Resettlement Planning Document

Transcription

1 Resettlement Planning Document Updated Resettlement Plan Document Stage: Final Draft Project Number: TA 7070 THA 30 June 2009 Kingdom of Thailand: Greater Mekong Subregion Highway Expansion Project (Routes 12 and 359) Prepared by: Department of Highways, Ministry of Transport and Communications The Resettlement Plan is a document of the borrower. The views expressed herein do not necessarily represent those of the ADB Board of Directors, Management, or staff, and may be preliminary in nature.

2 CURRENCY EQUIVALENTS (as of May 2009) Currency Unit - Thai Baht (THB) - US Dollar ($) $1.00 = THB ABBREVIATIONS ADB - Asian Development Bank AP/AH - affected person/affected household DOL - Department of Land DMS - detailed measurement survey DOH - Department of Highways EA - executing agency GMS HEP - Greater Mekong Subregion Highway Expansion Project IOL - inventory of losses MTC - Ministry of Transport and Communications NTP - notice to proceed PMO - project management office PSC - project supervision consultants RCC - resettlement coordinating committee RCS - replacement cost study ROW - right-of-way RP - resettlement plan SES - socio-economic survey WEIGHTS AND MEASURES km - Kilometer m - meter ii

3 iii Affected person (AP) / Affected Household (AH) Cut-off date Detailed Measurement Survey (DMS) Inventory of Losses (IOL) Land acquisition Rehabilitation DEFINITION OF TERMS - 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 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 (AH), 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. - 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 assistance or other entitlements, unless they can show proof that they have been inadvertently missed out during the census and the IOL - With the aid of approved detailed engineering drawings, this activity involves finalizing and/or updating the results of the inventory of losses (IOL), severity of impacts, and list of APs carried out earlier in 2008 during RP preparation. The final cost of resettlement is determined following completion of the DMS. - This is the process where all land and fixed assets and sources of income and livelihood inside the Project right-of-way (ROW) are identified, measured, their owners/users of land identified, their exact location pinpointed, and their replacement costs calculated. The severity of impact on the affected assets and the severity of impact on the livelihood and productive capacity of the AP are determined. - Refers to the process whereby an individual, household, firm or private institution is compelled by the government through the Project s Executing Agency to alienate all or part of the land it owns or possesses to the ownership and possession of that agency for public purpose in return for compensation at replacement cost. - This refers to additional support in cash or in-kind provided to APs losing productive assets, incomes, employment or sources of living, to supplement compensation received for acquired assets, in order to achieve, at a minimum, full restoration of living standards and quality of life. For this project, all support will be in-kind. Relocation - This is the physical relocation of an AP from his/her pre-project place of residence and/or business. Replacement Cost Study Severely affected households Vulnerable groups - This involves the conduct of empirical research to determine the amount of compensation needed for an AP to be able to buy a replacement for an asset lost to the Project. This refers to affected households who will (i) lose 10% or more of their total productive land and/or assets, (ii) have to relocate; and/or (iii) lose 10% or more - of their total income sources due to the Project. - These are distinct groups of people who might suffer disproportionately or face the risk of further marginalization due to resettlement and they specifically include: (i) female headed households with dependents, (ii) disabled household heads, (iii) households falling under the generally accepted indicator for poverty, (iv) children and the elderly households who are landless and with no other means of support, (v) landless households, (vi) indigenous people or ethnic minorities. iii

4 CONTENTS Page H1 H1 H1 H2 H3 H3 H4 H6 H7 H8 H8 H8 H10 H12 H12 HI. INTRODUCTION HA. Project Background HB. Route 12 HC. Route 359 HD. Measures to minimize impacts HII. LEGAL AND POLICY FRAMEWORK HA. Applicable national laws on resettlement HB. ADB safeguards policies HC. Gaps between government and ADB policies HIII. PROJECT RESETTLEMENT POLICY HA. Objectives HB. Reconciling government practices and ADB policy on resettlement HC. Entitlements HIV. PROJECT IMPACTS HA. Methodology used in the detailed measurement survey HB. Route HC. Route 12 H H16 H19 H19 H31 H31 H32 H33 H34 H34 H34 H35 H35 H35 H35 H35 H36 H37 H37 H37 H37 H39 H39 HV. GENERAL SOCIO-ECONOMIC PROFILE OF THE AFFECTED HOUSEHOLDS HA. Findings of the 2008 socio-economic survey HB. Summary socio-economic information on AHs identified during the DMS HVI. UPDATING, APPROVAL AND IMPLEMENTATION OF THE RP HA. Establishment of the RCCs HB. Disclosure activities HC. Income restoration HD. Relocation strategy HE. Affected perennial and timber trees HF. Temporary impacts HG. Unforeseen impacts H. Strategy to address gender issues HVII. ORGANIZATIONAL FRAMEWORK HA. Department of Highways HB. Resettlement coordinating committee HC. Project supervision consultants HD. Indicative implementation schedule of the RP HVIII. PUBLIC PARTICIPATION, CONSULTATION AND DISCLOSURE HA. Participatory activities in RP planning and implementation HB. Public Consultations during RP updating HIX. GRIEVANCE REDRESS HA. First HB. Second HC. Third stage H39 stage H39 stage H40 H40 H40 HX. MONITORING AND EVALUATION HXI. COSTS AND BUDGET iv

5 v LIST OF TABLES HTable 1-1 Places Traversed by Project Route H2 HTable 1-2 Places Traversed by Project Route H2 HTable 3-1 Entitlement Matrix... H10 HTable 4-1 Occupied ROW Land Used for Agriculture... H13 HTable 4-2 Number of Affected Main Structures according to Use... H13 HTable 4-3 Floor Area (in m²) of Affected Main Structures by Grade... H14 HTable 4-4 Quantities of Affected Secondary Structures... H14 HTable 4-5 Species and Number of Perennials on Affected Land... H14 HTable 4-6 Number of Timber Trees... H15 HTable 4-7 Summary of Impacts, Route H15 HTable 4-8 Occupied ROW Land Used for Agriculture... H16 HTable 4-9 Number of Affected Main Structures according to Use... H17 HTable 4-10 Floor Area (in m²) of the Affected Main Structures by Grade... H17 HTable 4-11 Species and Number of Perennials on Affected Land... H18 HTable 4-12 Number of Timber Trees per Category... H18 HTable 4-13 Summary of Impacts, Route H18 HTable 5-1 Distribution of Head of AHs by Gender... H20 HTable 5-2 Number of Persons in the Affected Households (AHs)... H20 HTable 5-3 Length of Occupation of ROW... H20 HTable 5-4 Distribution of Head of AHs by Gender, Physical Condition and Age... H21 HTable 5-5 Educational Attainment of Male Head of AHs... H21 HTable 5-6 Educational Attainment of Female Head of AHs... H21 HTable 5-7 Main Source of Livelihood of Male Heads of the AHs... H22 HTable 5-8 Main Source of Livelihood of Female Heads of the AHs... H22 HTable 5-9 Monthly Income of Male-headed AHs (in Baht)... H22 HTable 5-10 Monthly Income of Female-headed AHs (in Baht)... H23 HTable 5-11 Main Source of Potable Water of the AHs... H23 HTable 5-12 Main Source of Water for Washing... H23 HTable 5-13 Toilet Facilities Used by the AHs... H23 HTable 5-14 Bathing Facilities Used by the AHs... H24 HTable 5-15 Garbage Disposal Used by the AHs... H24 HTable 5-16 Main Source of Power for Lighting... H24 HTable 5-17 Household Appliances... H25 HTable 5-18 Ownership of Transportation... H25 HTable 5-19 Ownership of Land outside the ROW... H25 HTable 5-20 Distribution of Head of AHs by Gender... H26 HTable 5-21 Number of Persons in the Affected Households (AHs)... H26 HTable 5-22 Length of Occupation of ROW... H26 HTable 5-23 Distribution of Head of AHs by Gender, Physical Condition and Age... H27 HTable 5-24 Educational Attainment of Male Head of AHs... H27 HTable 5-25 Educational Attainment of Female Head of Ahs... H27 HTable 5-26 Main Source of Livelihood of Male Heads of the AHs... H28 HTable 5-27 Number of Gainfully Employed* Persons in the AHs... H28 HTable 5-28 Monthly Income of Male-headed AHs (in Baht)... H28 HTable 5-29 Monthly Income of Female-headed AHs (in Baht)... H28 HTable 5-30 Main Source of Potable Water of the AHs... H29 HTable 5-31 Main Source of Water for Washing... H29 HTable 5-32 Toilet Facilities Used by the AHs... H29 HTable 5-33 Bathing Facilities Used by the AHs... H29 HTable 5-34 Garbage Disposal Used by the AHs... H30 HTable 5-35 Main Source of Power for Lighting... H30 HTable 5-36 Household Appliances... H30 HTable 5-37 Ownership of Transportation... H30 v

6 HTable 5-38 Ownership of Residential Land outside the ROW... H31 HTable 6-1 RCC of Wattananakhon 1 DOH Sub-district Office, Route H32 HTable 6-2 RCC of Simahaphot DOH Sub-district Office, Route H32 HTable 6-3 RCC of Kao khor DOH Sub-district Office, Route H33 HTable 6-4 RCC of Wang Thong 2 DOH Sub-district Office, Route H33 HTable 7-1 Indicative Schedule of Resettlement Activities... H37 HTable 8-1 Roles and Responsibilities of Key Stakeholders in the RP... H38 HFigure I-1 LIST OF FIGURES Project Location Map... H1 APPENDICES 1 Masterlist of AHs in Route 12 2 Masterlist of AHs in Route Tabulated socio-economic information on newly identified AHs 4 Public Information Leaflet ANNEXES 1 Photographs of the affected assets 2 Pictures and sketch maps of the proposed relocation sites for vendors 3 Scanned registry of participants in the Post-DMS public meetings 4 Photographs of public meetings held vi

7 EXECUTIVE SUMMARY 1. Project background. The government of the Kingdom of Thailand plans to widen Routes 12 and 359 into 4 lanes. This undertaking is part of the over-all Greater Mekong Subregion Highway Expansion Project (or "GMS HEP") which aims to improve the transport infrastructure in the GMS East-West and Southern Corridors. The ROW has already been acquired and has long been established and demarcated starting in 1950s (Route 12) and in 2000 (Route 359). The ROW of Route 12 and Route 359 is 60 m wide (i.e., 30 m each way from the road centerline). The entire ROW of Route 359 and Route 12 will be cleared of all obstructions. 2. Earlier in August 2008, the first resettlement plan (RP) had been prepared based on the results of an inventory of affected fixed assets using a reduced COI. For instance in Route 359, an 11 m wide corridor from the edge of the ROW on the right hand side of the road where 2 new lanes are to be constructed was not included in the survey as this empty space was to be provided for the use of vendors to move back their affected stalls/sheltersf1. In Route 12, on the other hand, the COI in areas with stalls/shelters was reduced to 14 m from the road centerline. 3. While the intention to reduce the COI was laudable at first glance, further consideration by DOH of such measure convinced project authorities that it was not sustainable since it would not address the issue of encroachment in the ROW, and that the presence of obstructions and vendors in the ROW puts pedestrians and motorists alike at risk. 4. This updated RP is based on a detailed measurement survey (DMS) of fixed assets inside the ROW in Route 359 and Route 12. The DMS included assets and affected people and households (APs/AHs) earlier excluded in the inventory of affected fixed assets in Scope of land acquisition and resettlement impacts. The DMS in Route 359 was carried out on October and November 5-9, 2008, while that of Route 12 was done on March 16-31, At least 353 households (about 1,765 persons) will be adversely affected by the highway expansion project. Breakdown of project impacts are provided below. Route 12. Total Number of Households (261). Two Hundred Forty Three stalls/shelters and 5 houses will relocate outside of the ROW, while 13 other houses will only be partially affected. In addition, 41 plots (with an aggregate area of approximately 64, m²), randomly located along the entire route and inside the ROW, will be cleared in the widening of the road. 43 persons farming inside the ROW have been located and interviewed during the DMS. Route 359: Total Number of Households (92). One house, 91 stalls/shelters, 1 government-owned waiting shed, and 1 farm shack will have to relocate outside of the ROW. 133 plots (with an aggregate area of approximately 402, m²), randomly located along the entire route and inside the ROW, have been planted to various food and cash crops, such as rice, cassava, eucalyptus, etc. These plots will be cleared to make way for the construction of 2 new lanes. 41 persons farming inside the ROW have been located and interviewed during the DMS. 6. Legal and policy framework. The Project resettlement policy has been developed taking into account the 2007 Constitution of the Kingdom of Thailand, the Expropriation of Immovable Property Act of B.E (1987), the Highway Act of B.E (1992), and the Highway Act of B.E (2006). It also takes into account ADB s Policy on Involuntary Resettlement and relevant Operations Manual (2006) and other Bank policies that have bearing on resettlement planning and implementation, such as indigenous peoples, gender, public communications, and accountability mechanism. 1 Also referred to as small shops or kiosks. Most of the stalls/shelters have no walls.

8 7. The Project resettlement policy has been formulated in a way that gives recognition to the fact that, while the ROW for most of the entire length of the project roads has been acquired, the Project resettlement policy also gives importance to ensuring that the affected people will be able to continue, with minimal disruption, with their livelihood and that their socio-economic conditions are maintained, if not improved, during road construction. Types of Impacts Impacts on Income (permanent or temporary) Impacts on Houses, Housewith Stalls/Shelters and Stalls/Shelters Impacts on Crops and Trees Rehabilitation Measures DOH will assist by coordinating with the resettlement coordinating committee (RCC) and Tambon Administration Office in finding replacement land for stalls/shelter in a way that will allow for the gradual transfer of business operation to the new site, thereby avoiding any business disruption. Priorities will be given to poor and vulnerable households to choose stalls in the new sites. For farmers, DOH will assist in finding replacement land with similar productive attributes for the farmers to lease. DOH and/or civil works contractor will provide in-kind assistance during the dismantling and transfer of structures and belongings or goods outside the ROW and will provide similar materials for damaged and un-reusable building materials, as necessary. For house owners who will have to relocate, temporary shelter will be provided, as necessary. Affected households will be allowed to harvest annual crops and timber products before start of construction. For the trees that will be transplanted, DOH will provide assistance in balling the trees and transport them for replanting outside of the ROW. Where trees will not be transplanted, types of assistance will be: DOH will coordinate with the concerned department to provide the owner of the trees with saplings which are equivalent to the productive value or age of the trees in that area; and/or coordinate with civil works contractor to purchase the trees and utilize them for the civil works such as landscaping and temporary works, and/or to provide the tree owners in-kind assistance such as leveling their unused land. 8. Ethnicity, vulnerability, and gender issues. There are no ethnic minority households in Route 359. The 2008 RP identified 28 households that were headed by women, 29 poor households, and 16 households that were headed by persons within the retirement age bracket of the Government. During the DMS, the identities of 42 AHs whose assets were also tagged during the 2008 IOL have been determined. 41 of these have cultivated plots inside the ROW, while 1 was a stall/shelter owner. 13 of these newly identified AHs are headed by women. All of them are ethnic Thai. None of the household heads is disabled, while 33 claim to have a household monthly income below the poverty line. 14 of the newly identified household heads are within the retirement age group. 9. In Route 12, the 2008 RP identified 99 households as headed by women; 37 households as living below the poverty line; and 38 households as headed by persons within the retirement age bracket. During the DMS, 63 AHs, some of whom are affected due to the recovery of the entire ROW, have been determined. Forty three of these have cultivated plots inside the ROW, while 19 are stall/shelter owners, and 1 affected by the loss of a garage. 31 of these newly identified AHs are headed by women. All of them are ethnic Thai. None of the household heads is disabled, while 37 claim to have a household monthly income below the poverty line. 10. Additional measures are incorporated in the resettlement plan (RP) to help ensure that poor and other vulnerable AHs are not further disadvantaged and that, along with the other AHs, they will benefit from the Project. Specifically, greater care and attention will be provided to these AHs during the transfer of their stalls/shelters in order to spare them from any additional hardship during displacement. For farmers, It was determined during RP updating that farmers take turn in cultivating paddy land. If during clearing of ROW, farmers are found to be severely ii

9 iii affected (i.e., the loss is equivalent to 10% ore more of their total income capacity, DOH will assist by coordinating with the RCC and Tambon Administration Office in finding replacement land with similar productive attributes for those farmers to lease. 11. Participation and grievance redress. Consultations, public meetings and village discussions with the AHs and the local governments have been done before and after the conduct of the IOL in 2008 and during and after the DMS in2009 as part of the resettlement planning process. These activities will continue during the implementation of the RP, consistent with the Project s participatory approach. A grievance redress mechanism has been designed to ensure that the concerns and complaints of the AHs are readily addressed at the village level in a timely and satisfactory manner. The AHs have been made aware of their rights through verbal and written means during resettlement planning and updating, and this will continue even during resettlement implementation. 12. Livelihood restoration. The Department of Highways (DOH), through its Sub-district Offices, will ensure that the livelihood activities of owners of affected houses, house-withstalls/shelters and independent stalls/shelters are not disrupted. A resettlement coordinating committee (RCC), composed of representatives from the DOH sub-district, the local government (Tambon or municipality), and the AHs (most of whom are stall/shelter owners) has been set up following completion of the DMS in each sub-district in the 2 routes. The RCC will serve as the main vehicle through which the AHs could actively participate in looking for a place outside of the ROW for them to continue operating their roadside livelihood. The RCC will also help ensure that AHs are updated on the project and that they are informed about the start of civil works in a specific section at least 3 months in advance. 13. The stalls/shelters owners will be assisted in gradually dismantling/re-organizing or setting up their stalls/shelters in a way that will allow them to gradually phase out their operation in their old place and gradually begin their operation in their new place. Under this arrangement, the stall/shelter owners, whose business caters to road users, will not experience any stoppage in their operation. Therefore, the livelihood of these stall/shelter owners will not be severely affected by the road widening Project. For households with farms inside the COI, the Project will ensure that they will be able to harvest their crops prior to construction. It has been determined during the DMS tht none of these farming AHs will be affected by the loss of 10% or more of their source of livelihood or income. 14. DOH and/or civil works contractor will provide in-kind assistance in dismantling and transfer of all affected structures, including the preparation of replacement market sites where displaced stall/shelters could transfer. All standing annual crops, including perennial and timber trees, will be allowed to be harvested or cut before the start of civil works in a particular section of the project road. Young perennial trees will be balled and transferred by the civil works contractor to the affected person s own land. Where trees will not be transplanted, DOH will coordinate with the concerned department to provide the owner of the trees cut with saplings before which are equivalent to the productive value or age of the trees in that area; and/or coordinate with civil works contractor to purchase the trees and utilize them for the civil works such as landscaping and temporary works, and/or to provide the tree owners in-kind assistance such as leveling their unused land. 15. Implementation arrangements. The DOH, through its Project Management Office (PMO), is overall responsible for planning and implementing all aspects of resettlement. The DOH sub-district offices, with assistance from TA consultants, spearheaded the updating of the RP. The DOH sub-district offices will continue this lead role during RP implementation. To facilitate systematic relocation of stalls/shelters and houses, including the harvesting of annual crops and perennial trees, a resettlement coordinating committee (RCC) has been set up in the area of operation of each DOH sub-district office following completion of the DMS. The RCC is made up of representatives from the DOH sub-district, the local government, and the AHs. The project supervision consultants and the civil works contractors will also be represented in the RCC after they have been selected and mobilized. The project supervision consultants will iii

10 continue to assist the PMO and the DOH sub-district offices during the implementation of the RP to ensure that social safeguard measures laid out in the RP are complied with. These consultants will provide needed training and capacity-building inputs on a full-time basis. For this purpose, the consultants will have its own social development/resettlement team, composed of one international social development/resettlement specialist, one domestic resettlement specialist, and one domestic gender specialist working on an intermittent basis 16. Monitoring, RP budget and implementation schedule. The DOH, through its Project Management Office (PMO) will be overall responsible for internal monitoring of resettlement activities. Progress reports will be submitted to ADB and the DOH on a quarterly basis. All social monitoring reports will be uploaded on the ADB website. 17. The cost for in-kind assistance/restoration measures for the two roads is estimated at THB 34,157,210 (approximately US$ 1,004,623). This amount includes the costs of dismantling and transfer of affected stalls/shelters and houses, transporting totally affected stalls/shelters and houses to their new sites, preparation of new sites for the stalls/shelters, operational/administrative expenses, and contingencies. It is understood that all assistance will be in-kind and that no cash assistance will be provided to the AHs. DOH will ensure the timely availability of funds for resettlement, including unforeseen costs in excess of resettlement budget estimates in order to satisfy the Project resettlement objectives. 18. The schedule of civil works in a particular segment of each road will be planned out with the direct participation of the resettlement coordinating committee to ensure that construction works are synchronized with the relocation of affected structures and the harvesting of crops and trees. DOH will not allow construction activities in a specific segment to commence until the AHs have been relocated in accordance with the Project resettlement policy and that the specific segment of the road is free of all encumbrances. Table ES-1: Resettlement Schedule Activities Schedule RP Preparation May August 2008 ADB Approval of Draft RP September 2008 RP Updating March June 2009 Distribution of Public Information Leaflets to APs & Submission to ADB July 2009 ADB approval of updated RP July 2009 Implementation of the approved updated RP July 2009 March Public Meetings on Final Implementation Schedule July December Identification of Relocation Sites for Houses and Stalls/shelters July December Identification of owners of crops and trees July December Identification of poor, vulnerable and severely affected HHs July December Relocation of houses and stalls/shelters, cutting/balling of trees August 2009-March Provision of assistance to poor, vulnerable and severely affected HHs August 2009-March 2010 Internal Monitoring (Submission of Quarterly Progress Reports) July Grievance Redress July Disclosure of resettlement planning and monitoring documents. The salient points of the updated RP will be disclosed to the AHs with the distribution of information leaflets written in Thai in early July Similarly, a summary version of the updated RP written in Thai will be placed in district and sub-district offices of DOH in early July Also, the updated RP will be uploaded on the ADB website. iv

11 I. INTRODUCTION A. Project Background 1. The government of the Kingdom of Thailand plans to improve the East-West and Southern Corridors, approximately 105 km section of Route 12 (Phitsanulok - Lom Sak) and approximately 73 km long section of Route 359. The Department of Highways (DOH) of the Ministry of Transport and Communications (MTC) is the Executing Agency. 2. This resettlement plan (RP) contains the measures to be carried out by DOH to avoid and/or minimize impacts on the affected people and households (APs/AHs), particularly on their sources of livelihood, and for the purpose of improving or at least restoring their standards of living to pre-project level consistent with ADB s Social Safeguards Policy on Involuntary Resettlement (1995), Operations Manual F2/BP (September 2006), Indigenous People (1998), and Operations Manual F3/BP (September 2006). Figure I-1 Project Location Map B. Route Route 12 crosses the provinces of Phitsanulok and Phetchabun. The acquisition of the right-of-way (ROW) of the route and the construction of the present 2-lane road were carried out in the 1950s. For the Project, about 105 km of Route 12 will be widened and improved, starting from STA in the local government district of Wang-Thong, subdistrict of Wang-Thong, and ending at STA in the local government district of Lom- Sak, sub-district of Nong-Kwai. (See Figure 1-1 for a location map of Route 12). 4. The DOH sub-district office of Wang Thong 2, under the DOH district office of Phitsanulok 2, maintains the section of Route 12 starting from STA (local government sub-district of Wang-Thong) up to STA (local government sub-district of Hua-Hia, district of Nakhon-Thai), or for a total length of about 71 km. On the other hand, the DOH sub-district office of Kao Khor 2 (Kamp Son) of the DOH district office of Phetchabun 1 maintains the remaining section of Route 12, starting from the local government sub-district of Kheg-Noi, district of Khao-Khor, to the local government sub-district of Nong-Kwai, district of Lom-Sak at STA , or for a total length of about 34 km. (See Table 1-1 for the places traversed by Project Route 12). 5. Detailed engineering designs for the Project route have yet to be finalized. However, all proposed facilities will be located within the existing 60 m ROW. The existing asphalt concrete carriageway will either be partially retained or completely replaced, depending on 1

12 the specific physical conditions in a particular section, such as topography and grade. What is envisaged is a 4-lane highway; 2 lanes going east and the other 2 going west, divided by a median of 10 m or less, depending on the physical condition in a particular segment. The standard width of each lane is 3.5 m. Table 1-1 Places Traversed by Project Route 12 Political Subdivision Province District Sub-district Station DOH Division of Area of Responsibility District Office Sub-district Office Phitsanulok Wang-Thong Wang-Thong Phitsanulok 2 Wang Thong 2 Chai-Nam Wang-Nok-an Khaeng-Sopa Nakhon-Thai Banyang Hua-Hia Phetchabun Khao-Khor Kheg-Noi Phetchabun 1 Khamp-Son C. Route 359 Lom-Sak Nam-Chun Nong-Kwai Kao Khor 2 (Kamp Son) 6. Route 359 crosses 3 provinces, starting from Chachoengsao, then Prachin Buri, before ending at Sa Kaeo. Route 359 starts at the existing two-lane portion of the project road approximately 100 m east of Route 304 and ends at the end of the existing two-lane portion of the project road approximately 75 meters west of Route 33. Route 359 is a relatively new road, the construction of which started in DOH through a Royal Decree in 2000 expropriated all land and immovable assets inside the 60 m ROW corridor. 7. The DOH sub-district office of Simahaphot, under the DOH district office of Prachin Buri, maintains the section of Route 359 starting from the local government sub-district of Khao Hin Son (Chachoengsao province) to the local government sub-district of Wangthachang, district of Kabin Buri in the province of Prachin Buri, or approximately 45 km in length. On the other hand, the DOH sub-district office of Wattanakhon 1 of the DOH district office of Sa Kaeo maintains the remaining section of Route 359, starting from the local government sub-district of Sala Lam Duan to the local government sub-district of Tha Kasem, both in the local government district of Muang Sa Kaeo, province of Sa Kaeo, or for a length of about 28 km. (See Table 1-2 for the places traversed by Project Route 359). 8. Detailed engineering designs of Route 359 have yet to be finalized. What is being planned, however, is the construction of 2 additional lanes on the right hand side of the 60 m ROW, parallel to the existing two-way traffic road and separated by a 10 m median. Once finished, the existing road will be a one-way route to Sa Kaeo, while traffic in the new 2-lane road will take the opposite direction. As in the existing 2-lane road, the carriageway of the additional 2 new lanes will be 7.0 m (or 3.5 m each lane), a sealed inner shoulder of 1.5 m, and a sealed outer shoulder of 2.5 m. Table 1-2 Places Traversed by Project Route 359 Political Subdivision DOH Division of Area of Station Responsibility Province District Sub-district District Office Sub-district Office Chachoengsao Phnomsarakham Khao Hin Son Prachin Buri Simahaphot Prachin Buri Srimahosoit Khok Thai Nong-Prong Srimahaphote Srimahaphote

13 Political Subdivision DOH Division of Area of Station Responsibility Province District Sub-district District Office Sub-district Office Krok Sombun Krok Sombun Lat Ta Kiean Kabin Buri Wang-Khu Khao Mai Kaeo Yan Ri Wang Ta Kiean Wangthachang Sa Kaeo Muang Sa Kaeo Sala Lam Duan Sa Kaeo Wattanakhon 1 Sra Kwan Tha Kasem D. Measures to minimize impacts 9. Construction works in the 2 routes will be done segment by segment to allow the RCC and the AHs, particularly stall/shelterf 1 owners, sufficient time to find and develop relocation market sites outside of the ROW for the affected stalls/shelters, and for these AHs to gradually transfer their business operation in the new sites with minimal or no stoppage in their commercial activities. Similarly, all standing annual crops, including privately-owned trees, will be allowed to be harvested before the start of civil works in a particular segment of the project roads. 10. The AHs and local government officials have been advised during public meetings held in July 2008 and in April 2009 not to introduce new immovable structures within the ROW and/or widen and further develop structures that have already been documented during the inventory of losses. The AHs and local government officials will be reminded about this matter through the RCC and through continuing consultations. II. LEGAL AND POLICY FRAMEWORK 11. The Kingdom of Thailand has no national policy on resettlement that could readily be applied to help people, regardless of tenure status, displaced by government development projects from homes, assets, and livelihood, be able to restore their standard of living to preproject level. However, there are known instances where government passed a law in 1963 for irrigation and power development projects; or when government agencies, such as the Royal Irrigation Department (RID); Royal Forestry Department (RFD); War Veterans Organization of Thailand (WVOT); and Electricity Generating Authority of Thailand (EGAT), have adopted their respective resettlement policies on a project-to-project basis by way of a Cabinet resolution. 12. In 2005 for the Lam Pao Reservoir Improvement Project in Kalasin Province, and in 2007 for the of Khao Rakam Reservoir Storage Project in Trat Province, the RID has provided " อาม ส " (inducement or incentive) to informal settlers on State land for them to demolish their dwellings and move out of the project ROW. The Project resettlement policy has been developed taking note of the aforementioned. 13. Notwithstanding, the principal legal instruments that presently have bearing on resettlement in the GMS Highway Expansion Project are the country s 2007 Constitution, the Expropriation of Immovable Property Act of B.E (1987), the Highway Act of B.E (1992), and the Highway Act of B.E (2006). 1 There are small shops/kiosks. Most of the stalls/shelters have no walls. 3

14 A. Applicable national laws on resettlement 1. The 2007 Constitution 14. Section 41 of the 2007 Constitution of the Kingdom of Thailand guarantees the right of a person to own, inherit, or sell properties. Relatedly, Section 42 mandates that the expropriation of immovable properties may only be done through the enactment of a law (Royal Decree) for public purpose, such as national defense; exploitation of national resource; town and country planning; promotion and preservation of the quality of the environment; agricultural or industrial development; land reform; conservation of ancient monuments and historic sites; or other public interests. However, Section 42 requires fair compensation to be paid in due course to the affected owner, including other persons who have rights to the affected properties. The amount of compensation for the expropriated property shall be fairly assessed with due regard to the normal market price, mode of acquisition, condition and location of the immovable property, loss of the person whose property or right thereto is expropriated, and benefits that the State and the person whose property or right thereto is expropriated may receive from the use of the expropriated property. Section 42 further provides that if the expropriated properties are not used for the purpose they have been acquired by the government within the stipulated period, ownership over the same will revert back to their original owners or to their heir. 15. Sections 56 to 58 of the 2007 Constitution are devoted to the right of citizens to have access to public information, unless the disclosure of such information would compromise State security, public safety, and the interests of other persons as provided by law. Section 57 clearly accords citizen the right to receive information, explanation and justification from a government agency, State agency, State enterprise or local government organization before permission is given for the operation of any project or activity which may affect the quality of the environment, health and sanitary conditions, the quality of life or any other material interest concerning him or a local community and shall have the right to express his opinions on such matters to the concerned agencies for their consideration. For this purpose, the government shall hold public consultations before the execution of development plans, the expropriation of immovable property, the making of town and country planning, the determination of land use, and the enactment of rule which may affect (the) interest of the public. 16. Section 59, on the other hand, grants a citizen the right to petition the decision of government and to be informed of the outcome of said petition within an appropriate time. 2. Expropriation of Immovable Property Act of B.E (1987) 17. The EIP vests government the power to expropriate land for public purpose. Consistent with the law s title, the EIP is basically applicable to land and immovable improvements thereat that are covered with title or legally recognized possessory rights. In other words, the EIP is not for informal settlers. Provisions of the EIP which are particularly relevant to road projects are provided below. a. Article 6. A Royal Decree will be issued identifying the properties to be expropriated. b. Article 7. The Royal Decree will be posted in various public places for the general information of the people. c. Article 9. After completion of the assessment of the assets to be expropriated, the Minister who initiated the expropriation as mentioned in the Royal Decree will set up the Preliminary Compensation Setting Committee (PCSC) that is tasked to determine the amount of compensation for the affected properties. 4

15 Members of the PCSC will come from the ministry initiating the expropriation proceedings, the Department of Land (DOL), a representative from another government agency, and a representative from the local government. d. Article 10. Authority is given to an officer from the Ministry initiating the expropriation proceedings to negotiate with the property owners, to buy and to sell the properties to be expropriated. e. Article 25 grants the property owner 60 days upon receipt of the notice to collect compensation from the Ministry the opportunity to appeal directly to the Ministry if said property owner is not satisfied with the proffered compensation. The Ministry in turn has 60 days within which to act on the appeal. f. Article 26 grants the property owner the right to bring his/her case before a court of law if he/she is not satisfied with the action taken by the Ministry. g. Section 21 provides the criteria within which the PCSC will calculate the compensation for the expropriated properties, thus: Market price of the immovable property at the time the Royal Decree has been issued. Assessed value of the property (for local tax purposes). Assessed value of the property when registering for title. Location and attributes of the property. Reason for the expropriation. Damages to be incurred by the property owner when relocating as a consequence of the expropriation. h. Section 22 provides that if the property has not been utilized by its owner, the amount to be offered by the PCSC for the property could be lower than what it would normally fetch on the basis of the aforementioned criteria but it should not be lower than the amount paid by the owner when he/she acquired the same. i. Section 24 mandates that land prices cannot be jacked up at a level beyond what the affected properties would normally fetch before the Royal Decree is announced so as to forestall profiteering. 18. For its part, DOH in 1992 issued a regulation on land acquisition whereby prior to the enactment of a Royal Decree for expropriation, the department would already negotiate with property owners. The agreed amount of compensation cannot be renegotiated by the property owner when the Royal Decree is later announced. 19. The EIP does not exempt property owners from paying transfer fees and taxes for expropriated assets. 3. Highway Act of 1992 and Highway Act of The Highway Act of 1992 and Highway Act of 2006, which amended some sections of the former, provide a wide range of power to the Department of Highways relative to the determination of the road ROW, and the preservation and use of the same. While both Highway Acts grant the Director of the DOH the power to remove or demolish any obstructions or structures built inside the ROW without permission from the department, these laws (Section 37 of Highway Acts of 1992, and Section 47 of Highway Act of 2006) also provide the DOH the authority to allow the use of the ROW based on conditions, 5

16 including payment of fees, to be set by the Director. The permission, however, may be revoked at any time and the structures in the ROW will have to be removed at no cost to the government. B. ADB safeguards policies 21. The aim of ADB Policy on Involuntary Resettlement is to avoid or minimize the impacts on people, households, businesses and others affected by the acquisition of land and other assets, including livelihood and income, for projects assisted by the Bank. Where resettlement is not avoidable, the overall goal of the ADB policy is to help restore the living standards of the AHs to at least their pre-project levels through the provision of compensation at replacement cost for lost assets, including other forms of assistance, as needed. 22. The main objectives and principles of ADB s policy on involuntary resettlement are as follows: a. Involuntary resettlement should be avoided where feasible. b. Where population displacement is unavoidable, it should be minimized by exploring all viable project options. c. All compensation is based on the principle of replacement cost. d. Each involuntary resettlement is conceived and executed as part of project or program development. e. Affected persons (APs) should be fully informed and consulted on compensation and/or resettlement options. f. Institutions of the APs, and, where relevant, of their hosts, are to be protected and supported. APs are to be assisted to integrate economically and socially into host communities so that adverse impacts on the host communities are minimized and social harmony is promoted. g. The absence of a formal legal title to land is not a bar to ADB policy on entitlements. h. APs people are to be identified and recorded as early as possible in order to establish their eligibility through a population record or census that serves as an eligibility cut-off date, preferably at the project identification stage, to prevent a subsequent influx of encroachers or others who wish to take advance of such benefits. i. Particular attention must be paid to the needs of the poorest AHs and other vulnerable groups that are at high risk of impoverishment. This may include AHs without legal title to land or other assets, households headed by women, the elderly or disabled, and ethnic minority peoples. Appropriate assistance must be provided to help them improve their socioeconomic status. j. The full costs of resettlement and compensation should be included in the calculation of project costs and benefits. k. Relocation and rehabilitation may be considered for inclusion in ADB loan financing for the project, if requested, to assure the timely availability of required resources and to ensure compliance with involuntary resettlement procedures during implementation. 23. ADB s Policy on Indigenous Peoples defines indigenous peoples as those with a social or cultural identity distinct from the dominant or mainstream society. "Indigenous 6

17 peoples" is a generic concept that includes cultural minorities, ethnic minorities, indigenous cultural communities, tribal people, natives, and aboriginals. The Policy recognizes the potential vulnerability of ethnic minorities in the development process; that ethnic minorities must be afforded opportunities to participate in and benefit from development equally with other segments of society; and, have a role and be able to participate in the design of development undertakings that affect them. 24. The policy on indigenous peoples is designed to promote the participation of indigenous peoples in project preparation and implementation, to ensure that they benefit from development undertakings that affect them, and to provide effective safeguards against any adverse impacts. In any ADB involvement, the approaches to be used are as follows: (i) to achieve the greatest possible reduction of poverty among the affected indigenous peoples; (ii) when negative impacts are unavoidable, they should be minimized as much as possible, and appropriate measures will be taken to mitigate the adverse impacts; (iii) in enhancing the benefits of a development undertaking for indigenous peoples or reducing the negative impacts of the same, clear mechanisms for accurate and objective analysis of their circumstances will be prepared; and (iv) the mechanisms for any development undertaking must be transparent and should ensure accountability. 25. ADB s Policy on Gender and Development adopts gender mainstreaming as a key strategy for promoting gender equity, and for ensuring that women participate and that their needs are explicitly addressed in the decision-making process. For projects that have the potential to have substantial gender impacts, a gender plan is prepared to identify strategies to address gender concerns and the involvement of women in the design, implementation and monitoring of the project. 26. Other policies of the ADB that have bearing on resettlement planning and implementation are the (i) Public Communications Policy (March 2005) and OM Section L3/BP (September 2005), and (ii) Accountability Mechanism (OM Section L1/BP, dated 29 October 2003). C. Gaps between government and ADB policies 27. Based on the preceding sections, there are clearly big differences between existing laws and government practices and ADB s policies relative to addressing resettlement. The differences lie mainly on the fact that existing national laws and government practices are basically confiscatory in nature, dealing mainly on the power of the State to acquire private properties for the public good and the right of property owners to get fair compensation. On the other hand, ADB s resettlement policy covers both title holders and informal occupants or settlers and is not confined to matters on compensation. Moreover, ADB s resettlement policy puts emphasis on the restoration of livelihood and standards of living of the APs, on the APs opportunity to take part in project design and implementation, and on mechanisms that ensure that APs have the opportunity to have their complaints heard and resolved. 28. Following highlights the key areas in resettlement where major gaps exist between national laws and practices of Thailand, on one hand, and ADB policies, on the other hand. a. Framework: National laws and government practices provide the framework within which government agencies could acquire private properties in pursuit of development projects for the public good, while at the same time ensuring that property owners are paid fair compensation. On the other hand, ADB resettlement policy and related safeguards policies provide the framework within which the standard of living of the APs, regardless of tenure stature, could be restored to pre-project level, and for poor and vulnerable, assistance to improve their socio-economic conditions. 7

18 b. Coverage: With the exception of project-specific Cabinet resolutions addressing resettlement, current national laws and practices are focused on property holders with titles. APs with no titles over the affected properties or assets are not entitled to compensation. However, by way of a Cabinet resolution, affected structures on State land may be compensated in the form of allowances. However, this is rarely resorted to. On the other hand, ADB s resettlement policy covers both titled and non-titled APs for non-land assets. c. Vulnerable Groups. Under national laws and practices vulnerable sectors of the affected population, such as the poor, the disabled, female household heads, ethnic minorities, and the elderly, are not part of the equation in determining compensation and other forms of assistance for displaced people. ADB safeguards policies put great emphasis on these marginal groups of people. d. Compensation for affected assets: The 2007 Constitution and the EIP provide a sound set of criteria for determining the level of compensation for affected immovable assets, such as land. However, affected property owners are obligated to pay taxes and transaction fees, not to mention the fact that depreciation is applied on affected structures. ADB s resettlement policy requires that compensation for affected assets is at replacement cost, meaning, no depreciation and no deductions for transaction fees or taxes. III. PROJECT RESETTLEMENT POLICY 29. Bearing in mind the policy gaps between the Government of Thailand and the ADB, this chapter lays out the purpose, principles, and procedures to be used in the preparation and implementation of the Project, especially for addressing its adverse social impacts. A. Objectives 30. The overall objective of this Resettlement Policy is to help ensure that AHs are not worse off because of the Project; rather, they should be able to maintain or improve their pre-project living standards and income-earning capacity. The Project will also provide an opportunity for the local population to derive benefits from it. Likewise, the Project will serve as an occasion for the local population to participate in its planning and implementation, thereby engendering a sense of ownership over this development undertaking. B. Reconciling government practices and ADB policy on resettlement 31. In pursuit of the above resettlement objectives, the following principles and rehabilitation measures are adopted: a. Impacts on land and other assets, and resettlement of people will be avoided or minimized as much as possible by identifying possible alternative project designs and appropriate social, economic, operational and engineering solutions that have the least adverse impact on the population. b. No site clearing will be done inside the ROW of the 2 routes until and after the RP has been updated and approved both by the DOH and the ADB, and until and after all assistance due to the APs as mandated by this resettlement policy have been given. c. Stalls/shelters owners will be assisted in gradually dismantling and transfer of their stalls/shelters (including goods) in a new location to be identified by the resettlement coordinating committee (RCC) and prepared by DOH outside of 8