1 Resettlement Plan August 2011 VIE: Comprehensive Socioeconomic Urban Development Project Viet Tri, Hung Yen, and Dong Dang (Dong Dang) Prepared by the Lang Son Provincial People s Committee for the Asian Development Bank.
2 ABBREVIATIONS ADB Asian Development Bank CAP corrective action plan CBO Community-based organization CPC city people s committee CRC city resettlement committee DMS detailed measurement survey DOLISA Department of Labour, War Invalids & Social Affairs EMO external monitoring organization (also known as independent monitoring organization) IOL inventory of losses LURC land use rights certificate m meter m 2 square meter NGO non government organization ODA official development assistance PIB project information brochure PMU project management unit PPC provincial people s committee PRA participatory rapid appraisals PSC project supervision consultant RCS replacement cost study ROW right of way SES socioeconomic survey VND Vietnamese dong NOTE In this report, $ refers to US dollars unless otherwise stated.
3 Definition of Terms Cut-off date Displaced Persons Detailed Measurement Survey Entitlement Income restoration Inventory of Losses (IOL) Land acquisition Relocation Replacement Cost Study Severely affected displaced households Vulnerable groups This refers to the date prior to which the occupation or use of the project area makes residents/users of the same eligible to be categorized as displaced people. The cut-off date will be determined by the City People s Committee (CPC) and formally disclosed to affected persons at the time it is set in order to be effective. The conduct of the formal census and Detailed Measurement Survey (DMS) should occur as close as practical to the setting of the cut-off date. 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. In the context of involuntary resettlement, displaced households are those who are physically displaced (relocation, loss of residential land, or loss of shelter) and/or economically displaced (loss of land, assets, access to assets, income sources, or means of livelihood) as a result of (i) involuntary expropriation of land, or (ii) involuntary restrictions on land use or on access to legally designated parks and protected areas. In the case of affected household, it includes all members residing under one roof and operating as a single economic unit, who are adversely affected by a project or any of its components. This activity involves the finalization and/or validation of the results of the inventory of losses (IOL), severity of impacts, and list of displaced households earlier done during resettlement plan preparation. The final cost of resettlement can be determined following completion of the DMS. Refers to a range of measures comprising compensation, income restoration support, transfer assistance, income substitution, relocation support, etc. which are due to the displaced household, depending on the type and severity of their losses, to restore their economic and social base. This is the re-establishment of sources of income and livelihood of the affected displaces households. This is the process where all fixed assets (i.e. lands used for residence, commerce, agriculture, including ponds; dwelling units; stalls and shops; secondary structures, such as fences, tombs, wells; trees with commercial value; etc.) and sources of income and livelihood inside the Project right-of-way are identified, measured, their owners identified, their exact location pinpointed, and their replacement costs calculated. Additionally, the severity of impact to the affected assets and the severity of impact to the livelihood and productive capacity of displaced households will be determined. Refers to the process whereby an individual, household, firm or private institution is compelled by a public agency to alienate all or part of the land it owns or possesses to the ownership and possession of that agency for public purposes in return for compensation at replacement costs. This is the physical relocation of a displaced household from her/his pre-project place of residence and/or business. This refers to the process involved in determining replacement costs of affected assets based on empirical data. This refers to affected displaced households who will (i) lose 10% or more of their total productive land and/or assets, (ii) have to relocate; and/or (iii) lose 10% or more of their total income sources due to the Project. These are distinct groups of people who might suffer disproportionately or face the risk of being further marginalized by the effects of resettlement and specifically include: (i) displaced households headed by women with dependents, (ii) disabled household heads, (iii) displaced households falling under the generally accepted indicator for poverty, (iv) children and the elderly displaced people who are landless and with no other means of support, and (v) landless displaced households, (vi) ethnic minorities.
4 TABLE OF CONTENTS PAGE I. EXECUTIVE SUMMARY... 1 A. Project Description and Rationale... 1 B. Legal and Policy Framework... 1 C. Project Entitlements... 2 D. Participation and Grievance Redress... 2 E. Income Restoration and Relocation Strategies... 2 F. Institutional Arrangements... 3 G. Monitoring and Evaluation... 3 H. Resettlement Cost and Flow of Funds... 4 I. Disclosure of Draft Resettlement Plan... 4 J. The Corrective Action Plan (CAP) for the Huu Nghi border gate... 4 II. INTRODUCTION... 4 A. Project Description and Rationale... 4 B. Project Land Requirements for the River Embankment Works... 6 C. Minimizing Involuntary Resettlement... 6 D. Background to the Preparation of the Resettlement Plan... 6 III. Scope of Land Acquisition and Resettlement... 6 A. Methodology... 6 B. Summary of Land Acquisition and Resettlement Impacts... 7 C. Impact on land... 7 D. Impact on Housing Structures... 8 E. Impact on Agricultural Land... 8 F. Impacts on Secondary Structures... 8 G. Impacts on Crops... 9 H. Impacts on Businesses... 9 I. Impact on communal Resources... 9 IV. Socio-Economic Information... 9 A. Background to the Socioeconomic Survey (SES)... 9 B. General Demographic Information... 9 C. Livelihood and Economic Status of Displaced People D. Living condition E. Educational Attainment F. Impacts on Livelihood G. Impact on Vulnerable Ethnic Minorities H. Issues and concerns on Resettlement V. Participatory Communication Process A. Objectives and Principles B. Identification of Project Stakeholders C. Information to be Provided to Displaced Persons and Affected Communities D. Means of Implementing the Communication Strategy E. Specific Consultation Matters F. Consultation Activities Undertaken during Preparation of the Resettlement Plan... 15
5 G. Disclosure of the Draft Resettlement Plan H. Disclosure of the Updated Resettlement Plan I. Planned Consultation and Disclosure Measures VI. Grievance Redress Mechanisms VII. RESETTLEMENT POLICIES A. Government of Vietnam s Policies on Land Acquisition and Resettlement B. ADB Safeguard Policy Statement (SPS) C. Mainstreaming Gender D. Reconciliation of Government and ADB Policy on Resettlement E. Project Policies F. Principles for Valuation VIII. Entitlements, Assistance and Benefits A. Entitled Persons B. Entitlement Matrix IX. RESETTLEMENT IMPLEMENTATION STRATEGY A. Options on Resettlement a. Cash Compensation: b. Land for land: B. Transitional Relocation Assistance C. Temporary Impacts D. Unforeseen Impacts X. Income Restoration and Rehabilitation A. Objective and Eligibility for Income Restoration Assistance B. Description of Income Restoration Measures C. Livelihood Support Intervention Measures D. Transitional Stabilization Assistance E. Skills Training Program F. Special Measures to Support Vulnerable Groups G. Resources to Design and Implement the Income Restoration Program XI. Resettlement Budget A. Resettlement Budget Estimate B. Resources XII. Institutional Arrangements A. The City People s Committee (CPC) B. Project Management Unit (PMU) C. Resettlement Committee D Relevant Provincial Government Line Agencies E. Local Administrative Authorities F. Local Mass Organizations G. Project Supervision Consultants (PSC) XIII. Implementation Schedule XIV. Monitoring and Reporting A. Internal Monitoring B. External Monitoring and Evaluation... 47
6 Appendixes Appendix 2.1: Socio-economic Survey Questionnaire 52 Appendix 2.2: Inventory of Losses Affected Displaced People 53 Appendix 2.2: Inventory of Losses Public Property 56 Appendix 2.3: Master list of Displaced People in Dong Dang 60 Appendix 2.4 Public Consultation Minutes 62 Appendix 2.5 Public Information Booklet 64 Appendix 2.6 Draft Terms of Reference Replacement Cost Study 69 List of Tables Table III.1: Involuntary Resettlement Impacts on Affected DP Households... 7 Table III.2: Project Land Requirements - Private and Public... 7 Table III.3: Impacts on Privately Owned Land... 8 Table III.4: Affected Housing Structures... 8 Table III.5: Severity of Impact on Productive Land Holdings... 8 Table IV.1: Survey Respondents... 9 Table IV.2: Household Composition Disaggregated by Sex...10 Table IV.3: Working Status of Household Members...10 Table IV.4: Occupations (Individuals)...10 Table IV.5: Per capita Income Ranges...11 Table IV.6: Categories of Affected Structures...11 Table IV.7: Severity of Impact on Productive Land...12 Table V.1: Attendance at Second Round of Displaced Households Consultation Meeting...16 Table V.2: Planned Consultation Activities Disclosure Measures...18 Table VII.1: Gaps between Government Legislation and ADB Policies and Gap Filling Measures...24 Table VIII.1: Entitlement Matrix...28 Table IX.1: Provisional Transportation Allowance Entitlements...34 Table IX.2: Subsistence Allowance Rates...35 Table XI.1: Resettlement Budget Estimate...40 Table XIII.1: Resettlement Activity Schedule...45 Table XIV.1 Monitoring and Evaluation Indicators...50 Table XIV.2: Estimated Budget for Corrective Action Plan... 8 List of Figures: Figure I.1: Educational Status of Displaced Persons
7 A. Project Description and Rationale I. EXECUTIVE SUMMARY 1. The proposed subprojects in Dong Dang include the (i) Huu Nhgi border gate (ii) drainage and (iii) river embankment. A Due Diligence Study has been prepared for Huu Nghi border gate in view of the requirement of the Asian Development Bank s (ADB) Safeguards Policy Statement (SPS, 2009) to review the resettlement of indigenous peoples households. A Corrective Action Plan (CAP) has also been prepared as a separate document from the draft resettlement plan. 2. This document is a draft resettlement plan prepared for the proposed river embankment of Dong Dang. The proposed subproject is 850 meters (m) river embankment with a 5m easement from both sides intended to serve as flood control. The total land required for the project area 8,500 square meter (m 2 ). 3. The Provincial People s Committee (PPC) of Dong Dang is the executing agency. The sub project is being proposed for funding from the ADB, and has therefore to fully comply with the ADB s safeguard policies. 4. Of the 8,500m 2 of land required for the river embankment, about 6,567.5 m2 of land belong to affected households. The remaining 1,932.5m 2 belong to government land. 5. A total of 43 households will be affected by the subproject. Of this, 25 households will lose residential structures with an aggregate area of 1,694.6m 2. All of the displaced people are ethnic minorities belonging to the Nung tribe. 6. A total of 16 ethnic minority displaced households will lose agricultural land with an aggregate area of 2,394.5m 2. Twenty seven displaced households will lose residential land with an area of 4,173m 2. Of this, 4 ethnic minority displaced households will be removed and 23 will not be removed. The 23 households who will lose partial of residential land still have remaining viable land for residential use. The viability of land for residential land is 40m 2 according to government s regulation. B. Legal and Policy Framework 7. The land acquisition, compensation and rehabilitation of project affected household will be governed by the National laws, and of the ADB s SPS and Policy on Involuntary Resettlement (1995). The policy of the Government of Vietnam (Government) on compensation, assistance and relocation has been improved significantly in recent years (Land law-2003; Decree ; Decree , Decree 69/2009, etc.) and very close to the requirements of the ADB standards on involuntary resettlement. 8. Vietnam has created a special Program 135 and 30A intended for ethnic minority people to give protection support and access to credit facilities. This program supports the ADB s policy on ethnic minority peoples to ensure that indigenous peoples receive culturally appropriate social and economic benefits and do not suffer adverse impacts as a result of projects. 9. The Project Compensation and Resettlement policy are guided by the following principles: (i) land acquisition should be minimized as much as possible, (ii) ensure that affected
8 2 people receive compensation at full replacement values and with relocation assistance so that they will be at least as well off or at least in better condition as they would have been before the project took place. 10. The cutoff date for entitlement to compensation and assistance will be set and publically announced by the Lang Son People s Committee during the updating of the resettlement plan. C. Project Entitlements 11. A fundamental objective of the Project resettlement policy is to replace and compensate lost assets based on the principle of replacement cost. Compensation and various forms of assistance will be provided and income restoration programs, as needed, will be put in place prior to the displacement of displaced households from their houses, land, and other assets, in a way that will ensure that their standards of living are at least restored to their pre-project levels, and that those in the category of vulnerable groups (such as poor households, ethnic minority households, etc.) are assisted to help improve their socioeconomic status. In addition to compensation at replacement cost, displaced households will receive additional entitlements, incentives and assistance for displaced households that will lose their land and other assets. D. Participation and Grievance Redress 12. Two rounds of public consultation meetings were done participated by various stakeholders comprising of local officials, affected households, women, youth, and business sectors. Various approaches were utilized in participatory process which included key informant s meeting, structured survey of households and informal group meetings. Keeping the ethnic minority displaced households informed and getting them involved will continue during the updating and implementation of the resettlement plan consistent with the project s participatory approach. A grievance redress mechanism has been designed to ensure that the complaints and grievances of displaced households are addressed and resolved in a timely and satisfactory manner. A grievance Committee will be established also in the communes where grievances can be dealt with more effectively by local people tasked to address the issues and concerns of affected households. After project approval, when the resettlement plan has been approved, a Public Information Booklet (PIB) will be prepared for dissemination to affected households on their rights and entitlement. The resettlement plan will be disclosed and be made available to the communes where affected households can have access to examine its contents. E. Income Restoration and Relocation Strategies 13. Ethnic minority displaced households losing 10% or more of their productive assets and income sources will participate in an income restoration program that will be developed as a collective effort of the displaced people, the executing agency, the relevant people s committees, and the consultants during the updating of the resettlement plan following the approval of the project. 14. The four households losing residential and entire houses will be paid with compensation at replacement cost. Similarly; the 23 displaced households losing full or a portion of their residential land will be paid with compensation at replacement cost. These 23 displaced households have still remaining land for residential purposes.
9 3 15. The 16 displaced households who will lose agricultural land will be paid with cash compensation at replacement cost. All displaced households will be provided with incentives and bonuses as additional benefits as established in Decision 21/2009/QD-UBND. In Dong Dang, the incentive is 3 times the value of the replacement agriculture land. The displaced households will not be displaced until after they have received in full the compensation and applicable allowances due to them. F. Institutional Arrangements 16. The PPC is the executive agency with the Ministry of Planning as the facilitator. The executing agency is overall responsible for the satisfactory implementation of resettlement. A Social and Resettlement Unit in the executing agency/project management unit (PMU) will be organized to collaborate with the province and the district resettlement committees that the PPC of Dong Dang will set up following approval of the subprojects. 17. The Provincial and the District resettlement committees (DRC), and with guidance from the resettlement specialist of the project supervision consultant (PSC), will spearhead the updating of the draft resettlement plan. Said resettlement committees will likewise spearhead its implementation. The Vice Chairman of the PPC and the District People s Committees heads the resettlement committees. Members come from various departments and representatives of local organizations, including the displaced people. 18. The Project consultants will assist the executing agency and the resettlement committees in ensuring that the draft resettlement plan is prepared and implemented according to the project resettlement policy approved by the Government and the ADB. For this reason, the consultants will provide the necessary training and capacity-building interventions to the executing agency, the city and DRCs. 19. Updating of the draft resettlement plan will commence following approval of detailed engineering design. An Independent Appraiser will be hired by the executing agency to conduct detailed assessment on replacement cost which will be used for compensation. The executing agency will submit the draft updated resettlement plan to the ADB for review and approval. Displacement of people from land, other assets, and sources of income and livelihood cannot commence until the updated draft resettlement plan has been reviewed and approved by the ADB. Moreover, construction activities in a specific section of the proposed subprojects cannot begin until compensation payment and relocation to new sites, as needed, for displaced households in said section have been satisfactorily completed, agreed rehabilitation assistance is in place, and that said section is free of all encumbrances. Below is an indicative schedule of the updating and implementation of the resettlement plan. G. Monitoring and Evaluation 20. The executing agency will be responsible for internal monitoring of resettlement activities, ensuring that the draft resettlement plan is updated and implemented according to the approved project resettlement policy. The results of internal monitoring will be included in the monthly progress reports the executing agency will submit to the ADB. The executing agency will engage the services of an external monitoring organization (EMO) at the start of updating of the draft resettlement plan. The EMO will submit an inception report one month following its mobilization and quarterly reports on the updating and implementation of the draft resettlement plan. The EMO will suggest corrective measures for any problems it identifies. The EMO will
10 4 likewise conduct a Post-resettlement Evaluation Study 6 12 months after the completion of resettlement plan implementation. H. Resettlement Cost and Flow of Funds 21. Resettlement cost of 43 households is about VND 24,374,559,392 (approximately $1,218,728) as indicated in Table XI.1. The cost of resettlement will be finalized following the updating of the resettlement plan based on replacement cost following approval of the subprojects. Overall, the costs include compensation and allowances, design and implementation of income restoration programs, operational/ administration expenses, internal and external monitoring and contingencies. The executing agency will provide the funds for resettlement in a timely manner. Funds for resettlement will be coursed through the City resettlement committee and its counterpart in the districts. Payment of compensation and allowances will be given to the displaced households in the office of the commune. I. Disclosure of Draft Resettlement Plan 22. The draft and updated resettlement plan will be disclosed to the displaced people and key stakeholders. J. The Corrective Action Plan (CAP) for the Huu Nghi border gate 23. A CAP has been separately drafted to cover the Involuntary Resettlement impacts associated with the land acquisition for the Huu Nghi Cross Border Facility (CBF) which is a component of the Project (prepared under ADB Technical Assistance [TA] 7516-VIE). Acquisition of land for the CBF commenced in accordance with Government legislation and resettlement assistance policies prior to project preparation under the ADB-financed project preparatory TA. The objective of this CAP is to ensure that compensation, assistance and other required mitigation measures fully comply with ADB s SPS as well as Government requirements through the provision of supplementary compensation, assistance and other gap filling measures to ensure compliance. The CAP is a safeguards document (as understood in the context of ADB s SPS) and has the same status and standing as a Resettlement Plan. It is a document owned and endorsed by the executing agency and requiring ADB concurrence. Like the Resettlement Plan for Dong Dang Town, the CAP will require disclosure, updating prior to implementation as well as final endorsement and concurrence from ADB prior to approval of commencement of civil works. The CAP is to be considered as an Addendum to the Dong Dang Resettlement Plan with policies, principles and entitlements to apply as set out in the Dong Dang Resettlement Plan. II. INTRODUCTION A. Project Description and Rationale 24. The Vietnam Comprehensive Socioeconomic Urban Development Project Viet Tri, Hung Yen and Dong Dang aims to develop Viet Tri, Hung Yen, and Dong Dang to complement Hanoi as northern Vietnam's economic centers and to contribute to the transformation of the North-South economic corridor (NSEC) from transport corridor to full-fledged economic corridor. The planned outcome of the project is improved urban infrastructure and municipal services in the project cities through investing in urban infrastructure construction and upgrading, and strengthening local governments' urban management capacities. The three project urban areas, (Viet Tri, Phu Tho province; Hung Yen, Hung Yen province; and Dong Dang, Lang Son province)
11 5 are located along the NSEC outside Hanoi, and classified as secondary cities and towns in northern Vietnam. 25. Dong Dang is a border town between Vietnam and People s Republic of China (PRC), and the Huu Nghi border gate in Dong Dang is the major border gate that handles around 70% of the transit of freight and passengers between Vietnam and PRC along the NSEC. Total trade in this particular border gate in 2010 was valued at $859 million and the volume of passengers was recorded at 710,606 people. Over the last decade, annual growth in trade and passengers rose by an average of 18% and 15% respectively. Trade volume in 2020 is expected to rise about 10.2 million tons, or $2.78 billion in terms of value. Total passenger traffic is expected to reach 1.4 million in the same year. It is clear that the existing capacity of the Huu Nghi border gate will not be able to handle such expected increases in trade and passenger traffic. 26. The project will deliver the following outputs in Dong Dang. The details of the components will be finalized during the detailed design stage. (i) (ii) Dong Dang drainage and flood protection. The project will improve the drainage networks and build riverbank protection to protect Dong Dang town from inundation. Drainage pipelines have been laid along one side of roads, however, the capacity of these pipelines is not sufficient, and overflowing on the road surface during heavy rain is a common phenomenon. The market place is suffering from frequent events of flooding due to inefficient drainage conditions. This component will help increase the capacity of existing drainage networks and protect the market from frequent inundation. Dong Dang border gate facility. This component aims to improve handling of immigration and emigration of cross-border passengers and custom clearance of goods for import and export at the Huu Nghi border gate. The project will build (a) office buildings and footbridges connecting the buildings, (b) infrastructure within the border gate complex such as roads with drainage and car park, and (c) Vietnamese section of the connecting road between the Vietnamese and Chinese border gates for transportation of goods. The government requested the mission to change the alignment of the road for goods transportation. It was confirmed that the proposed change will be considered during detailed design and the additional cost incurred by this change will be paid by the government counterpart funds. 27. The scope of this resettlement plan covers only those impacts associated with land acquisition for the riverbank works. The Dong Dang drainage and flood protection component will require land acquisition for the riverbank protection works only. Other works to improve the towns drainage will utilize existing public easements and will not cause any permanent displacement (either physical or economic), but will create some temporary access restrictions while works are being implemented. 28. The temporary disruptions to market activities are covered under the Ethnic Minority Development Plan (EMDP). The associated mitigation measures will focus on coordination of civil works to minimize restricted access and provision of compensation for temporary losses of incomes for market vendors. Please refer to the Dong Dang EMDP for further details on these mitigation measures.
12 6 29. Land acquisition for the Dong Dang border gate facility project in Viet Tri has already commenced prior to the commencement of the project preparatory TA. Resettlement mitigation measures for the border gate facility are covered under a separate CAP which will have the same status as a resettlement plan requiring executing agency endorsement, ADB concurrence and compliance with both Government legislation and ADB safeguard requirements. Please refer to the Dong Dang CAP for further treatment of this component. B. Project Land Requirements for the River Embankment Works 30. The river embankment is 850m long with an easement of 5m wide on both sides of the river. As such the total area required by the project for this civil works is 850m 2 425m 2 either side of the river. C. Minimizing Involuntary Resettlement 31. There river embankment works are required to reduce the risk and severity of flooding to the town as well as to those households residing in the affected area. The works require raising the height of the riverbank and providing sufficient foundation for the raised embankment. As such it is not possible to minimize resettlement impacts further than has been designed. D. Background to the Preparation of the Resettlement Plan 32. The social assessment undertaken revealed that there are families, establishments and productive land that will be affected by the proposed urban road. The policies of both the Government and ADB require that for development project involving resettlement, a draft resettlement plan is to be prepared at the feasibility stage (or project preparation stage) which is to be updated at the detailed design stage prior to implementation. 33. This draft resettlement plan iterates the physical and socioeconomic impacts resulting from the proposed land acquisition and presents mitigation measures to restore, if not improve, the material conditions and standards of livings of those affected as well as provide a means for their meaningful consultation and participation in the process. 34. The draft resettlement plan draws on the following bases of policies and legislation as well as sources of information: (i) Government s policies on land acquisition and compensation; (ii) ADB s SPS and other related policies; (iii) Socioeconomic Survey (SES) of Affected Families, February 2011; (iv) Inventory of Losses (IOL), February 2011; (v) Results of consultations and focus group discussions. III. SCOPE OF LAND ACQUISITION AND RESETTLEMENT A. Methodology 35. An SES was carried out along with the IOL to identify the magnitude of resettlement impacts. Details on the IOL obtained information on names of displaced person and all assets that are within the scope of the proposed easement which include productive and residential land, housing structures, business establishments, and miscellaneous items (fence, tombs, and wells).
13 7 36. Several methods were used to obtain the socioeconomic data, inventory of displaced households (IOL and SES). The SES utilized a questionnaire (Appendix 2.1 Socioeconomic Survey Questionnaire). Enumerators were hired to interview head of affected displaced households, and in the absence of head of household, the wife or next person of age who can make decision for the family may be a replacement. The SES and IOL were completed in March 2011 along the river bank of Dong Dang represented by 100% of displaced households using the IOL questionnaire, (Appendix 2.2 Inventory of Losses). A master list of affected households and inventory of lost assets is found as a separate volume accompanying this document. 37. In addition to using the IOL questionnaire, interviewers had to conduct actual measurement on the dimension of affected land and structure using cadastral maps provided by the PMU. Majority of the affected land to be acquired are not so large which can be measured by foot walk to validate information provided by the head of households. Information gathered were encoded using a social statistics analytical software and a data base on the IOL was produced. B. Summary of Land Acquisition and Resettlement Impacts 38. Within the scope of the subproject, a total of 43 displaced households are expected to be affected by land acquisition and resettlement. Of this, 4 displaced households will be required to relocate while 23 displaced households have their residential land and structures marginally affected but will not be required to relocate. In addition, there are another 16 households who will lose productive land. All of the affected displaced households belong to Ethnic Minority Peoples of the Nhung Tribe and have lived in the area for over 30 years reflecting stability of life. Table III.1: Involuntary Resettlement Impacts on Affected DP Households Displaced Households Component Affected Houses (partial/full) Required to Relocate Losing Residential Land Losing Agricultural Land Only Total Riverbank C. Impact on land 39. Land required for the river embankment is about 8,500m 2. Of this, 6,567.7m 2 (77%) belong to private land. The remaining 1,932.3 m 2 (23%) belong to public land. The 1,932.5 m 2 of public land is unused land within the river s right of way. Table III.2: Project Land Requirements - Private and Public Land (m 2 ) Project Requirement Private Public 8,500m 2 6, , Of the 6,568m 2 of private land to be acquired, 2,395m 2 is agricultural land owned by 16 households and 4,173m 2 is residential land owned by 27 households. The agricultural land is basically paddy land and small area of land planted with a variety of vegetables.
14 8 Table III.3: Impacts on Privately Owned Land Agricultural Land Residential Land Displaced Displaced Area (m 2 ) Households Area (m 2 ) Households Total (m 2 ) 2, , , The acquisition of 210m 2 of residential land will affect 4 displaced households who will be resettled. These displaced households are residing within the scope of the 5-m easement of the river bank. There are also 23 displaced households whose residential land will be partially affected but will not be required to relocate. Displaced households that will need to relocate do not have sufficient remaining land to build their houses so they will all have to re-build their houses in another location. However, 23 displaced households still have remaining viable land for residential use. The viability of land for residential land is 40m 2 according to government s regulations. D. Impact on Housing Structures 42. The housing structures of the displaced households that will be removed, and portion of structures of 25 displaced households that will be affected, have a total floor area of around 1,963.8m 2. A total of 1,853.8m 2 are classified as Category 4 (lower standard permanent structures) belonging to 22 displaced households. The remaining 113m 2 is classified as Category 3 (higher standard permanent structures) belonging to 3 displaced households. Table III.4: Affected Housing Structures Category 4 Category 3 No. of No. of Subproject Area (m 2 ) Households Area (m 2 ) Households River Bank E. Impact on Agricultural Land 43. The scale of the subproject is limited to 850m consisting of an easement of 5m on both sides of the river. As such the impact on agricultural land is not very large as the acquisition is only 2,394.5m 2 belonging to 16 displaced households. Of the 16 displaced households that would lose agricultural land, 15 would lose between 10% and 30% of their total area. One displaced households would lose less than 10% of their agricultural land. Table III.5: Severity of Impact on Productive Land Holdings Displaced Households Required to Relocate Displaced Households Not Required to Relocate Subproject None or <10% <10% 10% 30% >30% River Bank F. Impacts on Secondary Structures 44. There are two households that will be affected with the loss of secondary structures consisting of approximately 110m 2 of paved yards.
15 9 G. Impacts on Crops 45. The land was not observed to be under cultivation at the time of the IOL. No impacts on crops and trees are thus noted for the draft resettlement plan. However, this will be reviewed again at the time of the DMS. H. Impacts on Businesses 46. No commercial businesses (including informal sector/non-registered commercial operators) were identified by the IOL as being adversely affected by the Project. This will be reconfirmed during the updating of the resettlement plan at which time the cut-off date will be set. I. Impact on communal Resources 47. There is one communal asset which will be affected by land acquisition consisting of local shrine built on 25m 2. The Project will need to make appropriate arrangements and provide sufficient funds to relocate this shrine in a culturally sensitive manner in consultation with the affected community. The support provided under this resettlement plan will need to include funds for a ceremony to re-dedicate the relocated shrine as needed. Otherwise, the project activities will have a significant positive impact on the community s environment and wellbeing. IV. SOCIO-ECONOMIC INFORMATION A. Background to the Socioeconomic Survey (SES) 48. Socioeconomic information of the displaced households was obtained through the conduct of a SES. The SES utilized a questionnaire administered to 34 households (79% of displaced households). The survey respondents were interviewed personally by enumerators. The survey respondents were typically the official household head or otherwise another designated adult household member, such as spouse, who could provide the relevant information on behalf of the family. This section presents the baseline information on the socioeconomic status of affected households of the road sub-projects in Viet Tri City obtained from the household socioeconomic survey. B. General Demographic Information 49. There are in total 43 affected households as a result of the improvement on the river bank. Of these, 34 (79%) households were interviewed and consulted regarding their project. Total numbers of household members are 152, having an average family size of 4.4 members. Table IV.1: Survey Respondents Total No. of Affected Respondents surveyed Household Subproject Households Households Persons Size Riverbank Gender of household respondents comprise of 62% male and 38% female. Of the total household members, females represent 42% and male 48%.
16 10 Table IV.2: Household Composition Disaggregated by Sex Surveyed head Sex of Respondent Sex of HH Members Location of household Male Female Male Female Dong Dang Percent C. Livelihood and Economic Status of Displaced People 51. About 84 household members are gainfully employed. There is a slight difference of 2% higher among male working members (51%) with that of female working members (49%). Table IV.3: Working Status of Household Members Working Members Subproject Male Female Total River Bank Percent Occupations of working members are varied. The majority 37 persons (44%) are having business, followed by 32 persons (38%) who are engaged in agricultural related work. The rests are working as laborers (11%) and doing service jobs (2.4%), and office work (3.6%). Table IV.4: Occupations (Individuals) Subproject Type of Work Total Working Displaced Household River Bank Agriculture Laborer Business Office Service Members Total Percentage The poverty line applicable in the project area is based on the criteria defined by the Ministry of Labour, War Invalids and Social Affairs (MOLISA). The poverty line is typically reviewed every five years and was most recently reviewed and updated in The current poverty line is defined as households having an average monthly per capita income of less than VND 400,000 for rural areas and less than VND 500,000 for urban areas. In addition to the poverty line, there is also a category of near poor which is defined as households with average per capita incomes below VND 520,000 and VND 650,000 for rural and urban areas, respectively. The most recent official household survey conducted in the project area took place during the period October to November The household income reveals the economic status of affected households. The household survey shows that there are variations in monthly per capita incomes of affected households in terms of range which are spread almost evenly among income ranges. There are 30.3% that falls within an income range of VND 501,000 VND 650,000, while 39.4% fall within the range of between VND 651,000 VND 1 million. The remaining 30.3% fall within the range of over VND 1 million. According to Vietnam statistics, the latter is considered as nearing poor. There are 10 households belonging under this category which are considered as vulnerable, requiring livelihood assistance.
17 11 Table IV.5: Per capita Income Ranges Dong Dang No. of Households % Total Displaced Households Less or equal VND 500, VND 501,000 VND 650, VND 651,000 VND 1 million >VND 1 million Total VND = Vietnamese dong. D. Living condition 55. There are only two types of affected structures. Affected portion of structures under Class 4 (low class standard materials) belongs to a 22 households with a total measurement of 1,853.8m 2. Class 3 housing structures are higher standard permanent structures. These comprise 110m belonging to 3 households. E. Educational Attainment Table IV.6: Categories of Affected Structures River Bank Class 4 Class 3 Floor Area 1, No of households In terms of education, the survey results indicate that there is generally a high percentage of household members in the river embankment sub-component who have obtained education. Of the 152 displaced household members surveyed, 139 (91%) members have obtained some form of education. Of this, 43 (31%) members have reached primary education; 55 (40%) members have reached secondary school and 35 (25.2%) members have reached high school. Only 6% is illiterate who basically are elders. 60Educational attainment No. Educational attainment % Educational attainment No., Primary, 43 Educational attainment No., Secondary, % Educational attainment No., High School, Educational attainment No., Illiterate, % 25.5% 0 4.3% Illiterate Primary Secondary High School Figure IV.1: Educational Status of Displaced Persons
18 12 F. Impacts on Livelihood 57. There are 32 persons engaged in farming. The majority of the households engaged in farming (15 households) would lose over 10% but less than 30% of their land. As such, the impact on livelihood associated with agricultural related job is considered a significant impact by the standards specified in the SPS but below the Government threshold which is greater than 30% loss. In view of the Government and ADB s provision to protect the interests of ethnic minority households, all of the displaced households will participate in the livelihood program which shall be seriously coordinated with Department of Labour, Invalids, Social Affairs (DOLISA) and other institutions. 58. The displacement of four households will have an impact on loss of both house and residential land, compelling them to buy land and re-establish their dwellings. The dislocation and re-establishing of residential homes of the displaced households will have a temporary impact on work of household heads, as well as women. Daily labor may be marginal as this work is reliant on localized work around Dong Dang. The long term nature of the impacts on daily labor is likely to depend on the communities into which displaced households relocate as this might require transport cost to current place of work. Business will not be affected as these are not affected by the land acquisition and will continue to function. Table IV.7: Severity of Impact on Productive Land Displaced Households Required to Relocate Displaced Households Not Required to Relocate Subproject None or <10% 10% 10% - <30% Total Riverbank G. Impact on Vulnerable Ethnic Minorities 59. There are about 10 households who were identified as vulnerable whose per capita incomes fall within the bracket as nearing poor having an income in the range VND 501,000 VND 650,000. By Vietnam standards, ethnic minorities are considered as vulnerable groups entitled to focused attention to their needs. As already mentioned, all 43 displaced households shall participate in the livelihood program that shall be initiated in this project as specified in Section 9 of this document. 60. The loss of housing structures among displaced households, particularly women may result in stress and additional burden on working women as they establish back their dwelling units and adapt to their new environment. Establishing their homes to other places will have an impact on the traditional social network which is very important for the displaced households. It is recommended that social integration of displaced households will have to be supervised and monitored closely by the PMU. In addition to compensation at replacement cost, appropriate land within the indigenous peoples social network must be provided to displaced households. 61. The social cost associated with this impact most often outweighs the physical cost of compensation. Social integration must be undertaken as part of the program of resettlement to streamline the displaced households into their traditional or new social environment. H. Issues and concerns on Resettlement 62. Several issues were raised during the consultations and community held in various communes in Dong Dang. Primary concerns include the following:
19 13 (i) (ii) (iii) (iv) Compensation cost of land Loss of productive land leading to possible change of livelihood No skills for alternate job No land to buy another land 63. Details on the issues and concerns are found in the documentation of the consultation proceedings, attached as Appendix 2.4. A. Objectives and Principles V. PARTICIPATORY COMMUNICATION PROCESS 64. The stakeholder communication policy is based on the principles of transparency, timeliness, participation, meaningful engagement, and inclusiveness. Means of communication and consultation are to promote participation of those who may otherwise tend to be marginalized such as women, elderly, and the poor. Stakeholder communication will encompass institutional stakeholders, communities within the project area, and persons directly affected by the project. 65. Participation of stakeholders is essential to reach the objectives of the resettlement policy. Under the Vietnamese Law, Decree 84/2007/ND-CP, it is necessary to write to the communes and inform them of likely impacts from the scheme on environmental and resettlement issues, and request their response. The ADB SPS likewise requires meaningful consultation of stakeholders to involve them in the resettlement process. 66. Communities and affected individuals will be meaningfully consulted on all project activities which affect them. Such consultation shall take place as early as possible in the project and be ongoing, continuing throughout the project cycle. Consultations will be timely with information provided when the feedback of consultations could be incorporated in to design features or mitigation measures and prior to commencement of any project activity. Consultation will include information on project objectives and policies; project technical design; implementation activities and schedules; potential and actual impacts and risks such as environmental, resettlement, livelihood, access restrictions, HIV/AIDS transmission, and human trafficking along with mitigation measures; benefit and opportunities; institutional arrangements; grievance redress mechanisms; and the results of project monitoring and evaluation. All significant communications will be recorded1 and stakeholders will have the opportunity to present questions, opinions and suggestions. B. Identification of Project Stakeholders 67. Institutional stakeholders include (i) government agencies responsible for the design, management, and implementation of the project; and (ii) state institutions, civil society (community based organizations and mass organizations), and private sector institutions whose mandates share an interest with the outcomes and/or impacts of the project. 68. Communities within the project area as well as individuals directly affected by the project have a natural vested interest in the effectiveness of project design and implementation as well 1 Significant consultations will typically be recorded in writing (such as minutes) and with the informed consent of those participating.
20 14 as mitigation of negative impacts and maximization of project benefits and are primary stakeholders. 69. In the context of this resettlement plan the primary stakeholders are the displaced persons and any host communities to which those physically displaced may relocated to. C. Information to be Provided to Displaced Persons and Affected Communities 70. Information to be provided to displaced persons and affected communities shall include the following: (i) (ii) (iii) (iv) (v) (vi) (vii) Project details, including purpose, benefits, physical description, implementation arrangement and schedules. Project implementation arrangements, including institutional framework, contact points, and implementation schedules. Project impacts and risks, including land acquisition, loss of other physical assets, restrictions on land use and access (temporary and permanent), impacts on livelihoods, as well as other social impacts/risks (road safety, HIV/AIDS, human trafficking, etc.). Project mitigation measures, including compensation, transitional assistance, income restoration measures, resettlement options, other social impact mitigation measures. Information and consultation measures, including communication plan, rights and processes for inquiry and grievance redress, and contact persons to obtain information. Disclosure of draft and updated resettlement plans. Periodic reports of the resettlement external monitoring agency. D. Means of Implementing the Communication Strategy 71. The means of implementing the communication strategy shall include the following: (i) (ii) (iii) (iv) (v) (vi) Public meetings with affected communities. Group meetings with all displaced households. Both spouses heading displaced households shall be formally invited to attend consultation and information dissemination sessions. The Women s Union is to encourage active participation of women in displaced households and arrange separate meetings with affected women as needed. Information sessions will be conducted by the PMU, Resettlement Committee and Ward/Commune People s Committees with support from the Project Management Assistant Consultants. Relevant mass organizations relevant to the needs of the affected people are to actively attend. Such mass organizations would include agencies such as the Women s Union, Farmers Union, Fatherland Front and Youth Union. Particular attention will be paid to ensure the participation of the vulnerable or otherwise those at risk of marginalization. The location as well as timing of consultation meetings will be arranged to foster attendance and cause least disruption to displaced households work and family care responsibilities. All consultation and disclosure activities will be properly documented. All minutes of meetings and attendance sheets will be prepared and recorded. Comments of participants will likewise be recorded in the minutes (with their informed consent).
21 15 E. Specific Consultation Matters 72. Participants in consultation meetings are to be given the opportunity to raise comments and present questions. In the context of the resettlement plan, displaced households are to be actively consulted on the following: (i) (ii) (iii) Resettlement preferences, including resettlement site selection and design; Special resettlement needs of vulnerable persons such as households headed by women, elderly residing alone, persons with disabilities. Income restoration measures, including types of mode of training delivery, and other measures deemed appropriate and/or viable. Income restoration measures are to be suitable to the capacity, needs and interests of those affected. F. Consultation Activities Undertaken during Preparation of the Resettlement Plan 73. Consultation during the preparation of the draft resettlement plan included two rounds of stakeholders consultation: (i) (ii) (iii) during project scoping where information of the project was disseminated in all affected communes, during the resettlement planning and validation of study results, and during disclosure of draft resettlement plan 74. Community participation started with data collection which served as baseline information on project affected households. Various approaches were utilized in gathering qualitative and quantitative data which include the following: (i) key informants interview with the Provincial and District local heads and affected families; (ii) household survey (79 %) of project affected households. Collected information were analyzed and processed which formed the basis for resettlement planning. 75. The first consultation on subprojects of Lang Son, particularly on the riverbank improvement was done on 14 January 2011 at the Peoples Committee at Cao Loc District, designed as a cluster meeting of representatives from affected communes. The objectives were to: (i) inform the communities about the proposed project; (ii) obtain people s views and comments on project impacts and risks; (iii) get people s recommendation to improve the project design. This was participated by the affected households, market vendors, market administrator. The second consultation (Displaced Households Consultation Meeting) which took place in 25 February 2011 was conducted in the People s Committee, Dong Dang (Annex 2.4 Consultations Minutes). This was undertaken simultaneous with the social survey and inventory of lands. All affected households participated in the consultation meeting. The approach involved open and participatory method intended to provide a forum for communities and affected persons to give their perceptions, comments, project impacts or risks and recommendations on their specific concerns. 76. The second consultation discussed in detail with displaced households relocation issues and concerns. Attendance at the second round of consultations is set out below.
22 16 Table V.1: Attendance at Second Round of Displaced Households Consultation Meeting Displaced Households Component Total Male Female River embankment (drainage component) (57%) 13(43%) Summary of Issues and Concerns 77. The common issues and concerns raised during the consultation meetings and consultations relate to the following issues: (i) (ii) (iii) Compensation: Rates on compensation was perceived as low especially valuation on agricultural land. Resettlement: Concerns on accessibility, and types of facilities at resettlement sites Attitude towards the project: Overall, there is positive attitude towards the project and high level of acceptability as benefits expected are wide ranging. The improvement on the river bank is viewed as an initiative that would give protection to the people in the area. Experience of the people during rainy season confirmed that the water rises up to knee length and this has affected the quality of water as well as affecting the health of women and children. 78. Documentation on the consultation meetings is attached as Appendix 2.5. G. Disclosure of the Draft Resettlement Plan 79. The draft resettlement plan will be disclosed to all displaced households by way of a PIB. The PIB presents salient information about the Project, anticipated impacts, as well as planned mitigation measures. A copy of the PIB is attached to the draft resettlement plan as Appendix 2.6. The PIB will be disseminated by the relevant commune/ward People s Committees following ADB s formal review of the draft resettlement plan which will be verified by the PMU. The PIB will also be posted in an accessible public place. A translated copy of the draft resettlement plan will also be provided to each commune/ward People s Committee. A translated copy of the draft resettlement plan will be provided to each commune/ward People s Committee. Following ADB s concurrence the draft resettlement plan will also be uploaded on ADB s website ( H. Disclosure of the Updated Resettlement Plan 80. Disclosure of the draft updated resettlement plan to displaced households will be carried out by the resettlement committee prior to finalization of the updated resettlement plan. Following ADB s concurrence to the updated resettlement plan, the resettlement plan will be formally disclosed by way of PIB, distribution of translated resettlement plan to each ward/commune People s Committee Office and uploading of the resettlement plan on ADB s website as well as the executing agency s project website (as established). The translated version of the resettlement plan distributed to the local People s Committee offices shall be accessible to affected persons. The PIB will be distributed to all displaced households with general contents including: (i) project profile, (ii) project impacts, (iii) compensation and entitlements, (iv) grievance redress mechanism, and (v) resettlement procedures, timing of payments and schedule. Resettlement monitoring reports will also be made available to
23 17 displaced people and will be uploaded on ADB s website. I. Planned Consultation and Disclosure Measures 81. Planned consultation activities and disclosure measures are summarized in the table below.
24 18 Table V.2: Planned Consultation Activities Disclosure Measures Issue Target Audience Means of Communication Responsible Timing Resettlement Issues Project design, objectives, policy, implementation arrangements, likely impacts and planned mitigation measures Results of land acquisition and resettlement surveys, mitigation options, anticipated schedules Planned resettlement plan mitigation measures, including compensation rates and entitlement matrix Communities in the project area Affected households Affected households Public consultation meetings Public consultation meetings at convenient locations Public consultation meetings at convenient locations Income restoration activities Affected individuals Various -including public meetings, focus group discussions and individual consultations Disclosure of draft and updated resettlement plan Implementation schedule of resettlement plan and civil works Disclosure of periodic External Resettlement Monitoring Reports Other Social Impact Issues Implementation schedule, restricted access, disruptions, hazards, opportunities for project work, road safety, HIV/AIDS and trafficking. Affected households; Communities in project areas. PIB, translated resettlement plan publically accessible in local people s committee Office, uploaded on ADB website/executing agency website. PMU, PSC, local authorities PMU, PSC, local authorities Resettlement Committee, PMU, PSC, local authorities Resettlement Committee, Women s Union, local authorities, PSC, DOLISA, private industries PMU with support of PSC. Disseminated by local authorities Affected households Public consultation meetings Resettlement Committee, PMU, local authorities Displaced households representatives, local authorities, mass organizations Communities in the project area. Public meetings translated report publically accessible in local People s Committee Office, uploaded on ADB website/ executing agency website. Public information meetings, IEC materials, public announcements in local communities. External Monitor PMU, local authorities, PSC, HAPP/HTPP service provider, works contractor Early in each phase of Project preparation; Project detailed design Soon after completion of resettlement surveys (DMS) Prior to finalization of updated resettlement plan Periodic as needed to commence after completion of DMS. Upon receipt of concurrence by ADB Ongoing prior to implementation and upon significant change in implementation schedule. Upon completion of periodic monitoring reports Ongoing during implementation. ADB = Asian Development Bank, DOLISA = Department of Labour, Invalids, and Social Affairs, HAPP/HTPP = HIV/AIDS and human trafficking prevention program. IEC = information, education and communication, PIB = project information brochure, PMU = project management unit, PSC = project supervision consultant.
25 19 VI. GRIEVANCE REDRESS MECHANISMS 82. This section presents information and arrangement for addressing conflicts and appeal procedures regarding eligibility and entitlements as well as the implementation of the resettlement activities. 83. A well-defined grievance redress and resolution mechanism has been designed to address displaced households grievances and complaints regarding land acquisition, compensation and resettlement in a timely and satisfactory manner. All displaced households have been made fully aware of their rights, and the detailed procedures for filing grievances and an appeal process. The grievance redress mechanism and appeal procedures has also been explained in the PIB that was distributed to all displaced households. The grievance redress mechanism will be further publicized through an effective public information campaign during the updating of the resettlement plan. 84. Displaced households (including either spouse heading an affected household) are entitled to lodge complaints regarding any aspect of the land acquisition and resettlement requirements such as, entitlements, rates and payment and procedures for resettlement and income restoration programs. Displaced households complaints can be made verbally or in written form. In the case of verbal complaints, the Committee on Grievance will be responsible to make a written record during the first meeting with the displaced households. 85. For the purposes of grievance redress and resolution, the respective PMUs shall also serve as grievance officers. The designated commune officials shall exercise all efforts to settle displaced households issues at the commune level through appropriate community consultation. All meetings shall be recorded by the resettlement committees and copies shall l be provided to displaced households. A copy of the minutes of meetings and actions undertaken shall be provided to PMU and ADB upon request. 86. The procedures for grievance redress are set out below. (i) (ii) (iii) Stage 1: Complaints from displaced households for the first time shall be lodged verbally or in written form with the Commune or District People s Committee. The complaint shall be discussed in an informal meeting with the displaced households and the Commune or District People s Committee It will be the responsibility of the Commune or District People s Committee to resolve the issue within 15 days from the date the complaint is received. All meetings shall be recorded and copies of the minutes of meetings will be provided to displaced households. Stage 2: If no understanding or amicable solution can be reached or if no response is received from Commune or District People s Committee within 15 days of registering the complaint, the displaced households can elevate the case to the City Resettlement Committee (CRC). The displaced households must lodge the complaint within 30 days of registering the complaint and must produce documents that support his/her claim. The CRC is expected to respond within 1 month upon receiving the appeal. Stage 3: If the displaced household is not satisfied with the decision of the CRC or in the absence of any response, the displaced household can appeal to the
26 20 PPC. The PPC will review and issue a decision on the appeal within 30 days from the day it is received. (iv) Stage 4: If the displaced household is still not satisfied with the decision of the PPC or in the absence of any response within the stipulated time, the displaced households, as a last resort may submit his/her case to the court. 87. The procedure described above is consistent with the legal process for resolution of disputes in Vietnam. 88. The EMO will be responsible for checking the procedures for and resolutions of grievances and complaints. The EMO may recommend further measures to be taken to redress unresolved grievances. The PSC will provide the necessary training to improve grievance procedures and strategy for the resettlement committee staff as and when required. 89. The executing agency will shoulder all administrative and legal fees that will be incurred in the resolution of grievances and complaints if the displaced households win their case. Other costs incurred by legitimate complaints will also be refunded by the Project if displaced households win their case. 90. In cases where displaced households do not have the writing skills or are unable to express their grievances verbally, displaced households are encouraged to seek assistance from the nominated local community-based organizations (CBO) such as the Women s Union or Fatherland Front, or non-government organizations (NGOs) or other family members, village heads or community chiefs to have their grievances recorded in writing and to have access to the DMS or other documentation, and to any survey or valuation of assets, to ensure that where disputes do occur all the details have been recorded accurately enabling all parties to be treated fairly. Throughout the grievance redress process, the responsible committee will ensure that the concerned displaced households are provided with copies of complaints and decisions or resolutions reached. 91. If efforts to resolve disputes using the grievance procedures remain unresolved or unsatisfactory, displaced households have the right to directly discuss their concerns or problems with the ADB Southeast Asia Transport and Communication (SETC) Division, Southeast Asia Department either directly (6 ADB Avenue, Mandaluyong City, Philippines), or through the ADB Vietnam Resident Mission. If displaced households are still not satisfied with the responses of SETC Division, they can directly contact the ADB Office of the Special Project Facilitator. VII. RESETTLEMENT POLICIES A. Government of Vietnam s Policies on Land Acquisition and Resettlement 92. The Government has established several laws on land acquisition, resettlement and rehabilitation. Likewise, the devolution of governance to the local province and districts has empowered the provincial and district level People s Committees to regulate and govern issues on land acquisition in their own respective areas within the framework of national legislation. These laws, together with the ADB s Social Policy Statement shall govern the land acquisition, compensation and resettlement. In case of discrepancies between the national laws, regulations, provincial decisions and ADB s policies and requirements, ADB s policies and requirements will prevail, consistent with national Government Decree No. 131/2006/ND-CP.
27 21 Decree 131/2006 provides that in case of discrepancy between any provision in an international treaty on Official Development Assistance (ODA), to which the Socialist Republic of Viet Nam is a signatory, and the Vietnamese Law, the provision in the international treaty on ODA shall take precedence (Article 2, Item 5). The same statement was mentioned in the national Decree 197/2004/ND-CP on compensation and resettlement when the Government takes over the land for the defense, security purposes, benefits of nation and public works as well as for economic development. Decree No. 17/2003/ND-CP promulgates the regulation on the exercise of democracy in communes, including requirements for consultation with and participation of people in communes. 93. The policies of the Government on compensation, resettlement and assistance have been significantly improved from time to time; especially since the time the Land Law (2003) was passed by the National Assembly. Many Laws, Decrees, Circulars and amendments to Laws; Decrees were issued by the Government to improve the policies on land acquisition, compensation and assistance. The policies on land acquisition, compensation and assistance have also significantly improved on the standards of entitlement, compensation, income restoration as well as requirements for consultation, participation, information dissemination, monitoring and evaluation. For the projects financed by the International Banks, the Government has also approved for the required waivers to meet with the international standards on involuntary resettlement. 94. Relevant national legal instruments include: Land Law 2003/QH11, providing Viet Nam with a comprehensive land administration law. Decree No. 197/2004/ND-CP dated 3 December 2004, on compensation, rehabilitation and resettlement in the event of land recovery by the State, as amended by Decree No. 17/2006/ND-CP. Decree No. 17/2003/ND-CP, promulgating the regulation on the exercise of democracy in communes, including requirements for consultation with and participation of people in communes. Decrees No. 188/2004/ND-CP and 123/2007, specifying the methods for land pricing and land price frameworks in the event of land recovery by the State. Decree No. 84/2007/ND-CP, dated 25 May 2007 supplementary stipulations on issue of land use rights certificate (LURC), land acquisition, land use right implementation, procedure of compensation, assistance in the event of land recovery by the state and grievance redress. Circular 116/2004/TT-BTC, 7 December 2004 guiding the implementation of Decree 197. Decree No 37/2005/ND-CP 18 March 2005, procedures for application of measures enforcing implementation of decisions on administrative violation. Decision No 74/2005/QD-TTg, 6 April 2005, on the use of land rights transferred budget, the budget got from selling house, workshop and other structures when an economic unit has to relocate its office and estates and business in accordance with planning. Circular No 80/2005/TT-BTC 15 September 2005, guidelines for organization of a network for conducting statistics of and surveying, investigation of the land price in accordance with Decree No 188/2004/ND-CP (Nov. 16,2004). Decree No. 131/2006/ND-CP, on the management and use of ODA. Decree No. 131/2006/ND-CP provides that in case of gaps between any provision in an international treaty on ODA, to which the Socialist Republic of Viet Nam is a
28 22 signatory, and the Vietnamese Law, the provision in the international treaty on ODA shall take precedence (Article 2, Item 5). Decree 69/2009/ND-CP to amend for planning on land use, cost for land, land recovery, compensation and resettlement. This Decree provides higher assistance to the severely affected households, particularly to relocating households losing agricultural land. Circular 14/2009/TT-BTNMT dated 1 October 2009 guides on the details of implementing about compensation, resettlement and resettlement assistance, process of land acquisition, land allocation, leasing land. 95. Relevant provincial level instruments include: Lang Son Province People s Committee Decision No 21/2009/QĐ UBND, dated 8/12/2009 on "The decision to promulgate regulations on compensation, assistance and resettlement, and the order and procedures for implementation when the State acquires land in the Lang Son Province". B. ADB Safeguard Policy Statement (SPS) 96. The ADB SPS 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 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. C. Mainstreaming Gender 97. 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 SPS requirements also reiterate 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 livelihoods and 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 Public Communications Policy (2005), and the Accountability Mechanism (2003). 98. The Government recognizes women as equal to men under the laws and constitution of Vietnam. While Government has no specific policy to promote gender issues in the country, the Vietnam Women s Unions generally exist at every level of the government system. The following specific actions were undertaken to address gender issues during the project preparation (including preparation of the draft resettlement plan) and shall be undertaken in the remaining stages of the project. (i) During public consultation meetings, women were widely represented.
29 23 (ii) (iii) (iv) (v) (vi) (vii) (viii) Women were encouraged to articulate their needs and give comments and recommendation to improve the Project design. Prior to DMS updating, an orientation shall be done to enable the DMS teams to discuss their respective tasks in relation to gender issues and concerns. During the DMS, both male and female is displaced households will be encouraged to participate in discussions related to land acquisition and other resettlement issues. In the planning of the income restoration program, female in displaced households shall be actively involved. Appropriate economic activities for women will be included in the program in order to avoid any marginalization of women s contribution to the household economy. For the relocating affected households, separate discussion with women from affected households, affected households headed by women, and IP affected households shall be held to discuss and agree on their relocation. Compensation will be given to both men and women. Replacement of land will be registered in the name of both husband and wife. Disaggregated monitoring indicators by gender, ethnicity, and gender of the head of affected households that will be developed for monitoring capacity development training program, livelihood program, participation, and other resettlement activities. D. Reconciliation of Government and ADB Policy on Resettlement 99. The resettlement and compensation policies for the Project are to be in accordance with ADB requirements and laws of the Government. Under the ADB policy, the Bank s requirements must be met with regards to involuntary resettlement as defined in the ADB SPS With the promulgation of Decrees 69/2009/ND/CP (2009) and 197/2004/ND/CP (2004) and relevant decrees stated above, the policies and practices of the Government have become more closely aligned with ADB s social safeguards policies. Nonetheless, provisions and principles adopted in this Resettlement Planning Document will supersede the provisions of the relevant decrees currently in force in Viet Nam wherever a gap exists, as provided for under Decree 131/2006/ND-CP (2006), which regulates the management and use of official development assistance The differences between the Government s Laws and Decrees and ADB Policy with regard to resettlement and compensation, and how to address these gaps for this Project are shown in the Table VII It should also be noted that as per Decree 197/2004, Article 32, it states "Apart from the supports prescribed in Articles 27, 28, 29, 30 and 31 of this Decree, basing themselves on the local realities, the provincial-level People s Committee presidents shall decide on other supporting measures to stabilize life and production of persons who have land recovered; special cases shall be submitted to the Prime Minister for decision, therefore, if additional gaps not mentioned below are found during resettlement plan updating or implementation, the required assistance or support will be included in the updated resettlement plan.
30 24 Table VII.1: Gaps between Government Legislation and ADB Policies and Gap Filling Measures Key Issues State Legislation ADB Policy Project Policy Eligibility for compensation and assistance. Non-titled users Decree 69/2009 Article 14(1) If persons who have land recovered by the State meet conditions related to land ownership set out in Article 8 Item 1,2,3,4,5,7,9,10,11 of Decree 197/2004, they shall receive compensation; if they fail to meet all conditions for compensation, the Peoples Committees of the provinces or centrally run cities shall consider providing such support. Those without titles to land or any recognizable legal rights to land are eligible for resettlement assistance and compensation for loss of non-land assets. Improve the standards of living of the displaced poor and other vulnerable groups, including women. Those without titles to land or any recognizable legal rights to land are eligible for resettlement assistance and compensation for loss of non-land assets. Improve the standards of living of the displaced poor and other vulnerable groups, including women Unregistered businesses. Definition of severe/ major impacts Decree 69/2009/ND-CP Article 24(4): Property attached to land which falls into one of the cases prescribed in Clauses 4, 6, 7 and 10 of Article 38 of the Land Law shall not be compensated. Decree 69/2009, Article 20(2) states only registered businesses are eligible for assistance. When the land used by a registered economic organization, production household, business household and the business and production must be suspended, the user shall be compensated with 30% (the highest) of the after tax income in one year subject to average income in the last 3 continuous years as certified by the tax department. Decree 69/2009 (Article 20(1)) state that households directly engaged in agriculture losing 30% or more of their agricultural land are entitled to life stabilization assistance. In the case of economically displaced persons, regardless of whether or not they are physically displaced, the borrower/client will promptly compensate for the loss of income or livelihood sources at full replacement cost. The borrower/client will also provide assistance such as credit facilities, training, and employment opportunities so that they can improve, or at least restore, their income-earning capacity, production levels, and standards of living to predisplacement levels. Physical displacement from housing, and/or loss of 10% or more of displaced households productive assets (income generating). Those who are economically displaced, but who are not formally registered (e.g. unregistered businesses, employees without labour contracts) will be assisted as appropriate to ensure that their income sources are restored to at least pre-project levels. Improve the standards of living of the displaced poor and other vulnerable groups, including women Displaced households who lose 30% or more of their agricultural land will be provided with assistance. Displaced households who lose less than 30% of their agricultural land who are determined to depend heavily in agriculture and who belong to poor
31 25 Key Issues State Legislation ADB Policy Project Policy and vulnerable households will also be provided with additional assistance similar to those losing 30% or more of their land. Entity that conducts the valuation of acquired assets Provincial and cities people s committee under central authority will establish specific land prices based on the principles stated in clause 1, Article 56, Land Law. Qualified organizations may provide consultancy on land prices (Article 57, Land Law) ADB = Asian Development Bank, PPC = provincial people s committee. Qualified and experienced experts will undertake the valuation of acquired assets Displaced households losing 10% or more of their non-farm productive assets or whose non-farm income earning capacity is affected by 10% or more due to physical displacement will be entitled to income restoration assistance. Vulnerable displaced households whose incomes are affected will be provided with income restoration/development assistance regardless of severity of impact. A qualified appraiser will be engaged to conduct replacement cost surveys for the project which will be used as input by the Compensation Boards for determining compensation amounts for PPC approval.
32 26 E. Project Policies 103. The Project will follow the principles of ADB safeguard policy. (i) (ii) (iii) (iv) (v) (vi) (vii) (viii) (ix) (x) Involuntary resettlement and impacts on land, structures and other fixed assets will be minimized where possible by exploring all alternative options. All physical losses will be fully compensated. All severe impacts on livelihoods will be mitigated through appropriate assistance measures to ensure restoration of living standards and income earning capacity to at least pre-project levels. Compensation will be based on the principle of replacement cost at the time of compensation. Displaced households without title or any recognizable legal rights to land are eligible for resettlement assistance and compensation for non-land assets at replacement cost. Meaningful consultation will be carried out with the displaced households, ethnic minority households, affected communities and concerned groups and ensure participation from planning up to implementation. The comments and suggestions of displaced households and communities will be taken into account. The draft, final and any updates on the resettlement plan will be disclosed to displaced households and ethnic minority households in a form and language(s) understandable to them prior to submission to ADB. Resettlement identification, planning and management will ensure that gender concerns are incorporated. Special measures will be incorporated in the resettlement plan to protect socially and economically vulnerable groups such as ethnic minority households, households headed by women, children, disabled, the elderly, landless and people living below the generally accepted poverty line. Existing cultural and religious practices will be respected and, to the maximum extent practical, preserved. Culturally appropriate and gender-sensitive social impact assessment and monitoring will be carried out in various stages of the project. F. Principles for Valuation 104. All compensation will be based on the principle of replacement cost. The rate of compensation for acquired housing, land and other assets will be calculated at full replacement costs. The calculation of full replacement cost will be based on the following elements: (i) fair market value; (ii) transaction costs; (iii) interest accrued, (iv) transitional and restoration costs; and (v) other applicable payments, if any The executing agency will consult with the displaced persons and host populations to obtain adequate information about recent land transactions, land value by types, land titles, land use, cropping patterns and crop production, availability of land in the project area and region, and other related information. The executing agency will also collect baseline data on housing, house types, and construction materials. Qualified and experienced experts will undertake the valuation of acquired assets. In applying this method of valuation, depreciation of structures and assets should not be taken into account. (i) Productive Land (agricultural, aquaculture, garden and forest) based on actual current market prices that reflect recent land sales in the area, and in the absence of such recent sales, based on recent sales in comparable locations
33 27 (ii) (iii) (iv) with comparable attributes, fees and taxes for LURC or in the absence of such sales, based on productive value. Residential land based on actual current market prices that reflect recent land sales, and in the absence of such recent land sales, based on prices of recent sales in comparable locations with comparable attributes; fees and taxes for LURC. Houses and other related structures based on actual current market prices of materials and labor without depreciation or deduction for salvaged building materials. Annual crops equivalent to current market value of crops at the time of compensation. VIII. ENTITLEMENTS, ASSISTANCE AND BENEFITS A. Entitled Persons 106. Entitled persons are those who (i) experience physical and/or economic displacement as a result of land acquisition (either permanent or temporary) for the project; or (ii) who experience restricted land use which causes physical or economic displacement as a result of the project; and (iii) are present in the affected project area prior to the cut-off date. B. Entitlement Matrix 107. The project entitlements have been defined in accordance to the degree of various impacts which are taken from the results of the IOL and socioeconomic survey. These entitlements are governed by the Government s policies and the ADB s SPS The eligibility on entitlements applies to all persons affected by the project as a result of either land acquisition or restricted land use which are categorized in the Entitlement Matrix.. If any provisions (the kinds and amount of assistances) of the Government s relevant decisions are higher than those in the entitlement matrix, the implementation shall follow the provisions of the Government s relevant decision for those items. If any provision of the Government relevant decision is lower than those in the entitlement matrix, the provisions for the items in the matrix shall prevail The Entitlement Matrix is presented as Table VIII.1 indicating each type of loss and degree of impact with corresponding entitlements applicable to the specific condition and impacts on displaced households.
34 28 Impact Level of Impact 1. Agricultural land 1.a. Agricultural Temporarily loss land (temporarily) of agricultural land (Marginal loss - less than one year) 1.b. Agricultural land permanently lost Less than 10% of total land holdings Equal to or more than 10% of total land holdings. Entitled Persons Affected households whose land is required for the Project Users with permanent land use rights (legal or legalizable) Users with permanent land use rights (legal or legalizable) Displaced households having temporary LURC Table VIII.1: Entitlement Matrix Compensation Policy (i) No compensation for land (if the land will be returned after use); (ii) Cash compensation for loss of existing trees and crops at replacement value; (iii) Cash compensation from loss of net income from subsequent crops that cannot be planted during the affected time; Note: If affected for more than one year, displaced households have an option to (a) allow their land to be used temporarily for another year for the Project, or (b) requesting the Project to be permanently acquired and compensated at replacement value. (i) Cash compensation for the land lost at t replacement value; (ii) Cash compensation for the existing trees and crops at the replacement cost. (i) Priority is given to land-for-land compensation with similar area and productive capacity acceptable to displaced households in the same commune; or upon request of displaced households, cash compensation for the land acquired at replacement rates; (ii) Cash compensation for loss of existing crops and at replacement cost; (iii) Subsistence allowance for change of job change, and, training support (see Item 7 below); (iv) If the remaining area is less than 200 m 2, or parcel of land is no longer viable for use for agricultural production, the displaced households could opt to sell the remaining land for the project at replacement cost; (v) LURCs will be re-issued in case of area adjustment (area enlargement or reduction). (i) Compensation at replacement cost for crops and trees on land lost; Implementation Issue Restore the land to its original attribute before returning the land.
35 29 Impact Level of Impact 2. Residential Land Residential land Without permanently lost structures built thereon With structures built thereon with remaining viable land. Entitled Persons Displaced households without LURC Users with permanent land use right (legal or legalizable) Users with permanent land use right (legal or legalizable) Illegal users (affected households with houses on encroached land area) Compensation Policy (i) Cash compensation based on average productivity of three years multiplied by the duration of length of time of land use. The amount of the compensation will not be less than the minimum wage for those whose labour is displaced from the affected land. (ii) Full restoration of affected land to pre-impact conditions. (i) Cash compensation for the affected land at replacement rates; (ii) (ii) New LURCs will be issued in case of area adjustment. (i) Cash compensation for the affected land at replacement rates, or (ii) Land-for-land compensation with similar area in (i) locations acceptable to displaced households. No compensation for land but displaced people are entitled to the rehabilitation package (see Item 7 below); (ii) Full compensation for assets associated with the land lost at replacement rates. 3. Garden, pond lost (In the same parcel of land but the land is not recognized as Residential land) Garden, pond (i) land permanently lost Users with permanent land use right (legal or legalizable) Compensation is based on perennial land with alternative price and enjoy assistance equal to 50% the current value of that land; the area, which is subject to assistance, is not larger than 5 times the local landcommissioning area quota allowed by the local decision. 4. Houses and structures lost Fully affected Legal owner (i) Cash compensation for the whole affected structure at replacement cost of materials, without deduction for depreciation or salvaged materials; (ii) Rehabilitation assistance if displaced households have to relocate or rebuild their main houses, specified in Item 7 below. Implementation Issue
36 30 Impact 5. Trees and crops affected 6. Communal properties 7. Transitional Assistance Level of Impact Partially affected remaining area is still viable for use Partially affected (but the remaining portion is no longer viable) Entitled Persons Compensation Policy Legal owner (i) Compensated in cash or in kind for portion of affected structure at replacement cost of materials without deduction for depreciation of salvaged materials; (ii) Assistance to restore the remaining portion of structures into its original form better. Legal owner Compensated in cash or in kind for the entire structure at replacement value of the materials Other structures Legal owner Compensation in cash or in kind for the whole affected structure at replacement value. Graves Owner Full compensation for excavation, removal, reburying and other reasonable related costs. Loss of house Owner Commune, village authority representatives Displaced households required to relocate Cash compensation for loss of existing crops at market prices and of trees at replacement rates. (i) Restoration of affected community structures with similar or better quality; or (ii) Replacement with structures in location indentified in consultation with affected communities, wards and relevant authorities. Transportation allowance If transferring to the same province: VND 4 million/household If transferring to another province: VND 6.7 million/household Implementation Issue Compensation for trees calculated on the basis of type, age, and productivity of affected trees
37 31 Impact Level of Impact Stabilization assistance Entitled Persons Displaced households required to relocate Displaced households required to relocate who opt for self resettlement, or displaced households with affected housing who can rebuild on remaining land (2 households) Displaced households required to relocate. Displaced people losing to equal/more than Compensation Policy House rental allowance (i) Rental allowance for displaced people who could not find immediate place to build their houses, or (ii) Temporary accommodation in existing government housing. Rental allowance is stipulated based on category of structure as follows - House class III: VND 2.4 million - House class II: VND 3.2 million - House class I: VND 4.0 million Removal allowance (Self relocation) Removal allowance of VND 30 million/household Stabilization Assistance For displaced households losing 10%-70% of productive land, cash allowance equivalent to: (i) 30 kg of rice per household members for 6 months if not relocating (ii) 30 kg of rice per household member for 12 months-if required to relocate (iii) 30 kg of rice per household member for 24 months if Implementation Issue Displaced households required to relocate will be give 4 months advance notice. If displaced households are relocating to a resettlement site (i.e. not self-relocating), the period of rental assistance will continue until the satisfactory completion of resettlement site and replacement housing. Monetary value of assistance will be adjusted at time of compensation to current cost of rice.
38 32 Impact 8. Income Restoration Assistance Level of Impact Loss of Productive Land Loss of non-farm productive assets and/or severe impact on livelihoods Entitled Persons 10% 70% agricultural land area. Displaced people losing agricultural land 10%-70% (41 households) Displaced households who experience loss of at least 10% of productive assets and/or severe impact on livelihoods due to land acquisition or land use Compensation Policy shifting to a difficult area For displaced households required to relocate, but with less than 10% (or nil) loss of productive land (i) 30 kg of rice per household member for 6 months if relocating to another area; (ii) 30 kg of rice per household member for 3 months if house is fully affected and rebuilding on remaining unaffected land Livelihood change assistance Cash grant equivalent to 2 to 3 times the current market value of the agricultural land acquired, based on the local regulated annual price scale, but not to exceed the local agricultural land quota. In specific: (i) losing agricultural land in area I, they are supported by 3 times price of agricultural land (ii) losing agricultural land in area II, they are supported by 2,5 times price of agricultural land (iii) losing agricultural land in area III, they are supported by 2 times price of agricultural land Vocational training All members of the affected household of working age are entitled to participate in vocational training course within the province free of charge. Income replacement assistance - Cash assistance to 30% of average annual net income for registered businesses; - Cash assistance equivalent to the minimum wage for 4 months for non-registered businesses; - Cash assistance equivalent to net wage for 4 months for employees with labor contracts employed by registered businesses; - Cash assistance equivalent to the minimum wage equivalent to 4 months Relocation of affected businesses Implementation Issue A training needs assessment will be undertaken during updating of the resettlement plan. Training program developed will be based on (i) needs, capacities and interests of displaced people; (ii) viability of vocational skills in area; (iii) be of sufficient duration to provide useable skills; and (iv) include practical application of learned skills.
39 33 Impact Level of Impact Entitled Persons Compensation Policy Assistance to identify alternative business operation site; Transportation assistance to relocate business assets (including machin re-assessed during DMS. Implementation Issue 9. Special Assistance Physical or economic displacement of vulnerable displaced households Physically or economically displaced vulnerable displaced households regardless of severity of impact. Include ethnical minority displaced household Special Assistance Allowance Affected ethnic minority households and people who are classified poor by MOLISA standards entitled to VND 2,000 per household and 50% of this designated allowance for an additional 5 years while they remain under the poverty line. Livelihood development All household members of working age eligible to participate in vocational training in the province free of charge. All displaced people are ethnic minorities thus social support must be provided Participation in and effectiveness of livelihood development measures to be regularly monitored and reviewed throughout resettlement plan implementation. DMS = detailed measurement survey, IOL = inventory of losses, kg = kilogram, LURC = land use rights certificate, MOLISA = Ministry of Labour, Invalids, and Social Affairs, VND = Vietnamese dong.
40 34 IX. RESETTLEMENT IMPLEMENTATION STRATEGY 110. This chapter describes the options, strategies and steps to carry out the resettlement process. It discusses the strategies in addressing the temporary as well as unforeseen impacts that may emerge during and after resettlement. A. Options on Resettlement 111. Several options will be provided to displaced household to suit their affordability and choices. These include the following: a. Cash Compensation: Cash compensation at replacement value will be paid to displaced persons who choose to resettle on their own somewhere else, or for those displaced households with affected land only. Decree No 84/2007/ND-CP (May 25, 2007) governs the compensation package and eligibility for compensation. This is further supplemented by the latest Decree No 69/ND-CP (Aug. 13, 2009). In addition to cash compensation, subsidies, incentives and other support are provided to cover removal costs, temporary arrangements and loss of income. b. Land for land: Another option is land replacement of similar type and attributes acceptable to displaced households. The Government s plan for relocation of 55 affected households in the proposed road projects is in-city resettlement to avoid economic dislocation. However, the proposed resettlement site in Duu Lau ward is not yet developed. Available lots will stand ready for purchase of displaced households if they so decide. B. Transitional Relocation Assistance 112. Relocating displaced households shall be provided with several forms of transitional relocation assistance which include the following: a. Transport Allowance 113. Relocating households will receive a transport allowance for transfer to a new location. The amount of allowance depends on specified location as defined below. Table IX.1: Provisional Transportation Allowance Entitlements Circumstances of Relocation Transportation Allowance Remarks If transferring to the same province If transferring to another province VND 4 million/household VND 6.7 million/household Actual level of entitlement will be reviewed at time of updating the resettlement plan to ensure that allowance is sufficient to enable reasonable relocate household effects and salvageable materials to place of relocation. b. Stabilization allowance 114. Displaced households will receive a stabilization allowance to offset the disruption to
41 35 income earning capacity associated with the time required to resettle in another location. The stabilization allowance is based relocation requirements as well as combination with loss of productive land. It is a cash allowance equivalent to 30 kilograms (kg) or rice per household member per month. The number of months of entitlement ranges from 3 to 36 months and is dependent on relocation requirements as well as severity of loss of productive land. The subsistence allowance rates are in Table IX.2. Table IX.2: Subsistence Allowance Rates Stabilization Type and Severity of Impact allowance Criteria Basis of stabilization allowance: Cash allowance equivalent to 30kg of rice per household member per month. Period of assistance (3-36 months) dependent of type and severity of impact. Months of entitlement by criteria set out below: <10% (or nil) loss of productive 3 months Rebuild of remaining unaffected land land but house fully affected 6 months Relocating >10% 30% loss of productive land 6 months 12 months If not relocating If Relocating >30% 70% loss of productive land Over 70% loss of productive land c. Rental Assistance 24 months 6 months 12 months 24 months 12 months 24 months 36 months If shifting to a difficult area If not relocating If relocating If shifting to a difficult area If not relocating If relocating If shifting to a difficult area 115. The principle of No housing, No relocation shall be observed, However, where it is inevitable that housing is not yet ready, rental assistance shall be provided to DPs during the transitory period. C. Temporary Impacts 116. To ensure that temporary impacts during construction are minimized, if not avoided entirely, the civil works contract will include the following provisions: (i) contractor to pay rent for any land required for construction work space; (ii) to the extent possible, only unused land will be used as construction work space; and (iii) temporarily used land will be restored or improved to its pre-project condition. The contractors will submit to the PPC the required workspace specifying the duration of use. Together with the DCR, the contractors will undertake the DMS and apply the corresponding compensation and allowances for all losses as provided in the Project Entitlement matrix. D. Unforeseen Impacts 117. Unforeseen impacts will include any impacts not included or anticipated at the time of preparing the resettlement plan. Such unforeseen impacts may include (but not necessarily limited to) additional displaced households due to change in land acquisition boundaries, displaced households present at the time of or prior to the cut-off date but not included in the census; additional losses of property not previously included in the DMS (but present in the affected area at the time of the DMS); restrictions on land use (such as resulting from right of way/safety zone restrictions) which were not included or anticipated at the time of the DMS.
42 36 Such unanticipated impacts will be included in the resettlement plan mitigation measures and such mitigation measures are to be consistent with the principles and objectives of the resettlement plan as specified in Sections 6 and 7 above. The means of inclusion will be through either a CAP or Addendum to the Resettlement Plan and will require both endorsement by the executing agency and concurrence by ADB. X. INCOME RESTORATION AND REHABILITATION A. Objective and Eligibility for Income Restoration Assistance 118. The objectives of the income restoration program is to restore the long term income generating capacity of affected households, to improve livelihoods of vulnerable households and to mitigate short term income losses that may be experienced through subsistence support measures. Households experiencing severe impacts on their productive assets or livelihoods will be entitled to participated in the income restoration program. The forms and levels of income restoration assistance vary and will be commensurate with the duration, level and severity of impacts on livelihoods and productive assets as well as vulnerability of the affected persons. The Project will also seek to maximize project-related work opportunities to those in the local communities, including those affected by land acquisition. Opportunities to improve the livelihoods of women will also be mainstreamed in various Project initiatives, including in the income restoration program of the resettlement plan All 43 ethnic minority displaced households shall be included in the income restoration program. The planning of the income restoration program for the severely affected displaced households will be done as a joint undertaking of the executing agency, relevant provincial and district offices and the displaced households which will commence during the updating of the resettlement plan, following approval of the detailed engineering design. The income restoration program will adopt an approach that will address the immediate needs and sustain the longterm rehabilitation of all severely affected displaced households. The proposed strategy will respond to the displaced households need for work and economic opportunities after relocation and in the long term, a sustainable livelihood restoration program that will ensure improved socio-economic conditions The IOL and SES results indicated that the only form of livelihood to be directly affected by the acquisition of land along the riverbank was farming. The IOL revealed at 38% of livelihoods of displaced household members would be severely affected by the loss of productive agricultural land. No other forms of livelihoods were identified as being affected by the project at the time of preparation of the draft resettlement plan. The project s impacts of livelihoods will be reviewed and confirmed during the DMS and updating of the resettlement plan The income profile of displaced households shows that 30.3% are categorized as nearing poor with income range between VND 501,000-VND 650,000. B. Description of Income Restoration Measures 122. The categories of affected livelihood are identified below with appropriate income restoration measures. Affected Livelihood Income Restoration Measures
43 37 Farming Stabilization allowance (income support) for 6 24 months Income restoration allowance (equivalent to 2 3 the PPC value of affected land) Vocational training entitlements (provides benefit of diversifying household income sources) C. Livelihood Support Intervention Measures 123. The categories of affected livelihood are identified below with appropriate income restoration measures based on the policy of Lang Son PPC specified in Decision 21/2009/QD- UBND as well as objectives of the ADB SPS. Other specific measures as needed will be developed in detail during the preparation of the updated resettlement plan in consultation with affected persons, local authorities, mass organizations (especially Women s Union), Resettlement Committee, PMU, CPC and PPC. Specialists in the field of resettlement, livelihood development and gender will also provide support to the PMU to establish details of appropriate income restoration measures in consultation with those affected and Project stakeholders to incorporate in the updated resettlement plan. For long term strategy 124. The focus would be on the following activities: (i) (ii) (iii) Conduct of vocational skills training to fully avail of the job opportunities that will be generated by the project, as well as to link market demand for possible job referral and placement and requirements from nearby industrial factories. Enhancing food security program to ensure food sources and income through provision of seeds and farm inputs for displaced households to cultivate in their remaining agricultural land. Linking livelihood support for vulnerable displaced households with income below VND 400,000 with existing social assistance of government programs implemented by DOLISA and Women s Union for poverty reduction and livelihood enhancement. D. Transitional Stabilization Assistance 125. Economically displaced persons will also be provided with transitional assistance to offset potential losses in income while they make the transition to alternative livelihoods. Displaced households losing productive land will be provided with a stabilization allowance in the form of a cash allowance equivalent to 30 kg of rice per household member for periods of 3 to 24 months based on the severity of impact and whether or not they need to relocate. Other displaced households experiencing loss of non-land based income sources are entitled to receive an income substitution allowance equivalent to 30% of average annual income (for businesses with tax receipts) and 6 months net wage (for affected employees). The level of assistance for businesses without tax receipts and employees without labor contracts will be based on the minimum wage. E. Skills Training Program 126. Displaced households including those losing more than 10% of productive land, relocating displaced households experiencing impacts on livelihoods and displaced employees will be entitled to participate in one short term vocational training course free of charge. The
44 38 main State provider of vocational training is the Provincial DOLISA. However, some training programs are also provided by the Women s Union. DOLISA s training programs consist of three main forms of vocational training consisting of: (i) regular training programs at vocational training centers (short courses of up to 3 months as well as long courses of up to two years); (ii) industry specific training programs geared towards specific needs of local industries to support their recruitment intakes; and (iii) outreach rural training programs targeted to the needs and capacities of trainees in rural communities (such as cottage based livelihoods, light industry, basic mechanics, etc.). F. Special Measures to Support Vulnerable Groups 127. All vulnerable displaced households of working age will be entitled to participate in any training course. Priority assistance will be provided in terms of loan assistance, and other form of support to augment their income Referral assistance to job placement of skilled displaced households shall be undertaken in coordination with DOLISA or an NGO who are doing social development program in the area. G. Resources to Design and Implement the Income Restoration Program 129. Entitlements to be directly spent on displaced households benefiting or otherwise benefiting from the income restoration measures have been costed in the resettlement budget estimate as part of the direct resettlement costs. These include costs of livelihood change entitlements (2-3 times the compensation value of affected land; vocational training; as well as stabilization allowances. The cost requirements for these will be further reviewed during the updating of the resettlement plan In addition, the Project will invest additional resources to ensure effective design and implementation of the income restoration program. These will include livelihood development; IP/gender as well as resettlement specialists (funded under the project loan) to support the social and environment unit (SEU) of the PMU to design and implement the program. Furthermore, the Project has included an institutional support program for the Women s Union (under the Gender Action Plan) to enable the effective mobilization and engagement of the Women s Union specifically to promote and monitor the participation of women in consultation and livelihood development measures. XI. RESETTLEMENT BUDGET A. Resettlement Budget Estimate 131. The resettlement budget is estimated at VND 24,374,559,392 (approximately $1,218,728) The summary of resettlement cost estimates are presented in Table XI.1 below The costs for resettlement include: Direct Resettlement Costs (compensation, transitional allowances, income restoration assistance); Indirect Resettlement Costs (replacement cost study, External Monitoring Organization); Administration Costs (2% of direct resettlement costs); and Contingency Costs (10% of resettlement budget estimate). The Resettlement Budget will be revised and updated as part of the process of updating the resettlement plan. Revision of the Resettlement Budget will include updating replacement cost
45 39 values, revised costs based on finalized income restoration program costs and inclusion of any resettlement costs not anticipated in the preparation of the draft resettlement plan The resettlement budget prepared for the draft resettlement plan is an estimate based on estimated replacement costs for affected property at the time of preparing the draft resettlement plan (approximately 40% more than the PPC unit rates). During updating of the resettlement plan, compensation rates will be regularly updated through the conduct of replacement cost survey by a qualified agency and will be reviewed and approved by the PPCs to ensure that payments to displaced people will be at replacement cost at the time of compensation. The replacement costs applied in the updated resettlement plan are to be valid for the time of payment of compensation. Should there be a significant delay between the time preparing and approving the updated resettlement plan and disbursement of compensation (3 to 6 months) the replacement cost study will be updated to ensure compensation rates are equivalent to replacement values. The Terms of Reference for the conduct of replacement cost is attached to the resettlement plan The budget for the resettlement plan will be financed by the Government. The Resettlement Committee will be responsible for the disbursement of the compensation, allowances and assistance funds. The resettlement budget funds will be subject to thorough fiduciary monitoring and auditing. Disbursement of entitlements to affected persons will also be closely monitored by the CPC, PMU and EMO A summary of the estimated resettlement budget is set out below.
46 40 Table XI.1: Resettlement Budget Estimate Item Unit Quantity Unit Price (VND) Amount (VND) Amount ($) A Direct Resettlement Costs 1 Compensation for land 1.1 Compensation for residential land m 2 4,173 3,500,000 14,605,500, , Agricultural land m 2 2,395 47, ,978,200 5,699 Subtotal 1 14,719,478, ,974 2 Compensation for houses on land Level 4 m 2 1,854 1,402,800 2,600,510, , Level 3 m ,741, ,576,000 9,579 Subtotal 2 2,792,086, ,604 3 Compensation -Secondary Structures Brickyard m ,000 10,170, Subtotal 3 10,170,000 4 Transitional Assistance Support to stabilize income Person 18 1,800,000 32,400,000 1, Transport assistance HHs (4) 4 6,400,000 25,600,000 1, Support for Resettlement (self-relocation) HHs (4) 4 30,000, ,000,000 6,000 Rental assistance HH 4 14,400,000 57,600,000 Subtotal 4 235,600,000 11,780 5 Income restoration 5.1 Support for change of jobs m 2 11,973 47, ,891,000 28, Vocational training person 129 4,000, ,000, Micro-credit HH 43 10,000, ,000,000 Subtotal 5 1,515,891,000 Subtotal Direct Resettlement Costs 19,273,225, ,661 B Indirect Resettlement Costs Replacement Cost Study 500,000,000 25,000 External Monitoring Agency 2,000,000, ,000 Sub-total Indirect Resettlement Costs 2,500,000, ,000 C Administration Costs (2% of Direct Resettlement Costs) 385,464,517 19,273 D Contingency [(A+B+C) x 10%] 2,215,869, ,793 E GRAND TOTAL (A+B+C+D) 24,374,559,392 1,218,728 HH = households, m 2 = square meter, VND = Vietnamese dong.
47 41 B. Resources 137. Additional resources will also be provided by the Project to prepare and implement the updated resettlement plan which are costed elsewhere in the overall Project Budget. These include: a. Dedicated officers within the SEU of the PMU including resettlement, gender and social specialists. b. Specialist consultants in the Project Supervision Assistant team including the following specialists: (i) Resettlement specialist (international 3 person-months, national 24 person-months); (ii) Social/gender/community development and livelihoods specialist (international 10 person-months, national 22 person-months); (iii) Monitoring and evaluation specialist (international 5 person-months; national 10 person-months) c. Project funded program to mobilize and provided capacity development of the Women Union to enable their effective engagement in social development activities throughout project implementation, with special emphasis on ensuring effective consultation with affected women as well as livelihood development for women in displaced households and displaced households headed by women. (Refer to the Gender Action Plan). d. Other Provincial Line Agencies and mass organizations to be mobilized in support of implementation of the Resettlement Plan (refer also to the section on Institutional Arrangements). XII. INSTITUTIONAL ARRANGEMENTS A. The City People s Committee (CPC) 138. The CPC, thru the Department of Planning and Investment is the executing agency and will oversee all subproject activities including resettlement. B. Project Management Unit (PMU) 139. The PMU will provide technical assistance to the local administrative authorities, including resettlement planning and implementation. Together with the PSC, the PMU will work closely with the administrative authorities and concerned departments by providing technical plans, designs and project activities and schedule of the proposed project in order for all parties to identify and minimize the potential effects on land and people and to make sure that all resettlement plan activities are properly addressed and implemented prior to construction activities. The PMU will be responsible for internal monitoring of resettlement plan implementation and the preparation of quarterly resettlement progress reports. C. Resettlement Committee 140. A Resettlement Committee will be established under the PPC and/or under each People s Committee at the level of City/District in each of the subproject areas. Details related to
48 42 the establishment and composition will be determined by the CPC of Viet Tri. The role of the resettlement committee will include the following: (i) coordinate and manage resettlement activities with PMU and commune People s Committees; (ii) verify census and oversee conduct of the detailed measurement survey; (iii) carry out consultation and disclosure activities, (iv) develop and implement income restoration programs; (v) along with the relevant local administrative authorities, carry out timely delivery of compensation payment and other entitlements to affected persons; and (vi) act as members of the grievance redress committee. The Resettlement Committee shall chaired by the deputy director of the relevant People s Committee and include members of relevant provincial line agencies (such as DOLISA), mass organizations (at least the Women s Union), PMU and representatives of affected households. D Relevant Provincial Government Line Agencies 141. Certain Provincial Government agencies will assist in the updating and implementation of the Resettlement Plan as well as participate in the Resettlement Committee as needed. These will include: (i) (ii) (iii) (iv) DOLISA which will support the implementation of the income restoration programs to economically displaced households as well as extension of poverty alleviation programs to vulnerable displaced households; Department of Environment and Natural Resources, which will support in preparation of the updated resettlement plan; Department of Agriculture and Rural Development, which will assist in development and implementation of agricultural extension programs to affected displaced households farmers. Other government agencies as determined by the PPC to ensure effective implementation of the resettlement plan. E. Local Administrative Authorities 142. The concerned local administrative authorities comprise the local Ward/Commune People s Committees and local village/neighborhood chiefs. They play a very important role in the planning and implementation of resettlement-related activities. Their roles and responsibilities are to: (i) (ii) (iii) (iv) (v) (vi) (vii) Serve as members of the Resettlement Committee 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 displaced households during the negotiation and compensation process; Involve the local-based organizations to carry out the resettlement plan activities; Certify the list of displaced households 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. F. Local Mass Organizations 143. Mass organizations relevant to the various displaced household s profiles, needs and impacts will participate in the development and implementation of assistance measures for
49 43 displaced households. Mass organizations in Vietnam are types of civil society organizations/cbos. Such organizations involved in the update and implementation of the resettlement plan would include the Fatherland Front, Women s Union, Farmer s Union and other relevant organizations. G. Project Supervision Consultants (PSC) 144. The PSC will include one international resettlement specialist and at least one local resettlement specialist on an intermittent basis to assist and supervise all social and resettlement-related activities. Their responsibilities include the following: (i) (ii) (iii) (iv) (v) (vi) (vii) (viii) (ix) (x) Work closely with the PMU, Centre for Development of Land and Housing, local authorities and resettlement committees at all levels on all resettlement-related activities; Assist in the conduct of the information campaigns and community participation; Assist in the verification of census, inventory of losses and detailed measurement survey activities; Check the accuracy of the displaced households database prepared and provide improvements if necessary; Assist in the preparation of an updated resettlement plan; Assist and improve, if necessary, procedures for the coordination of resettlement and compensation activities; Ensure that grievances are addressed promptly and properly; 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. XIII. IMPLEMENTATION SCHEDULE 145. The procedures for phasing and transfer of displaced households shall follow the established provisions of the Government in accordance to Decree 69/2009/ND-CP dated 13 August Specific steps are established in Articles 27,28,29,30 and 31 of Section 4 Chapter 2 of Decree 69/2009. (1) Determine Scale of Land Upon approval of the project, the project proponent shall prepare the requirements and submit to the provinces the investment portfolio required for land acquisition. (2) Establish District Resettlement Committees (DRC) Upon receiving the documents from the Project proponent, the People s Committee of the respective provinces shall establish DRC tasked to review the compensation measures. It is required that a Representative from the Project Proponent shall be a part of the resettlement committee. (3) Establish Project Demarcation Line
50 44 Upon approval of the project by the People s committee, a boundary for land clearance will be demarcated to mark actual land to be acquired by the Project. This activity will be led the District Office of Natural Resources, Environment and Housing, and other relevant government bodies, including the Project Proponent. (4) Approval of Land Acquisition Plan Within a period of 10 days, the resettlement plan shall submit to the People s Committee, the land acquisition plan for approval. The People s Committee shall approve the land acquisition plan within 3 days, and establish protocol requirement and guidelines to the local district committees. An allotted time 90 days is given to notify households with affected agricultural land, and 180 days to other category of land. The notice shall be posted on public areas and written notices shall be given to displaced households. The resettlement plan shall conduct consultation meetings with displaced household to notify them of the project and make inventory of affected assets. The purpose of this meeting is to inform displaced household on the policies and entitlements, timeframe for implementation, responsibilities and grievance mechanisms. (5) Detailed Measurement Study (DMS) A DMS will be conducted by the Project Proponent to verify and validate actual land requirement and impacts. During this activity, adjustment and necessary modification shall be done. The DMS shall commence also for resettlement plan updating to include those who were not identified during the feasibility study. During the DMS, the resettlement plan shall provide forms to displaced households for them to fill up, showing extent of affected land, structures and other assets. These forms shall be handed back to the resettlement committee within 5 days. Actual validation on the declared types of losses shall be validated by the resettlement committee and the Project proponent so that appropriate action can be immediately resolved and correct any misrepresentation on the declared lost assets. The validation shall be done within 10 days and results of these will be used in the updating of the resettlement plan as well as a document for legal and monitoring purposes. (6) Replacement Cost Study During RP updating, the replacement costs will be updated on a regular basis through the conduct of replacement cost survey by a qualified agency and will be reviewed and approved by the PPCs to ensure that payments to displaced people will be at replacement cost at the time of compensation. (7) Disclosure of Resettlement Plan and Compensation Measures After the resettlement plan has been updated, the ADB shall review and approve the draft updated resettlement plan before implementation of compensation measures. ADB and the PPC will agree on the cost to ensure that replacement cost on assets have been established and given to displaced households. Amendment on the resettlement plan shall be undertaken to incorporate agreed cost at replacement value. Public disclosure of the resettlement plan to the public shall be undertaken to allow affected households to identify their losses and settle any dispute. The resettlement plan will be posted for 20 days in accessible
51 45 areas for public viewing which include the following information: (i) full names and addresses; (ii) type of affected land (iii) price of land (iv) entitlements and benefits (v) other forms of assistance. After disclosure of the draft resettlement plan, the resettlement committee shall document the feedback from displaced household and incorporate recommendations of displaced household to amend the compensation measures. The time allotted for review and amendment is 7 days. A second disclosure shall be done for final review of displaced household. This will be done in 3 days. The compensation measures shall then be submitted to the DPC Chairman for approval within a period of 3 days. An Entitlement Booklet specifying the compensation benefits and entitlements shall be provided to displaced household which shall serve as their legal basis for entitlement. (8) Payment of Compensation The Project Proponent shall be responsible for paying the compensation for displaced household in coordination with the resettlement committee. The resettlement committee shall supervise the payment and proper documentation of the payment procedures and receipts shall be done to ensure proper payment procedures. (9) Handing over of Land After payment of compensation, displaced households are obliged to hand over the portion of land paid to the resettlement committee. Within a period of 3 days, the resettlement committee shall formally hand over the land acquired to the Project Proponent. Table XIII.1: Resettlement Activity Schedule Activity Timing Establishment of Resettlement Committee and Grievance Redress Month 2 Committee (at city/provincial level) Confirmation of alignment and land acquisition boundaries Month 6 Land acquisition demarcation Month 7 Consultations with key stakeholders, local People s Committees and civil Month 7 society Mass Organizations. Establish Resettlement Redress Mechanism at Ward/Commune Level. Resettlement Plan Updating Review and update Entitlement Matrix Month 7 Confirmation of resettlement site preparation arrangements Month 7 Mobilization of EMA Month 7 Train resettlement staff Month 8 Engagement of EMA Month 8 Information campaigns before DMS Month 8 Conduct Census/DMS/SES Month 9 Conduct replacement cost study by qualified appraiser Month 9 Preparation of compensation plan Month 10 Conduct consultations Month 10 Update the resettlement plan document Month 11 Updated resettlement plan endorsed by executing agency and submitted to Month 12
52 46 Activity Timing ADB for review and concurrence ADB provides concurrence to updated resettlement plan. Updated Month 13 resettlement plan disclosed to displaced households and uploaded on ADB website Disbursement of compensation and assistance, as well as commencement Month 14 of income restoration strategy Resettlement and land clearance. Month 17 ADB issues notice of no objection to commencement of civil works. Month 18 Issuance of notice to proceed for civil works Grievance redress mechanism operation Month 2-60 Implementation of income restoration program Month Internal monitoring (quarterly) Month 7-60 External Monitoring (semi-annually) Month 7-60 Uploading of external monitoring reports to ADB website Month 6-60 Post-resettlement evaluation by External Monitor Month 60 ADB = Asian Development Bank, DMS = detailed measurement survey, EMA = external monitor agency, SES = socioeconomic survey XIV. MONITORING AND REPORTING A. Internal Monitoring 146. The executing agency is directly responsible for internal monitoring of resettlement plan implementation. In particular, the executive agency with assistance from the PSC will supervise and manage monitoring of resettlement activities and implementation arrangements. Internal monitoring resources to be employed for this Project will include specialists (international and national) amongst the Assistant PSC team including those with expertise in Indigenous Peoples, Gender, Livelihood Development, and Resettlement who will also provide support, mentoring and capacity building to the PMU, SEU and other key stakeholders The executing agency will provide quarterly reports to ADB. The executing agency will ensure that the reports of the PSC include in their progress reports, the status of the resettlement plan implementation, information on location and numbers of people affected, compensation amounts paid by item, and assistance provided to displaced households The ADB will also monitor these activities in its regular supervision missions during the period of project implementation The objectives of the monitoring program are (i) to ensure that the standard of living of displaced households 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: (i) Compensation, allowance payments and delivery of assistance measures; (ii) Re-establishment of displaced households settlements and business enterprises; (iii) Reaction of displaced households, in particular, to resettlement and
53 47 (iv) compensation packages; and Re-establishment of income levels. a. Internal Monitoring Indicators 151. The principal indicators for internal monitoring of resettlement activities include the following: (i) (ii) (iii) (iv) (v) (vi) (vii) Timely and complete disbursement of compensation to displaced households according to the compensation policy agreed in the resettlement plan; 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; Adherence to grievance procedures and identification of outstanding issues that require further attention and resolution; Attention given to the priorities of displaced households regarding the options offered; Completion of resettlement activities required before the award of civil works contracts. b. Internal Monitoring Data Collection and Report 152. The executing agency will establish a database for resettlement monitoring data. It will establish procedures for the collection of data on a monthly basis, and update the database On a quarterly basis, the executing agency will prepare a resettlement monitoring report. The report will be submitted to the Project Director, executing agency/pmu, for approval and, following, to ADB. The report will summarize progress on resettlement activities and will notify ADB of approval by the executing agency of any changes, as required, to the implementation of the resettlement plan. The scope of the report will include: (i) (ii) (iii) (iv) (v) (vi) The number of displaced households by category of impact, district, commune and village, and the status of compensation payments, displaced households relocation and income restoration measures for each category. 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. The status and outcomes of complaints and grievances 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. B. External Monitoring and Evaluation
54 The project will establish a program for external monitoring and evaluation with the following objectives: (i) (ii) (iii) To verify that the resettlement program has been implemented in an accurate and timely manner, in accordance with the approved final resettlement plan and Project policies and objectives. To assess whether and to what degree the resettlement program has achieved the Project objectives, namely that displaced households are able to restore their livelihoods, incomes and standards of living to levels equal to, if not better than, that which they had before the Project. To identify problems or potential problems and methods of mitigating problems in a timely manner The EMO will be recruited by the executing agency and will commence its work prior to the DMS, and will carry out independent bi-annual reviews of resettlement plan to determine whether intended goals are being achieved, and if not, what corrective actions are needed. The EMO will be a separate entity from those involved in the preparation of the draft resettlement plan, updating of the final resettlement plan, implementation of the resettlement plan or implementation or supervision of the Project (including any project activities other than external monitoring). b. External Monitoring Objectives, Indicators and Issues 156. A part from reviewing and assessing the activities during resettlement plan updating, the general objective for external monitoring is to provide an independent periodic review and assessment of: (i) the achievement of resettlement objectives, (ii) changes in living standards and livelihoods, (iii) the restoration of the economic and social conditions of the displaced households, (iv) the effectiveness, impact and sustainability of assistance measures, (v) the need for further mitigation measures, if any; and (vi) to identify strategic lessons for future policy formulation and planning. The table in this section presents a range of indicators to be included in the external monitoring of the resettlement program. The external monitoring agency (EMA) will address specific issues including the following: (i) Payment of compensation, against the following criteria: (a) compensation in cash or in kind sufficient to replace affected land, crops and trees; (b) compensation for structures equivalent to replacement costs at current market prices for materials, materials transport and labor, with no deduction for depreciation or the value of salvageable materials; and ( c) payment in full prior to land acquisition and with sufficient time to permit displaced households to rebuild structures and/or harvest crops. (ii) Coordination of resettlement activities with construction schedule: All compensation must be paid in full, income rehabilitation measures initiated and displaced households relocated out of the corridor of impact prior to award of civil works contracts. Income rehabilitation activities, while initiated prior to award of civil contracts, may continue over a longer time period as needed. (iii) Provision of technical assistance for house construction for displaced households who are required to rebuild their houses, either on remaining land, on individual resettlement sites or on a plot in a group resettlement sites. (iv) The extent to which displaced households are able to restore livelihoods and living standards: The provision of technical assistance, allowances and other measures, and to what extent displaced households are able to restore
55 49 (v) (vi) (vii) livelihoods and living standards to pre-project levels. Special attention should be given to: (a) severely affected displaced households and other vulnerable displaced household groups, (b) displaced households that relocate, (c) displaced households that must re-establish businesses and enterprises, (d) displaced households who undertake new economic and livelihood activities, and (e) host communities. Public consultation and awareness of resettlement policies: The EMO should monitor to ensure that (a) displaced households are fully informed and consulted about land acquisition, leasing and relocation activities, and (b) displaced households and other stakeholders are aware of the compensation and entitlements policies and various options available to displaced households as provided in the agreed resettlement plan. The EMO should participate in at least one meeting per district of each stage of consultation and information dissemination activities to monitor public consultation procedures, problems and issues that arise during the meetings and solutions that are proposed. The level of satisfaction of displaced households with the provisions and implementation of the resettlement plan: This will be assessed, reviewed and recorded by the EMO, including the efficiency and equity of grievance redress mechanisms. Trends in living standards: Throughout the resettlement plan implementation process, the EMO will observe and conduct surveys to monitor the progress displaced households are making to restore living standards. Special attention will be paid to any differences based on gender, ethnicity or other relevant factors. Any potential problems in the restoration of living standards will be reported. c. External Monitoring Methodologies 157. The methods for external monitoring and evaluation of land acquisition, compensation and resettlement activities include: (i) (ii) (iii) DMS and Replacement Cost Survey (RCS): The DMS and RCS data will be entered into a database to document: (a) socioeconomic status of displaced households, (b) nature and extent of losses, and (c) entitlements for compensation and other assistance. The resulting data will be made available to the EMO, to establish a baseline for monitoring and evaluating project benefits. SES: The SES is designed to provide a clear comparison of the success and/or failure of the resettlement program to restore their livelihoods and living standards. In general, if there is a significant lag time between census and SES and actual land acquisition, demographic and socio-economic factors may change significantly. For this project, if land acquisition does not occur for at least two years after the original SES, the EMO will carry out another SES. A post resettlement survey will also be undertaken 6-12 months following completion of resettlement activities. Each time the SES is conducted, the same displaced people will be interviewed. Special attention is to be paid to the inclusion of women, poor, landless and other vulnerable groups, with set questions for women and other target groups. The database is to disaggregate information by gender, geographic and social group. Participatory rapid appraisals (PRA) methods: In the intervals between
56 50 administrations of the SES, periodic PRA methods permit the EMO to consult with various stakeholders such as local authorities, resettlement committees, implementing agencies, NGOs, community leaders and displaced households. PRA methods will involve obtaining information, identifying problems and finding solutions through participatory means including: (a) key informant interviews with local leaders, NGOs and resettlement committees; (b) focus group discussions on specific topics such as compensation payment, income restoration and relocation; (c) community public meetings to discuss community losses, integration of resettled displaced households in host communities or construction work employment; (d) structure direct field observations, for example, of resettlement site development; (e) formal and informal interviews with displaced households, women, other vulnerable groups and host communities; and (f) indepth case studies of problems as identified by internal or external monitoring and required special efforts to resolve. c. Database Management and Storage 158. The EMO will maintain computerized resettlement databases that will be updated every six months. They will contain files on each displaced households and will be updated based on information collected on successive rounds of data collection. All monitoring databases will be fully accessible to implementing agencies and the ADB. d. Reporting 159. Every six months, the EMO will submit an external monitoring report to the executing agency and directly to ADB. The report should summarize the findings of the EMO, including: (i) progress of resettlement plan updating and implementation, including any deviations from the provisions of the resettlement plan; (ii) identification of problem issues and recommended solutions so that implementing agencies are informed about the ongoing situation and can resolve problems in a timely manner; (iii) identification of specific issues related to vulnerable displaced households, as relevant; and (iv) a report on progress of the follow-up of issues and problems identified in the previous report The monitoring reports will be discussed in a meeting between the EMO, the executing agency and PMU held after submission of the reports. Necessary remedial actions will be taken and documented. Table XIV.1 Monitoring and Evaluation Indicators Type Indicator Examples of Variables Process Indicator Consultation, Participation Number of consultation and participation programs held with various stakeholders Procedures in Operation Census and asset verification/quantification procedures in place Effectiveness of compensation delivery system Number of land transfers effected Coordination between implementing agencies and other Output Indicator Buildings Trees and Crops agencies Number, type and size of private houses/structures acquired Number, type and size of community buildings acquired Number and type of private trees acquired Number and type of government/community trees acquired Number and type of crops acquired
57 51 Type Indicator Examples of Variables Crops destroyed by area, type and number of owners Compensation and Rehabilitation Number of households affected (land, buildings, trees, crops) Number of owners compensated by type of loss Amount compensated by type and owner Number and amount of payment paid Household compensation payments made to both male and female heads of households Number of persons with severely affected livelihoods provided with income restoration assistance; Types of livelihood restoration assistance provided by number of persons and types of livelihoods impacted; Disbursement of livelihood restoration assistance by type of assistance, types of impacted livelihoods and number of beneficiaries; Impact Indicator Restoration of Livelihoods Changes to Status of Women Changes to Status of Children Settlement and Population Data to be disaggregated by gender Level of restoration of impacted livelihoods/income sources by type of impacted livelihood; Effectiveness of income restoration measures to create/restore livelihoods; Participation in community-based programs Participation in commercial enterprises Changes in livelihood activities, income and control of self earned income School attendance rates (male/female) Education achievement levels (male/female) Health and access to health services (vaccinations up to date, health monitoring, malnutrition rates 0-5 years.) Growth in number and size of settlements; Satisfaction with resettlement site living conditions; Maintenance of establishment of new social networks; Growth in local market areas;
58 52 Appendix 2.1 Socioeconomic Survey Questionnaire Address City/Province: Ward/Commune: No. of Household Record Book: District: Resident Group/Living Quarter: Code of Affected Household: Information about Household s Head Name: Age: Sex : 1. Male 2. Female Marital Status: 1. Married; 2. Widow ; 3. Divorced/Separate; 4. Single Ethnicity: 1. Kinh; 2. Khmer; 3. Chinese; 4. Other (specify) Name of the spouse Family members Male Female Total 1 Existing members of the family years old years old years old 1.4 >60 years old 2 Members currently going to schools years old years old 3 Employment situation of members in labour ae (15 tuổi +) 3.1 Full-time job 32 Part-time job 3.3 Unemployment and looking for job now 3.4 Retired or unemployment and not looking for job (not counting household chores) The household is classified as: 1. Poor 5. Disabled Poor households are based on 2. Nearly poor 6. Government s the classification of MOLISA. 3. Just escaped from poverty beneficiaries Households just escaped from 4. Single elderly 7. Other (specify) poverty are the ones who were poor in the last two years. Female-headed households 1. Is the household s head a woman? Yes/No 2 Is there any sub-household inside the big family? If yes, is it headed by Yes/No female? 3. Is the household s female head working at the moment? Yes/No If the household s female head is working, indicate her with the *
59 Appendix Inventory of Loss Affected Households PROVINCE DISTRICT COMMUNE/WARD NAME OF HOUSEHOLD'S HEAD CODE: a- Current total area of land (including other places outside project's area) : 1. Resident: m 2 2. Agriculture: m 2 3. Other (specify.. ): m 2 AFFECTED LAND Type of land use No of plot Total affected area (m2) Temporary acquired (m2) Permanent acquired (m2) Classification of land Legitimacy of land use right Co-ordinate of affected land (L R) L R L R Note (1) Type of land: 1. Annual crops; 2. Perennial trees; 3. Aqua-culture; 4. Intensive cultivation of crops and aqua-products; 5.Forestry; 6. Salt production; 7. Rural residential land; 8. Urban residential land (7) Location and classification: (8) Legitimacy of land use right: By decision of the local government 1. Legal use ( with LURC or LURC in progress)/years of use; 2. Illegal occupied / years of use; 3. Rent/years of use; 4. Reclamation/years of use MAIN STRUCTURES Rented by HH (VND Constructed area/ quantity / unit ( m 2 ) The remaining part can be used or not Total 103/month) Affected Type of structure area of land Class Aim of using Yes Rental VND/ month Total Affected area Directly Indirectly (Yes/ No) (1) Classification of main structure: 1. Class 1: Villas; 2. Class 2: Concrete floor, high quality building materials and equipments; 3. Class 3: Concrete floor, medium quality building materials and equipments; 4. Class 4: Brick wall, wooden frame roof with tiles or corrugated iron; 5. Temporary house: baamboo or wooden frame, corrugated iron or thatch roof 2.1 Is there any house being built on the land mentioned in question 1? Yes No 2.2 If Yes, please specify the number of plot:
60 54 Appendix If No, whose land is your house built on? 2.4 What is your relationship with the land owner in 3.2? 2.5 No. of HH record book of the land owner (in 3.4) [code of AP: ) AUXILIARIES Type of Affected Part auxiliaries structures M 2 M Quantity Main building materials How are the auxiliaries affected? Type of auxiliaries: 1- eaves 6 -animal breeding facilities 10- grave 2- outhouse 7 -well 11 - septic tank/pit 3 -private latrine 8 -concrete yard 12 - sewer 4 private kitchen 9 - fence 13. Other: (specify) 5 -kiosk TREES. CROPS, AQUA PRODUCTS, AND SALT ON AFFECTED LAND Legitimacy of land use right Collaborate No. of plot Type Unit Quantity Diameter/ productivity/ year/crop Owner with others to exploit land Rent for exploitation OTHER LOSS (INCLUDING INCOME) TT Type of loss No. of plot/area 1 Lease of house 2 Lease of shop 3 Land lease 4 Income loss from other sources (specify) Note: Calculation method Total income ( 103 VND)/ month)
61 Appendix BUSINESS AFFECTED BUSINESS 1. Form of business : 1. Company; 2. Stockholder; 3. Individual trade registration/ family business ; 4. No trade registration; 5. Other 2. Business registration : Yes 3. Operation period (year ) No 3. Type of business 4. After tax revenue (average) (VND/ month ) With tax receipt: Self-claimation; Other (specify) 5. Non-taxable revenue (average) (VND/ month) 6. Business space 1. Own ; 2. Rent (with contract); 3. Rent (no contract); 4. Free use 7. Area of business space m2 8. Rental (if any) (VND/month ) 9. Affected employee Names of affected employees With labor contract? (Yes/ No) Position Working period* Average income (VND/month) Time Code: 1. Full-time; 2. Part-time; 3. Seasonal; 4 Other Note (if needed):
62 56 Appendix 2.2 Inventory of Loss Public Property PROVINCE DISTRICT COMMUNE/WARD NAME OF HOUSEHOLD'S HEAD CODE: a- Current total area of land (including other places outside project's area) : 1. Resident: m 2 2. Agriculture: m 2 3. Other (specify.. ): m 2 AFFECTED LAND Type of land use No of plot Total affected area (m2) Temporary acquired (m2) Permanent acquired (m2) Classification of land Legitimacy of land use right Co-ordinate of affected land (L R) L R L R Note (1) Type of land: 1. Annual crops; 2. Perennial trees; 3. Aqua-culture; 4. Intensive cultivation of crops and aqua-products; 5.Forestry; 6. Salt production; 7. Rural residential land; 8. Urban residential land (7) Location and By decision of the local government classification: (8) Legitimacy of land use right: MAIN STRUCTURES 1. Legal use ( with LURC or LURC in progress)/years of use; 2. Illegal occupied / years of use; 3. Rent/years of use; 4. Reclaimation/years of use Rented by HH (VND Constructed area/ quantity / unit ( m 2 ) The remaining part can be used or not Total 103/month) Affected Type of structure area of land Class Aim of using Yes Rental VND/ month Total Affected area Directly Indirectly (Yes/ No) (1) Classification of main structure: 1. Class 1: Villas; 2. Class 2: Concrete floor, high quality building materials and equipments; 3. Class 3: Concrete floor, medium quality building materials and equipments; 4. Class 4: Brick wall, wooden frame roof with tiles or corrugated iron; 5. Temporary house: baamboo or wooden frame, corrugated iron or thatch roof 3.1 Is there any house being built on the land mentioned in question 1?? Yes No 3.2 If Yes, please specify the number of plot:
63 Appendix If No, whose land is your house built on? 3.4 What is your relationship with the land owner in 3.2? 3.5 No. of HH record book of the land owner (in 3.4) [code of AP: ) AUXILIARIES Type of Affected Part auxiliaries structures M 2 M Quantity Main building materials How are the auxiliaries affected? Type of auxiliaries: 1- eaves 6 -animal breeding facilities 10- grave 2- outhouse 7 -well 11 - septic tank/pit 3 -private latrine 8 -concrete yard 12 - sewer 4 private kitchen 9 - fence 13. Other: (specify) 5 -kiosk TREES. CROPS, AQUA PRODUCTS, AND SALT ON AFFECTED LAND Legitimacy of land use right Collaborate No. of plot Type Unit Quantity Diameter/ productivity/ year/crop Owner with others to exploit land Rent for exploitation OTHER LOSS (INCLUDING INCOME) TT Type of loss No. of plot/area Calculation method 1 Lease of house Total income ( 103 VND)/ month) 2 Lease of shop 3 Land lease 4 Income loss from other sources (specify) Note:
64 58 Appendix 2.2 BUSINESS AFFECTED BUSINESS 1. Form of business : 1. Company; 2. Stockholder; 3. Individual trade registration/ family business ; 4. No trade registration; 5. Other 2. Business registration : Yes 3. Operation period (year ) No 3. Type of business 4. After tax revenue (average) (VND/ month ) With tax receipt: Self-claimation; Other (specify) 5. Non-taxable revenue (average) (VND/ month) 6. Business space 1. Own ; 2. Rent (with contract); 3. Rent (no contract); 4. Free use 7. Area of business space m 2 8. Rental (if any) (VND/month ) 9. Affected employee Names of affected employees With labor contract? (Yes/ No) Position Working period* Average income (VND/month) Time Code: 1. Full-time; 2. Part-time; 3. Seasonal; 4 Other Note (if needed): OPINIONS REGARDING COMPENSATION AND RESETTLEMENT ( for households losing their land or houses) Could you please give your opinion about : 1 Compensation for land By cash By replacement land 2 Compensation for resettlement Receive payment in cash and find a place themselves Receive land in the resettlement area and build the house themselves according to prescribed design. HH's Head Surveyor Land officer (or village head) Receive land and built house in resettlement area (signature) (signature) (signature) (signature) PC of ward/commune Date month year ==================================================================== Remarks (if any):
65 Appendix OPINIONS REGARDING COMPENSATION AND RESETTLEMENT ( for households losing their land or houses) Could you please give your opinion about : 1 Compensation for land By cash By replacement land 2 Compensation for resettlement Receive payment in cash and find a place themselves Receive land in the resettlement area and build the house themselves according to prescribed design. Receive land and built house in resettlement area HH's Head Surveyor Land officer (or village head) PC of ward/commune (signature) (signature) (signature) (signature) (name) (name) (name) (name) Date month year ==================================================================== Remarks (if any):
66 Master List of DPs in Dong Dang Land to be affected Housing and structure to be affected Total No Full name Type of land area owned by Aps Total area to be acquired Percentage Unit cost (VND) Amount (VND) Type of structure Area to be affected Unit cost (VND) Amount (VND) Total (VND) 1 Mông Thụy Lâm residential ,500,000 70,000,000 C4 20 1,002,000 20,040,000 90,040,000 2 Lương Ký Côn residential ,500,000 70,000,000 C3 20 1,244,000 24,880,000 94,880,000 3 Lương Tuyết agriculture ,000 7,973,000 7,973,000 Hoa 4 Water supply agriculture ,000 2,720,000 C3 40 1,244,000 49,760,000 52,480,000 station 5 Triệu Thị Hương agriculture ,000 3,060,000 3,060,000 6 Lý Thị Cồ agriculture ,000 2,720,000 2,720,000 7 Lý Thanh Long agriculture ,000 6,800,000 6,800,000 8 Nguyễn Gia Mỹ residential ,500, ,000,000 C4 60 1,002,000 60,120, ,120,000 9 Hứa Viết Đảng agriculture ,000 2,380,000 2,380, Nguyễn Văn Hiếu residential ,500, ,000,000 C4 80 1,002,000 80,160, ,160, Nông Thị Đồng agriculture ,000 2,380,000 2,380, Đặng Văn residential ,500,000 1,050,000,000 C ,002, ,400,000 1,250,400,000 Dương 13 Đặng Lắm Và residential ,500, ,000,000 C4 80 1,002,000 80,160, ,160, Đặng Hoài Phong residential ,500, ,000,000 C4 54 1,002,000 54,108, ,108, Lê Văn Hoàn residential ,500, ,000,000 C4 50 1,002,000 50,100, ,100, Triệu Văn Phúc residential ,500, ,000,000 C3 50 1,244,000 62,200, ,200, La Thị Tươi residential ,500,000 1,659,000,000 C4 70 1,002,000 70,140,000 1,729,140, La Thị Viền residential ,500, ,000,000 C4 50 1,002,000 50,100, ,100, Lý Thị Hoóng residential ,500,000 1,400,000,000 C4 60 1,002,000 60,120,000 1,460,120, Hà Văn Sáng residential ,500, ,000,000 C ,002, ,340, ,340, Lục Ký Công residential ,500,000 1,050,000,000 C ,002, ,300,000 1,200,300, Nông Văn Pang residential ,500,000 1,750,000,000 C ,002, ,360,000 1,930,360, Nguyễn Viết Tẩu residential ,500, ,500,000 Yard 83 90,000 7,470, ,970, Lộc Ký Slin residential ,500,000 1,179,500,000 C4 74 1,002,000 74,148,000 1,253,648, Hà Tuyết Oanh residential ,500, ,000,000 C4 70 1,002,000 70,140, ,140, Hoàng Thị Sen residential ,500, ,000,000 C4 70 1,002,000 70,140, ,140, Hà Nam Sáng agriculture ,000 6,800,000 C4 60 1,002,000 60,120,000 66,920, Hoàng Thị Tuân agriculture ,000 10,200,000 10,200, Vi Công Sửu agriculture ,000 13,600,000 13,600, Vi Minh Lộc residential ,500, ,000, ,000, Mạc Vĩnh Long agriculture ,000 6,800,000 6,800, Mạc Mẩy Hà residential ,500, ,000,000 C4 90 1,002,000 90,180, ,180, Temple residential ,500,000 87,500,000 87,500, Đặng Ký Hùng residential ,500,000 1,050,000,000 C ,002, ,600,000 1,350,600, Lộc Thị Sâm residential ,500, ,000,000 Sân 30 90,000 2,700, ,700, Mạc Siu Choóng residential ,500, ,000,000 C ,002, ,300, ,300,000
67 No Total area owned by Aps Total area to be acquired Land to be affected Housing and structure to be affected Unit cost Type of Area to be Unit cost Full name Type of land Percentage (VND) Amount (VND) structure affected (VND) Amount (VND) Total (VND) 37 Lục Thị Mảo residential ,500, ,000,000 C ,002, ,200, ,200, Hoàng Ngọc Sớ agriculture ,000 2,380,000 2,380, Hoàng Viết Pâu agriculture ,000 1,020,000 1,020, Mông Thị Mai residential ,500, ,000,000 C4 15 1,002,000 15,030, ,030, Dín Căm Lìn agriculture ,000 5,100,000 5,100, Vi Thị Đào agriculture ,000 4,080,000 4,080, Lý thị Hoóng agriculture ,000 3,400,000 3,400,000 16,991,229,000
68 62 Appendix 2.4 PUBLIC CONSULTATION MINUTES Đồng Đăng Town Lạng Sơn province Place: Dong Dang Town PC, Lang Son Province Time: - 13h 30 dated on 24/2/2011 (meeting with HHs of Huu Nghi border gate area) - 8 h dated on 25/2/2011 (meeting HHs of with the stream embankment area) Participant: - Resettlement Team - Representative of DPI: Mr Duong Van Chieu and Ms Phung Thi Thnah Nga - Representative of ward PC: Vice-chairman Hoang Thi Ninh Thao cadastre and the head, vice head of area. - HHS: - 30 people, of which: 17 male and 13 female of Huu Nghi border gate area people, of which: 15 male and 18 female of the stream embankment area. Purpose of the meeting: I. Introduction of the Project 1. The Resettlement Team presented the sub projects for Dong Dang particularly the Huu Nghi border Gate and the River Embankment. It also presented ADB s policy of compensation resettlement, and the different issues between Vietnam policy and ADB policy. The team informed the households of the survey and IOL and that would take place after the meeting. II. Recommendation of AHs a. Ms Hoàng Thị Tàu: - The family had moved but did not receive compensation; there is no lands to move so they want the Project o provide land in the resettlement area. - Because of the loss of so much agricultural land, they are very worried about the future on what they will do to have source of income. They propose that local government create means to help families stabilize their life. b. Mông Thị Sâm: Family has received compensation, but many households lost agricultural land and have been disturbed. They are worried for their children who do not know other job. c. Lăng Văn Choóc: Very supportive of the project, but land compensation unit price is low, especially agricultural land. Unit prices of some plants do not commensurate for the revenues derived from the plant. d. Ngô Thị Liễu : Very supportive of the project. However, the present condition of the market is readily affected with just a rain... In summer, the dirt sewer rises affecting the health of businessman in the markets. Households are trading at the market do not want to move to another place when the project is construction, because they are familiar with places customer relationship. But if forced to move, they also will cooperate but they propose that all must move and not only selected households. They propose that construction will start during the period from May to September which is considered as lean months and with little customers. e. Hoàng Văn Thăng: - All households who have been trading in market wish the local government will soon announce a specific time of project implementation so that they can plan
69 Appendix ahead their trading activities. If possible construction be done in phases so that they can still continue to do trading at certain time and their business will not suffer. f. Nông Thị Liên: - During project construction, there should be tax exemption. If the project is constructed over a month, there should be a supplemental support for households who are trading. g. Mạc Mẩy Hà: - Given that a provincial land compensation rate is often lower than actual, it is disadvantageous to many households. It is recommended that the province should consider to increase the compensation prices. III. Responses of the group 2. The Resettlement Team clarified all the answers and documented all opinions of the households for discussion with the Project management. This activity is just the initial stage to get the views and consensus of the people. The next step activity was to conduct the socioeconomic survey of households and their cooperation was solicited.
70 Comprehensive Socioeconomic Urban Development Project (Viet Tri, Hung Yen and Dong Dang) PUBLIC INFORMATION BOOKLET -DONG DANG TOWN 1. QUESTION: What is the ADB Comprehensive Socioeconomic Urban Development Project? ANSWER: The Government of the Socialist Republic of Vietnam proposes to develop Viet Tri, Hung Yen, and Dong Dang to complement Hanoi as northern Viet Nam's economic centers and to contribute to the development of the North- South economic corridor. The project will provide improved urban infrastructure and municipal services in the project cities/town as well as strengthen local governments' urban management capacities. The Project will be financed by ADB. In Dong Dang, the Project comprises two components: (i) Dong Dang drainage and flood protection. The project will improve the drainage networks and build riverbank protection to protect Dong Dang town from inundation. Drainage pipelines have been laid along one side of roads, however, the capacity of these pipelines is not sufficient, and overflowing on the road surface during heavy rain is a common phenomenon. The market place is suffering from frequent events of flooding due to inefficient drainage conditions. This component will help increase the capacity of existing drainage networks and protect the market from frequent inundation. (ii) Dong Dang Border Gate Facility (BGF). This component aims to improve handling of immigration and emigration of crossborder passengers and custom clearance of goods for import and export at the Huu Nghi border gate. The project will build (a) office buildings and footbridges connecting the buildings, (b) infrastructure within the border gate complex such as roads with drainage and car park, and (c) Vietnamese section of the connecting road between the Vietnamese and Chinese border gates for transportation of goods. The government requested the mission to change the alignment of the road for goods transportation. It was confirmed that the proposed change will be considered during detailed design and the additional cost incurred by this change will be paid by the government counterpart funds. 2. QUESTION: Who is responsible for the Project? ANSWER: The Government of the Socialist Republic of Vietnam will be represented Lang Son Province People s Committee as the project owner and executing agency of the Project. The Lang Son PPC has established a Project Management Unit (PMU) to manage the implementation of the Project. A Social and Environmental Unit (SEU) will be established within the PMU to implement and monitor the Resettlement Plan. 3. QUESTION: Are the improvements to the drainage and development of the cross border facility intended to benefit us? ANSWER: Yes. Improvements to the drainage facilities will reduce the impacts of flooding and make a significant contribution to improving general environmental sanitation in Dong Dang Town. The cross border facility will play an important role in contributing to crossborder trade and tourism between Vietnam and the People s Republic of China. This will have an important impact on Vietnam s economy as well as local economic development. 4. QUESTION: Will any land be acquired for the Project and if so how will we be affected? ANSWER: The Project is expect to require the acquisition of approximately 850m2 of land to improve the river embankment as part of the overall drainage improvements. It is estimated that 43 households will experience loss of land and/or housing as a result. Installation of drainage pipes will rely on existing public easements (such as roads) and will not require land acquisition. Construction of the cross border facility (CBF) will require the acquisition of approximately 15ha of land. A total of 42 households will be affected by the loss of land for the CBF and 2 households will have their houses fully affected and be required to relocate. During the detailed design phases efforts will be made to further reduce impacts on housing and land acquisition through review of technical designs and through consultations with the affected communities. In case the effects on land,
71 house and structures cannot be avoided, affected persons will be properly compensated in cash or in kind for their land use, houses, structures, crops and trees, as well as communal properties in order for them to restore their lost asset, resource, or income. Rehabilitation assistance will also be provided to affected persons who will be required to relocate to another location. 5. QUESTION: What if my land will be affected by the Project? ANSWER: For affected land, compensation can be in the form of replacement land or cash at current market value. If land has been the agreed form of compensation between affected persons and the Project, the replacement land should be of equal or better productive capacity of the lost land and satisfactory to affected persons. If replacement land is not available then the only option offered will be cash compensation at market value. 6. QUESTION: What are the entitlements that we have in order to be compensated? ANSWER: There will be a cutoff date for entitlement to compensation and assistance which will be set and publically announced by the Lang Son People s Committee. Those affected persons who have occupied and used the land prior to this cutoff date are entitled to compensation if the project construction affects their land and/or structures. And for anyone who has encroached and occupied the land after the cutoff date will not be eligible for compensation or assistance. 7. QUESTION: Does compensation apply to my affected houses or structures? ANSWER: Yes. Houses and structures that will be affected by the Project shall be compensated at replacement cost without deduction for depreciation or salvageable materials. Partially affected houses will be compensated for the lost affected portion as well as repair costs. Other structures (e.g. fences, wells, pavement) will also be compensated at replacement cost. 8. QUESTION: What about my crops and trees? ANSWER: For annual crops, affected persons will be given 2-month notice that the land on which their crops are planted will be used by the Project and that they must harvest their crops in time. If standing crops are ripening and cannot be harvested, eligible affected persons can be compensated for the loss of the unharvested crops at the current market value. For perennial crops, affected persons will be compensated for the loss of fruit and timber trees at replacement value, which value will take account of lost potential income and time required to reestablish the perennial trees. This will compensate for lost income until the newly planted seedlings bear fruit. Affected persons will be awarded the full value of any lost crops where the plants are near or ready to harvest. 9. QUESTION: Will the installation of drainage pipes cause disruptions? ANSWER: The project design, including civil works arrangements will make every effort to minimize disruptions to local communities. However, it is likely that there will be some temporary disruptions while the drainage pipes are installed. For most locations the impacts are considered to be not significant. However, it is likely that the installation of the new drainage system will cause significant disruptions to the normal operations of Dong Dang Market for two to three months. All efforts will be made to minimize the disruptions to the market and, if feasible, to enable the continued opening of the market during construction. If any market vendors and not capable of operating their businesses during this period, the project is prepared to provide temporary assistance to minimize the impact on livelihoods. These impacts and mitigation measures will be discussed in detail with those affected prior to commencement of construction works. Communities will also be kept informed of any civil works to take place near their homes or place of business well in advance. Appropriate measures will be put in place to mitigate risks to safety. 10. QUESTION: What about our common property resources like school building, cooperative land?
72 ANSWER: The initial inventory of losses indicated that no common property would be affected by the project. However, if any common property resources were to be affected, the affected property will be replaced in areas identified in consultation with affected communities and relevant organizations. Affected building and structures will be restored to original or better condition. Cooperative farming land will be replaced with either other land (if available) or an alternative resource to benefit the material welfare of the affected community. 11. QUESTION: If in case there will be relocation of houses or businesses involved, how can the Project help me rebuild my house during relocation? ANSWER: Affected persons will be offered option to choose between (i) arranging their own relocation with the compensation and assistance money received; (ii) assisted resettlement at a resettlement site, including plot of land and ready constructed house; and (iii) partially assisted resettlement consisting of resettlement lot but arranging the construction of their replacement housing themselves using the compensation money received. Resettlement sites are to be suitably located and have adequate infrastructure and access to services. Affected persons will be consulted on the selection and design of the resettlement sites. In addition to the above, affected households persons will also be entitled to allowances consisting of: (i) Transportation allowance; (ii) Rental assistance for a limited period (if needed); (iii) Additional cash allowances for those who selfrelocate; (iv) Stabilization assistance for those who lose more than 10% of their productive land in addition to being required to relocate; (v) Incentive bonus for those who relocate before announced project target dates for site clearance. The specific amounts for compensation rates as well as allowances and assistance will be advised at the time the resettlement plan is updated. 12. QUESTION: If in case our livelihoods are affected, how can the Project help me restore my livelihood and living standards? ANSWER: The census and detailed measurement survey will take note of the livelihoods of affected persons and any impacts the Project may have. The Project will provide various forms of assistance to enable affected people to restore their livelihoods and living conditions to at least pre-project levels. For vulnerable households (e.g. those classed as poor, disabled, etc.), the Project will seek to improve living standards to at least minimum national standards. Such forms of assistance will include: (i) cash subsistence allowances to households losing more than 10% of the productive assets equivalent to 30kg of rice per household member per month for periods ranging from 6 to 36 months depending on the severity of impact and circumstances of the household; (ii) for those losing productive land, livelihood transition allowance equivalent to 2-3 times the compensation of the affected land; (iii) agricultural extension assistance; (iv) vocational training free of charge within the province for household members of working age for a limited period of time; (v) for vulnerable households cash social support allowances for 3 years, the level of such support will depend on the severity and type of loss; (vi) potentially other forms of livelihood restoration support if deemed needed based on consultation with affected persons and project stakeholder during preparation of the updated resettlement plan. In addition the Project will seek to maximize project work opportunities to adults in the affected local communities (both men and women) during the implementation phases. Such opportunities will be announced in the local areas. If there are to be temporary impacts on livelihoods of businesses during construction, the specific assistance measures will be discussed in detail prior to commencement of civil works. The objective of the assistance will be to mitigate any temporary impacts on livelihoods. 13. QUESTION: When will the detailed measurement survey be conducted? ANSWER: The activity will be carried out after the actual alignment has been determined. The activity will only be carried out in the presence of the affected persons. The affected persons and the
73 local authorities will be informed prior to the activity. 14. QUESTION: What other impacts has the Project considered? ANSWER: The Project has considered potential effects on local indigenous culture, livelihood patterns, welfare. To assist the Project to ensure that the interests of local ethnic minority communities hosting the Project are addressed throughout the project and to promote opportunities for development, the Project has prepared an Ethnic Minority Development Plan (EMDP). The main objectives of the EMDP is to ensure that any potential negative impacts are properly mitigated and that ethnic minority communities in the local areas are meaningfully consulted throughout project preparation and implementation. The EMDP will be disclosed to local communities. The Project has also considered the potential of increased risks of HIV/AIDS transmission as well as increased risks of human trafficking especially of women and children. It is considered that the project-associated risks will be highest during the construction phase. The Project will implement a HIV/AIDS Awareness and Prevention Program as well as a Human Trafficking Prevention Program which will commence prior to any civil works activities. The project will also aim to restore impacts on livelihoods and promote work opportunities as another measure to reduce such risks to the local community. Further details will be provided and discussed prior to implementation. 15. QUESTION: How will the Project consult with me and provide information? ANSWER: The Project has prepared a communication and consultation plan. The Project will keep local communities informed of significant activities. Regular information will be provided to the ward/commune People s Committees, village chiefs and local mass organizations. The local People s Committees will maintain a public notice board where significant information and schedules will be posted. In addition to this affected households will be consulted directly through public consultation meetings on significant matters affecting them. Such public consultation meetings will take place (i) prior to the conduct of the DMS (to advise survey schedules and procedures), (ii) following the DMS (to advise of DMS results and proposed mitigation measures), (iii) during preparation of the updated resettlement plan (to identify appropriate livelihood restoration measures, advise of compensation rates and details of allowances and assistance measures as well as details of resettlement arrangements); (iv) on-going through implementation of the resettlement plan. In addition the Project will publically disclose the approved updated resettlement plan and EMDP through public information brochures (distributed to affected households and local communities), by providing a translated version to each local People s Committee for public access and by uploading it on ADB s website. A Draft Corrective Action Plan (CAP) has also been prepared for land that was already in the process of being acquired for the CBF in Bao Lam Commune by the Government prior to the commencement of project preparations. The objective of the CAP is to ensure that those displaced from the land to be used for the CBF receive the same entitlements as other persons yet to be displaced from project acquired land in other areas. The CAP will be disclosed separately to those affected households and local community in a similar means to the resettlement plan. 16. QUESTION: If I disagree or problems arise during project implementation such as compensation, technical, and other project-related issues, do I have the right to voice my complaint? ANSWER: Yes. If the affected person is not clear about or not satisfied with the compensation package offered or, if for any reason, the compensation does not materialize according to the agreed schedule, the affected person has the right to lodge a complaint. Likewise if local communities consider that the Project harms the interests of local ethnic minority communities such grievances may also be presented and discussed. Grievance/ queries from affected persons at the first instance may be lodged verbally or in written form with the Ward/Commune People s Committee. The complaint shall be discussed in an informal meeting with
74 the People s Committee which will be required to provide a decision/further advice on the issue within 15 days from the date the complaint is received. All meetings shall be recorded and copies of the minutes of meetings will be provided to affected persons. If no amicable solution can be reached or if no response is received from local People s Committee within 15 days of registering the complaint, the affected person can elevate the matter to the City Resettlement Committee (CRC) within 45 days of originally lodging the complaint. The CRC is expected to respond within 1 month upon receiving the grievance. If the affected person is not satisfied with the decision of the CRC or in the absence of any response, the DP can present the grievance to the Provincial People s Committee. The PPC will review and issue a decision on the appeal within 30 days from the day it is received. If the DP is still not satisfied with the decision of the PPC or in the absence of any response within the stipulated time, the DP may submit his/her case to the court. The resettlement committees concerned will properly document all complaints and resolutions. Affected persons will be exempted from all taxes, administrative and legal fees. Displaced people may keep the SEU of the PMU informed of the nature and status of any grievances presented at any point during the grievance redress process, but the PMU cannot adjudicate on any of the grievances raised. If efforts to resolve disputes using the grievance procedures remain unresolved or unsatisfactory, displaced people have the right to directly discuss their concerns or problems with the ADB Southeast Asia Department (SERD) either directly (at 6 ADB Avenue, Mandaluyong, Manila, Philippines), or through the ADB Vietnam Resident Mission. 17. QUESTION: When is the project expected to start? ANSWER: The project is expected to commence in December The updated resettlement plan will require at least 4 months to prepare and site clearance is expected to commence in the 4th quarter of 2012 at the earliest. Affected communities will be kept informed of updated activity schedules from January QUESTION: How will you know if these undertakings are kept and the objectives of this Project are met? ANSWER: All project activities will be monitored by: The SEU of the PMU and by an External Monitoring Organization. Monthly Report and Quarterly Reports will be prepared and submitted to ADB. A postresettlement impact evaluation will also be undertaken to assess whether impacts of the Project have been mitigated adequately and the pre-project standard of living of affected persons have been restored as a result of the resettlement and project. ADB will also monitor these activities in its regular supervision missions during project implementation. Semiannual reports of the External Monitoring Organization will be disclosed to affected communities. 19. If you have further queries and suggestions, please contact us at: Project Management Unit, Comprehensive Socioeconomic Urban Development Project Attention: Social and Environment Unit Address: Lang Son Provincial People s Committee, 2 Hung Vuong Street, Phuong Chi Lang, Lang Son City, Lang Son Province
75 Appendix DRAFT TERMS OF REFERENCE REPLACEMENT COST STUDY PPTA 7516-SOCIECONOMIC DEVELOPMENT PROJECT 1. The agency to conduct the Replacement Cost Study (RCS) will be engaged by the executing agency and the outputs monitored by internally and externally and subject to consultation with affected persons. Below are draft terms of reference (TOR) for the conduct of the RCS. The TOR will be revised during the updating of the resettlement plan and referred to the PMU and ADB for comment prior to engagement of the RCS agent. I. The Project 2. The proposed Socioeconomic Development Project comprises of various subprojects of two cities and a town namely: Viet Tri City, Hung Yen City and Dong Dang. The subprojects include (i) roads, (ii) solid waste management, (iii) border gate, and (iv) river embankment. Within the project scope of these sub-projects are households that will be affected by land acquisition. II. Affected Persons 3. It is estimated that approximately 85 households will be affected by land acquisition. There will also be some businesses that will be adversely affected owned by affected persons. III. Objectives: 4. The team shall verify and establish compensation rates for land, structures, trees and crops to ensure that Project Affected Persons are compensated at replacement cost. 5. The team members will be composed of: Representative from local authorities (land manager & head of village); and RCS surveyors. IV. Approach: 6. The establishment of replacement costs will be carried out based on information collected from both desk research and direct interviews with people in affected area, both those persons who are affected and those not affected. 7. Desk research will focus on relevant publications, materials of Government authorities, both at central and local levels. However, these materials will play the supporting role only. As the work is aimed at obtaining reasonable replacement costs for different types of affected assets, market evidences are the factors which most strongly base the formulation of these costs. Direct interviews with people in the affected area, both those, whose assets are affected by the Project and those, whose assets are not, will produce reliable data for establishment. V. Methodology: 8. Methodologies to verify the replacement costs for each type of affected assets are described in the following parts. Sample sizes below are indicative and will be confirmed by consultation between the valuer and the resettlement specialists.
76 70 Appendix 2.6 Data collection 1. Land 9. The objective of this establishment is to determine whether the provincial prices are sufficient or not to purchase the same quality and quantity of land. The establishment of compensation for the loss of land is based on its market value. The best way to obtain this market value is to gather data of some sales of land, which have just taken place. However, the transfer of land use right does not always go along with such sales, which makes details of such sales not recorded. The surveyors will make their best effort to collect those sales evidences to support the verification of provincial prices. In addition, information to base the establishment will be collected from direct interviews with owners of land in Project affected area, including those, whose land is resumed and those whose land is not. The interviews will cover the following issues: The recent land use rights transfer in the area; The price, at which owners (affected and not affected persons) are willing to sell their land. 10. Apart from determining the rates for various types of land. The valuer also need to determine the transaction costs involved such as administrative charges, taxes, registration and titling costs. The valuer should bear in mind that when establishing replacement cost for each type of assets, transaction costs should be clearly specified and should be shouldered by the Project. Sample size: Owner of affected land: Owner of non-affected land (adjacent to affected land or in similar area) 5 household per ward/commune 5 household per ward/commune. 2. Structures 11. The objective of this establishment is to determine whether the provincial prices enable affected persons to rebuild their affected structures. The establishment of compensation for affected structures is based on the principle of replacement cost. The information to base the establishment will mainly be collected from direct interviews with parties involved, including owners of structures (both those whose structures are affected by the Project and those whose structures are not affected), construction contractors specialized in residential building. 12. The interviews will be conducted based on a pre-developed interview guide, which will cover the following issues: 2.1 Interviews with owners of structures: a) Construction materials: Main materials they used for their current structures Type of shops where they bought construction materials Distance of transport Origin of the materials (local or overseas) Costs of various materials.
77 Appendix b) Labour Who built the structures: owners themselves or contractors, if owners built themselves, they use their own labour or hire other people. 2.2 Interviews with construction contractors: Main materials which are most used by the local people to build their structures; Costs for those main materials; Cost of labour; Average construction cost (cost per sq.m floor) for different types of houses according to different categories; Validation of provincial construction prices (cost per sq.m floor for each category). The structures will include but not limited to the following: Houses Kitchens (in case they are separated from houses) Toilets, bathrooms (in case they are separated from houses) Any other structure associated to the house Sample size: Non-state owners of structures affected by the Project: Owners of structures not affected by the Project: Construction contractors: -Private construction companies/groups: -Shops retailing construction materials: 3 HH per ward/commune 3 HH per ward/commune 3 companies/groups 10 shop owners. 2.3 Other community-based development projects and other facilities (electric posts, water supply system, water pipes) For those facilities, the establishment will be based on the replacement costs. Similarly in the case of structure, cost to construct those facilities will be determined to see whether the compensation is enough to reconstruct them. Information to base the evaluation will be conducted with officials in charge of constructing such facilities to determine material cost and labour cost. 3. Trees The objective of this establishment is to determine whether the intended provincial prices to be paid to APs are equivalent, lower or higher than the average market price. The basis of the establishment is to determine the average market price for each type of tree. The information to base the establishment will be collected from: a) Secondary sources: - Publications of National Statistical Office - Publications of Price Committee b) Primary sources: - Interviews with people who own the same trees in the locality. The interviews will cover: price, at which owners are willing to sell each type of trees. The prices for perennial trees will be differentiated by the age of the trees.
78 72 Appendix 2.6 Sample size: - Team will investigate the sales price of outputs of different type of trees in the market. Owners of crops and trees affected by the Project: 10 households Owners of crops and trees not affected by the Project: 10 households Market vendors: 5 persons. V. Establishment of Replacement Cost. 13. Replacement Cost = Current Market Value + Transaction Cost 14. Apart from determining the rates for land and non-land assets indicated above. The valuer also need to determine the transaction costs involved such as administrative charges, taxes, registration and building permit costs. The valuer should bear in mind that when establishing replacement cost for each type of assets, transaction costs should be clearly specified to ensure that these expenses or costs are shouldered by the Project and should not be deducted from the compensation payment that each AP will receive. A separate section in the report should present how transaction costs are calculated. 1. Current Market Value 15. Based on the activities carried out, (i) present the methodology used and (ii) prepare a table and discuss among the team the unit rates to be applied for the project. Table: Type Government Rates (Date) Current Market Value Proposed Project Unit Rate Example Only Land (Agri-Category 1) Building Materials Cement (per bag) Wood 2. Transaction Costs Asset Types of Transaction Cost Calculation / Formula Land Taxes Registration Etc House Building permit etc. * State administrative charges, taxes, registration, building permits, titling costs, etc.
81 1 1 PURPOSE AND OBJECTIVES 1. The Peoples Committee of the Province of Lang Son has requested the Asian Development Bank (ADB) to assist in the financing of the development of the Huu Nhgi Border Gate, under the TA 7516-VIE Socioeconomic Development Project. The proposed investment is located inside the area identified by the current master plan which is about 124 hectares. The initial assessment of the proposed sub-project revealed that the acquisition of some 146,029 m2 of land belonging to the 42 indigenous families would be needed for the land development requirement of the border gate. Initial steps have already been taken by the PMU to negotiate with the affected IPs to clear the land and compensation has already been paid to 10 IP households. 2. Since the funding to develop the proposed Huu Nhgi Border Gate was requested in anticipation for project financing with the ADB, the PMU/DPI has to conform with the social safeguard policy of the Bank and ensure the process to fair and humane treatment of affected households. In this regard, the critical aspect of the study is to ascertain whether the procedure for land acquisition is in accordance to the GOV s policy and that of the ADB Safeguard Protection Statement (SPS) and the Banks Policy on Involuntary Resettlement. The DDS aims to examine if to some extent, there has been forceful eviction during site clearance at the project site without assistance and consultation with affected persons. Resettlement-related grievances such as lack of consultations and disclosure concerning project aspects will have to be reviewed, documented and evaluated for appropriate action of the project proponent. There is also the need to gather enough information particularly with respect to community consultation and disclosure of which no data is available for assessment. 3 Overall, the Due Diligence Study (DDS) is primarily focused on the assessment of the adequacy of project preparatory work, social preparation including institutional capacity of the PMU/DPI for resettlement management and arrangement for supervision and monitoring work. The findings of the DDS will be used by the ADB for decision-making purposes with regard to the proposed funding requirement of the sub-project. 4 An important aspect to be considered, hence, is a Corrective Action Plan (CAP) with strong preparatory work and demonstrated institutional capacity for implementation. The following specific objectives for undertaking the DDS are to: a. Review the adequacy of the resettlement project preparation in consultation with PMU/DPI; b. Conduct FGDs with affected households to identify any gaps or grievance with regard to the resettlement planning and implementation aspects; c. Verify data and compensation provided by PMU/DPI and validate with affected families on a random sample basis; d. Prepare remedial measures if required, both in terms of policy and implementation on institutional issues. 5 The relevant laws and regulations of the GOV and that of the Bank s SPS are the basis for the review and adequacy on resettlement resources and assistance, including additional resources to enhance the quality of resettlement operations and management, particularly with regard to livelihood restoration. 2 SCOPE OF THE HUU NGHI BORDER GATE FACILITY 6 The scope of the proposed sub-project includes the following:
82 2 Physical Output: Construction of parking area and access road to China border; Widening of the roads by land acquisition and earthworks; Common road for the trucks and for traffic to Bao Lam; Improvement of current building facilities. Non Physical Output/Expected Benefits Increased trade and revenue for government; Time saving in border processing; Better and comfortable facilities; Increased income for local business surrounding the area; Enhanced aesthetics and tourist attraction; Increase in land value; Improved trade and logistics results to saving more time and less loss in income; Improved market access leading to increased international trade and diversification of peri-urban agriculture and non-farm income sources; Improved transportation will benefit industries in both countries, potentially leading to profits and more employment; An excellent opportunity to engage/provide capacity building to border enforcement, i.e. an entry and exit point of important social issues including HIV/AIDs, human trafficking, wildlife trade, illicit drugs, etc. 3 METHODOLOGY OF THE STUDY 7 The study conducted provincial level as well as community-level consultation meetings and semi-structured survey represented by over 70% of affected households, to assess community responses, identify issues as well as their reactions to the resettlement procedures and packages. The investigations were carried out from 22nd February 2011, with the PMU, and from the 24 th -25 th February 2011, with the affected IPs households. The DPI/PMU joined the Study team and provided orientation on current status of the project and the activities carried out during so far. The PMU also provided the study team with the list of names of affected households and the document on the approved compensation plan for the affected families. Appendix 1 Compensation and Entitlement of DPs. 8 An ocular survey was done with PMU staff officials around the parcels of land acquired for the sub-project to note the type of land and productivity. Interviews were done individually on field about their present condition, status of livelihood and economic activities. 9 The PMU also participated in the focus group discussions (FGD) conducted by the Study Team and had the opportunity to listen to the grievances aired by affected persons. The information was further strengthened through the use of semi-structured questionnaire (Appendix 2) administered to 79% of households. The List of names of FGD participants is attached as Appendix 3. 4 FINDINGS FROM THE SURVEY Impact on land 10 The Project requires a total of 146,029 sq meters of land. Within the scope of the project area, 2 IP households need to be resettled while 40 IP households would stand to lose productive land only. The PMU has already paid compensation to 10 households and negotiations are underway for the remaining households. Land to be acquired comprises of
83 3 residential sq mts; rice and crops sq. mts; garden land (vegetables) sq.mts; aqua land sq. mts; and forest land sq. mts. Table 1 Type of Affected land Commune Residential Land (m2) Land for rice and other crops (m2) Garden (m2) Land for Forest aquaculture (m2) (m2) Total (m2) Bảo Lâm Category of Affected Households 11 Affected families generally belong to the indigenous groups (IPs) and are living together in Bao Lam commune where the majority (98%) belong to the Nung Tribe. Only 2% are Tays. It is a common norm that IPs generally live close to their kin to preserve their traditional social network. Length of Stay in Current Location 12 Displaced IPs (DPs) have stayed in the place for over 30 years reflecting stability and adaptability to the place. Several factors emerged when asked regarding the advantages in their current location. These include the importance of farming, accessibility to rural services and preservation of social network which is typical of IP culture and practice. Occupation 13 The majority of DPs (84%) are farmers. The remaining 6% are employees and 10% have their own business. Since the major sources of income are land based, the acquisition of productive land has an impact on the main source of income. Land is basically utilized for garden and planted with vegetables and crops for family s consumption or for sale. Table 2: Occupation of Household Members of DP households Commune Farmer Employee Business Total Bao Lam % Household Income 14 The social survey results show that about 50% formerly earns an average income range from VND ,000 (US$20) per month. Assuming an average family size of 5 implies a per capita income of VND 80,000 (US $4) per month or $48 per annum. According to poverty statistics in Vietnam, this level is categorized as nearing poor. This figure indicates a high level of vulnerability, considering that these are ethnic minorities with limited skills or even unskilled and without assets. If their land is lost, these households are most vulnerable as they are mostly dependent on their crops for food and other daily needs. 15 A significant finding is the trend in the decrease of income due to less productivity and limited market opportunity. The loss of land as a result of the project will further aggravate the current situation and trigger occurrence of impoverishment if no appropriate mitigation measures is provided.
84 4 Table 3 HH income (former earnings) Average income (VND) No of % Person/month HH ( HH) < VND VND VND > VND The displacement of two households has created negative impact particularly on women and children who will be experiencing insecurity on loss of both land and housing structure. 5 FINDINGS FROM FGD General Responses to the Project 17 There is generally wide appreciation of the proposed project and mostly the responses are positive. However main issues revolved around the cost of compensation on land. The majority (98) were worried about losing their productive land which is the main source of income. Moreover, the 2 DPs expressed concern about losing both house and land. There is feeling of insecurity as affected IPs expressed their fears about their fate and the future conditions of their children and families. Awareness and Information about the Project 18 The DPs claimed that they were fully informed about the project and were consulted with regards to their compensation and entitlements. Responses to resettlement packages and benefits Compensation on land 19 There were strong negative reactions on the compensation package particularly on the cost of land which was viewed by many as very low. Although there were corresponding entitlement and benefits, as governed by law, 84% claimed that they were not satisfied with the compensation package. Several reasons were cited for the dissatisfaction particularly from the 10 DPs already paid, which include: (i) compensation value of land is very low; (ii) no other alternative means of income; (iii) take time for them to grow crops to replace the lost ones (iv) worried on how to start all over again. Table 4 Responses to compensation Commune Satisfied Not satisfied Total Bao Lam 6HHs 24HHs 30 HHs % 20% 80% 100% 20 The cost of land was determined by the Peoples Committee of the province which is generally applied for all government projects as governed by Decree 197/2004 and Decree 69/2009. The People s Committee is mandated to do their best assessment on the value of
85 5 land, and this is further reviewed by the Ministry of Finance every year to ensure current market value. Other Incentives and bonuses 21 In addition to compensation on land, other entitlements were also provided as governed by Decision 21/2009/QD-UBND. These include the following items indicated in Table 5. Table 5 Incentives and Bonuses No Type of Assistance Bonuses/Incentives (VND) 1 Removal allowance 4,000,000/HH 2 Temporary Housing (Rent) 2,400,000/HH 3 Non concentrated supporting 30,000,000/HH 4 Income stablilization/livelihood 1,800,000/pers 5 Change of job 3X the price of compensation on land Grievance Redress Mechanism 22 A grievance procedure was established headed by the District Committee on land acquisition as stipulated in Decree 84/2007/ND-CP. The commune officials made all reasonable attempts to settle issues at the commune level. However, there is not enough details to assess the action taken by the grievance committee or minutes to show records of complaints. Issues and concerns 23 For 40 DPS who would loss productive land Uncertainty of livelihood and income generating opportunities. Considering that the main economic income of the majority of affected households is land based farming, most DPs expressed their need for alternative jobs or income and are wary on how they could change their current economic activity. There are very limited skills which can be utilized for skilled or regular employment. There are signified interests in learning new skills which can be developed as alternate work to augment income. These include food processing, vending, sewing, electronics. For 2 DPs who will be relocated Money not enough to put up a new structure as new materials are expensive; Loss of productive land reduced their income and food supply; Time would be spent for building new house and finding other means. 6 Institutional Capacity 24 The PMU of DPI is responsible for the implementation of land acquisition and resettlement. In terms of resettlement planning the PMU has adequate staff to plan and to oversee the implementation of the resettlement program in the field level. Land acquisition is generally undertaken by the head of PMU. A Resettlement Team under the PMU manager is responsible for resettlement concerns in coordination with the district and Local communes for its implementation. 25 Overall, the institutional arrangement for land acquisition and resettlement is basically well established and defined as governed by Decree 69/2009 and Decree 197/2004 which are
86 6 reflected also in Decision 21/2009/QD-UBND promulgated by the People s Committee of Lang Son province. 26 However, to ensure the appropriate assistance for livelihood implementation and income restoration of the affected households, it is proposed that the PMU seeks the assistance of Department of Labor, Invalid and Social Affairs (DOLISA) or NGOs involved in livelihood program for the AHs to gain access to credit facility for their income generating initiative as well as to sustain these initiatives. Ensuring viability of the enterprises is necessary to help the DPs restore their lost livelihood and income. 7 GOV s Policy on Land Acquisition and Resettlement Compensation 27 The government has governing policies in support to indigenous people which are reflected in Decree 30A, Decree 134 and 135 specifying preservation, protection and support to indigenous peoples. 28. On the other hand, the policy on land acquisition and resettlement is generally governed by Decree 197/2004 and Decree 69/2007. However, the devolution of governance to the local province or districts has empowered local authorities to regulate and govern issues on land acquisition in their own respective areas. Based on Decision 21/2009/QD-UBND, the compensation plan and entitlements has been prepared by the PMU, approved by the PPC. This is indicated in Appendix 4 Compensation and Entitlements for DPs. The compensation value of land is based on the price determined by the People s Committee of Lang Son Province, as governed by Provincial Decision. 29 In addition to compensation of land, bonuses and incentives were provided to households depending on the severity of land lost in accordance with the Decision 21/2009/QD- UBND. Overall, the bonuses and incentives are provided as additional support aimed at stabilizing income and livelihood support as shown in Table ADB S PRINCIPLES ON INVOLUNTARY RESETTLEMENT AND INDIGENOUS PEOPLE 30 The overall principle of the ADB s SPS is to ensure that affected groups are not disadvantaged by the project and that it will at least maintain or contribute to better living condition of affected households than before the project took place. With respect to Involuntary Resettlement the objective of the SPS policy is to avoid involuntary resettlement wherever possible; to minimize involuntary resettlement by exploring project and design alternatives; to enhance, or at least restore, the livelihoods of all displaced persons in real terms relative to preproject levels; and to improve the standards of living of the displaced poor and other vulnerable groups. With respect to Indigenous People, the objective of the SPS policc is to design and implement projects in a way that fosters full respect for Indigenous Peoples identity, dignity, human rights, livelihood systems, and cultural uniqueness as defined by the Indigenous Peoples themselves so that they (i) receive culturally appropriate social and economic benefits, (ii) do not suffer adverse impacts as a result of projects, and (iii) can participate actively in projects that affect them. To mitigate the impact of involuntary resettlement, the following principles must be employed. (i) Compensation of lost assets at replacement value
87 7 31 Compensation of lost assets should be at replacement cost, along with other support to stabilize income of IPs. Replacement cost is the amount calculated before displacement that is needed to replace for the affected assets without deduction for taxes and/or costs of transaction applicable to the following: (i) (ii) Productive Land (agricultural, aquaculture, garden and forest) based on current market prices that reflect recent land sales in the project area or, in the absence of such recent sales, based on recent sales in adjacent or other locations with comparable attributes, or in the absence of such sales, based on productive value; Residential land based on current market prices that reflect recent land sales or, in the absence of such recent land sales, based on prices of recent sales in other locations with comparable attributes; Houses and other fixed structures based on current market prices of materials and labor without depreciation or deduction for salvaged building materials; Annual crops equivalent to the prevailing market value of crops at the time of compensation; Perennial crops, cash compensation equivalent to their current market value given the type, age and productive value (future production) at the time of compensation. Timber trees based on the type and breast height at current market prices. Rehabilitation and restoration of livelihood 32 In order to stabilize and restore living condition of DPs to former or better condition, there is a need to ensure provision of appropriate income generation support. Support to livelihood needs to incorporate current economic activities of the DPs that would enable families to gain access to their ancestral land for cultivation, access to credit facility. (iii) Protection of vulnerable groups 33 All of the affected households of the proposed project are ethnic minorities. By ADB standard, all IPs are considered as vulnerable, therefore considerable efforts must be undertaken to protect the interest of the IPs, which are also governed by Decree 134, Decree 135 and Decree 30A. Although few in numbers, the most vulnerable groups are those households in the project area that are being resettled and have little/no skills or assets, as well as those (50%) whose income are below VND 500,000 per month. Greatly vulnerable are women and children who are mostly affected by loss of housing structure, coupled with food insecurity resulting from loss of crops on their productive land. 34. Overall, the governing policies of Vietnam supports the ADB policies particularly with regard to ethnic minorities, which are reflected in Decree 30A, Decree 134 and 135 specifying preservation, protection and support to indigenous peoples. 9 CONCLUSIONS AND RECOMMENDATION Discrepancy in valuation of land
88 8 35 The findings of the DDS reveal that the value on compensation for land and asset does not truly represent replacement cost. This was supported by the DPs, the Commune Officials of Bao Lam and the Compensation Committee of the Cao Loc District, who suggested an appropriate replacement cost indicated in Table 6. Table 6 Discrepancy in Land Valuation Type of Land Provincial Cost (VND/m2 Replacement Cost* VND/m2 Rice land 20,000 27,000 40, Garden Land ,000-40,000 Residential land 450, ,000 1,000,000.00/m2 Additional rehabilitation measures 37 While there are no available documents to show whether the provision of incentives has been effectively applied to enhance livelihood and has truly contributed to the improvement on the living condition of affected households, there is already significant evidence of decrease in income as indicated in the survey results. Support for livelihood restoration has been limited in scope and has not been able to assist in identifying and gaining access to real income opportunities. 38 As such, the livelihood component needs to be strengthened. It is also recommended that the project will absorb IPs with skills for employment. Appropriate training needs to be done for consideration into the Project s manpower requirement. An inventory of skills needs to be done so that arrangements can be done prior to project construction. Replacement cost 39 In view of the findings on the gap between the provincial cost and the replacement cost, appropriate consultation with the PMU and DPs must be done to discuss remedial measures to ensure compensation at replacement value in compliance to ADB s policy. 40 To summarize, there are still some critical tasks that need to be undertaken by the PMU to comply with the ADB SPS. These are specified in the Corrective Action Plan (CAP) accompanying this Document.
89 Resettlement Corrective Action Plan August 2011 VIE: Comprehensive Socioeconomic Urban Development Project Viet Tri, Hung Yen, and Dong Dang (Dong Dang) Prepared by the Lang Son Provincial People s Committee for the Asian Development Bank.
91 A. BACKGROUND AND PURPOSE OF THE CORRECTIVE ACTION PLAN 1. The Corrective Action Plan (CAP) covers the Involuntary Resettlement impacts associated with the land acquisition of land for the Huu Nghi Cross Border Facility (CBF) which is a component of the Vietnam Comprehensive Socioeconomic Development Project (prepared under ADB TA 7516-VIE). Acquisition of land for the CBF commenced in accordance with GoV legislation and resettlement assistance policies prior to project preparation under the ADB financed PPTA. The objective of this CAP is to ensure that compensation, assistance and other required mitigation measures fully comply with ADB s Safeguards Policy Statement (2009) as well as Government requirements through the provision of supplementary compensation, assistance and other gap filling measures to ensure compliance. This CAP is a safeguards document (as understood in the context of the ADB SPS) and has the same status and standing as a Resettlement Plan. It is a document owned and endorsed by the EA and requiring ADB concurrence. Like the Resettlement Plan for Dong Dang Town, the CAP will require updating prior to implementation as well as final endorsement and concurrence from ADB in order for civil works to be able to proceed. This CAP is to be considered as an Addendum to the Dong Dang Resettlement Plan with policies, principles and entitlements to apply as set out in the Dong Dang Resettlement Plan. Please refer to the Dong Dang Resettlement Plan under this project for more detailed treatment of applicable policies, entitlements and implementation arrangements. 2. The Peoples Committee of the Province of Lang Son has requested the Asian Development Bank (ADB) to assist in the financing on the development of the Huu Nhgi Border Gate, under the TA 7516-VIE Socioeconomic Development Project. The proposed investment is located inside the area identified by the current master plan which is about 124 hectares. The initial assessment of the proposed sub-project revealed that the acquisition of some 146,029 m2 of land belonging to the 42 indigenous families would be needed for the land development requirement of the border gate. Initial steps have already been taken by the PMU to negotiate with the affected IPs to clear the land and compensation has already been paid to 10 IP households. 3. In anticipation for project financing with the ADB, the Executing Agency, (EA) which is the Department of Planning and Investment (DPI) needs to conform with the social safeguard policy requirement of the ADB and ensure the protection of the indigenous peoples. In this respect, the critical aspect of the proposed sub-project is to ascertain whether the procedure for land acquisition is in accordance with the GOV s policy and that of the ADB Safeguard Protection Statement (SPS) and the Bank s Policy on Involuntary Resettlement. 4. A Due Diligence Study (DDS) was undertaken by the Consultant, in view of the obligation to give protection for affected IPs and requirement to provide development opportunities in accordance with ADB s SPS policy requirement. The following objectives are considered for undertaking the DDS and its corresponding corrective measures. a. Review the adequacy of the resettlement project preparation in consultation with PMU/DPI and affected households; b. Conduct FGDs with affected households to identify any gaps or grievance with regard to the resettlement planning and implementation aspects; c. Verify data and compensation provided by PMU/DPI and validate with affected families;
92 2 d. Prepare remedial or corrective measures if required, both in terms of policy and implementation on institutional issues. 5. This document summarizes the findings of the Due Diligence Study and provides a set of mitigation measures to be implemented in order to fill the gaps between the Borrower s legislation and policies of ADB to ensure that the project is in compliance with the requirements set out in ADB s Safeguards Policy Statement (SPS) with respect to Involuntary Resettlement and Indigenous Peoples. 6. The relevant laws and regulations of the GOV and that of the Bank s SPS are the basis for the review and adequacy on resettlement resources and assistance, including mitigation measures to address negative impact and enhance the quality of the process of land acquisition and resettlement operations and management. 7. The recommendations provided in this document are established as Corrective Action Plan that need to be carried out by the EA in compliance with the ADB SPS before project endorsement. B. SCOPE OF THE HUU NGHIE BORDER GATE 8. The scope of the proposed sub-project includes the following: Physical Output: Construction of parking area and access road to China border; Widening of the roads by land acquisition and earthworks; Common road for the trucks and for traffic to Bao Lam; Improvement of current building facilities. Non Physical output: Increased trade and revenue for government; Time saving in border processing; Better and comfortable facilities; Increased income for local business surrounding the area; Enhanced aesthetics and tourist attraction; Increase in land value; Improved trade and logistics results to saving more time and less loss income; Improved market access leading to increased international trade and diversification of peri-urban agriculture and non-farm income sources; Improved transportation will benefit industries in both countries, potentially leading to profits and more employment; An excellent opportunity to engage/provide capacity building to border enforcement, i.e. an entry and exit point of important social issues including HIV/AIDs, human trafficking, wildlife trade, illicit drugs, etc. C. IMPACT ON LAND ACQUISITION AND RESETTLEMENT 9. Total land to be acquired for the project is 146,029 sq. meters belonging to IPs households. Affected land comprises of residential (518.2 sq mts); rice and crops (16,231 sq. mts); garden land vegetables (85,228.2) sq.mts; aqua land (3,347.5 sq. mts) and forest land (40,702.6 mts). 10. Affected households are ethnic minorities (Nung and Tay) living as part of their local communities in Bao Lam commune where the majority (98%) are ethnic Nung and around 2%
93 3 are ethnic Tay. There are two EM households who would lose their land and structures while 40 EM households would lose productive land only. D. MAIN FINDINGS 11. The majority of affected household members (83%) are engaged in farming and so the acquisition of productive land has affected the main source of income of the majority of households. The remaining 5% are employees while 10% have small businesses. 12. The majority (50%) earns an average income range from VND ,000 (US$20). This figure indicates a high level of vulnerability, considering that these are ethnic minorities with limited or unskilled and no assets. If their land is lost, these households are most vulnerable as they are mostly dependent on their crops for food and other daily needs. Their land is primarily utilized for vegetable garden and crops either for household s consumption or for sale with very meagre income. 50% of DPs are classified as near poor with an average per capita income range between VND ,000 (US$20) per month. 13. The affected EM households are considered as generally vulnerable with limited vocational skills and physical assets. The displacement of two households has created a negative impact, particularly upon women and children, creating fear and insecurity on loss of both land and housing structure. Moreover, many households were worried about the change in livelihood which would be difficult to find or start all over again. E GOV s Policy on Land Acquisition and Resettlement 14. The Government has legislation and policies promoting the interests of ethnic minority people which are reflected in National Decree 30A, Decree 134 and 135 specifying preservation, protection and support to ethnic minority peoples. 15. Compensation paid to 10 DPs was based on the policy on land acquisition on resettlement and in compliance with Government of Vietnam legal requirements set out is such legal instruments as Decrees 69/2009; and 197/2004 as well as Lang Son Provincial Decision 21/2009/QD-UBND. The entitlements and compensation currently provided to these DPs are set out in Appendix 1 (Compensation and Entitlements for DPs.) The compensation value of land was based on the price determined by the People s Committee of Lang Son Province, in accordance with the standing Provincial Decision. 16. In addition to compensation of land, allowances and assistance were provided to households depending on the severity of land lost in accordance with the Decision 21/2009/QD- UBND. Overall, the bonuses and incentives are provided as additional support aimed at stabilizing income and livelihood. Table 1 Allowances and Assistance in Addition to Compensation No Type of Assistance Allowance 1 Transporation allowance 4,000,000/HH 2 Temporary Housing (Rent) 2,400,000/HH 3 Self resettlement allowance 30,000,000/HH 4 Income stabilization/livelihood Cash grant equivalent to 30kg rice per household member per month for a period of 6-24 months depending on severity of
94 4 No Type of Assistance Allowance impact. 5 Livelihood change support Cash grant equivalent to three times the price of compensation of productive land Consultation Process 17. Adequate consultation has been conducted. Affected households were fully informed of the project and were oriented with the governing laws, compensation package and their entitlements under GoV policy and legislation. A grievance procedure was established headed by the District Committee on land acquisition as stipulated in Decree 84/2007/ND-CP. However, information regarding DP grievance not available to the consultants during the due diligence study and so it was difficult to assess the status or action taken by the grievance committee nor minutes to show records of complaints. 18. The consultations and social results indicated that the majority (84%) of the affected households claimed that they were dissatisfied with the compensation due to the following reasons: Compensation value of land is very low; No other alternative means of income; Take time for them to grow crops to replace the lost ones. Worried on how to start all over again Replacement Value of land 19. The findings of the DDS reveal that the value on compensation for land and asset does not adequately represent replacement cost. This was supported by the DPs, the Commune Officials of Bao Lam and the Compensation Committee of the Cao Loc District, who suggested an appropriate replacement cost indicated in Table 2. The provincial assessment is lower by about 40-50% than the suggested replacement cost. Table 2 Discrepancy in Cost of Land Type of Land Provincial Cost (VND/m2 Replacement Cost* VND/m2 Rice land 20,000 27,000 40, Garden Land ,000-40,000 Residential land 450, ,000 1,000,000.00/m2 F ADB S PRINCIPLES ON LAND ACQUISITION AND RESETTLEMENT 20. The ADB Safeguard Policy Statement (2009) (SPS) has established three safeguard policies related to (i) involuntary resettlement (IR) (ii) indigenous peoples (IP) and (iii) environment. 21. The objectives of the SPS policy on Involuntary Resettlement are: (i) To avoid involuntary resettlement wherever possible; (ii) to minimize involuntary resettlement by exploring project and design alternatives; (iii) to enhance, or at least restore, the livelihoods of all displaced persons in real terms relative to pre-project levels; and (iv) to improve the standards of living of the displaced poor and other vulnerable groups 22. In particular, the objectives of the IP policy are focused on the following safeguard
95 5 measures: (i) (ii) (iii) Protection for IPs identity, dignity, human rights, livelihood system and cultural uniqueness as defined by IP themselves; Preservation of their socio-cultural practices, and ensure that IPs are not disadvantaged by the project; Provision of an appropriate culturally acceptable economic benefits. 23. In view of the above, the three important elements to mitigate the impact of land acquisition are spelled out. i) Compensation at replacement cost 24. Replacement cost is the value calculated before displacement that is needed to replace for the affected assets without deduction for taxes and/or costs of transaction applicable to the following: (a) Productive Land (agricultural, aquaculture, garden and forest) based on current market prices that reflect recent land sales in the project area or, in the absence of such recent sales, based on recent sales in adjacent or other locations with comparable attributes, or in the absence of such sales, based on productive value; (b) Residential land based on current market prices that reflect recent land sales or, in the absence of such recent land sales, based on prices of recent sales in other locations with comparable attributes; (c) Houses and other fixed structures based on current market prices of materials and labour without depreciation or deduction for salvaged building materials; (d) Annual crops equivalent to the prevailing market value of crops at the time of compensation; (e) Perennial crops, cash compensation equivalent to their current market value given the type, age and productive value (future production) at the time of compensation. (f) Timber trees based on the type and breast height at current market prices. ii) Rehabilitation and restoration of livelihood 25. Although additional benefits and bonuses have been provided by the EA to compensate for loss of land, the DDS study revealed that majority (84%) of DPS are not satisfied with their compensation and that the additional benefits are not sufficient to stabilize or maintain their former condition. 26. The DDS indicated that the allowances and assistance to be provided were inadequate to restore and/or improvement livelihoods and living standards as required, As such, the livelihood program as an additional initiative needs to be strengthened. Support to livelihood needs to incorporate current economic activities of the DPs that would enable families to gain access to their ancestral land for cultivation which is their main economic base. 27. It is also recommended that the project will absorb DPs with skills for employment. Appropriate training needs to be provided for consideration into the Project s labour requirements. This would require an inventory of skills so that arrangements can be made to accommodate trained or skilled IPs into the project prior to project construction.
96 6 iii. Protection of vulnerable groups 28. All of the affected households of the proposed project are ethnic minorities. These people are considered as vulnerable groups and special consideration are to be provided to these category of households which is also consistent with the stated objectives included in National Decree 30, 134 and Decree 135. The most vulnerable groups are those households in the project area that are being resettled and have limited vocational skills or assets, as well as those (50%) whose income are below VND 500,000 per month. Amongst the most vulnerable are women and children who are mostly affected by loss of housing structure, coupled with food insecurity resulting from loss of crops on their productive land. G RECOMMENDATIONS 29. Based on the findings of the DDS, the EA through the PMU needs to undertake the remaining activities in compliance to ADB s SPS and Policy on Involuntary Resettlement. 30. For the PMU to review and implement compensation on land and other assets based on replacement cost. There is a need to engage the services of an independent replacement cost surveyor. Results of the RCS will be reviewed and approved by the provincial authorities and be used for calculating the revised compensation package for each affected household. If in the event the values provided in the results of the RCS are lower than the value determined by the PPC, the latter will apply. However, when the valuation of RCS is higher than the PPC, the EA is obliged to pay the difference on the cost of compensation already paid for the 10 households, as well as the remaining DPs. This activity may be undertaken simultaneously with the DMS, but before construction phase. No construction shall be done if affected households have not been fully paid based on replacement cost. 31. Develop, implement and administer a livelihood development assistance program focusing on affected households to include those who loss 10-70% portion of land. The PMU shall assign or hire one (1) experienced National Social Development/Livelihood specialist to: a) Assess on vocational skills and training requirement of 42 DPs. b) Coordinate with DOLISA for appropriate training and livelihood assistance to DPs within a period of 1-2 years, adequate enough to provide guidance and technical support to AIPs in managing enterprises, and to ensure that income are rehabilitated and stabilized. 32. Appropriate a special assistance grant fund which will allow vulnerable DPs, and low income households to gain access to credit facilities for income generation project particularly for female headed households. 33. Establish a policy for priority absorption of DPs to be trained or with current skills to be included in the manpower requirement of the project. 34. Establish a District / community based monitoring and evaluation committee to monitor progress and outcome of relocation, livelihood assistance and how it has affected change in the life of the DPs within the project time frame. Monitoring shall be conducted quarterly while the evaluation shall be done once a year for a period of 2 years. 35. In addition, it is recommended that the PMU should take a more pro-active role in the assistance for restoration of DPs income/livelihood as a corporate social responsibility and
97 7 demonstrating good practice in international development work derived from Asian Development Bank safeguard protection policy. In this particular case, the Project may assist the project proponent with a special grant to hire experienced NGOs to work with the affected families in training and capacity building for small business and livelihood program. H. Budget Requirement 36. The following budget requirement for the remaining tasks is estimated below in Table 3. These costs include adjustment cost based on replacement value of land and other items that need to be undertaken to comply with ADB SPs. Overall costs amount to VND21,073,418,688 (approx USD 1,053,671) which include the cost approved by the People s Committee.
98 8 Table XIV.2: Estimated Budget for Corrective Action Plan Unit Price (VND) Amount Previously Approved (VND) Additional Required (VND) Amount (USD) Item Description Unit Quantity Amount (VND) A Direct Resettlement Costs 1 Compensation for land 1.1 residential m ,000, ,100, annual cropping m ,550, garden ,261,400, Aqua ,400, productive forest , ,848,000 Subtotal 1 146,027 6,735,198,000 2,938,461,900 3,796,736, ,837 2 Compensation for houses 6,221,856,901 2,705,361,900 3,516,495,001 Sub Total 2 546,729, ,521,408 3,516,495, ,825 3 Compensation -Secondary Structures Nil estimated here 10,170,000 0 Sub Total 3 4 Transitional Assistance 0 Nil additional estimated here 0 Subtotal 4 5 Income restoration 5.1 Livelihood change assistance (3 x value of difference of productive land compensation) m2 145,509 18,651,594,000 8,325,272,700 10,326,321, Vocational training Pax 126 4,000, ,000, ,000, Micro-credit HH 42 10,000, ,000, ,999,999 Subtotal 5 19,575,594,000 11,250,321, ,516 6 Special Assistance HH 42 6,000, ,000, ,000,000 Subtotal 6 252,000, ,000,000 12,600 Sub-total Direct Resettlement Costs 18,815,552,400 B C D E Indirect Resettlement Costs Already estimated under Dong Dang Resettlement Plan 0 0 Administration Costs 2% of A ,816 Contingency 10% of A 1,881,555,240 94,078 GRAND TOTAL E=A+B+C+D 21,073,418,688 1,053,671
99 Appendix 1 Compensation of Displaced IPs as approved by the PPC Appendix 1 9
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