Viet Nam: Secondary Cities Development Project. Package TK-02: Dien Bien Phu Road, Tam Ky City, Quang Nam Province

Transcription

1 Resettlement Plan Resettlement Plan Document Stage: Revised Project Number: June 2016 Viet Nam: Secondary Cities Development Project Package TK-02: Dien Bien Phu Road, Tam Ky City, Quang Nam Province Prepared by Provincial People s Committee of Quang Nam. The resettlement plan is a document of the borrower. The views expressed herein do not necessarily represent those of ADB s Board of Directors, Management, or staff, and may be preliminary in nature. In preparing any country program or strategy, financing any project, or by making any designation of or reference to a particular territory or geographic area in this document, the Asian Development Bank does not intend to make any judgments as to the legal or other status of any territory or area.

2 CURRENCY EQUIVALENTS (As of June 2016) Currency Unit = Dong (VND) $1,00 = 22,400 VND 2

3 ABBREVIATIONS ADB Asian Development Bank AEC Agriculture Extension Centre AH/AP affected household/affected person CFLD Center for Land Fund Development CPC City People s Committee DAKURENCO Dak Lak Urban and Environmental Limited Company DARD Department of Agriculture and Rural Development DMS detailed measurement survey DOLISA Department of Labour, War, Invalids and Social Affairs EA executing agency FS feasibility study FHH female-headed household HH household IA implementing agency IOL inventory of losses ISC implementation and support consultant LURC land use right certificate PC People s Committee PMU project management unit PPC Province People s Committee RCS replacement cost study ROW right-of-way RP resettlement plan SCDP secondary cities development project VND Vietnamese dong VTC Vocational Training Centre WU Women s Union 3

4 Affected (APs) persons GLOSSARY - 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 (e.g., residential, commercial, agricultural, and/or grazing land), water resources or any other 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 physical displacement. Compensation - This is payment given in cash or in kind to affected persons (APs) at replacement cost or at current market value for assets and income sources acquired or adversely affected by the project. Cut-off Date - Date prior to which the occupation or use of the project area makes a person, household or entity eligible to receive compensation and assistance under the Project. 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 DMS; or (ii) they have lawfully acquired the affected assets following completion of the census and the DMS and after the conduct of the detailed measurement survey (DMS). For this project, 10 May 2015 is considered as the cut-off date. Detailed Measurement Survey (DMS) - Finalization and/or validation of the results of the inventory of losses (IOL), severity of impacts, and list of APs. The final cost of resettlement can be determined following completion of the DMS. Entitlements - Refers to a range of measures, such as compensation in cash or in kind, income restoration support, transfer assistance, relocation support, etc., which are provided to the APs depending on the type and severity of their losses to restore their economic and social base. Land Acquisition - Process whereby any household under the Secondary Cities Development Project, through the Land Fund Development Centre, will alienate all or part of the land it owns or possesses to the ownership and possession of that agency for the project in return for compensation at replacement costs. 4

5 Relocation - Physical relocation of an AP from her/his pre-project place of residence and/or business. Replacement cost - Means the amount in cash or in kind needed to replace an asset in its existing condition, without deduction of transaction costs or depreciation and salvageable materials, at prevailing current market value at the time of compensation payment. Resettlement - Refers to various measures provided to DPs or AHs to mitigate any and all adverse social impacts of the project, including compensation, relocation, and rehabilitation as needed. Severely Households affected - This refers to AHs who will (i) lose 10% or more of their total productive assets, and/or (ii) have to relocate, and/or (iii) lose 10% 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 due to the project and specifically include: (i) female-headed households with dependents, (ii) household heads with disabilities, (iii) households falling under the generally accepted indicator for poverty, (iv) elderly households who are landless and with no other means of support, (v) landless households, (vi) severely affected ethnic minorities. NOTEs: (i) The fiscal year (FY) of the Government of Viet Nam ends on 31 December. FY before a calendar year denotes the year in which the fiscal year ends, e.g., FY2015 ends on December (ii) In this report, "$" refers to US dollars. (iii) This resettlement plan is a document of the borrower. The views expressed herein do not necessarily represent those of ADB's Board of Directors, Management, or staff, and may be preliminary in nature. 5

6 Contents 1. DESCRIPTION OF THE PROJECT General Sub-Components in Tam Ky City The objectives of the resettlement plan Measures taken to Minimize Negative Impacts SCOPE OF LAND ACQUISITION AND RESETTLEMENT Households affected Land Acquisition Affected Houses Affected Secondary Structures Affected Crops and Trees Affected Business Impact on public property Impact on heritage/cultural heritage and conservation areas SOCIOECONOMIC SURVEY Socio-economic information in Project Area Demographics Poverty Education Source of Income Households Assets Water, Sanitation and Source of Energy Members of Organizations Involvement in Economic Activities The socioeconomic conditions of six ward in the subproject area Socio - economic status of affected households Ethnicity Education levels Occupation Income Poverty Gender issues Female Headed Households Support from Women s Union INFORMATION, CONSULTATION AND PUBLIC DISCLOSURE Information Disclosure Information dissemination and consultation during RP preparation Information dissemination and consultation during RP update Public consultation Meetings with Local Authorities Consultation with Affected HHs 31 6

7 5. GRIEVANCE REDRESS POLICY AND LEGAL FRAMEWORK FOR RESETTLEMENT Relevant Vietnamese Legislation Quang Nam province Decisions on land acquisition, compensation and resettlement in the province ADB social Safeguards Policy and Requirements Project Principles Eligibility Policy Resettlement Framework Reconciliation of Government and ADB Policy on Resettlement ENTITLEMENTS, ASSISTANCE AND BENEFITS 41 Entitlement Matrix RELOCATION Relocation Options Resettlement Sites INCOME RESTORATION Need for an Income Restoration Program Agriculture Program Training Small scale business/service Access to credit Budget for implementation of IRP RESETTLEMENT BUDGET Budget flow Replacement cost survey Resettlement cost INSTITUTIONAL ARRANGEMENT Provincial People s Committee of Quang Nam Province Tam Ky City People s Committee Project Management Unit (PMU) Centre for Land Fund Development of Tam Ky City Local Administrative Authorities (District, Communes/Ward) Local Mass Organizations Implementation Support Consultants IMPLEMENTATION SCHEDULE MONITORING AND REPORTING Internal Monitoring External Monitoring and Evaluation 63 7

8 List of figure FIGURE 3-1: LEVEL OF EDUCATION OF HOUSEHOLD HEAD FIGURE 3-2: SANITATION FIGURE 3-3: MEMBER OF ORGANIZATIONS FIGURE 3-4. THE EDUCATION LEVELS OF HOUSEHOLDERS FIGURE 3.5. THE OCCUPATION OF AFFECTED HOUSEHOLDERS FIGURE 3.6. THE MAIN INCOME OF AFFECTED HOUSEHOLDS FIGURE 5-1: GRIEVANCE REDRESS PROCESS IN TAM KY CITY FIGURE 8-1: LOCATION OF TAM KY CITY RESETTLEMENT SITES

9 List of table TABLE 2.1. CLASSIFICATION OF HOUSEHOLDS THOSE LOST PRODUCTIVE LAND TABLE 2-2. LAND AFFECTED BY THE COMPONENT TABLE 1-3. AFFECTED AREA OF HOUSES TABLE 2.4: AFFECTED STRUCTURES TABLE 2.5. IMPACT ON TREES AND CROPS TABLE 3-1: POPULATION IN THE PROJECT ARE TABLE 3-2: POVERTY RATES IN THE PROJECT AREA TABLE 3-3: HOUSEHOLD MAIN SOURCE OF INCOME IN THE TWO SUB-COMPONENTS TABLE 3-4: HOUSEHOLD SECONDARY SOURCE OF INCOME IN THE TWO SUB-COMPONENTS TABLE 3-5: AVERAGE MONTHLY HH INCOME TABLE 3-6: ASSETS OF SURVEYED HOUSEHOLDS TABLE 3-7: HOUSEHOLDS MEMBERS RESPONSIBLE FOR PRIMARY SOURCE OF INCOME TABLE 4-1: MEETINGS WITH LOCAL AUTHORITIES TABLE 4-2 PUBLIC CONSULTATION AND INFORMATION TABLE 6-1: GAPS BETWEEN NATIONAL LAWS AND ADB POLICIES AND GAP FILLING MEASURES TABLE 7-1: ENTITLEMENT MATRIX TABLE 8-1: EXISTING RESETTLEMENT SITES IN TAM KY CITY TABLE 9-1: INCOME RESTORATION MEASURES ALREADY INCLUDED IN THE PROJECT RESETTLEMENT POLICY TABLE 9-2: ESTIMATED NUMBER OF IRP BENEFICIARIES TABLE 9-3: ESTIMATED NUMBER OF TYPE OF ACTIVITIES CHOSEN BY HH TABLE THE IMPLEMENTATION COST TABLE 12-1: IMPLEMENTATION SCHEDULE

10 Executive Summary Project description: The Government of the Socialist Republic of Vietnam has received a loan from the Asian Development Bank (ADB) to the cost of the Type-II Cities Development Project. The project will be funded to improve the urban environment through 11 infrastructure subprojects in three type-ii cities in the central region of Vietnam, including Buon Ma Thuot (Dak Lak province), Ha Tinh (Ha Tinh province) and Tam Ky (Quang Nam province). The sub-projects include three components: (i) management of solid waste (SWM) to improve environmental quality; (ii) upgrading of urban roads to improve connectivity and evacuation when disasters appear and (iii) completion of systems of flooding-control dikes, drainage channels, regulating basins and flood control. The Project will be optimized thank to more investment in flood control and drainage infrastructure through the previous project (CRUEIP) of the Asian Development Bank (ADB). The Project aims to develop urban infrastructure and improve environmental sustainability to adapt climate change effects. Among 3 components, two components have land acquisition, including (i) Package TK-01: Ban Thach River Dike; and (ii) Package TK-02: Dien Bien Phu road. Scope of the Resettlement Plan: This resettlement plan is updated for Package TK-02: Strategic Roads Development Dien Bien Phu Road, based on the original RP prepared during the PPTA and endorsed by ADB, approved technical design of package TK-2, results of DMS, public consultations with APs and replacement cost survey. The impact scope of the package: The total affected land area is 167,980.38m2, of which residential land area is 20,234.41m2 (accounting for %) in wards An Phu, Tam Phu, Phước Hoa, and An My; agricultural land area of six wards An Phu, Tam Phu, Phuoc Hoa, An Xuan and An My and Tan Thanh wards is 147,745.97m2 (87.95%), including paddy land of 49,871.35m2 (29.69%); annual crop land of 60,866.13m2 (36.23 %); perennial land of 36,701.59m2 (21.85%); and m2 (0.18%) aquaculture land (pond). In total 619 families and organizations (five organization) affected by the project, 269 households are seriously affected, including 155 families affected houses and relocated, 114 households lost 10% or more of productive land area. Socio-Economic Conditions: Among the 614 AHs, the average family size is 4.33 members for a total affected population of 2,556 people. Agriculture (cropping) is the major employment sector in the road component with 60% of households engaged in agriculture. All AHs are from the Kinh ethnic group; no members of ethnic minorities have been found among the AHs. There are 47 female-headed households, 49 households with elderly and disabled and 10 poor households. Community consultation and information dissemination: Meetings and public consultations were held in each affected commune during the preparation and implementation of the subprojects. These meetings intend to disseminate compensation policies and rehabilitation and support measures. The consultations with the households include the compensation unit prices for affected assets, project plans, announcement of the application results of compensation unit prices, interests and entitlements and explanations to questions and complaints and the grievance redress mechanism. The Project Information Manual (PIB) was delivered to the affected families and their communities. Grievance redress mechanism at 4 levels is set up to address complaints and questions from affected households related to land acquisition, resettlement and compensation as quickly and 10

11 satisfactorily as possible. The families have rights to make any claims to the land acquisition, resettlement, compensation policies, benefits, rates and payment of compensation, strategies and procedures for resettlement as well as other support programs. According to the procedures for complaint settlement, the people's committees of the communes, wards and social institutions play the settlement role at commune level while the district/province people's committees will be responsible for resolving complaints at the district and province levels. The courts will be the final level for the settlement of complaints of the affected households. The grievance redress mechanism will be published to the affected people during public meetings and consultations. The Resettlement Policy Framework: The Project s Policy Framework for Compensation, Support and Resettlement is based on the applicable laws and regulations of the Government of Vietnam on land acquisition, compensation, resettlement, rehabilitation and ADB's policy on involuntary resettlement as defined in ADB s Social Safeguard Policy Statement (SPS-2009). If there is any discrepancy between the regulations of the Government of Vietnam and ADB, the ADB rules, policies and procedures will be applied. The Project s Resettlement Policy Framework is established and approved by the Government of Vietnam and ADB on the principle of ensuring the fair and maximum benefits of affected households on land-use rights as well as especial support for the poor and vulnerable so that they can improve their lives after the compensation and resettlement. The rights and entitlements of the affected people (APs) are presented in the entitlement matrix in the updated resettlement plan and consistent with affected people identified during the detailed measurement survey (DMS). This entitlement matrix will be applied for preparation of compensation plan to ensure the restoration or improvement of APs income and livelihood that are affected by the subproject. Entitlements: The project entitlements adopted are based on ADB SPS 2009 on IR, Government laws, Quang Nam Province People s Committee Decisions on land acquisition, resettlement and assistance. These entitlements were discussed and agreed with AHs during public consultations. All compensation is based on the principle of replacement cost. A qualified appraiser has been engaged by Quang Nam PPC to carry out a replacement cost survey (RCS). Relocation and resettlement: All AHs will be compensated in cash for their affected residential land and affected structures. For 155 relocated AHs, they can opt to relocate in the resettlement sites with basic infrastructure or self-relocation. Income Restoration and Rehabilitation: The AHs will be provided w i t h various types of cash assistance for income and livelihood restoration and life stabilization as per government laws and regulations in addition to payment for affected land and non-land assets. An income restoration program will be prepared which will provide supplemental assistance to severely affected households, enhancing opportunities for them to improve incomes through training and provision of inputs. Institutional Arrangements: Quang Nam PPC is the Executing Agency (EA) for the project. Tam Ky City PMU is the Implementing Agency (IA). At the city level, the Tam Ky City People s Committee, together with relevant line agencies such as the city land fund development center (LFDC) together with local authorities will be responsible for the implementation of the RP. 11

12 Resettlement Budget: The compensation for affected households is based on the replacement cost of affected assets determined by experienced professional specialists. The total budget for the implementation of the resettlement plan is VND 265,169,070,428 VND equivalent to USD12,391,078. This cost includes: (i) The cost of compensation and support for AHs; (ii) The cost of implementation administration and; (iii) contingency cost. The People's Committee of Quang Nam province has a responsibility to provide adequate budget and in time for the payment of compensation. The PMU in combination with the city land fund development center is responsible for the direct payments to affected households. Implementation Schedule: The Project will be implemented over four years. The commencement date was the third quarter of 2013 and the start of construction is expected on the 3 nd quarter of Monitoring and Reporting: Internal Monitoring is the responsibility of PPC through PMU with assistance from the resettlement specialist of the project Implementation Support Consultant (PISC). PMU will submit quarterly monitoring reports to ADB. PMU has engaged an external monitor (EM) to provide an independent periodic review and assessment of (i) achievement of resettlement objectives; (ii) changes in living standards and livelihoods; (iii) restoration of the economic and social base of the affected people; (iv) effectiveness and sustainability of entitlements; and (v) the need for further mitigation measures as required. Semi-annual external monitoring reports will be submitted to ADB and PMU. 12

13 1. DESCRIPTION OF THE PROJECT 1.1 General 1. Developing the secondary cities of Viet Nam is vital to forestalling the spatial and economic disparities that can jeopardize the country s sustained economic growth and attainment of its development aspirations. Three cities have been selected under the Secondary Cities Development Project: Tam Ky (Quang Nam Province), Buon Ma Thuot (Dak Lak Province) and Ha Tinh (Ha Tinh Province). 2. The selected cities are rapidly developing urban areas whose potentials have been constraint by weak infrastructures services. The economy of these cities, though still largely agriculture based, indicates significant potential for newly emerging industries and services. Road development, flood protection and drainage and solid waste management are the three main development orientations under the SCDP. 1.2 Sub-Components in Tam Ky City 3. Tam Ky is the capital of Quang Nam Province. The core driver of economic growth for Tam Ky and the surrounding area is the Chu Lai (SEZ). This is a very large area of some 27,000 ha, including 3,000 ha of industrial land. 4. Disaster management is a real concern for the coastal communities in Tam Ky and in Quang Nam Province, where in the past inadequate storm warning systems and climate resilient escape routes and rescue routes have not been adequate. 5. The existing roads and transport infrastructure are also not sufficiently attractive to make Tam Ky competitive. 6. To answer to the above concerns, flood management and strategic roads development subcomponents have been proposed for Tam Ky City: Flood Management Ban Thach River Dyke Completion and Upgrading Strategic Roads Development Dien Bien Phu Road Strategic Road Development Dien Bien Phu Road The construction of Dien Bien Phu Road is required for the following key reasons: To support Tam Ky planned urban expansion through (a) Residential Development Areas; (b) Chu Lai Special Economic Zone Development; (c) Planned Recreation/Tourism and Cultural Development; To develop a strategic road link from the proposed national expressway to national coastal road (under construction); and To improve disaster management facility by linking Tam Ky urban areas (existing and proposed) to national coastal road; The total length of road is 6.31 km including 3 bridges. It has 3 distinct sections: 13

14 Section 1 from Hung Vuong Road to Bach Dang Road Dyke, 1.06 km located in builtup area within Tam Ky urban area. The total RoW is 60 m width including 2 lanes (each 7.5 m) and 2 sidewalks (10 m each) (see Figure 1.3). Section 2 From the dyke to Le Thanh Ton (Chu Lai SEZ), 2.88 km road through rice fields. The total RoW is 12 m width including 2 lanes (each 2.5 m) and 2 shoulders (2.5 m each). This section includes two bridges: Ban Thach River Bridge (16 m wide with m span) and Ky Phu River Bridge (16m wide with 172.5m span). See Figure 1.4 Section 3a From Chu Lai SEZ to the national coastal road, 2.37 km through rice field.. The total RoW is 12 m width including 1 lane (each 3.5 m) and 2 shoulders (4.25 m each). This section includes one bridge: Canal bridge (12 m with 18 m span) (see Figure 1.4). Figure 1-3: Proposed Sub-Component of Tam Ky City - Dien Bien Phu Road 14

15 Figure 1-4: Typical Cross Section of Dien Bien Phu Road (urban area) Figure 1-5: Dien Bien Phu Road Alignment (rural area) 15

16 1.3. The objectives of the resettlement plan 7. The resettlement plan ensures that the subproject will (i) avoid involuntary resettlement wherever possible; (ii) minimize involuntary resettlement by exploring subproject and design alternatives; (iii) enhance, or at least restore, the livelihoods of all displaced persons in real terms relative to pre-subproject levels; and (iv) improve the standards of living of the displaced poor and other vulnerable groups. 8. This document is derived from the original resettlement plan prepared for the Second Cities Development Project, Quang Nam province in May 2013 and updated for Package TK-02 - Strategic Roads Development Dien Bien Phu Road, based on the approved detailed design for the dike, results of the DMS, replacement cost survey and consultations with APs. 9. This updated RP (urp) is the guiding document that identifies the key issues to address in reconciling the requirements of ADB s SPS 2009 on Involuntary Resettlement with national and provincial government policies on compensation, assistance and resettlement. Concerns for involuntary resettlement have been integrated in this document and will govern subproject design, implementation, and monitoring. 16

17 10. This urp includes the following: (i) Policy and procedural guidelines for land acquisition, compensation, resettlement, and strategies that will help ensure full restoration of the AH s livelihood and standard of living; (ii) Identification of households and communities to be adversely affected by the subproject, where they are located, what compensation and related alleviating measures to be provided to them and how and when these measures will be carried out; (iii) A plan on how AHs will be involved in the various stages of the subproject, including resolution of grievances; and. (iv) An estimate budget for resettlement implementation 11. The resettlement plan is made to minimize negative impacts of sub-projects and ensure mitigation and compensation measures, which will help affected people, recover their living standards at least equal to their condition before the project implementation. To accomplish this, the resettlement plan will achieve the following objectives: Determine project s affected areas and negative impacts on affected people as well as impact scope on their property, economic - cultural and livelihood impacts; Determine affected people s rights and entitlements to the compensation and support based on the replacement cost principle and the requirements of the national laws and the ADB policies; Describe project s procedures for compensation and support policy, including the grievance redress mechanism; and; Describe institutional arrangements and financial requirements to implement plans and monitor the implementation of the resettlement plan. 1.4 Measures taken to Minimize Negative Impacts 12. Local authorities have confirmed that HH located within the road sub-component couldn t build new house or structures within the sub-component area they are part of the approved master plan. However they can improve their existing house. According to local authorities, AHs met are aware of the master plan and of the land use restriction within the subcomponents. This was confirmed by APs during public consultation. Therefore choosing sub-components included in the master plan contributes to minimize resettlement as building new structures were not allowed along these components for the last years. 2. SCOPE OF LAND ACQUISITION AND RESETTLEMENT 13. The DMS collected data on all affected land and assets (structures, trees, crops) as well as affected businesses disaggregated. The census obtained detailed information on livelihoods, household composition, income and education qualifications Households affected 14. The DMS results show that 619 families/organizations in 06 wards of Tam Ky City are affected by the component, including 614 households and five organization (Commune People's Committee). Of 614 AHs, 155 households whose houses are totally affected have to relocate and 154 households lose over 10% of productive land, the remaining AHs are marginally affected. Among 154 households affected by the loss of more than 10% of productive land, 78 households lost 10% to 30%, 43 households lost 30% to 70% and 33 households lost more than 70% of productive land. The details of households those lost the productive land are shown in Table 2.1 as under: 17

18 Table 2.1. Classification of households those lost productive land Rate of lost Number of households productive land An Phú Tam Phú Phước Hòa An Mỹ An Xuan Tân Thạnh Tổng 10-<30% % >70% Relocated HHs Total Source: DMS data 15. The total number of affected inhabitants is 2,656 people. All affected people are Kinh. There are 47 female-headed households, 49 households with elderly and disabled and 10 poor households under the standards of the Labour, Invalids and Social Affairs Land Acquisition 16. The total affected land area is 167,980.38m2, of which residential land is 20,234.41m2 (accounting for %) in wards, An Phu, Tam Phu, Phước Hoa, and An My; agricultural land in six wards An Phu, Tam Phu, Phuoc Hoa, An Xuan, An My and Tan Thanh wards is 147,745.97m2 (87.95%), including paddy land of 49,871.35m2 (29.69%); annual crop land of 60,866.13m2 (36.23 %); perennial land of 36,701.59m2 (21.85%); aquaculture land of m2 (0.18%) (Table 2.2). Table 2-2. Land affected by the component Stt Unit An Phu Tam Phu Phuoc Hoa Quantity An My An Xuan Tan Thạnh Quantity Total Percentage (%) I Residential land m2 2, , , , , II Agricultural land m2 64, , , , , , , Paddy land m2 2 Annual crop land m2 17, , , , , , , , , , Perennial crop land m2 26, , , , , Aquaculture land m Total m2 67, , , , , , Source: DMS data 2.3. Affected Houses 17. There are 155 households to be effected entire houses in four commune/ward. In Tam Phu commune: 10 households; In An Phu ward: 15 households; In Phuoc Hoa ward: 57 households and in An My ward: 73 households. The total affected area of houses is 9,974.91m2, in which 2,862.26m2 is third category houses and 7,112.65m2 is fourth category houses. (Table 2.3). 18

19 Table 1-3. Affected area of houses Com/Ward Unit Grade-3 Grade-4 houses houses Total An Phú m2 0 1, , HHs Tam Phú m HHs Phước Hòa m2 2, , , HHs An Mỹ m , , HHs Total m2 2, , , HHs Source: DMS data House categories are defined as follow: Category 4 houses are single storey solid construction structure (usually made in bricks) Category 3 houses are having two floors firm structure (usually made in steel and concrete) 2.4. Affected Secondary Structures 18. The quantity of affected structures was measured for compensation, including cattle shed, henhouse, temporary awnings, fences, cement floor. There are 94 graves to be relocated, of which 3 tombs are derelict-tombs. The PMU in combination with the local authorities will relocate these derelict-tombs to the graveyard of the city. The figures by types of affected structure are detailed in Table 2.4. Table 2.4: Affected structures No. Types of structure Unit Quantity An Phu Tam Phu Phuoc Hoa An My Total 1 Underground water-tank m Concrete m Brick pier m Tar paper/metal/tile attic m , Livestock pen m Concrete road m Brick fence md , Barbed wire fence m Cement ground m2 1, , , Well Cái Excavated soil m Tomb Cái Toalet m Source: DMS data 19

20 2.5. Affected Crops and Trees 19. There are many kinds of plants and crops to be affected, however, the PMU has early informed APs about land acquisition plan so that they do not cultivate on the land to be acquired. However, the PPC decides to compensate for one rice season of AHs although they do not cultivate. There are 5,984 fruit trees, 6,798 timber trees and 1,095 decorative plants of all types to be affected. In addition, there are other types of plants as medicinal plants, industrial trees... The details are in Table 2.5. No. Types of trees and crops Unit Table 2.5. Impact on trees and crops An Phú Tam Phú I Rice m2 17, , Quantity Phước Hòa An Mỹ An Xuân Tân Thạnh 8, Total 37, II Crops m2 16, , , , III Plants 1 Fruit trees tree 4, , Timber trees tree 4, , , Decorative tree , plants 4 Industry tree tree , , Medicinal plants m Fruit trees tree 3, , , Water spinach m2 5, ,724.1 Source: DMS data 2.6. Affected Business businesses will be affected by the project. Most of them (28) are small and medium retail businesses (mainly small family business located in the main house selling various types of food and drinks). One business is a service (hairdresser). All of these businesses are registered.. Most of them could move back on their remaining viable land Impact on public property 21. The component will affect 410 m2 concrete road under the management of Tanm Phu Commune People s Committee Impact on heritage/cultural heritage and conservation areas 22. The component does not affect the historical, cultural heritages and nature conservation areas, biosphere reserves, protection forests Legal status of land use right of affected households 23. The inventory results show that 155 relocated households have been granted land use right certificate (LURC) whereas 459 households affected productive land have no LURC but they are legalizable for their land so that they will be compensated for the affected land according to the land law. 24. The entitlements to compensation and allowance will be based on legal status of land use right to ensure justice in compensation. The details of policy and entitlements to compensation and assistance are presented in Table 7.1 (Table 7-1: Entitlement Matrix). 20

21 3. SOCIOECONOMIC SURVEY 25. The overall socio-economic situation survey has been implemented for both 02 subcomponents (i) Complete and upgrade Ban Thach river embankment system and (ii) Construct strategic road Dien Bien Phu Street. The socio-economic data of subproject s updated RP are presented in article Socio-economic information in Project Area 26. A socioeconomic survey (SES) was conducted from February to March 2013 among the three sub-components. The socio-economic survey (SES) collected data on household living conditions on a sample of 25.3% of the affected household population (220 HHs surveyed among the 869 AHs). The results of the SES provide baseline against some indicators to measure changes of living standards post resettlement. The summarized results are presented in the following tables. 27. The two sub-components traverse 3 wards (An My, Phuoc Hoa and Tam Thanh) in the urban area of Tam Ky city and two communes (Tam Thanh and Tam Phu) located in rural area of Tam Ky city. We should note that the current land use along the sub-components is mainly under agriculture except for the first section of the Dien Bien Phu Road located in a densely populated area Demographics 28. Tam Ky city is the capital of Quang Nam Province in the Central Coastal area of Viet Nam. The recorded population in 2015 was some 148,000 persons. Three of the urban wards affected are densely populated while An Phu ward, located on the north side of the River and the two rural communes have a much lower density. 29. The core driver of economic growth for Tam Ky and the surrounding area is the Chu Lai (SES) located in Nui Thanh District 20 km from Tam Ky city. This is a very large area of some 27,000 ha, including 3,000 ha of industrial land, which stretches to the border with Thang Binh district in the north-west, with Binh Son district in the south, with Nui Thanh district in the west, and with the sea in the east. The SES was established in 2003 (and the majority of the early development has been in the southern portion of the area. Table 3-1: Population in the Project Are Population in 2011 Area(km2) Density (person/km2) Number of HH Average person/hh Tam Ky City 148, ,476 N/A N/A Phuoc Hoa ward 5, ,255 1, An My ward 14, ,843 2, An Xuan ward 10, ,139 2, Tam Phu commune 8, , Phường An Phú 7, ,155 2, Tan Thanh ward 9, ,740 2, Total 57, ,128 13, Poverty 30. The new poverty line for the multi-dimensional approach period was approved by the Prime Minister (Decision 59/2015/QD-TTg dated November 19, 2015). Under this new standard, defining poverty approach will basing on 02 criteria of income and insufficient level of access to basic social services. 21

22 31. Based on the above criteria for identification of poor households, the communes investigated and made list of poor households. Based on information collected in the project communes, the poverty status of the communes. Families can register as poor families with local government. If being determined as poor households, they will receive books that identify them poor households and they will be entitled to a number of priorities such as paying the lowest fees for certain types of services, especially for health services and health care. Households which are not recognized as poor households are not entitled to the priorities like poor household.based on the above criteria for identification of poor households, the communes investigated and made list of poor households. Based on information collected in the project communes, the poverty status of the communes. Families can register as poor families with local government. If being determined as poor households, they will receive books that identify them poor households and they will be entitled to a number of priorities such as paying the lowest fees for certain types of services, especially for health services and health care. Households which are not recognized as poor households are not entitled to the priorities like poor household. 32. Based on the above definition of poverty, households can apply to register as poor with the local authorities. If successful in their application, they receive a registration card that entitles them to a range of benefits including lower fees for services and reduced cost health care. Households just above the poverty line are not eligible for these benefits. 33. Poverty rates, within the project area, are significantly lower to averages in the North Central and South Coast region, in Quang Nam Province and national average. In 2010 the poverty rate for Tam Ky City was significantly below the average for the Quang Nam Province (7.93% versus 24.0%) and the North Central and South Coast region (7.93% versus 20.4%). For Viet Nam the poverty rate was 14.2 (6.9% in urban area and 17.4% in rural area) 34. In 2012, the urban wards An My and Phuoc Hoa, located in the city centre, with respectively 3.29% and 4.27% of poor HH have significant lower poverty rate than Tam Ky City (7.93). An Phu ward, Tam Thanh and Tam Phu communes, located in rural area of Tam Ky City, with respectively 9.70%, 13.40% and 13.15%) have however higher poverty rate. Table 3-2: Poverty Rates in the Project Area Poverty rate 2008 Poverty rate 2012 Poverty rate 2014 Quang Nam Province 19.60% 24.0%* 12.10% Tam Ky City 8.49% 7.93%* 2.02% An My ward 3.29% 0.96% Phuoc Hoa ward 4.27% 1.21% An Phu ward 9.70% 2.34% An Xuan ward 0.99% Tan Thanh ward 13.40% 0.66% Hoa Huong ward 1.50% Tam Phu commune 13.15% 4.30% North Central & South Coast Area 19.20% 20.4%* 12.20% Total Viet Nam %* 6.00% Viet Nam Urban 6.70% 6.9%* Viet Nam Rural 16.10% 17.4%* * Source, Viet Nam Living Standards Survey 2010 based on Government s poverty lines for period DOLISA and Statistical Year Book Tam Ky City

23 Education 35. In the two sub-components, most of the AHs surveyed have reached lower or upper secondary. Slightly lower education level is found in the Ban Thach River dykes subcomponent, while HH affected by the Dien Bien Phu Road, located partially in urbanized area, have higher level of education. 36. Among AHs, women AHs also tend to have lower educational attainment with women represented proportionally more than men in maximum education attainments of primary level and below and men represented proportional more than women in maximum. Figure 3-1: Level of Education of Household Head Source of Income 37. Agriculture is the main occupation of HHs affected by the Ban Thach River Dykes component area with 50% of household members involved in agriculture activities. For AHs along the Dien Bien Phu Road component, located partially in urban area, trading, wages from private and public sector with respectively 27.7%, 17.6% and 16.2% are the main source of income. Table 3-3: Household Main Source of Income in the two Sub-Components Component Ban Thach River Dykes Dien Bien Phu Road Surveyed HH Agriculture Trading Services Wage (privatese ctor) Wage (publicsec tor) Manual daily labor Government Pension HH % HH % HH % HH % HH % HH % HH % HH % ,2 2 2, , ,5 3 3,9 2 2, , ,7 13 8, , , ,1 4 2,7 Total , ,4 15 6, , ,6 18 8,0 6 2,7 38. Agriculture is the secondary source of income of the AHs in both sub-components (34.8%) who are working in public and private sectors. Trading, services and wages from both private and public sectors also constitute an important third source of income. 23

24 Table 3-4: Household Secondary Source of Income in the two Sub-Components Component Ban Thach River Dykes Dien Bien Phu Road Surveyed HH Agriculture Trading Services Wage (private sector) Wage (public sector) Manual daily labor Other HH % HH % HH % HH % HH % HH % HH % HH % , ,7 5 6, ,37 1 1,3 5 6,6 4 5, , , , ,59 1 0,7 6 4,1 12 8,1 Total , , , ,54 2 0,9 11 4,9 16 7,1 39. Average monthly income of HH in both components from the main source and all sources is shown in table 3-5. Table 3-5: Average Monthly HH Income Component Surveyed HH Monthly HH Income Main source All source Poverty lane in urban area (family of 4.5 members Ban Thach River Dykes 76 3, 650,000 5,251,842 Dien Bien Phu Road 148 4,086,149 6,021,486 2,250, Households Assets 40. In terms of household assets, Table 3-6 presents the ownership of various assets of the sample HHs. The survey on asset ownership of affected households showed that, in both sub-components, HHs mainly have the most necessary assets/tools for daily activities. The rate of motorbikes and televisions per household is high (respectively 82.9% and 89.5% for Ban Thach River Dykes and 82.4% and 90.5% for Dien Bien Phu sub-component). 41. Besides, there is not a majority of families in general having assets for a higher quality of life. Only 40.8% of families in Ban Thach River Dykes and 41.9% in Dien Bien Phu subcomponents have a refrigerator and 25.0% and 26.4% respectively have a computer. The rate of local people who can access communication services is high with 89.5% and 91.2% respectively having a mobile phone. Table 3-6: Assets of Surveyed Households Type % Type % Type % Component A (Ban Thach River Dykes) 1- Bicycle 97,4 6-Water Pump 43,4 11- Sewing machine 17,1 2- Motorbike 82,9 7- Rice Cooker Truck 2,6 3- Car 1,3 8- Mobile phone 89,5 13- Generator 23,7 4- TV 89,5 9- Desk Phone 23,7 14 Computer CD/DVD Player 77,6 10- Refrigerator 40,8 Component B (Dien Bien Phu Road) 1- Bicycle 93,9 6-Water Pump 52,7 11- Sewing machine 12,2 2- Motorbike 82,4 7- Rice Cooker Truck 0 3- Car 1,4 8- Mobile phone 91,2 13- Generator 18,9 4- TV 90,5 9- Desk Phone 30,4 14 Computer 26,4 5- CD/DVD Player 84,5 10- Refrigerator 41,9 24

25 Water, Sanitation and Source of Energy 42. The situation is different for each sub-component. Regarding water for drinking and cooking, for HHs affected by the dykes works, most of the water comes from rain water and shallow well. For the HHs affected by the Dien Bien Phu sub-component those located in the urban area have access to piped water from the city network while others use water from well (both shallow and deep well). The quality of water is considered acceptable by all the surveyed HHs. 43. Regarding water for washing and bathing, the situation is also different for each subcomponent. HHs affected by the dykes works use well and water from river while those affected by the Dien Bien Phu sub-component used mainly well and piped water. 44. Regarding sanitation, for the Dien Bien Phu sub-component, most of the HHs have in house toilet, while for the River Dykes sub-component pit latrine, toilet upon river and in house toilet are used. Few HHs have no toilet. Figure 3-2: Sanitation 45. All HHs are connected to the state power network; electricity is used for lighting. Wood and gas are used for cooking in both sub-components Members of Organizations 46. In rural areas, almost all HHs have a member of the Women s Union and/or Farmer s Union. These organizations provide support and counsel to HHs during compensation and income restoration. Some HHs are also members of saving groups and cooperatives. Figure 3-3: Member of Organizations 25

26 Involvement in Economic Activities 47. Among the surveyed HHs, both household head and spouse are the main responsible for the HH main source of income. Adult children also contribute to the HH income together with their parents. Few HHs (2.2%) have only the HH head as only provider of the HH main source of income. Therefore women are involved as men in the economic activities of the HH. Table 3-7: Households Members Responsible for Primary Source of Income Component Surveyed HH HH Head only HH Head and spouse Adult children only HH Head Spouse and Adult children Others HH % HH % HH % HH % HH % Ban Thach River Dykes , , ,9 2 2,6 Dien Bien Phu Road , , ,2 6 4,1 Total , , ,4 8 3, The socioeconomic conditions of six ward in the subproject area 48. The total natural area of 6 affected subproject wards is 2,690.86ha, of which residential land is hectares (7.57%), annual crop land is ha (62.83%), specialized land is 309.8ha (11.51%), and unused land is ha (10.9%). Productive land occupied the most (62.83%), specialized land accounts (15.13%) of the total land area of the wards. 49. The total population of the six subproject wards is 57,226 people (13,257 households), in which, Kinh people accounts for the majority (99.58%) and Hoa people accounts for 0.42%. The subproject affects Kinh people only. 50. The livelihood of the people in the six subproject wards is quite varied, including agriculture production, trade and services and some households are employees. There are 4,208 households (31.7%) engaged in agricultural production; 1,844 households (31.7%) engaged in trade and services; 3119 households (24.5%) are civil servants and teachers; and about 19.7% of the households are employees. 51. The social infrastructure in the wards is pretty good. 100% of the households in the wards are using the national electric grid. The transport system was paved or concreted, schools, health clinics were solidified to meet the needs of the people. 52. All households here are easily accessible to markets and administrative centres. Going to takes about 10 minutes at the distance of 1-4 km. The average distance to markets 2km, to administrative centres is about 2.5 km Socio - economic status of affected households 53. The socio - economic survey on the affected households was conducted parallel with the DMS in August 2014 and ended in late December The consultation with local leaders, social groups and affected families was carried out too during this process. 54. The socioeconomic information was collected from 100% (614 AHs) of the affected households in six wards. The statistics show that there are 597 male householders (94.3%) and 35 female householders (5.7%). The total number of people in the affected households is 2,656 persons, of which there are 1347 men (50.7%) & 1309 women (49.3%). The average number of household s members is 4.33 persons/household. 26

27 Ethnicity 55. According to the statistics (2015) from the People's Committees of 6 affected wards, the project area has two ethnic groups: Kinh population occupies the majority (99.58%) while Hoa population is 0.42%. 56. However, there are no ethnic minorities affected by the subproject Education levels 57. The socio-economic survey shows that the levels of education of the householders are not high. The number of incomplete primary level is 5.3%; the primary level is 26.5%; and secondary level is 46.2%; the high school level accounts for 17.8%; above the high school level is 4.2%. Figure 3-4. The education levels of householders Occupation 58. The occupation of affected households is mainly agricultural. Other jobs account for a very small percentage. The number of agriculture householders is 171 (27.9%). Retired householders are 45 households (7.3%). Householders who work in the government agencies are 170 households (27.66 %). 129 (21.0%) householders do small business and 99 householders (16.14%) are freelances. Figure 3.5. The occupation of affected householders 27

28 Income 59. The main income of the affected people in the six wards does rely on agriculture (24.2%) with 149 households; 148 households (24.1%) have income from small business and services; 181 households (29.5%) have income from government salaries; 103 households (16.7%) had income from wages; and 36 households have income from pensions or social allowances. Figure 3.6. The main income of affected households 60. The per capita income in the six affected wards are VND 19, /year. The average income of An My ward is VND 27,000,000/year, An Xuan ward is 25,000,000 VND /year, Phuoc Hoa ward is VND 24,000,000/year, An Phu ward is 16,000,000 VND /year, Tam Phu commune is VND 14,500,000/year and Tan Thanh is VND 14,000,000/year Poverty 61. According to the national criteria for poor households (applied for ), 10 out of 614 affected households are poor. These households will be especially supported during the implementation of the resettlement plan of the subproject Gender issues 62. Development projects can impact differently on men and women. The impacts on women are often overlooked when mitigation measures focus solely on the nominal heads of households alone to the exclusion of other household members. The compensation process associated with land acquisition has the potential to alienate women from household assets if compensation is not made to both spouses heading households. Female-headed households face additional challenges associated with resettlement especially when they are reliant on extended family and social networks for the care and socialization of children. 63. A Gender Action Plan (GAP) has been prepared under the SCDP Project. This Gender Action Plan includes specific actions and strategies that are gender responsive and culturally appropriate. 64. The Project Implementation Assistance (PIA) prepared for the project also includes a distinct component to strengthen the capability of the Women s Union in Tam Ky city. The main objectives of this component are to 28

29 (i) Increase capability to deliver awareness building in the environment and health sectors, through a training and project delivery programme that can be replicated over time and in different sectors (ii) Increase capability to design and deliver employment creation for women in society, through a training and project delivery programme, which is geared to awareness building and practical skill training for the participants. The programme should include close links with existing vocational training opportunities in each city and also consider the feasibility and support for establishing a micro-credit facility for women looking to establish new urban enterprises and further expand existing urban enterprises Female Headed Households 65. A total of 35 female headed households (FHH) have been identified through the census. FHH are defined in this RP as households where an unpartnered woman has significant responsibility for the maintenance and operation of the household. Households which have unpartnered women listed as head of the family registration booklet, but who do not have dependents and have other adults co- residing (such as adult children) who are working have not been treated as female headed households. 66. Similarly elderly women (of retirement age) who are residing alone are treated separately as vulnerable elderly APs residing alone rather than as female headed households. The reason being that the responsibility of maintenance tends to fall to other family members (rather than by the APs themselves for others) and in that respect they share more in common with elderly males residing alone than with other female headed households. 67. Female headed households likely to experience greater stress and vulnerability as a result of land acquisition and resettlement are those with combination higher dependency ratios and more severe impacts on livelihoods, as well as those with low per capita incomes. Therefore specific assistance and follow-up will be needed Support from Women s Union 68. As said above, all the AHs have at least one member of the HH who is member of the Women s Union (WU). The WU is a social-political organization with goals that include raising the capacity and knowledge of women, to affect gender equality. They operate on four administrative levels within Viet Nam central, provincial, district and commune. This provides them with an extensive network enabling them to integrate new information into existing systems and promote change at different levels. 69. During detailed design, it has been developing partnership with WU to assist women during the implementation of resettlement activities. These issues were discussed including: Conduct discussions with women, and especially FHH, on resettlement issues, identify concerns and problems encountered during planning and implementation Encourage women to be present at the time of compensation and planning of relocation sites and income restoration program. Work with CFLD, concerned departments, and local authorities to review documents and revise the documents as necessary which will then require issuance of land use rights certificates to both husband and wife as mandated by law and based on good practice; Counsel both men and women (and especially FHH) on use of compensation. Provide advice related to access to basic services, health care, school for children, etc. Provide advice related to access for support for women requiring assistance during relocation and building of houses. 29

30 4. INFORMATION, CONSULTATION AND PUBLIC DISCLOSURE 4.1. Information Disclosure Information dissemination and consultation during RP preparation 70. During RP preparation at the PPTA stage, many consultations have been organized with different stakeholders, including local authorities, social organizations, EAs/IAs and affected people. Results of the consultations have been summarized and reflected in the original RP Information dissemination and consultation during RP update 71. During the update of the resettlement plan, local authorities, communities and affected families were completely consulted, focusing on information and impacts of package TK-02. The subproject Information Manual (PIB) was prepared with 5 main contents: (i) the introduction of the scale of Package TK-02, Quang Nam province; (ii) the information about impact levels (land and property on land) when project implements; (iii) the project s policies on compensation, support and resettlement; (iv) the detailed schedule for compensation, support and resettlement; and (v) the grievance redress mechanism which were disseminated to affected families and stakeholders. The project information leaflet is attached in Appendix 1 of this updated resettlement plan. 72. The Project Management Unit of Quang Nam province and the District Compensation Board delivered the project information leaflets to the subproject communities and affected households. 73. The upgrading scale of Package TK-02 as well as the policies related to land acquisition, compensation, support and resettlement of the road was also publicly posted at the headquarters of the people's committees of the wards. 74. The DMS results, replacement cost survey were also posted in public places. 75. Priorto the submission of the updated resettlement plan to the ADB, its main content will be summarized and disseminated and discussed in the public consultation meetings with APs Public consultation Meetings with Local Authorities 76. Various meetings were organized by the Resettlement Consultants. Table 4.1 summarizes the date, the persons met and the issues discussed. Table 4-1: Meetings with Local Authorities Date Location Participants Issues Discussed - City PC Representatives - Presentation of the Project 4th Quarter 2015 and 1st Quarter 2016 Tam Ky City Center for Land Fund Development (CLFD) of Tam Ky City - Representatives of affected communes - Peoples Committee - Representative of PMU - Discussion on Project Policy on resettlement - Project schedule; - Need for cooperation to conduct DMS and SES - Preparation of public consultation - Visit of resettlement sites 30

31 Consultation with Affected HHs 77. Information dissemination and consultation with affected persons and involved agencies will reduce the potential for conflicts and minimize the risk of Project delays. Furthermore, this approach will enable the Project to design the resettlement and rehabilitation program so that it meets the needs and priorities of the affected people, and in this way, potentially maximizing the economic and social benefits of the investment. The objectives of the public information campaign and the consultation program are as follows: To fully share information with the AHs about the proposed project components and activities To obtain information about the needs and priorities of the AHs, as well as information about their reactions to proposed policies and activities; To ensure that AHs are enabled to make fully informed decisions that will directly affect their incomes and quality of life, and that they will have the opportunity to participate in activities and decision-making about issues that will have a direct effect upon them; To obtain the maximum level of co-operation and participation of the AHs and communities in activities necessary for resettlement planning and implementation; To ensure transparency in all activities related to land acquisition, compensation, resettlement and rehabilitation. 78. Six public consultations were conducted in six wards on 4th Quarter 2015 and 1st Quarter The contents of the meetings were as follow: Subjects to the consultations Leadership of CPC; Representatives of commune agencies; Representatives of organizations and unions; Heads of villages/living quarters where land and property is affected; Heads of affected households, in the project area; Table 4-2 Public Consultation and Information The content / information of public consultation meetings Overview of the project sub-components; The scale of Ban Thach River Embankment subproject; Levels of impact on land and property; Problems in implementation of DMS, socio-economic survey, replacement cost study and dissemination of information; The project's policies on compensation, support and resettlement; Presentation of Public Information Booklet; The income rehabilitation program for severely affected households and vulnerable households; Entitlements of Affected persons The detailed compensation, assistance and resettlement plan; Grievance redress mechanism; Relocation options and proposed resettlement sites; Discussion and concerns of affected persons; 31

32 79. All consultation meetings do not require native language because there are no ethnic minorities peoples in the project area. Below is a summary of the opinions and concerns of the participants to the subproject implementation: Problem/Question Project scale and design Suggest the project to take back the remaining land which is cross-cut or insufficient for cultivation. C Affected households those have to relocate at Phan Chu Trinh road location want to relocate along Dien Bien Phu road. Solution/ Answer The detailed design was consulted with the local authorities and community and affected people. The affected communities and families were unanimous to the scale of Dien Bien Phu road Project. For acquiring the remaining or cross-cutting land which is unusable, Tam Ky CARB will acquire the remaining land if the affected parcel is acquired 70% or more of its area, such parcel land will be acquired all. PMU has asked permission of provincial authotities and get approval that affected households will relocate along Dien Bien Phu road Afftected households those received cash want to buy new land and relocate by themselves. The compensation for land and property on land must be made based on replacement costs as announced in the previous consultation meetings. The compensation for houses and buildings must be calculated based on replacement costs in order that affected people can rebuild their homes and buildings. The families whose houses are affected should be informed early, so that they can prepare materials and plan for building or repairing their houses. Plan for the operations of the compensation PMU agreed to assist 15% of total compensation cost for them to buy new land and relocate by themselves. The compensation for land and property will be based on replacement costs. Compensation for houses is based on replacement cost to make a new house with similar technical standard. PPMU will soon notify the relocated schedule for affected households to have plans to build or repair their houses. The affected households and community are unanimous to plan for the operations of the compensation, support of the project owner. 80. The minutes of meetings and consultations and the list of participants are attached in Appendix During the updating of the resettlement plan, the affected community and households were engaged in the following activities: Engage in community consultations at commune/village levels; Engage in the DMS; Engage in the replacement cost survey, discuss the results of replacement costs; Engage in discussions about the income rehabilitation program for households eligible to resettlement and for vulnerable households; Engage in discussions on the support for resettled households, resettlement plan for the affected households; 32

33 Engage in discussions on the content of the updated resettlement plan before submitting it to Quang Nam province and the ADB. 82. For acquiring the remaining or cross-cutting land which is unusable, Tam Ky CARB will acquire the remaining land if the affected parcel is acquired 70% or more of its area, such parcel land will be acquired all. 83. Through consultations with local people in the project area and the mass organizations of 6 wards, consultations with Tam Ky CARB, the Resettlement Consultant recommends some basic points as follows: 84. For cross-cutting land or small remaining area which is unarable, the CARB will base on case by case to decide the acquisition of whole land or not, which is not necessary to recover remaining area when a land is affected for 70% or more. 85. When the updated resettlement plan is approved by Quang Nam province and the ADB, the resettlement plan will be publicized in the community and uploaded on the ADB website. The community and affected households will participate in land compensation, assistance and resettlement activities as well as monitoring the implementation of these activities of the concerned agencies. 5. GRIEVANCE REDRESS 86. A well-defined grievance redress and resolution mechanism has been established to address AH s grievances, complaints, and requests regarding land acquisition, compensation and resettlement in a timely and satisfactory manner. The grievance redress mechanism and appeal procedures are explained in the project information booklet that was distributed to all AHs. During detailed design, all AHs will be informed again of their rights, and the detailed procedures for filing grievances and an appeal process were publicized through an effective public information campaign. 87. AHs (men and women) can lodge their complaints regarding any aspect of the land acquisition and resettlement requirements such as entitlements, rates and payment and procedures for the implementation of resettlement and income restoration programs. 88. Procedure for redress of grievances, in Quang Nam Province, is implemented according to Decree No.75/2012/ND-CP dated October 3, 2012; Decree No.76/2012/ND-CP dated October 3, 2012 and according to the Law on Law on Complaints No.02/2011/QH1 dated November 11, 2011 and Law on Denunciation No.03/2011/QH13 dated November 11, 2011). 89. The main actors of the grievance process are the Center for Land Fund and Development (CFLD) and the city and commune/ward authorities. In Tam Ky City, the following grievance redress mechanism is adopted and disclosed to APs. Stage 1: AP send/forward directly their complaints (written or by verbal) to commune level or to the Tam Ky City CLFD. After receiving complaints of AP, the CLFD in collaboration with ward/commune PC hold a first meeting to review the case and propose solution. AP is then met and the proposed solution is discussed with AP. In case AP disagrees with the proposed solution, s/he can forward her/his complaint to the city level. Stage 2: After receiving AP s complaints, City PC will send AP s complaint back to CLFD, and CLFD will collaborate with relevant departments of the city to establish a review/appraisal mission and check the AP complaints, then carry out grievance process as stipulated under the Law of Complaints and Denunciation. 33

34 Stage 3: If the AP is still not satisfied with the decision of the district level or in the absence of any response from the district level, the AP can appeal to the Provincial People s Committee (PPC). The PPC will issue a decision on the resolution for AP s complaint, and AP can appeal within 30 days from the day of receiving the decision, if dissatisfied. Stage 4: If the AP is still not satisfied with the decision of t h e PPC or in the absence of any response from the PPC within the stipulated time, the AP may submit his/her case to the court as a last resort. However, the project grievance procedure does not impede access to court at any time. The grievance process is summarized in the Figure 5.1 below. Figure 5-1: Grievance Redress Process in Tam Ky City Complaints of APs on any aspect of compensation, relocation, or unaddressed losses shall be lodged verbally or in written form to the CommunePC or to the CLFD. The complaint can be discussed in an informal meeting. It will be the responsibility of the CLFD/CPC to resolve the issue within fifteen days from the date the complaint was received. If no understanding or amicable solution was reached or no response has been received from the commune PC/CLFD, the AP can register the complaint with the Tam Ky City PC. The AP must lodge the complaint within 30 days of lodging the original complaint with the Tam Ky City PC and must produce documents which support his/her claim. The City PC will provide the decision, together with CLFD if required, within fifteen days of the AP registering the complaint. If the AP is not satisfied with the decision of, or in the absence of any response by the City PC or its representatives, the AP can appeal to the PPC. The PPC, together with CLFD if required, will provide decision on the appeal within thirty days from the day it is received by the PPC. If the AP is still not satisfied with the decision, the AP can appeal to higher authorities such as the District Court. 34

35 6. POLICY AND LEGAL FRAMEWORK FOR RESETTLEMENT 90. The legal and policy framework for compensation, resettlement and rehabilitation applied for this subproject are defined by current laws, decrees and related legal documents of the Government of Vietnam and ADB SPS (2009) policies on Involuntary Resettlement. In the event of any discrepancy between the laws and regulations of the Government and the procedures and policies of the ADB on involuntary resettlement, the policies and requirements of the ADB shall be complied with. This is entirely consistent with the Government's Decree No.38/2013/ND-CP dated 13/4/2013 on the management and use of official development assistance (ODA) and preferential loans from donors. This is the basic principle stated in Decree No.38/2013/ND-CP, Article 46 regarding the compensation, support and resettlement: "The compensation, support and resettlement of programs and projects shall comply with the provisions of the current laws and international treaties on ODA and concessional loans the Socialist Republic of Vietnam is a member. In case of differences between the provisions of the domestic laws with the international treaties, the international treaties shall be applied". Ordinance No.34/2007/PL-UBTVQH11 of the National Assembly dated 20/4/2007 on the democracy implementation in communes, wards and towns regulating the public information on "projects, works and investment priorities, implementation schedule, compensation, support and resettlement plan for land clearance related to such projects and works in communes, wards and towns" Relevant Vietnamese Legislation 91. The current legal documents required by law for land acquisition, compensation, support and resettlement of the Government of Vietnam are as follows: Land Law No.45/2013/QH13 dated November 29, 2013 of the National Assembly of the Socialist Republic of Vietnam, replacing Land Law 2003; Decree No.43/2014/ND-CP dated May 15, 2014 of the Government, detailing the implementation of some provisions of Land Law 2013; Decree No.44/2014/ND-CP dated May 15, 2014 of the Government on evaluating land prices; Decree No.45/2014/ND-CP dated May 15, 2014 of the Government, regulating the collection of land-use lease; Decree No.47/2014/ND-CP dated May 15, 2014 of the Government on compensation, support and resettlement when the State acquires land, replacing Decree 197/2004/ND- CP and Decree 69/2009/ND-CP; Decree No.104/2014/ND-CP dated November 14, 2014 of the Government on land price frame; Circular No.36/2014/TT-BTNMT dated June 30, 2014, detailing the land valuation method; building and adjustment of specific land prices and consultation for land-price valuation; Circular No.37/2014/TT-BTNMT dated June 30, 2014, detailing regulations on compensation, support and resettlement when the State acquires land; Decree No.42/2012/ND-CP dated 11/5/2012 on the management of paddy land use; Decree 11/2010/ND-CP, dated on 24 Feb 2010 on management and protection of road, and Decree 100/2013/ND-CP amending Decree 11/2010/ND-CP. Decree No.38/2013/ND-CP, on the management and use of official development assistance (ODA) and preferential loans from donors; Ordinance No.34/2007//PL-UBTVQH dated 20/4/2007 of the National Assembly Standing Committee on the implementation of democracy in communes, wards and towns; Law on Complaints No.02/2011/QH1 dated November 11, 2011 of the National Assembly of the Socialist Republic of Vietnam; Law on Denunciation No.03/2011/QH13 dated November 11, 2011 of the National Assembly of the Socialist Republic of Vietnam; 35

36 Decree No.75/2012/ND-CP dated October 3, 2012, detailing the execution of some articles of the Law on Complaints; Decree No.76/2012/ND-CP dated October 3, 2012 detailing the execution of some articles of the Law on Denunciation. 92. The provisions relating to public disclosure of Land Law 45/20013/QH13, Clause 1, Article 67 requires disclosure of information for affected persons "Before issuing a decision on land recovery, at least 90 days prior to the recovery of agricultural land or 180 days prior to the recovery of non-agricultural land, competent state agencies shall notify the land users of the land recovery. The contents to be notified include land recovery, investigation, survey, measurement and inventory plans". 93. The provisions concerning conservation of cultural property are: The Law on Heritage dated June 29, 2001 and the Law on amending and supplementing a number of articles of the Law on Cultural Heritage dated June 18, 2009; Decree No.98/2010/ND-CP dated September 21, 2010, detailing the implementation of some articles of the Law on Cultural Heritage and the Law amending and supplementing a number of articles of the Law on Cultural Heritage Quang Nam province Decisions on land acquisition, compensation and resettlement in the province 94. In addition to the legal documents of the Government of Vietnam, Quang Nam province has issued legal documents, guiding the application of the Government s provisions and implementation of land acquisition, compensation and resettlement in Quang Nam province. The following decisions provide the provisions for compensation, support and resettlement when the Government acquires land in the province: Decision No.43/2014/QD-UBND dated December 22, 2014 of the People's Committee of Quang Nam province that provides regulations on compensation, support and resettlement when the State recovers land in Quang Nam province; Decision No.44/2014/QD-UBND dated December 22, 2014 of the People's Committee of Quang Nam province that promulgates regulations on unit prices for building houses, structures, works, assets on land to make restitution when the State acquires land in Quang Nam province; Decision No.45/2014/QD-UBND dated December 22, 2014 of the People's Committee of Quang Nam province that issues regulations on the unit prices of crops and trees; tree density; livestock, chicken; support amount for marine/river assets to perform compensation, support and resettlement when the State recovers land in Quang Nam province; Decision No.48/2014/QD-UBND dated December 25, 2014 of the People's Committee of Quang Nam province, promulgating regulations on land prices, land price tariff for period 2015 to 2019 in Quang Nam province; 6.3. ADB social Safeguards Policy and Requirements 95. The new ADB Safeguard Policy Statement (2009) consolidates three existing safeguard policies: involuntary resettlement (IR), indigenous peoples (IP), and environment. The objectives of the IR policy are to (i) avoid involuntary resettlement, (ii) explore alternatives to avoid, (iii) restore livelihoods and (iv) improve living standards of poor and vulnerable households. The IP policy objectives are to (i) design and implement projects that fosters full respect for IP's identity, dignity, human rights, livelihoods systems, and cultural systems, and cultural uniqueness as defined by IP themselves and (ii) ensure that IPs receive culturally appropriate social and economic benefits, do not suffer adverse impacts as a result of projects, and can participate actively in projects that affect them. The policy on environment is discussed in a separate environment report. 36

37 96. The ADB Policy on Gender and Development (1998) adopts gender mainstreaming as a key strategy for promoting gender equity, and for ensuring that women participate in and that their needs are explicitly addressed in the decision-making process for development activities. The new safeguard policy and requirements also reiterates the importance of including gender issues in the preparation of safeguards documents at all stages to ensure that gender concerns are incorporated, including gender-specific consultation and information disclosure. This includes special attention to guarantee women s assets, property, and land-use rights and restoration/improvement of their living standards; and to ensure that women will receive project benefits. Other policies of the ADB that have bearing on resettlement planning and implementation are the (i) Public Communications Policy; and (ii) Accountability Mechanism Policy Project Principles 97. The objectives of the ADB Safeguard Policy Statement (SPS-2009) concerning Involuntary Resettlement are to avoid or minimize the impacts on people, businesses and others affected by the acquisition of land and other assets, including livelihood and income. Where resettlement is not avoidable, the overall objective of the ADB SPS is to enhance, or at least restore, the livelihoods of all AHs in real terms relative to pre-project levels; and to improve the standards of living of the displaced poor and other vulnerable groups by compensating for lost assets at replacement costs and by providing, as necessary, various forms of support. The main policy principles are to: a. Screen the project early on to identify past, present & future involuntary resettlement impacts and risks. Determine the scope of resettlement planning through a survey and/or census of AHs, including a gender analysis related to resettlement impacts and risks. b. Carry out meaningful consultations with affected persons, host communities, and concerned non-government organizations. Inform all Affected Households of their entitlements and resettlement options. Ensure their participation in planning, implementation, and monitoring and evaluation of resettlement programs. Pay particular attention to the needs of vulnerable groups, especially those below the poverty line, the landless, the elderly, women and children, and Indigenous Peoples, and those without legal title to land, and ensure their participation in consultations. Establish a grievance redress mechanism to receive and facilitate resolution of the affected persons concerns. Support the social and cultural institutions of Affected Households and their host population. Where involuntary resettlement impacts and risks are highly complex and sensitive, compensation and resettlement decisions should be preceded by a social preparation phase. c. Improve, or at least restore, the livelihoods of all Affected Households through (i) land-based resettlement strategies when affected livelihoods are land based where possible or cash compensation at replacement value for land when the loss of land does not undermine livelihoods, (ii) prompt replacement of assets with access to assets of equal or higher value, (iii) prompt compensation at full replacement cost for assets that cannot be restored, and (iv) additional revenues and services through benefit sharing schemes where possible. d. Provide physically and economically Affected Households with needed assistance, including the following: (i) if there is relocation, secured tenure to relocation land, better housing at resettlement sites with comparable access to employment and production opportunities, social and economic integration of resettled persons into their host communities, and extension of project benefits to host communities; (ii) transitional support and development assistance, such as land development, credit facilities, training, or employment opportunities; and (iii) civic infrastructure and community services, as required. 37

38 e. Improve the standards of living of the displaced poor and other vulnerable groups, including women, to at least national minimum standards. In rural areas, provide them with legal and affordable access to land and resources, and in urban areas, provide them with appropriate income sources and legal and affordable access to adequate housing. f. Develop procedures in a transparent, consistent, and equitable manner if land acquisition is through negotiated settlement to ensure that those people who enter into negotiated settlements will maintain an equal or better income and livelihood status. g. Ensure that Affected Households without titles to land or any recognizable legal rights to land are eligible for resettlement assistance and compensation for loss of nonland assets. h. Prepare a resettlement plan elaborating Affected Households entitlements, the income and livelihood restoration strategy, institutional arrangements, monitoring and reporting framework, budget, and time-bound implementation schedule. i. Disclose a final resettlement plan, including documentation of the consultation process in a timely manner, before project appraisal, in an accessible place and a form and language(s) understandable to affected persons and other stakeholders. Disclose the final resettlement plan and its updates to affected persons and other stakeholders. j. Conceive and execute involuntary resettlement as part of a development project or program. Include the full costs of resettlement in the presentation of project s costs and benefits. For a project with significant involuntary resettlement impacts, consider implementing the involuntary resettlement component of the project as a stand-alone operation. k. Pay compensation and provide other resettlement entitlements before physical or economic displacement. Implement the resettlement plan under close supervision throughout project implementation. l. Monitor and assess resettlement outcomes, their impacts on the standards of living of Affected Households, and whether the objectives of the resettlement plan have been achieved by taking into account the baseline conditions and the results of resettlement monitoring. Disclose monitoring reports Eligibility Policy 98. All AHs who are identified in the project-impacted areas by the cut-off date will be entitled to compensation for their affected assets and rehabilitation measures sufficient to assist them to improve or at least maintain their pre-project living standards and incomeearning capacity. The cut-off date will be the date of the notice of land acquisition once the project will be formally approved. 99. Those who encroach into the Component area after the cut-off date will not be entitled to compensation or any other assistance. They will be given sufficient advance notice to vacate premises and dismantle affected structures prior to project implementation Resettlement Framework 100. The resettlement and compensation policies for the Secondary Cities Development Project are to be in accordance with ADB requirements and laws of the Government of the Socialist Republic of Viet Nam. Under the ADB policy, it is a condition of funding that the Bank s requirements are met in relation to resettlement, compensation and rehabilitation to 38

39 all AHs as defined in the ADB Safeguard Policy and ADB Policy on Involuntary Resettlement Decree No.38/2013/ND-CP dated 13/4/2013 on the management and use of official development assistance (ODA) and preferential loans from donors. This is the basic principle stated in Decree No.38/2013/ND-CP, Article 46 regarding the compensation, support and resettlement: "The compensation, support and resettlement of programs and projects shall comply with the provisions of the current laws and international treaties on ODA and concessional loans the Socialist Republic of Vietnam is a member. In case of differences between the provisions of the domestic laws with the international treaties, the international treaties shall be applied" During the final workshop held in Tam Ky on 5 March 2013, representatives of Government of Viet Nam (Ministry of Planning and Investment) indicated that if gaps remain between the Government s Laws and Decrees, with regard to resettlement, and the Project resettlement policy and compensation, a resettlement framework has to be prepared and submitted to the Prime Minister for endorsement. This procedure was reconfirmed during the wrap-up meeting held in Hanoi on the 8 March Reconciliation of Government and ADB Policy on Resettlement 103. The resettlement and compensation policies for the Secondary City Development Project are to be in accordance with ADB requirements and laws of the Government of the Socialist Republic of Vietnam. Under the ADB policy, it is a condition of funding that the Bank s requirements are met in relation to resettlement, compensation and rehabilitation to all DPs as defined in the ADB SPS 2009 on Involuntary Resettlement With the promulgation of Land Law 2013 and the guiding documents, including Decree No.43/2014/ND-CP, Decree No.44/2014/ND-CP, Decree No.47/2014/ND-CP which are directly related to the land acquisition, compensation, support and resettlement, the policy of the Government of Vietnam has become more consistent with the ADB's policy statement on involuntary resettlement (SPS 2009). However, there are some differences between the Government s policies and the ADB's policy on involuntary resettlement Decree No.43/2014/ND-CP: This decree provides common rules on the matters relating to granting of land-use right certificates (LURC) and land-use issues such as land quota, conditions for the transfer of land-use rights, administrative procedures related to land use (LURC, land recovery and requisition, land dispute settlement...) Decree No.44/2014/ND-CP on land prices. This Decree prescribes the valuation method for land price; building and adjustment of land price frame; specific land valuation and consulting activities for determining prices. Under the provisions of this decree, when the common land prices in the market increase 20% or more compared with the maximum land prices or reduces 20% or more compared with the minimum land prices in the land price frame for the period of 180 days or more, the provincial People's Committee will have to adjust the land prices Land Law 2013, Decree No.47 and Circular No.37 are the main legal instruments that give guidance and regulations on the rights and entitlements to the compensation, support and resettlement when the State recovers land. Under the provisions of Decree No.47/2014/ND-CP, when the State recovers land, if users do not have papers on land-use rights stipulated in Clause 1, 2 and 3 of Article 100 of the Land Law and Article 18 of Decree No.43/2014/ND-CP but are eligible to the issuance of certificates of land-use rights, ownerships of houses and other assets attached to land, they shall be compensated for land. 39

40 108. The differences between the Government s laws and decrees and the ADB's policy on resettlement and compensation and how to solve these differences for this subproject are presented in the table below. Table 6-1: Gaps between National Laws and ADB Policies and Gap Filling Measures Land Law 2013, Decree 47/2014/ND-CP, Decree 44/2009/ND-CP ADB SPS 2009 Project Policy Criteria of severe AHs Decree 47/2014/ND-CP, Article 19, Item 3: APs losing 30% or more of productive agriculture land are considered severely impacted and are entitled to livelihood restoration measures. The involuntary resettlement impacts of an ADB-supported project are considered significant if 200 or more persons will experience major impacts, which are defined as (i) being physically displaced from housing, or (ii) losing 10% or more of their productive assets (income generating). Losing 10% or more of the household s productive assets and/or relocation shall be considered as the threshold of severely affected HHs APs without LURC Land Law 2013, Article 77, item 2 and article 92: Persons who has used land before 1st July 2004 and directly be involved in agriculture production on the acquired land without LURC or illegalizable will be compensated for the acquired land area but not exceed quota of agricultural land allocation. But no compensation for non-land assets in the following cases: (i) the assets subject to the land recovery as stipulated in one of items a, b, d, đ, e, I, clause 1, article 64 and items b, d, clause 1, article 65 of the Land Law 2013; the assets created after the notification on land acquisition; and (iii) unused public infrastructures and other works. Those APs without legal title to land will be included in consultations. Ensure that APs without titles to land, or any recognizable legal rights to land, are eligible for resettlement assistance and compensation for loss of nonland assets created before cut-off date at replacement costs, including dwellings, structures and other improvements to land such as crops, irrigation, at full replacement cost. Safeguards cover involuntary restrictions on land use or on access to legally designated parks and protected areas. Covers temporary and partial losses. Project affected people, without legal or recognizable legal claims to land acquired, will be equally entitled to participation in consultations and project benefit schemes where possible, and be compensated for their losses of non-land assets at replacement costs, such as dwellings and structures created before cut-off date. They will be entitled to resettlement assistance and social support to assist them to improve or at least restore their pre-project living standards and income levels. Compensation for structures Land Law 2013, Article 89, item 1: houses/structures used for living purpose will be compensated at replacement cost. Decree 47, article 9: other houses/structures will be compensated equal to the remaining value of the affected house plus some percentage of current value but total compensation amount is not exceed value Rate of compensation for affected houses/structures and other assets will be calculated at full replacement costs without any deductions for salvageable materials or depreciation, based upon: i) fair market value, ii) transaction costs, iii) interest accrued, iv) transitional and restoration costs, v) other applicable payments. Full compensation at replacement cost will be paid for all affected structures without any deductions for salvageable materials or depreciation, full replacement costs, based upon: i) fair market value, ii) transaction costs, iii) interest accrued, iv) transitional and restoration costs, v) other 40

41 of the new house/structure. applicable payments Monitoring No monitoring indicators indicated Monitoring indicators specified for internal and external monitoring and reporting. In case of significant or sensitive impacts, an external monitoring organization is required to conduct monitoring on RP and EMDP implementation The EA must undertake internal monitoring according to the critical indicators. Since anticipated negative impacts of the project are minor, there is no need to recruit an external monitoring organization. Third-party validation of consultation related to land donations Not required. The borrower is required to engage an independent thirdparty to document the negotiation and settlement processes to openly address the risks of asymmetry of information and bargaining power of the parties involved in such transactions. In case of land donations involving marginal portions of land, the LIC will verify and report on the negotiation and settlement processes as part of the due diligence report. A voluntary donation form signed by the landowners, witnesses, and village leaders will be attached in the report. 7. ENTITLEMENTS, ASSISTANCE AND BENEFITS Entitlement Matrix 109. The rights and entitlements of people affected by the project (including compensation, allowances, resettlement and livelihood restoration) are detailed in the entitlements matrix below, which are consistent with the impacts identified during the detailed measurement survey (DMS). It should be noted that these benefits can not be reduced. Benefits will be supplemented, if necessary, based on the results of the DMS and consultation with displaced persons. Project entitlements are based on the governmental and provincial decisions about compensation, resettlement and rehabilitation measures as well as ADB's SPS (2009) on involuntary resettlement. The beneficiaries should be consistent with the cutoff date This matrix has been discussed and agreed with the Center for and Land Fund Development and the PMU, in charge of the implementation of resettlement activities on behalf of Tam Ky People s Committee Entitlements for each type of AHs are based on the types and levels of losses. The entitlements also provide various measures aimed at providing opportunities for AHs to obtain development benefits from the project as well as assisting vulnerable AHs to improve their living standards. The Entitlement Matrix for the Project is shown in the table below. 41

42 Table 7-1: Entitlement Matrix No Impact/Influence and application (*) Level of impacts Eligible persons Entitlements Implementation issues A Permanent impact I LAND 1.1 Agriculture land impact (paddy land, annual crop land, perennial crop land, types of forest land, aquaculture land, land for making salt) Marginal impact: losing less than 10% of their total productive land Land users with LURC; in the process of LURC; or eligible to be granted LURCs in accordance with the Government s regulations but not claim for LURC; Cash compensation for affected land area at replacement cost; and Subsistent allowance: Support in cash of 400,000 VND/person/month for all household members for 04 months if no relocation, 12 months if relocation; and Cash allowance for job training/creation, equal to: - 3 times of value of affected paddy land area, annual crop land or salt-making land; times of value of affected aquaculture land; Supports and allowances will be paid simultaneously with the payment of compensation. Support for job training/creation is applied only for households and individuals who are directly involved in agricultural production; A supported area shall not exceed a local standard area of allocated agricultural land - 2 times of value of affected pasture land for raising livestock, perennial woodland, perennial fruit land; times of value of affected forest land, perennial crop land and other agricultural land. If agricultural land located within residential area or boundaries of wards (urban), addition to the compensation, a cash allowance equal to 02 times value of the affected agricultural land but not exceed 1.5 times of the maximum of the same land in the Government s framework of land prices will be provided. If the land price after being determined is higher than a residential land 42

43 No Impact/Influence and application (*) Level of impacts Eligible persons Entitlements Implementation issues price in the same location, it is only calculated as maximum as that residential land price; OR APs can select compensation for affected land based on market price of a specific plot, depending whichever is higher. Significant impact: losing 10% or more of their total productive land (remaining unaffected portion is viable for productive use) Land-users without LURC or illegalizable for LURC AND Users who lease public land but are exempt from land use fees. Land users with LURC; in the process of LURC or legalizable for LURC in accordance with the Government s regulations. No compensation for land but compensation at replacement cost for non-land assets on the affected land and remaining investment cost on the affected land. If their remaining investment cost on land is unable to identify, they will be supported by 20% of compensation unit price of agricultural land to be recovered. For public land, no compensation for land but support for the organization, equal to 70% of land value based on the land price frame. Cash assistance is only used for construction of infrastructure for the communal public purpose. Cash compensation for affected land area at replacement cost; and Subsistent allowance: Support in cash of 400,000 VND/person/month for all household members for: - losing 30-70% of total land holding: 06 months if no relocation, 12 months if relocation; and - losing more than 70% of total land holding: 12 months if no relocation, 24 months if relocation. AND Cash allowance for job training/creation, If affected households have no land for cultivation, local authorities will allocate them agricultural land or assist them to find alternative land. Cash assistance for families and individuals of land leasing/bidding under this provision shall be deducted from the amount of support land to the budget of commune-level people's committees. If remaining land area is unusable or uneconomic, it will be recovered and compensated at replacement cost. Supports and allowances will be paid simultaneously with the payment of compensation. Support for job training/creation is applied only for households and individuals which are directly 43

44 No Impact/Influence and application (*) 1.2 Residential land impact Level of impacts Acquired land without houses/structure thereon Eligible persons Entitlements Implementation issues Land user with LURC or legalizable for LURC equal to: - 3 times of value of affected paddy land area, annual crop land or salt-making land; times of value of affected aquaculture land; - 2 times of value of affected pasture land for raising livestock, perennial woodland, perennial fruit land; times of value of affected forest land, perennial crop land and other agricultural land. If agricultural land located within residential area or boundaries of wards (urban), addition to the compensation, a cash allowance equal to 02 times value of the affected agricultural land but not exceed 1.5 times of the maximum of the same land in the Government s framework of land prices. If the land price after being determined is higher than a residential land price in the same location, it is only calculated as maximum as that residential land price. Cash compensation for land and investment cost on remaining land for the acquired land at replacement cost. involved in agricultural production. A supported area shall not exceed a local standard area of allocated agricultural land. Acquired land with houses/structure thereon and have to resettle Land user with LURC or legalizable for LURC - Cash compensation for the acquired land at replacement cost; and - Compensation for house/structure at replacement cost without deduction of salvageable materials; and If the remaining land is enough to build a house according to master planning of the city, s/he will rebuild house on the remaining land; otherwise, s/he will relocate 44

45 No Impact/Influence and application (*) Level of impacts Eligible persons Entitlements Implementation issues - Transition assistance regulated in Part III below; and - House rental support of 1,500,000 VND/month/household for 12 months; and - Compensation for moving cost, equal to 2,000,000 VND/household if reorganize on the remaining land; 5,000,000/household if relocate away; and 1,000,000 VND/HH if affected less than 50% of house and the remaining house is still usable. And - Stable life support of 400,000 VND/month/01 person for all members of household for 03 months if affected apart of house and no relocation; 04 months if relocation on the remaining land; 06 months if relocation within the city; 09 months if relocation in mountainous areas in the province; and 12 months if relocation in especially difficult socioeconomic conditions in mountainous areas in the province. in resettlement site constructed in the subproject ward or receive cash compensation and selfrelocate to other places depending on their option. If the land price in resettlement site is lower than that of acquired land, affected persons will be entitled to such difference; if the land price in resettlement site is higher than that of acquired land, the project will be supported such difference. A household with 02 couples or more and they are actually living on that parcel of land, the support will be provided for each couple. If a household has 07 inhabitants or more, the support amount for house rental will be 1.5 times. In case, displaced households have more than 4 inhabitants, the compensation amount for moving will be added by 10%. 45

46 No Impact/Influence and application (*) Level of impacts Eligible persons Entitlements Implementation issues The relocation out of district, province must be certified by people's committees at commune-level where households move to. Land-users have no legal rights and are not eligible for land legalization. No compensation for affected land but compensation for affected houses/structures at replacement cost if they were created before the cut-off date. If affected households must resettle and have no other land within the subproject ward to live, the Provincial People s Committee will allocate residential land for them. II NON-LAND ASSETS 2.1 Impact on houses and structures Partly Impacted house (the remaining part is usable) Land-owners regardless LURC or legalizable for LURC with houses/structures created before the cut-off date. Cash compensation at replacement cost for the affected part and costs for repairing the remaining part. Assets, attached to the affected land built after the notice of land acquisition (cut-off date), shall not be compensated. Totally Impacted house (or partly affected but the remaining part is not usable) Land-owners regardless LURC or legalizable for LURC with houses/structures created before the cut-off date. Cash compensation at replacement cost for the affected house without deduction of salvageable materials. 2.2 Impact on plants and crops All plants/crops created before the cut-off date on affected land regardless of ownership status. Cash compensation for damaged plants/crops at market values at time of compensation. Affected households will be notified of land acquisition prior to 90 days so that they can harvest crops or stop farming on land to be recovered. 2.3 Impact on public facilities, public properties Eligible owners Compensation in cash to cover costs of removing, restoring or reconstructing affected facilities and assets; OR The PPMU and the owners will negotiate during the RP implementation. 46

47 No Impact/Influence and application (*) Level of impacts Eligible persons Entitlements Implementation issues Compensation in kind (as alternative materials and/or labor for repairing). III TRANSITION ASSISTANCE AND ALLOWANCES 3.1 Subsistent (Life stabilization) allowance Severe impact: losing 10% or more of productive land, or relocation 3.2 Vulnerable group Affected by the subproject Land users regardless LURC status and directly farming Affected people regardless LURC status. a) Subsistent (Life Stabilization) allowance - losing less than 30% of productive land: Cash allowance of 400,000 VND (equivalent to 30kg rice) per person per month for all family members for a period of 4 months. - losing 30-70% of productive land: Cash allowance of 400,000 VND (equivalent to 30kg rice) per person per month for all family members for a period of 6 months if no relocation and 12 months if relocation; - losing % loss of productive land: Cash grant of 300,000VND (equivalent to 30kg rice) per household member for a period of 12 months if not required to relocate and for a period of 24 months if required to relocate; b) Entitled to participation in the income restoration program (IRP) Will be supported 01 time as follows: - 4,000,000 VND/household for households with 03 martyrs or more or with 1 wounded soldier (graded 1/4 grade) or with Vietnamese mothers heroes or heroes of the armed forces or with labor heroes; - 3,000,000 VND/household for households with 2 martyrs or 1 wounded soldier (graded AHs not eligible for compensation of affected agricultural land will be entitled to stabilization allowance and income restoration program. The support amount will be paid simultaneously with the payment of compensation. These cases must be certified by the labor - invalids and social affairs offices at district-level or the people's committees at commune-level. 47

48 No Impact/Influence and application (*) Level of impacts 3.3 Impact on business. Severe impacts on businesses Eligible persons Entitlements Implementation issues Households are: (i) headed by women and their dependents, (ii) headed by disabled people/children, (iii) landless and no other means of support, and (iv) poor AHs losing business regardless registration status or not 2/4) or 1 wounded soldier (graded 3/4 or 4/4) and 1 sick soldiers or with 2 wounded soldiers (3/4, 4/4); - 2,000,000 VND/household for households with 1 martyr or 1 wounded soldier graded 3/4, 4/4 or with sick soldiers of all types or helpless households, elderly or poor households; - 1,500,000 VND/household with households directly worshiping Vietnamese mothers heroes, heroes of the armed forces, labor heroes. If one household have multiple types of supports mentioned about, the support amounts shall be accumulated. If one household have people who are eligible for more than one type of support, they shall enjoy the highest levels of support 4,000,000 VND/household or 3,000,000 VND/household or 2,000,000 VND/household. For household who is relative of martyrs, the support is reserved for main relative who is paid a monthly survivorship and has national certification of contribution. - 3,000,000 VND/household. The support amount will be paid simultaneously with the payment of compensation. a) Business stabilization allowance For registered businesses: cash assistance equivalent to 30% (of 1 year after tax income, calculated according to the average revenue of the previous three years certified by the tax office. For nonregistered businesses, the assistance is according to the decision of the PPC. b) AHs doing business in their house and AHs not eligible for compensation of affected agricultural land will be entitled to stabilization allowance and income restoration program. 48

49 No Impact/Influence and application (*) Level of impacts Eligible persons Entitlements Implementation issues Employees losing their job in affected businesses. 3.4 Rewards All AHs who hand over land on time. has to relocate will be entitled to participation in livelihood restoration programs. a) Stabilization allowance: - Employees with labor contracts will be compensated in accordance with item 3, Art 62 (3) of the Labor Law). The support amount will be monthly basic salary for 3 months; if the shut-down time is longer than 3 months, the support amount will be maximum but not exceed 6 monthly basic salaries. b) Vocational training - Permanently affected employees of the affected business (registered or nonregistered) will be entitled to participation in any one vocational training course within the province free of charge. For the recovery of agricultural land (including gardens, ponds and houses in the same parcels of land), relocation of graves and structures, the bonus will be equal to 5% of total value of compensation and assistance of land and property on land to be acquired but the maximum is not higher than 7,000,000 VND/household for the cases to be recovered more than 70% of agricultural land and 5,000,000 VND/household for other cases. For the recovery of residential land, production/business land, non-agricultural land, the bonus will equal to 5% of the total value of compensation, support for acquired The ward/commune People s Committee of the affected business will certify employment of affected employees without labor contracts. The shut-down salary will be calculated based on the salary registered with the authorized office; includes the grade salary, function salary and allowance (if any). In case, the salary sheet is not registered yet, the support will be in accordance with the last payroll before the land acquisition. Moving on schedule as notified by the Compensation Board. Households, organizations and individuals whose business land, residential land, agricultural land has just been recovered but handed over to the subproject on time, they will be rewarded both bonuses at the same time. 49

50 No Impact/Influence and application (*) Level of impacts Eligible persons Entitlements Implementation issues land and property on acquired land but the maximum amount is not higher than 10,000,000 VND/household for households who move entire houses, building or property on land and 5,000,000 VND/household for other cases. B Temporary impacts Temporary impact during construction Impact less than 2 years Impact more than 2 years Land users regardless land use status; All assets on affected land regardless ownership status. Land users regardless land use status No compensation for land because it will be returned to owners after using. Compensation for standing trees/crops and income lost during period of temporary use. For property on affected land, the compensation will base on the replacement cost as stated above. Pay compensation for income lost from subsequent duration or compensation for land if required by the land owner. All negative impacts during construction should be considered and compensated adequately and timely under the project policy. Improve or at least restore the affected land to preproject condition before returning to the owners. 50

51 8. RELOCATION 8.1. Relocation Options 112. Relocating households will be paid in cash for their land and houses and other fixed assets. They are also provided two options for relocation. First, AHs have the option of selfrelocation where AHs arrange their own relocation utilizing the compensation and lump sum grant for lot development. Second, AHs have the option to purchase a plot of land in a fully serviced Resettlement Site (RS). HHs are responsible to build their house on the allocated plot According to the DMS data, 155 households have to relocate. During consultations with affected households, 141 wanted to be relocated in a serviced resettlement site, 11 households want to receive cash and relocate by themselves For the affected households whose houses are acquired and want to receive compensation in cash instead of compensation by land plots in the resettlement site of the project to buy land for their own resettlement, the Project will support them in cash equal to 15% of their total value of land compensation for them to buy land for self-resettlement The implementation of assisted resettlement will need to be cognizant of the disruptive social impact of relocation by minimizing social dislocation as much as possible. The needs and preferences of AHs to be co-located with others in their social network such as kin and neighbors will be accommodated within site allocation arrangements as much as possible. The practice of drawing lots to allocate resettlement lots randomly is to be applied as a last resort rather than a default measure Resettlement Sites 116. Three Resettlement Sites (RS) have been identified for the project. Two are located in Tan Thanh Ward. They are existing fully serviced RSs. We should note that one of the two RSs in Tan Thanh ward has been built to relocate HHs affected by the CRUEIP (previous ADB project) some years ago Relocating HHs could move to the RS only when all the planned services (water piped, sewage, electricity) have been installed in the site and ready to use. The Project will not allow temporary arrangements (staging areas) wherein relocating HHs will have to relocate temporarily and get rental allowance while the RS is being completed For 155 relocated households of Dien Bien Phu road subproject, the city planned to arrange them to the resettlement site in Tan Thanh ward with completed infrastructures. However, during public consultation with them, they want to relocate along Dien Bien Phu road. Therefore, Land fund development center of Tam Ky city and Quang Nam PMU agreed to arrange resettlement following suggestion of afftected households. which is near with a distance of 0.5 kilometers from their former location so that they can continue their jobs and maintain their social relations Relocated HHs have to pay land use fee for plot they will receive in the RS. During consultation with relocated households, the Tam Ky City PC informed them about the land use fee in the RS so that relocated HHs could make their choice between relocation in a serviced RS or self-relocation. It is expected that land use fee will be close to compensation rates for lost land of relocated HHs. In case of land use fee of the standard plot at resettlement place is higher than amount of compensation and allowance then project will pay the difference. 51

52 120. The land fund development centre of Tam Ky city is responsible for handing over land plots in resettlement site for relocated households and working with the city authorities to issue LURC to the relocated households without any fees related to the issuance of LURC. According to the land law 2013, LURC will include the ownership of houses constructed thereon. Therefore, LURC should be granted to the relocated households after completion of house construction. Table 8-1: Existing Resettlement Sites in Tam Ky City An Phu Ward Tan Thanh Ward Tan Thanh Ward (East) Affected HHs Dien Bien Phu Road, rural area Dien Bien Phu Road, urban area - Ban Thach River Dyke - Dien Bien Phu Road, Status Existing RS with full services - Existing RS with full services - Existing RS with full services Owner Tam Ky City PC Area 20 ha 45 ha 17 ha Number of plots available Figure 8-1: Location of Tam Ky City Resettlement Sites 52

53 9. INCOME RESTORATION 9.1. Need for an Income Restoration Program 121. The adverse impact on income is one of the most significant effects of resettlement for men and women, the effects of which can be long lasting with inter-generational consequences. For the proposed sub-components, losses of income commonly result from either having to physically relocate (e.g. causing loss of commercial, farming or other livelihood operation site) or significant reduction in livelihood base (as in partial loss of farming land). In some cases the challenge is to re-establish pre-existing livelihoods in a new location while for others it may have to adopt new income generating practices. The latter often includes farmers who either need to diversify income generating activities (e.g. adopt small scale trade to supplement farming) or intensify productivity on reduced areas of land. Restoration of income is one of the greatest challenges to successful post-resettlement rehabilitation. The success of resettlement planning in restoring living conditions is thus inextricably bound to income restoration and effective income restoration in turn necessitates a clear understanding of livelihoods, capacities and risks faced by those displaced A number of specific income restoration measures are already included in the entitlement matrix as summarized below to support severely affected households to restore their income and livelihood: Table 9-1: Income Restoration Measures already included In the Project Resettlement Policy Affected Livelihood Farmers Income Restoration Measures Stabilization allowance (income support) for 6-24 months (cash allowance) Income restoration allowance (equivalent to 2 to 3 times the PPC compensation rate per m2 for agriculture land (cash allowance) Affected businesses Compensation for lost income (cash allowance) Affected employees Compensation for 6 months of lost income Vulnerable Assistance to poor HHs and otherl categories of vulnerable HHs Cash assistance, as described above, does not necessarily lead to stabilization of AHs. Therefore, implementation of an Income Restoration Program (IRP) is necessary. The IRP aims to provide supplemental assistance to severely affected HHs and vulnerable, enhancing opportunities for them to improve incomes through training and provision of inputs Given the other programs implemented in Viet Nam which resulted to some success (Loan No.2451-VIE: Ho Chi Minh City-Long Thanh-Dau Giay Expressway Project, ADB Funded) it is essential that the Project designs a suitable and sustainable IRP for the AHs. 53

54 125. The IRP was prepared during the implementation of urp with consultation with affected people. The AHs entitled to participation in the IRP are: Severely affected HHs (SAHs). (i) HHs who are losing 10% or more of their productive land and their main source of income is from agriculture and (ii) HHs who conduct business or any other income generating activity in their house and the HHs have to relocate. Vulnerable Households: distinct groups of people who might suffer disproportionately or face the risk of being further marginalized due to the project and specifically include: (i) female-headed households with dependents, (ii) household heads with disabilities, (iii) households falling under the generally accepted indicator for poverty, (iv) elderly households who are landless and with no other means of support, (v) landless households, (vi) ethnic minorities The overall objective of the IRP is to stabilize the livelihood activities and sources of income of participants by focusing on diversified activities to bring immediate income such that they will be able to produce for their basic needs and long-term livelihood management capacity It is proposed that the IRP will consist of three components: (i) Agricultural activities; (ii) Occupational training and job introduction for the trained persons; and (iii) Non-agricultural activity support It is proposed that the IRP will be implemented by the Tam Ky City Agriculture Extension Services Centre under the Department of Agriculture and Rural Department (for agriculture activities) and by the Tam Ky City Vocational training Centre under the Department of Labour Invalids and Social Affairs (for training and small businesses) During project implementation, the project implementation supervision consultants (PISC) will meet the above stakeholders to agree on the activities to be proposed and on a budget. A Memorandum of Understanding (MOU) will then be prepared and signed by PMU and stakeholders A Detailed Needs Assessment (DNA) was also conducted among beneficiaries. The purpose of the DNA is to establish household s preference for income restoration activities. The type of training, agriculture activities and small business will be determined for each HH through consultation with APs and related agencies. The results will constitute the basis for the implementation of the IRP Agriculture Program 131. A number of agricultural extension models will be designed in collaboration with the Farmers Union and the Agricultural Extension Center during detailed design. It could include the following activities: 132. The income rehabilitation and livelihood development program will support the total of 269 severely affected households (155 households whose houses are affected and 114 households whose 10% of productive land/income sources are affected) Beneficiaries will receive support in kind only such as seeds and fertilizer; no cash will be given to beneficiaries. Beneficiaries will also receive training to be conducted by various agencies. 54

55 134. The Agriculture Extension Centre (AEC) of Tam Ky City will be the main stakeholder and will be in charge of the implementation of the agricultural program. AEC is present at the city level and provides training and veterinary services to farmers. AEC is under the Provincial Department of Agriculture and Rural Development. Under the project, AEC will provide the technical follow-up of participants. Veterinary services will be required when necessary. All these services will be free of charge for the participants There are 47 female-headed households, 49 households with elderly and disabled and 10 poor households under the standards of the Labour, Invalids and Social Affairs For vulnerable groups, after consulting with local authorities and households, the project decided to support them equivalent to the support for poor households of 3,000,000 VND/household to help them quickly restore their lives. Besides, members under working age of their family can participate in the training courses Training 137. Vocational training will be offered to HHs entitled to the IRP. Tam Ky City has its own Employment Resource Center (VTC) to provide vocational training. The trainees are less than 30 years old entitled to participation in training without payment. Most of the trainings are short-term training (3 to 6 months). Intermediate training course (6 months to one year) are also offered Training will be job oriented and consistent with HH education background to ensure the best work opportunities The Tam Ky City Vocational Training Center (VTC) will be responsible for conducting occupational training courses according to the need of participants. They will also establish a program to provide information to the affected ward/communes on the availability of jobs through posting of job vacancies in the ward/commune offices and through commune s local radio. VTC will also coordinate with commercial, industrial and institutional establishments within the City with the intention of identifying their manpower requirements (i.e. number, qualification, schedule of deployment, etc.) and securing agreements During detailed design, consultant will check if the proposed training program could be integrated with existing training programs conducted in Tam Ky City (i.e. (Program1956/QD- TTg for vocational training for rural workers) to avoid any duplicity of programs and that the Project will be able to link Government and local programs that already exist in the area Small scale business/service 141. There are households who wish to venture into small business or services. It can either be shops to sell their own products, groceries or service stalls (beauty shop, tailor, motorbike repair). Households will also be made aware of what to look into such as the right products, market situation, competition, amount of investments and potential profit, and risks involved The Tam Ky City Vocational Training Center (VTC) will be responsible for conducting occupational training. VTC will provide advice and conduct specific training courses on entrepreneurship. VTC will also provide follow-up to beneficiaries in order to assist and support training/operating small business through regular visits. 55

56 9.5. Access to credit 143. APs are entitled to borrowing from the social bank and other banks with guarantee of local authorities to develop their business and production. According to government policy, poor household can borrow maximum of 50,000,000VND from the social bank. 4.1 Budget for implementation of IRP 144. Based on need assessment data, the total number of beneficiaries of the IRP is 415, as presented in the table below. Table 9-2: Estimated Number of IRP Beneficiaries Type of Beneficiaries Number of HH HH Losing 10% of their productive land 154 HH Relocated 155 Vulnerable 106 TOTAL According to the need assessment, 60% (249) of beneficiaries will choose agriculture activities; 15% (62) participate in vocational training and 25% (104) do small business. Table 9-3: Estimated Number of Type of Activities Chosen by HH Agricultural activities Vocation al training Small business Total Estimated number of participants Total cost estimate for the Income Restoration Program in Tam Ky City is estimated about 2,117,000,000 VND, equivalent to 94,509 USD. The detailed costs estimates are presented in Appendix 3. This budget will be provided by Quang Nam PPC through counterpart fund. 10. RESETTLEMENT BUDGET Budget flow 147. All costs for land acquisition, compensation and resettlement of the sub-project will be taken from the counterpart fund of Quang Nam province Replacement cost survey 148. Quang Nam PPMU hired an unit to investigate independent replacement price (Da Nang Financial Service and Price Inspection JS Company)) to prepare replacement price for the project. Authorized letter of inspected price and replacement price were issued. Quang Nam PPC approved replacement price at Decision No.3496/QD-UBND dated 29/9/2015 and Decision No. 1902/QD-UBND dated 01/06/2016 (additional decision) for project of developing secondary category cities. This is replacement price which issued for the project to carry out conpensation and resettlement plan. 56

57 10.3. Resettlement cost 149. Table 12 summarizes the resettlement cost of the sub-project, including (i) compensation for acquired land, permanently or temporarily; (ii) compensation for structures, houses, trees, crops; (iii) allowances for impacts on public works; (iv) administration and implementation cost; and (vi) contingency cost. The resettlement cost does not cover costs for support consultancy and external monitoring. Tam Ky PMU will hire support resettlement consultants and external monitoring consultants by separate consultancy packages to assist and supervise the implementation of the updated resettlement plan The total cost for the implementation of the resettlement plan is VND 265,169,070,428 equivalent to USD 12,391,078 (the rate of exchange: 1USD = 21,400 VND). The details are shown in Table 10-2 below. Table The implementation cost Nr Items Unit Amount I Compensation and allowances VNĐ 236,148,956,632 I.1 Compensation VNĐ 196,235,893,727 I.1.1 Land VNĐ 123,382,181,156 I.1.2 Houses/structures VNĐ 71,149,781, Trees/crops VNĐ 1,703,930,916 I.2 Allowances VNĐ 39,913,062,905 I.2.1 Job training/creation VNĐ 17,045,984,343 I.2.2 Subsistent assistance VNĐ 2,461,463,792 I.2.3 Transportation VNĐ 25,550,000 I.2.4 New resident creation VNĐ 72,307,675 I.2.5 Rental VNĐ 4,156,444,775 I.2.6 Rewards VNĐ 6,746,312,320 I.2.7 IRP VNĐ 2,117,000,000 I.2.8 Vulnerable group VNĐ 288,000,000 II Administration VNĐ 5,405,218, Implementation (2%) VNĐ 4,722,979, Cadastral measurement VNĐ 682,239,000 III Contingency (10%) VNĐ 23,614,895,663 IV TOTAL VNĐ 265,169,070,428 USD USD 12,391,078 57

58 11. INSTITUTIONAL ARRANGEMENT Provincial People s Committee of Quang Nam Province 151. The Provincial People s Committee (PPC) of Quang Nam Province is the executing agency (EA) and will oversee all subproject activities including the implementation of urps. The Quang Nam PPC will have to endorse the urp. The Quang Nam PPC could also delegate such endorsement to the Tam Ky City PC. The PPC is responsible for resolving complaint and grievance of APs A Project Steering Committee (PSC) is already operating in Tam Ky City and is headed by the PPC Vice Chairman, and includes representatives of provincial and city government agencies. The PSC will continue to coordinate the implementation of the Project and provide policy guidance. The PSC will be chaired by the PPC Vice Chairman, and will normally include representatives from the following organizations: (i) Department of Construction (DOC); (ii) Department of Planning and Investment (DPI); (iii) Department of Finance (DOF); (iv) Department of Natural Resources and Environment (DONRE); (v) Provincial and/or City Women s Union (WU); (vi) Chairman or Vice Chairman of the concerned Project City, and (vii) other agencies or entities that may be recommended by the PPC The PSCs will continue to assist the PPCs by: (i) monitoring Project implementation; (ii) making decisions related to Project implementation within the power of the local authorities; (iii) approving Project documents related to, for example, resettlement plans procurement plans, and bidding and contract documents; and (iv) coordinating relevant agencies of the provinces and the PMU in the project implementation process Tam Ky City People s Committee 154. The Tam Ky City People s Committee (PPC) is the implementing agency (IA) and will oversee all subproject activities including the implementation of the urp. If PPC delegates the endorsement responsibility to the Tam Ky City PC, the CPC will be responsible for endorsement of the urp and approval of compensation plan Project Management Unit (PMU) 155. A Project Management Unit (PMU) has been established within the existing institutional structures in Tam Ky City. Tam Ky City PMU is the Implementing Agency (IA) for two subcomponents The functions of the PMU includes: (i) monitoring and coordinating all Project activities in subproject cities; (ii) supervising the consultants responsible for design, preparation of tender documents, construction supervision, and other activities; (iii) preparing bid plans, work plans, and annual budget plans; (iv) managing the prequalification of contractors, bid evaluations, bid awarding and contract signing; (v) site compensation and clearance; (vi) supervising work plans and ensuring quality control of work carried out by contractors and Implementation Support Consultant (ISC); (vii) supervising and monitoring project-related resettlement and environmental activities; and (viii) preparing periodic project progress and annual reports for submission to the PPC and ADB Related to resettlement, PMU will work closely with local administrative authorities, regarding resettlement planning and implementation. Together with the ISC, the PMU will provide technical support, designs and schedule of the subproject implementation for all parties to follow up and minimize the potential effects on land and people and make sure that 58

59 all RP activities are properly addressed and implemented prior to construction activities. The PMU will be responsible for the preparation of quarterly resettlement progress reports Centre for Land Fund Development of Tam Ky City 158. A new resettlement organization was established at the provincial and district level. Since 2015, the Centers for Land Fund Development (CFLD) have been given more responsibilities. CLFD at the provincial level are under DONRE while at the district/city level they are under the District/City People's Committees In Tam Ky City, the Centre for Land Fund Development (CLFD) is established under the Tam Ky City People s Committee and has the mandate to implement all resettlement activities For this project, the Tam Ky City CLFD has been assigned to work directly with PMU to prepare and implement the resettlement plan with other relevant institutions. The CLFD will implement the DMS, establish a database of AHs, prepare compensation plans, and payment of compensation, assistance and allowances. Specific to the Project, the CFLD will execute the following tasks: - Issue Notice of Land Acquisition when the project will be formally approved; - Inform AHs about Detailed Measurement Survey process; - Conduct Detailed Measurement Survey; - Prepare AHs database; - Prepare compensation plans in line with resettlement plans; - Prepare individual AH Compensation Forms which detail all types of losses with its corresponding established compensation rates. This will also include all types of relocation and rehabilitation assistance. - Inform AHs regarding payment schedule at least two (2) weeks in advance. - Present proposed compensation amounts to AHs and explain in detail the AH s rights and entitlements based on Project policies and explain how compensation amounts were calculated; - If compensation payments are acceptable to AHs, process payment and inform AHs of exact date of release of payment; - Effect compensation payment. Copies of compensation payment documents will be provided to AHs. Copies will also be provided to the Implementation and Support Consultants and external agency for monitoring and reporting. - Review grievances in consultation with main stakeholders and HH who raised grievances, Submit recommendation to solve grievance to District and Province PC. - Prepare and update regularly a database and lists of AHs, including information regarding disbursement dates for monitoring purposes Local Administrative Authorities (District, Communes/Ward) 161. The concerned local administrative authorities at district and commune level play an important role in the planning and implementation of resettlement-related activities. Their roles and responsibilities are to: - Coordinate and work closely with the concerned stakeholders in relation to the conduct of consultation, census and DMS and other resettlement-related activities; - Act as grievance officers and ensure that grievance are resolved; - Assist AHs during the negotiation and compensation process; 59

60 - Involve the local-based organizations to carry out the RP activities; - Certify the list of AHs and sign compensation documents; and; - Monitor and register new settlers in the area. The local authorities will be responsible for informing residents and new settlers not to construct houses/structures in the areas where there will be improvement/ construction Local Mass Organizations 162. Mass organizations relevant to the various AH profiles, needs and impacts will participate in the development and implementation of assistance measures for AHs. Mass organizations in Viet Nam are types of community based organizations. Such organizations would include the Fatherland Front, Women s Union, Farmer s Union and other relevant organizations Implementation Support Consultants 163. The Implementation Support Consultant (ISC) will include one international resettlement specialist and two local resettlement specialists, to assist and supervise all social and resettlement- related activities. Their responsibilities include the following: - Work closely with PMU, Centre for Land Fund Development, local authorities at all levels on all resettlement-related activities; - Assist in the conduct of the information campaigns, public consultation and community participation; - Assist in the verification of census, inventory of losses and detailed measurement survey activities; - Check the accuracy of the AH database prepared and provide improvements if necessary; - Assist in the preparation of an updated RP; - Assist and improve, if necessary, procedures for the coordination of resettlement and compensation activities; - Ensure that grievances are addressed promptly and properly and that grievance redress mechanism is functioning well; - Provide necessary training on grievance if needed; - Establish and implement liaison mechanisms to ensure proper technical and logistical support to PMU, local administrative authorities, resettlement committees and concerned government departments - Establish and implement procedures for ongoing internal monitoring; - Design and deliver capacity development activities for all relevant agencies, as needed, in the areas of ADB resettlement policy; participation and communication; gender and development; and livelihood restoration Terms of reference for the Implementation Support Consultant are presented in Appendix 5. Implementation arrangements are summarized in the diagram below. 12. IMPLEMENTATION SCHEDULE 165. The plan for the resettlement implementation of the sub-project is presented in the following table, including (i) updating RPs; (ii) implementation of resettlement activities; and (iii) construction activities. Contractors for each civil works contract can be awarded only after affected households receive full compensation and are resettled which are confirmed in the resettlement monitoring report. 60

61 166. All resettlement activities will be coordinated with the civil works schedule. Land acquisition and relocation of affected households cannot commence until the updated RP has been reviewed and approved by ADB The EA will not issue a notice to proceed civil works until all compensation for APs have been satisfactorily completed, agreed rehabilitation assistance is in place, and that the site is free of all encumbrances. Table 12-1: Implementation Schedule RP Updating Start End Dissemination of project information May-14 Dec-14 Conduct DMS based on detailed design 2nd Quarter rd Quarter 2015 Mobilise private appraiser to carry out replacement cost survey 4th Quarter st Quarter 2015 Prepare Updated RP 2nd Quarter rd Quarter 2016 Consult AHs on project impact, entitlements and final options 4th Quarter st Quarter 2016 Submit urp to ADB for review and concurrence 2rd Quarter rd Quarter 2016 Disclose approved Updated RP to AHs and Uploading on ADB website 3rd Quarter 2016 Engage external monitor 2nd Quarter th Quarter 2017 Submission of internal and external monitoring reports Quarterly Quarterly RP Implementation Disbursement of Compensation and Payment to AHs 3th Quarter st Quarter 2016 Relocation of AHs and Clearing of land 3st Quarter st Quarter 2016 Implementation of Income Restoration Measures/Programs 3nd Quarter Submission of internal and external monitoring report Quarterly 2016 Quarterly 2017 ADB has No Objection to Notice of Possession of Site to Civil Works Contractor 3st Quarter 2016 Start of Civil Work 3nd Quarter MONITORING AND REPORTING Internal Monitoring 168. PMU is directly responsible for internal monitoring of RP implementation. In particular, PMU with assistance from the Project Implementation and Support Consultants will supervise and manage monitoring of resettlement activities and implementation arrangements PMU will provide quarterly reports to ADB. PMU will ensure that the reports of the Project Implementation and Support Consultants include in their progress reports, the status of the 61

62 resettlement plan implementation, information on location and numbers of people affected, compensation amounts paid by item, and assistance provided to AHs The objectives of the monitoring program are (i) to ensure that the standard of living of AHs are restored or improved; (ii) to monitor whether the overall project and resettlement objectives are being met; (iii) to assess if rehabilitation measures and compensation are sufficient; (iv) to identify problems and risks; and (v) to identify measures to mitigate problems The range of activities and issues that need to be recorded and verified, include: - Compensation, allowance payments and delivery of assistance measures; - Re-establishment of AH settlements and business enterprises; - Reaction of AHs, in particular, to resettlement and compensation packages; and - Re-establishment/improvement of income levels 172. The principal indicators for internal monitoring of resettlement activities include the following: - Timely and complete disbursement of compensation to AHs according to the compensation policy agreed in the urp; - Timely and complete delivery of relocation, income restoration and rehabilitation allowances and measures; - Allocation of replacement land and development of individual and/or group resettlement sites and infrastructure; - Public information dissemination and consultation procedures; - Adequacy of resettlement sites; - Adherence to grievance procedures and identification of outstanding issues that require further attention and resolution; - Attention given to the priorities of AHs regarding the options offered; - Completion of resettlement activities required before the award of civil works contracts. - Participation of poor and vulnerable HHs throughout the process of project implementation; - Restoration and improvement of socioeconomic conditions of AHs On a quarterly basis, PMU will prepare a resettlement monitoring report for their own subcomponent. The report will be submitted to PCC and ADB. The scope of the report will include: - The number of AHs by category of impact, district, commune and village, and the status of compensation payments, AH relocation and income restoration measures for each category; (ii) The status of disbursement of cash and allocation of replacement land and housing. - The amount of funds allocated and disbursed for a) resettlement program operations and b) compensation, assistance and resettlement activities. - The activities, levels of participation, outcomes and issues of the Information Dissemination and Consultation Program 62

63 - The status and outcomes of complaints and grievances redress and any outstanding issues requiring further attention by provincial or district authorities, or ADB assistance. - Implementation problems, including delays, lack of personnel or capacity, insufficient funds, etc.; proposed remedial measures; and, revised resettlement implementation schedule External Monitoring and Evaluation 174. PMU will hire an independent External Monitor consultant (EMC) to monitor the implementation of urp. The EMC should be mobilized soon before the implementation of DMS. The main objectives of external resettlement monitoring are: (i) To verify the results of internal monitoring reports prepared by PMU and Center for Land Fund Development (CLFD) of Tam Ky City; (ii) To examine whether provision of compensation and other agreed forms of assistance complies with the approved RPs; (iii) To assess whether supplemental assistance measures have been provided in accordance with the IRPs, and the extent to which they have been effective in restoring incomes and living standards for severely affected households; (iv) To assess the effectiveness, impact and sustainable level of resettlement management agencies and procedures; (v) To propose necessary adjustments in the implementation of RPs and IRPs to improve implementation effectiveness Strategic lessons for future policy formulation and planning will also be drawn from the monitoring and evaluation of resettlement. This is possible through a Post-Resettlement Implementation Evaluation Study that will be carried out carry out 6-12 months following completion of all resettlement activities The external monitor will cover specific issues such as, but not be limited to, the following: i. Public consultation and disclosure activities; ii. iii. Awareness of affected people on resettlement rights and entitlements, grievance redress, resettlement process, and project schedule Establishment of market rates for land and non-land assets; iv. Documentation of impacts and payments (DMS, compensation documents,) as per agreed RP; v. Coordination of resettlement activities with construction schedule; vi. vii. viii. ix. Land recovery and transfer procedures; Relocation of households, public assets, and sacred structures Quality of preparation and adequacy of planned relocation sites Level of satisfaction of AHs with the provisions and implementation of the RPs; 63

64 x. Effectiveness and efficiency of grievance redress mechanism (documentation, process, resolution); xi. Effectiveness, impact and sustainability of entitlements and rehabilitation measures/income restoration programs, and the need for further improvement, as required; xii. xiii. xiv. xv. xvi. xvii. xviii. xix. Gender impacts and strategy; Capacity of AHs to restore/re-establish livelihoods and living standards, especially the severely affected, poor and vulnerable households. Monitor and assess the assistance and support provided or to be provided to these households; Unanticipated impacts, or any resettlement impacts caused during construction activities; Participation of AHs in RP planning, updating and implementation; Institutional capacity, internal monitoring and reporting; Channeling of government funds for payment of land, non-land assets and allowances to the affected households (if done transparently, efficiently, and effectively); Integration with host community; Restoration/improvement of affected public, communal, and community assets Monitoring of RP implementation will be based on desk review and field visits, meetings with various ministries and local officials, and affected households. Review baseline data that was collected under the socio-economic survey during RP preparation and updating to assess changes in: household income and expenditures, expenditure composition patters, primary and secondary occupations, borrowing amounts and debts patterns, materials conditions and possessions of consumer items, land area and tenure arrangements, school attendance of children, health, and distances to public services and infrastructure. Additional survey may be carried out as necessary. Separate meetings will be held with women and vulnerable households. Monitoring indicators and findings will be disaggregated by gender The External Monitor Consultant (EMC) will be recruited before DMS. Monitoring and evaluation period is expected to be from fourth quarter 2014 to 4th quarter Monitoring reports will also include a summary of outstanding issues and how these issues were addressed, and if there are still outstanding issues that require further action, including a number of case studies that require follow-up monitoring. If the findings indicate that RP objectives have not been achieved, the external monitor will propose appropriate alternative actions or approaches. The reports will also describe any good practice and lessons learned that may be useful for future activities The EMC will submit semi-annual monitoring report to ADB and PMU within two weeks after completion of the monitoring activity. The type of reports to be submitted to PMU and ADB are: (i) Inception Report; (ii) Semi-annual Monitoring Reports; and (iii) Postevaluation Report. 64

65 APPENDIX Appendix 1: Public Information Booklet The Qua g Na Pro i ce People s Co ittee, ith the assistance from the Asian Development Bank (ADB), is addressing the needs for the urban development of Tam Ky City. Projects Contruction Investment Management Authority of Quang Nam Provice to manage the Project. The Project includes 2 components Component 1 Flood Management Ban Thach River Dyke completion. Component 2 Enlargement & improvement of Dien Bien Phu Road (including bridges) going through 06 wards/communes including: An My, Phuoc Hoa, Tan Thanh, An Phu wards; and Tam Phu communes. Why is this Project necessary to implement? The refection of the Ban Thach River Dyke will reduce significantly the extend and frequency of flooding. Flood dykes will be landscaped and will provide additional recreational space/walkway for the population. The roads improvement will provide significantly better access in the city and will reduce traffic congestion. Scope of impact For Component 1, a total of around 300 HH (20 relocated HH) will be affected. For Component 2, a total of around 500 HH (130 relocated HH) will be affected. Surveys are ongoing to identify the exact number of affected HH. Who are the affected households (AHs)? Entitled AHs are those persons who are located within the affected area at the date the project will be publicly announced. The cut-off-date for eligibility is the date of the notification for land acquisition (end of 2013). Persons who encroach into the area after the cut-off-date will not be entitled to compensation or any other form of resettlement assistance. What are the resettlement policies and principles of the Project for affected households? The basic resettlement principles of the Project are: a) All APs are entitled to be compensated for their lost assets, incomes and businesses at replacement cost, and provided with rehabilitation measures sufficient to assist them to improve or at least maintain their pre-project living standards, incomes and productive capacity. b) Lack of legal rights to the assets lost will not prevent APs from entitlement to compensation. c) Compensation for affected assets shall be provided at market rates. d) Preparation of resettlement plans and their implementation is to be carried out with participation and consultation of affected people. e) Payment of compensation for affected assets and relocation of AHs to new sites will be completed prior to commencement of any construction activities. f) Specific assistance will be provided for ethnic minorities, female headed-households, families with disabled, and other vulnerable families. When the Detailed Measurement Survey (DMS)will take place? This activity will be carried out after the detailed design of the 3 components (end of 2013) has been completed. The DMS will identify all affected assets (land, structure, trees, crops etc.) of each HH. The DMS team will be composed of project representatives (PMU staff), the Resettlement Committees, commune staff. The DMS will only be carried out in the presence of the AHs. AHs will be informed prior to the survey. When the Project is expected to commence? The detailed design will take place by the end of Land acquisition and resettlement will take place by mid and the civil works for all components are expected to start by mid-2015 and be completed in When other consultation will take place? Consultation with AHs will continue during the detailed design phase and before the DMS. AHs will receive a written invitation to join the public meetings. If there are disagreements or problems arising during the Project such as compensation or general projectrelated disputes, do I have the right to complain? Any AH may file a complaint or grievance. The Project includes a Grievance Redressal Process and AHs may present their complaints to the concerned local administrative officials and RCs, either verbally or in writing. The complaint can be filed first at the commune level and can be elevated to the highest provincial level if the AHs are not satisfied with the decisions made by the commune or district. AHs will be exempted from all taxes and administrative and legal fees associated with filing and resolving the dispute. Anybody who has questions or concerns about the Project, can contact the following persons: Mr. Nguyen Nhu Cong - Director of PMU Quang Nam, 510 Hung Vuong Street, Tam Ky City, Tel:

66 Appendix 2: Summary of Public Consultation Meeting Minutes I. PARTICIPANTS URBAN TYPE II UPGRADING PROJECT - SUB-PROJECT OF TAM KY CITY Ban Thach River Dike Completion Component Minutes of Public Consultation on Compensation, Support and Resettlement Plan 21 st January 2015 Employer s representatives (The Construction Investment Project Management Unit of Quang Nam province) 1. Mr. Le Ngoc Quy - Position: Project Officer 2. Mr. Ho Huy Quynh - Position: Technical Officer Consultant s representatives 1. Nguyen Xuan Nhan - Resettlement Specialist 2. Nguyen Van Manh - Assistant Officer The representatives of governments and mass organizations of Tan Thanh ward and Hoa Huong ward include: 1. Chairman/Vice Chairman of People s Committee 2. Chairman of Fatherland Front 3. Party Vice Secretary of ward 4. Chairman of Farmers Union 5. Chairman of Women s Union 6. Cadastral officer of ward 7. Leader of Residential Quarter And representatives of the families participating in the consultation meeting. The list of household representatives represent at the consultation meeting is attached to this minute below. II. CONTENTS OF CONSULTATION: 1. The Employer s representative provided information for the participants to the consultation meeting, including: - The description of the project scope and the sub-project scope of Tam Ky city, Quang Nam province - The impacts on land acquisition and property on land; - The policies and measures to mitigate land acquisition impacts on property on land; - The compensation, support and resettlement policy of the Project; - Implementation Plans (the plan for mitigation measures, construction plan, compensation, support and resettlement plan, income rehabilitation plan); - Grievance Redress Mechanism. 2. The Employer s representative provided the representatives of local government and mass organizations and participants to the consultation meeting with the following documents: - Information leaflets about the Project; - The Decision on Compensation Policy in Quang Nam province and the tariff of the compensation unit prices for land, structures, trees, crops in Quang Nam province. - The state documents relating to the compensation. 66

67 III. RESULTS OF CONSULTATIONS: 3.1. The opinions about the road upgrading scale: - The ward leaders and the leaders of residential quarters as well as the representatives of the local mass organizations totally agree with the project investment and the project design. During the design process, the Design Consultant consulted the local authorities and the people The opinions about land acquisition impacts and assets on land of the project implementation: - During the meeting, the Consultant presented the DMS results and the parameters of the land acquisition and property on land, the applicable compensation plans and the entitlement policies for the affected people. - The DMS results was made public to the affected households. During the inventory of losses, household representatives participated in. The inventory of loss was meticulously and detailed The opinions about policies and measures to mitigate land acquisition impact and property on land - The mitigation measures to project impacts are included in the project design through the consultations with the people The opinions about the compensation, support and resettlement policy of project The validity of compensated assets: - Ensure that all affected households will receive the compensation money for they all have been used land stably and are eligible for the compensation. - During the construction, if impacts arise, the statistics and compensation must be implemented fully The compensation unit prices for land and property on land: - The leaders of the communes/wards and the participants to the consultation meeting recommended the compensation based on the replacement costs. - Recommended to apply the same rate of compensation for agricultural land The assistances types and levels: - The support policies comply with the general provisions of the Provincial People's Committee. The provincial support levels are appropriate and ensure the objectivity and the fairness The resettlement plan and resettlement assistance plan: - Proposed to be resettled in place and rebuilding houses on remaining land (for households whose land if enough for rebuilding houses); - Proposed to be inserted the resettlement in the residential areas of the ward to suit the household production conditions and livelihoods. - The arrangement of resettlement plots of land that levy land-use, proposed the project to supports the different money between the land compensation prices and the land prices on sale at the resettlement locations. - The PMU should inform the specific work plans for site clearance so that people can plan to hand over the site on schedule, especially for affected households whose houses are affected and must resettle in order that they can stabilize their lives soon The income restoration activities: - The project does not seriously affect the lives and incomes of the households. - The project support policies such as support for house renting, support for relocation, support for living stability and support for vulnerable group ensured the living conditions of affected households, which are not affected negatively in during the project implementation The opinions about the compensation, support and resettlement plan, the income rehabilitation plan and the land acquisition: 67

68 - The leaders of the wards, residential quarters and the representatives of the mass organizations are unanimous with the implementation plan of compensation, support and resettlement of the Project The opinions about the Grievance Redress Mechanism. - Totally agree with the implementation of the Grievance Redress Mechanism for the settlement of complaints and questions the Employer publicized. The meeting ended at 16.30h on the same day. The representatives of the ward authorities, residential quarters, mass organizations and the representatives of the people attending the meeting together read and agreed with the contents of the minutes of consultation meeting and as the undersigned. The representative of the ward people s committee (signed) The representative of the residential quarters: (signed) The representative of the Employer (signed) The representative of the mass organizations (signed) - Party Secretary: - Representative of the Fatherland Front: Representative of the Women's Union Representative of the Farmers Union - Representatives of the affected households The representative of the Consultant (signed) 68

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