ministry of Industrial and Trade (MOIT) and World Bank (WB) in 2008 for Renewable Energy Development Project. Policies to be applied in implementation of compensation, assistance and resettlement include (i) involuntary resettlement policy by WB. (ii) the current policies on compensation, assistance and resettlement by Vietnam Government; and (iii) regulations on compensation, assistance and resettlement by the project Cao Bang province. 11. One of the key objects of the project is replacement and compensation for the lost properties basing on replacement cost. Compensation implementation and providing alternative assistant forms to the affected people before they move out of their houses, land and properties under condition that their living conditions are restored at least as the same as that before the project, and the poor, the prone affected people including affected people in vulnerable group (e.g, HHs head with disability, poor HHs, ethnic minority HHs, etc.) shall be assisted to increase their socio-economic situation. Instituational Arrangement and Implementation Plan 12. Construction project shall be in 2.5 year ( ) including last 6 months of 2014 for preparation and construction commencement is expected to be in January 2015 and completed in December Power Construction JSC, No1 is responsible for all project implementation components, including preparing and implementing RP as well as monitoring, evaluating this RP. Being as a project implementation agency, Power Construction JSC, No1 will have following main responsibilities: (i) updating and implementing RP in coordination with related people s committees at levels and provincial and district Compensation, Assistance and Resettlement Board (CARB) and submitting to MOIT and WB for approval; (ii) ensuring government capital available for implementation of RP and availability and sufficiency of funds for resettlement (money for compensation and other assistances). Grievance Redressal Mechanism 14. Grievance redressal mechanism in this RP has been built basing on Vietnam law of disputes, which had been consulted with local authorities and communities in consideration of specific cultural features and traditional cultural institution of the project area people. x

11 Monitoring and Evaluation 15. Power Construction JSC, No1 shall provide services of an independent internal monitoring agency. Therefore, Power Construction JSC, No1 shall collect and record entire site documents, including database on affected HH and submit quarterly report to the project management unit (MOIT) and WB. 16. External monitoring agency (EMA) shall be experienced resettlement and social development specialist who will implement such monitoring and is selected by PMU (MOIT). Independent, monitoring, inspecting and evaluation shall be conducted periodically on annual basic, except for the first stage semi-annual may be required. Report prepared by EMA shall be placed in project site office and commune people s committee and posted on the website page of WB. 17. Internal and external independent monitoring system shall be set up including professional experts who have qualification and experienced in the field of resettlement, community development and ethnic minorities, in which, Power Construction JSC, No1 shall be responsible for internal monitoring; monthly and quarterly monitoring reports shall be submitted to PMU and WB. The EMA shall be selected for implementing independent monitoring and independent evaluation, which shall be made on annual basic, except for the first stage semi-annual may be required. Budget and Disbursement Plan Total estimated cost for compensation and assistance against impacts caused by construction of Bao Lam 1 Hydropower Plant is VND (equal to USD ). Implementation cost shall be paid by Power Construction JSC, No1. xi

12 I. GENERAL INTRODUCTION A. Overview of Renewable Energy Development Project 18. The objective of the Renewable Energy Development Project (REDP) is to assist in developing renewable energy sources to supply least-cost electricity to the national electric grid on a commercially sustainable basis in an environmentally and socially sustainable manner. The project includes three components: (1) investment project implementation component, (2) capacity building component, and (3) information channel development component. 19. The investment project implementation component includes (i) participation of commercial banks to borrow for providing credit to eligible renewable energy projects of capacity of not more than 30MW to be invested by the private investors, and (ii) a technical assistance for capacity building for the participated banks and the sub-project private investor in project preparation, appraisal, financing and implementation of renewable energy projects in compliance with international practices. This component shall be collaborated by Rural Electric and Renewable Engery Project Management Unit (PMU) under MOIT. This component consist of two following sub-components: Providing credit for investment assistance in renewable energy: Private investors shall construct sub-projects of small scale hydropower, wind-to-energy and mass solid wasteto-energy plants with capacity of not more than 30MW in compliance with Renewable Energy Development Project criteria including environmental and social safeguards. The investors commit to contribute their equity of at least 20% of total investment cost of a sub-project and the other 80% shall be borrowed from participated commercial banks. Eligible loans shall be refinanced up to 80% of the loan value to the participated banks or 64% of total investment cost of the subproject. This means the participated banks shall have to commit to lend at least 16% of total investment cost for each subproject from their funding source and the investors shall contribute 20% of total investment cost as their equity. Upon the approval of request for credit, the participated bank shall receive a reborrowed sum from REDP (WB) via Ministry of Finance (MOF). Such a reborrowed sum from REDP shall be financed by WB to MOF under conditions defined by the WB. It is expected that there are about sub-projects to be assisted via reborrowing mechanism. When they come into operation, total capacity of these subprojects is expected 210MW and supply about 880GWh of annual electric output. Techincal assistance for implementation of investment projects: the technical assistance (TA) under component 1 shall assist in general management to REDP project, reviewing eligibility of the reborrowed sums and capacity building for participated banks, investors and other stakeholders. This TA shall be managed by PMU. TA shall concentrate on guiding sub-project investors to obtain necessary skills to identify viable sub-projects and prepare proposals for the bank loan through loan processing and negotiation. In addition, the TA shall also concentrate on training preparation of viable studies, utilising design, construction management, operation, maintenance, financial risk management and considering social and environmental safeguard. The participated banks shall be assisted in capacity building, understanding about risks, as it might be, from investment in REDP, supervising projects to ensure safeguards, building up credited 1

13 policies and reviewing sub-project in compliance with these policies. The TA shall also assist PMU in management of REDP. B. Bao Lam 1 Hydropower Plant 1. Legal Base 20. The law of Land use planning issued 2013 by Vietnam Gorvernment, proved by Vietnam Congress Committy by date 29/11/2013 and effected 01/07/ The law of Water Resources Management No. 17/2012/QH13 of Vietnam Congress committy by date 21/6/ The low of Forest protection and development No. 29/2004/QH11 of Vietnam Congress Committy by date 3/12/ The law of Energy issued 2004 by Vietnam Gorvernment 03/12/ Decree No.47/2014/NĐ-CP dated 15/05/2014 by the Governement regulating on compensation, assistance and resettlement when the State acquired land. (Replacement of Decree No. 197/2004/NĐ-CP) dated 3/12/2004). 25. Decision No. 6620/QĐ-BCT of Vietnam Ministry of Industry-Trade issued on 19/12/2011 reviewing the hydropower plant construction base on river Gam. 26. Decision No. 3336/2009/QĐ-UBND on date 31/12/2009 of Caobang Provincial community on compensation, resettlement support policies due to hydropower plant construction in the affecting areas; Decision No. 638 /2011/QĐ-UBND on date 09/4/2011 of Caobang Provincial community on correction the content of the Decision No. 3336/2009/QĐ-UBND. 27. Decision No. 26/2013/QĐ-UBND on date 27/12/2013 of Caobang Provincial community on the land use prices, issued by the year Decision No. 891/2011/QĐ-UBND on date 20/5/2011 of Caobang Provincial community on the compensation prices of crops and aquatic cultivations 29. Decision No.401/2011/QĐ-UBND on date 08/3/2011 of Caobang Provincial community on the resettlement support policies due to land lost to the affected groups 30. VN-2000 topography map scaling 1/ issued INTERGEO4 Topography map scaling 1/2.000 issued 3/ The existing land use map scaling 1/2.000 issued by MTV. Ltd. On date 3/ The legalised document of Baolam Hydropower plant, issued by MTV. Ltd. year Characteristics of the plant 34. Bao Lam 1 Hydropower plant uses water dynamic of rivers Gam and Nho Que to generate power. The head sections of the plant are located along the banks of these rivers, closed to main roads 34 and 4C. The hydropower plant dam is construct at the crossing point of rivers Gam and Nho Que, 500m from Ly Bon bridge toward to the watershed of the river Ly Bon, Bao Lam- Cao Bang. The reservoir of the plant is locate in Vinh Quang, Ly Bon locals - Bao Lam district and Bao Toan locals -Bao Lac district. 35. The construction items of Bao Lam 1 Hydropower Plant include daily reservoir system on the Gam River with capacity of 8.89 million m3; construction cluster including gravity concrete rolling weir of 28m long, 7m wide; maximum height of 24,5m. Spillway is arranged in the middle of the main dam and damper door. The spillway has 6 compartments using flat gates with size of BxH = 15x13,5m, including 6-valve operated by winches and 1 control valve malfunction 2

14 operated by crane operation, overflow elevation threshold 149,5m. The total length of the overflow line is 107,5m and 40,5m high, 90m long spillway. Right lane energy system includes intake, hydroelectric plants, discharge canal and 110 kv distribution substations. Hydropower plant is equipped with 2 units of Bulb turbines with capacity of 30MW. Plant downstream is arranged with valve malfunction, the size of the waterway is nxbxh = 2x8,6x8,6m valve, valve gate is operated by electric winch system. 110kV substation is located on the left bank on the way to the water inlet. Distribution Station area LxB = 56x31m is planned to be 169 m in elevation. Station is arranged 2 transformers for 2 machine units. Distribution substations connected to the national electricity system with a wire of 110kV to 110 / 220kV station located around 100m far from Bao Lam hydroelectric plant. 36. Total suppliment areas is 8,6ha. Of which, the logostic areas covered 7,1ha, functional areas 0,4ha, office and stationaries 0,5ha, housing 0,6ha. Each areas will provide a certain fuction following the specific requirements. 37. Construction of reservoir mainly relates to clearance of reservoir foundation (biomass, cemical substances, explosives etc.) before retaining water. 38. Construction of headworks relates to excavating and back filling of soil and stone, concrete work, slope improvement. Construction of energy route, apart from excavation and filling work, concrete work, slope improvement, it relates to installation of hydraulic-electric equipment and electric equipment at water intake. Table I-1 Work items and key parameters of Bao Lam 1 Hydropower Plant No. Parameter Unit Quantity I Reservoir 1 Catchment area Flv km Average flow for many years Qo m 3 /s Monitoring flood water level (MNLKT) (flood 0,2%) Design flood water level (MNLTK) (flood 1.0%) m 168,01 m 163,75 5 Monitoring flood discharge Q 0.2% m 3 /s Design flood discharge Q 1% m 3 /s Normal Water level (MNDBT) m Dead water level (MNC) m Gross storage capacity Wtb 10 6 m 3 8,89 10 Useful capacity Whi 10 6 m 3 3,41 11 Un-used capacity Wc 10 6 m 3 5,48 II II.1 Dam Weir dam 1 Top weir elevation m 169 3

15 No. Parameter Unit Quantity 2 Max height m 24,5 3 Crest Length m 28 II.2 Spillway 1 Spillway crest elevation m 149,5 2 Length m 107,5 III III.1 Energetic route Entrance Canal 1 Bottom level m Bottom width m 27,75 3 Length m Falling gradient 0.0% III.2 Hydropower Plant water intake 1 water intake Top elevation m 169 Crest elevation m Number of aperture 2 Size of repairing valve door (BxH) m x m 9,1 x 9,8 Size of y sewer grates waterway (BxH) m x m 9,1 x 20,26 2 Hydropower Plant III.3 1 Turbine located Altitude m 144,04 Machine Altitude m 154,44 Assembly Floor Altitude m 154,44 Flood Floor Altitude m 165 Number of Machine Units 2 Installed capacity (Nlm) MW 30 Capacity to ensure frequency 90% MW 3,06 Annual average Output power E kwh 115,7 No. of hours using machine installed capacity Discharge culvert Altitude of the beginning of the canal bottom Hour 3889 m 144,0 4

16 No. Parameter Unit Quantity 2 Bottom Canal Width m 26,5 3 Canal Length m Bottom Canal Slope 0,0 III.4 Substation 110kV 1 Voltage level kv Altitude of stations located m 169,0 3 Station size (length x width) m x m 56m x 31m IV Total of Investment Capital 1 Total investment after tax (including 10 9 đ 915,418 V interest) The economic indicators 1 - NPV % 146, EIRR % 12,5% 3 - B/C ,19 VI The financial indicators 1 - NPV 10 9 đ 137, FIRR % 11,7% 3 - B/C 1, Bao Lam 1 Hydropower Plant shall generate electricity basing on the basic flow through the tunnel generic route of the plant and the difference in height of the topographic water column. During flood season, when daily average flow is higher than design flow, the plant shall operate at its max capacity (29.6 MW), the redundant water volume shall be freely flow over the spillway to downstream. During the normal days, the reservoir retains high water level for electricity generation, and when there is a water need from downstream and if it goes against regulations definded in this document, such need must be proposed to Ministry of Agriculture and rural Development (MARD) for review and make decision. C. Objectives of Resettlement Plan 40. According to guidelines under OP4.12 by the World Bank (WB) on involuntary resettlement, for any project, a resettlement plan must be prepared to ensure that: (i) Involuntary resettlement must be avoided where possible, or be reduced to the lowest possible extent by selecting appropriate design options, (ii) Where involuntary resettlement is unavoidable, the resettlement activities must be prepared and executed with sustainable development programs and sufficiently provided investment supports, enabling displaced people to benefit from the subproject. The displaced people will be fully consulted and allowed to participate in preparatory and implementing activities of Resettlement Plan. 5

17 41. The displaced people must be supported in terms of their capacity to improve their living conditions and to rehabilitate their living standards higher than or at least equal to that before constructing the subproject. D. Measures to be taken for mitigating impacts caused by the works 42. In order to avoid involuntary resettlement or to minimine impacts caused by the works, there are three alternatives of alignment proposed during survey and study for construction of Bao Lam 1 Hydropower Plant. After carefully analysis of economic efficiency in which analysis and comparison of impact area of these three alternatives is combined, alternative 2-dam 1A was highly agreed and selected for construction of the plant. With this alternative, geological structure is good, moving the plant to the left, reduce the construction volume, construction time, to ensure the stabe of work, impact scale shall not be significant to communities who are living in the project area. This alternative does not affect significantly to the local people s lives and production and especially none of the households is subjected to displace as a result of land acquisition for the hydropower plant construction. In other alternatives have more impact, more occupying area and in particular will require a number of relocated household: Table I-2 Alignment alternatives in design to minimize impacts caused by land acquisition In order Section options Figure 1 2 Section I and hydropower plant Section II and hydropower plant The reservoir will construct to keep water levelling up to 163m, 9 households/36 persons in Ly Bo will be impacted, land lost around 103,9 ha belong to Ly Bon, Vinh Quang, Bao Toan locals. 300m gravel road from the Ly Bon office to suspension bridge will be destroyed The reservoir will construct to keep water levelling up to 163m, 17 households/68 persons in Ly Bo will be impacted, land lost around 117,4 ha belong to 3 communes: Ly Bon, Vinh Quang and Bao Toan. 300m gravel road from the Ly Bon office to suspension bridge will be destroyed. The section II will impact direct to the Ly Bon centre, the areas is included housing, markets place, therefore it is a limitation factor affecting to the construction plan. 43. In addition, Power Construction JSC, No1 and the local governmental authority shall be surely responsible for land acquisition, affected properties, payment for compensation, assistance to the affected HHs, except for activities for long-term development, and have to complete this before issuance of Notice To Proceed (NTP) for hydropower plant construction commencement. 6

18 II. IMPACT AREA OF BAO LAM 1 HYDROPOWER PLANT 44. Measures to minimize permanent affected land area have been studied by the investor of Bao Lam 1 Hydropower Plant and the calculation is presented in Chapter I in view of considering and selecting the most optimal alternatives. Moreover, many other mitigation measures such as no earth grading for widening the existing road have been proposed; when new road for the plant operation, earth grading can only be done with enough width for movement of vehicles and close monitoring is carried out to control land sliding onto both road sides to minimize affected area; Lowering retention water level to reduce flooded area. Work components are constructed far away from community areas and HH s caltivated areas. Aslo road for transportation of materials and borrow pits shall be arranged not in community area (explosive storing is arranged along the cannel, sand and construction materials are gathered in a blank yard under management of the commune etc.) to avoid land acquisition for this and impact to local community life. 45. Although mitigation measures have been taken into account, certain permanent land acquisition for Bao Lam 1 Hydorpower Plant is unavoidable. Table II-1 Affected land area and number of affected HHs upon each work item In order Constituent Unit Amount 1 Resettlement - Household house 9 - Person person 36 2 Land lost ha 103,91 - Agricultural cultivation ha 24,09 - House ha 0,93 - Fruit cultivation ha 12,95 - Other ha 65,94 3 Property m 2 545,4 - Palafitte m Temporaly house (IV) m 2 50,4 - Temporary house m Drying ground m House reservoir m Livestock m Plant and crops ha 48,18 - Annual crop ha 24,09 - Rice ha 4,05 - Creal crops ha 20,04 5 Infrastructure - Transport road 300m gravel road from the Ly Bon office to suspension bridge - Cultural house Total Bill. VND 8,726 7

19 A. Land Impacts 46. During the process of inventory of loss (IOL) in June and July 2014, total of 103,91 hectare of acquired land from 203 households and 3 communes are impacted. In which, 8,6 hectare (8.28%) is acquired for construction site of Bao Lam 1 Hydropower Plant and hectare (91.72%) is acquired for reservoir. Table II-2 below provides detailed information on affected HH and acquired land area upon work items. (List of affected HHs is attached in Appendix 1). No Commune Table II-2 Total HH s afftect land Total affected HHs Total land area acquired Construction site Reservoir 1 Ly Bon Vinh Quang Bao Toan Total Total land of 103,91 ha is affected by the construction of Bao Lam 1 Hydropower Plant in which 9,348m 2 is residential land, 40,500m 2 is single rice crop, 200,400 m 2 is Annual cultivated land, 129,500m 2 is land for perennial plants, and 659,400m 2 is another land. Table II-3 provides detailed information on plant affected land. Table II-3 Allocation of plant affected land (m 2 ) No. Type of affected land Symbol on Total area of affected Proprotion map land (%) 1 Residential land ONT 9, Land for perennial plants LNK 129, Annual cultivated land NHK 200, Single rice crop LUK 40, Another land 659, Total 1,039, Regarding to issues of land poccession and due to land management condition of the local authorities and habits of the ethnic minorities in general, and HHs in the affected area in particular, normally the HHs do not own land use right certificates (LURC) although actually they are totally legal owners. Similar to the plant affected HHs, 100% of these HHs have not got land use right certificates but they have enough elegible legal documents which are recognized by the laws. B. Impacts on Crops and Trees 49. According to result of IOL there are 240,800 m2 of annual crop land will be affected by construction of the plant. Out of this area, 40,400 m2 of paddy land and 200,400 m2 of maise, cassava... cultivating land shall be affected. Under construction progress in the project area, there shall be close cooperation with the affected HHs so that they can harvest their crops prior to 8

20 recovery of the land for the project. In case of standing annual crop, compensation shall be paid at market price. I II No. District/ commune Bao Lam district 1 Ly Bon 2 Vinh Quang Bao Lac district 1 Bao Toan Total C. Impacts on Structures Table II-4 Area of annual crop land to be affected Annual Paddy Works items cultivated land Total HHs Area (ha) HHs Area (ha) HHs Area (ha) HHs 1 1 Area (ha) HHs 1 1 Area (ha) HHs Area (ha) Bao Lam 1 Hydropower Plant affecting to 9 households and 545,4 m 2, it shows in the table II-5. Altitude (m) Unit Table II-5. Household affected by the construction Palafitte Temporaly house (IV) Concret house Impacted Temporaly house Drying ground Water reservoir Liverstock 163 m D. Impacts on Livelihoods and Income 51. Following the Vietnam gorvernment regulation on the land lost due to construction implementing (rural or local areas), it is about m2/argicultural practice person or 1000m2-1200m2/non-agricultural practice person providing. However, in the construction areas, the statistics total land areas is still not legalising. Therefore, the compensation method will be based on the national regulation for land lost and price. 52. Out of 203 affected HHs due to implementation of land acquisition for plant construction, 78 HHs is not affected production land, 99 HHs lose less than 10% of total existing production land, 17 HHs lose from 10% to 30% of total existing production land, 9 HHs lost more than 70% (paddy land, Annual cultivated land). 9

21 No. District/ commune Table II-6 Level of impact on production land No affect <=10% >10% -< 30% 30% - 70% >70% Total I Bao Lam District Ly Bon Vinh Quang II Bao Lac district Bao Toan Total Proprotion 38,42 48,77 8,37 0,00 4,43 100,00 E. Impact on Vulnerable Groups 53. The IOL had identified all 203 affected households as ethnic minority, in which 184 HHs are classified as the poor HHs. These HHs shall be further assisted in compliance with the project guidelines and more details shall be described in the next chapter. No. District/ commune Table II-7 Information on Vulverable Groups Total Affected HHs Total No. of HH s heads Poor HHs Ethnic HHs I Bao Lam District Ly Bon Vinh Quang II Bao Lac district Bao Toan Tổng F. Impacts on Community Assets 54. As the results of field survey are shown, about 300m gravel road from the Ly Bon office to suspension bridge will be destroyed; Na Pong Ly Bon local culturing house will affect if the water leveling up to 164m. The Investerment company responsible for this issues. G. Summary of Impacts 55. Table II-10 below summarises impacts and other social impacts due to land acquisition for construction of Bao Lam 1 Hydropower Plant. Noagriculture land Table II-8 Summary of impacts caused by the plant construction Work Items Unit Total Affected HHs/ CPC Land Residential land m Other use land Natural river & stream, surface m2 - m2 10

22 agriculture land water for special purpose Annual crop land m Perenial tree land m Single rice crop m Total affected land Structures House, auxiliary facilities, secondary structures m Public facility gravel road from the Ly Bon office to suspension bridge m 300 Total Number of Affected Households Total of affected households HHs 203 relocating households 9 Vulnerable households Poor household HHs 187 Ethnic minority household HHs 203 Elderly household heads HHs III. SOCIO-ECONOMIC INFORMATION OF AFFECTED COMMUNITY A. General socio-economic characteristics in project area 56. Bao Lam 1 Hydropower Plant shall impact on 3 communes in two districts of Bao Lam and Bao Lac, Cao Bang province (both rural district is poor in total 62 all the country's poor rural districts). Implementation of socio-economic survey and inestigation were carried out in June and July During the investigation, many meetings with group discussions, deep interview with affected district/commune leaders and representatives were taken place for collecting information on socio-economic conditions and specifically collection of view points, opinions on land acquisition and income restoration for affected HHs. 57. Bao Lam district natural conditions and geography: The distict located on West side of Caobang province, the centre of the district named Pac Miau and 13 locals (Mong An, Thai Hoc, Thai Son, Nam Cao, Nam Quang, Tan Viet, Yen Tho, Quang Lam, Thach Lam, Ly Bon, Duc Hanh, Vinh Quang, Vinh Phong). The main road 34 is crossing to the areas, and from 173 km toward west direction to Caobang province. Total natural areas is ha. The population in the place is persons and the people living in high areas covered about 89% of total population in the areas. The population density is 62 person/km2, in province level 77 person/km2. Ethnic groups are Tay, Nung, Mong, Dao, Kinh, San Chi, Lo Lo, Quy Chau. 58. Agricultural cultivation: Single rice crop: ha, (420m2/person on everage); foodstuff average (415kg/person/year), or 85% in comparison with the province. Liverstock and poultry are the main incomes generating for the place. 59. Forestry: total area of forest in the place is countable. The main incomes of the local person based on the forest products, afforestation and the forest market are still low. 11

23 60. Trade and service are growth very slow and uncountable. Infrastructure: there two main roads 4C and 34 (58km lenght in total) are crossing to the construction place, 140 km local tronportation roands and 285 km connecting roands. However, all the tranportation roads are seasonal disconnect and service in raining season. 61. Ly Bon local: Total natural areas: 117,95 km²; Popular: persons (2013), density: 34,4 person/km² ;Income: self serving; Sub-local: 18 places: Bang, Khuoi Man, Khuoi Bon, Phieng Pen, Khuoi Vin, Na Mau, Na Khang, Na Mat, Na My, Na Pong, Na Tong, Pac Pha, Pac Pet, Pac Ra, Phieng Đam, Phieng Lung, Pac Ruoc, Tong Ac. 4 places affected by the construction are: Na Khang, Na Pung, Na Mat and Tong Ac, 9 household/36 persons need re-allocate. 62. Agricultural activities: (i) Gross crop: 1807 tones; (ii) Paddy rice: 160 ha, crop yield 370 kg/ha, gross product 577 tones; (iii) maize crop: 340 ha, crop yield 270 kg/ha, gross product 918 tones; (iv) Upland rice 15 ha, crop yield 100 kg/ha, gross product 150 tones; (v) soybean: 10 ha, crop yield 65kg/ha, gross product 6,1 tones Liverstock and poultry: 813 buffalos, 2468 cows, 3876 pigs, 17 horses, 348 goats; (ii) poultry group: Vinh Quang local: located on North-east of Bao Lam district, Total nutual areas: 56,27 km²; Population: person (2013), density: 73 person/km²; Incomes: self service. 65. Sub-locals: Ac E, Ban Cai, Dong Ken, Khau Cuom, Na Luong, Khuoi Nay, Khuoi Ro, Ban Mieu, Na Hien, Na Lau, Na Nga, Na Phiao, Na Piao, Na Tom, Nam Lan, Pac Doa, Phieng Ru, Thieng Na Ban Chang, Nam Uon, Khau Sang, Coc Tem. There is only 1 afflected sub-local (Nà Tốm)/17 agricultural households. 66. Agricultural activities: (i) Crops tones; (ii) single rice crop: 189 ha, gross product: 831,6 tones; (iii) Upland rice crop: 59,8ha, yield 130 kg/ha, gross crop 777,4 tones; (iv) maize crop 485 ha, crop yield 350 kg/ha, gross product 1.479,8 tones; (v) soybean 11 ha, sugar cane 4 ha, ground nuts 2,6 ha and potatoes 0,5 ha. 67. Bao Lac district: Location: west side of the; Main road: No. 34 (100Km from Caobang centre); Total natural areas: km2, Local and sub-locals: Bao Lac, Son Lo, Dinh Phung, Hung Dao, Huy Giap, Hong An, Xuan Truong, Khanh Xuan, Phan Thanh, Hong Tri, Co Ba, Bao Toan, Coc Pang, Thuong Ha, Hung Thinh, Son Lap, and Kim Cuc. 68. Hoseholds: 8.905/49550 person (2013), includes 7 ethnic groups: Tay: persons (28,1%), Dao: persons (24,25%), Nung: persons (23,09%), Mong: persons (15,55%), San Chi: persons (4.81%), Lo Lo: persons (2,63%), Kinh: 412 persons (0,84%), others: 347 persons (0,71%). Population density 53 person/km2, population growth rate 1,4%. Labour potentian: persons (50% total population); Of which, la 50,8% women, trained labours 15%. 69. Economic growth: 13,76%; incomes 5,6 Mill.VND/person/year; GDP Bill. VND. Poverty hoseholds: 4.004/44,96% of total household in the province (2013). Gross product tones/113,6% in 2013, anise and bamboo trees: 686 ha; Pennisetum purpureum (Napier grass): 62 ha; liverstock: Infrastructure and social service: developed by programes of 134, 135, 30A Bao Toan:Location: on west side of Bao lac district; Total natural areas: 66,81 km², population persons and, 39,4 person/km². (2013); Incomes: self service. Sub-locals: Coc Chom, Coc Lùng, Khuoi Boc, Khuoi Pet, Khuoi Rap, Ban Lung, Na Roa, Na Siem, Pa Tan, Ban Rung. One affected areas is Na Roa/3 agricultural households. 12

24 72. Agri-forest activities: gross productivities: tones included spring time crop 102 tones, seasonal crop 998,4 tones (2013) B. Socio-economic characteristics of affected households 73. According to IOL, all 203 affected HHs are ethnic minorities, so socio-economic survey has been done on 100% of the HHs. The result shows that 3 HHs in communes of Bao Toan (Bao Lac district), 3 HHs in communes of Vinh Quang (Bao Lam district) and 183 HHs in communes of Ly Bon (Bao Lam district). Table III-1 presents number of HHs who were investigated and ethnic minority group in project area communes Table III-1 Enthnic Minority Affected HHs under socio-economic investigation District Commune Hamlet Bao Lam Ly Bon Ethnic group Tay Nung Dao H'Mong Total Na Khang Na Pung Na Mat Tong Ac Vinh Quang Na Tom Bao Lac Bao Toan Na Roa Total The results from almost investigated HHs have limited education and this causes certain impact on the HHs lives, occupation and income. Out of 203 investigated HHs, 105 HHs (51,72%) have never gone to school or have not finished primary school, 87 HHs (42.86%) have finished primary school, 11 HHs (5.42%) have finished secondary school. Table III-2 Education level of HH heads investigated per affected commune Education level Ly Bon Vinh Quang Bao Toan HHs % HHs % HHs % Illiterate/not finished primary school ,74% 2 11,76% 1 33,33% Finished primary school 73 39, ,59% 2 66,67% Finished secondary school 8 4,37% 3 17,65% - - Finished high school Vocational training College/ University Total % % 3 100% 75. The ethnic minority HHs in the project area have main income from agriculture production. This can defines through actual investigation that 188 HHs (92.61%) out of 203 HHs 13

25 interviewed have their main jobs in agriculture production and only 15 HHs (7.39%) have their income from working as workers. Table III-3 describes details of main income of ethnic people who are affected by the project. Table III-3 Information on main income sources of investigated HHs No. Main income Ly Bon Vinh Quang Bao Toan Total 1 Agriculture Breeding Shop keeper Workers Officers Working in private sector Getting support Housewife job Others Total Products are for the needs of families but not in form of goods or commodities so HHs income is very low. Table III-4 below provides detailed information on average income of investigated HHs in the affected project communes. Table III-4 Average income of the investigated HHs (VND mil) No. Commune Below 1 mil. 1. mil. to 1.5 mil. Above 1,5 mil. Total 1 Ly Bon Vinh Quang Bao Toan 3 3 Total Within total monthly income of HH, key expenditures are for food and daily living activities, which are accounted for 46.78% to 53.22%. The rest of 46.78% to 51.80% are for other purposes such as health care, education and others. Detailed as in Table III-5 below. Table III-5 Monthly average expenditures of investigated HHs (proprotion %) No. Monthly expenditure Ly Bon Vinh Quang Bao Toan 1 For food and daily living activities 53,22 48,2 49,15 2 Health care 18,27 21,31 22,15 3 Education 14,35 15,35 16,2 4 Others 14,16 15,14 12,5 Total 100,00 100,00 100, Because the project affected area lies in high mountainous region, all investigated HHs (100%) informed that their main water sources for daily living activities are from canyons. 14