VIE: Strengthening Water Management and Irrigation Systems Rehabilitation Project

Transcription

1 Final Resettlement Monitoring Report Post Evaluation Report Document stage: Final Project number: December 2016 VIE: Strengthening Water Management and Irrigation Systems Rehabilitation Project Subproject: Cau Dua Pump Station in Hai Duong province Prepared by: The External Monitoring Agency (EMA) Ha Long Investment and Consulting JSC. (Halcom) for the Central Project Office (CPO) under the Ministry of Agriculture and Rural Development (MARD) and the Asian Development Bank (ADB).

2 WEIGHTS AND MEASURES m (Meter) m2 (Square meter) m3 (Volume) kg (Kilogram) Is the unit of length A system of units used to measure areas A system of units used to measure the spaces, that an object or substance occupies. A decimal unit of weight based on the gram 1

3 ABBREVIATIONS ADB AH AP BHH CPMO CPO CPC DARD DOLISA DCARC DMS DONRE DPC EA EMA IOL LURC MOLISA MONRE MARD PPC PMU RF RP SES VND VWU WRU Asian Development Bank Affected household Affected person Bac Hung Hai Central Project Management Office Central Project Office Commune Peoples Committee Department of Agriculture and Rural Development Department of Labor, Invalids and Social Assistance District Compensation, Assistance, Resettlement Committee Detailed Measurement Survey Department of Natural Resources and Environment District Peoples Committee Executing Agency External Monitoring Agency Inventory of Losses Land Use Rights Certificate Ministry of Labor, Invalids and Social Assistance Ministry of Natural Resources and Environment Ministry of Agriculture and Rural Development Provincial Peoples Committee Project management unit Resettlement Framework Resettlement Plan Socio-Economic Survey Vietnamese dong Viet Nam Women s Union Water Resources University 2

4 This resettlement monitoring report is a document of the borrower. The views expressed herein do not necessarily represent those of ADB's Board of Directors, Management, or staff, and may be preliminary in nature. In preparing any country program or strategy, financing any project, or by making any designation of or reference to a particular territory or geographic area in this document, the Asian Development Bank does not intend to make any judgments as to the legal or other status of any territory or area. 3

5 TABLE OF CONTENTS I. PROJECT OVERVIEW Project introduction Scope of sub-project impact... 7 II. OBJECTIVES, METHODS AND STEPS OF POST RESETTLEMENT EVALUATION Site survey for post-resettlement evaluation: Objectives of the post resettlement evaluation Scope of works Monitoring indicators Methodology... 9 III. SURVEY AND ASSESSMENT RESULTS ON RESETTLEMENT PLAN IMPLEMENTATION (RP) Summary of subproject impacts and RP implementation in the subproject Surveyed results on households socio-economic information Household information Living conditions of households Income and expenditure Evaluation on effectiveness of RP implementation Organization for RP implementation Information disclosure Detailed measurement survey (DMS) Compensation plan The payment and use of compensation and support for AHs Resettlement program for relocation AHs Grievance redress Income restoration program Issuance of certificates of land-use rights Satisfaction of AHs on RP implementation Difficulties of local government in land acquisition and resettlement IV. CONCLUSION AND LESSONS LEARNT Conclusion Lessons learnt

6 I. PROJECT OVERVIEW 1.1. Project introduction 1. The Strengthening Water Management and Irrigation Systems Rehabilitation Project funded by the Asian Development Bank (ADB) and the French Development Agency was ratified by the Government of Vietnam in the Project Portfolio in Decision No.2272/TTg - HTQT dated November 18, The Project takes effect as of September 7, 2011 and the project loan closing date is December 31, The Project is implemented in three provinces: Bac Ninh, Hai Duong and Hung Yen. 2. The project consists of three main components: Component 1 - Construction of new campus for Water Resource University (WRU): The project will support a major portion in the first phase of establishing the new campus in Pho Hien area for the Water Resource University, comprising a well-balanced, functional mix of educational facilities sufficient for 13,400 students and dormitories for 30% - 50% of them by Component 2 - Strengthening capacity of Bac Hung Hai (BHH) service providers: The Project will strengthen the capacity of water management organizations through out BHH area, including strengthening the capacity and establishing the supervisory control and data acquisition (SCADA) system (Collecting data and operating phasal monitoring). Component 3 - Construction and Rehabilitation of BHH Irrigation and Drainage Infrastructure: The Project will support the construction of eight new pump stations and rehabilitation of two existing pump stations for irrigation, drainage and dual purposes in the BHH system. 3. The Project consists of 11 subprojects, covering the three provinces of Hai Duong, Bac Ninh and Hung Yen of which two subprojects have no resettlement impact: My Dong Pump Station Hai Duong province and Upgrading Vang Canal II Bac Ninh province. 5

7 Table 1: Locations of sub-projects NO. Subprojects Hung Yen province Construction of Chua Tong new Pump Station - Thanh Long commune and Trung Hung commune Yen My district Construction of Lien Nghia new Pump Station - Lien Nghia commune - Van Giang district Construction of Nghi Xuyen new Pump Station - Thanh Cong commune and Chi Tan commune Khoai Chau district Construction of new campus of Water Resources University - Nhat Tan commune and An Vien commune - Tien Lu district Hai Duong province Construction of Doan Thuong new Pump Station - Doan Thuong commune and Toan Thang commune - Gia Loc district 6. Upgrading Cau Dua Pump Station - Van To commune Tu Ky district 7. Construction of Co Ngua new Pump Station - Van Giang commune Ninh Giang district 8. Rehabilitating My Dong Pump Station Bac Ninh province Construction of Phu My new Pump Station - Dinh To commune Thuan Thanh district Construction of Nhat Trai new Pump Station - Minh Tan commune, Trung Xa commune - Luong Tai district 11.Upgrading Vang canal II Bac Ninh province 4. Cau Dua Pump Station Sub-project is located in Van To commune, Tu Ky district Hai Duong province pursuant to Decision No. 395/QD-BNN-HTQT dated February 11, 2010 by the Ministry of Agriculture and Rural Development, approving the Strengthening Water Management and Irrigation Systems Rehabilitation Project. Cau Dua Pump Station Sub-project is designed for the proactive drainage for 2,573ha of land (in Gia Loc - Tu Ky subregion) in the communes of Binh Long, Dong Ky, Tu Xuyen, Tu Ky, Tay Ky, Van To, Tu Ky district, Hai Duong province. The pump station has 8 units capable of 64,000 m3/h. In addition, the Subproject builds dike culverts, electric transmission lines, electric substations, and a 2-storey management building. 6

8 1.2. Scope of sub-project impact The impacts are summarized below. 5. Impact scope: Cau Dua Pump Station affects 18 households. According to the information provided by the PPMU, there are not affected households to be relocated and households which have agricultural land severely affected. The details are as follows: (i). 01 affected household (Nguyen Thi Duoc) has agricultural land with an area of 25m2 permanently revoked, trees and crops on this land area were affected. (ii). 10 affected households have agricultural land temporarily revoked, trees and crops on such land area were affected. (iii). 08 affected households have trees and crops, fisheries and structures on land managed by the CPC affected (Household Nguyen Van Dam was simultaneously affected in both item ii and item iii). 6. Impact on land: Total land area used for upgrading the pump station is 14,210m2 including: (i). Land area reclaimed from households: 1,059 m2 acquired pursuant to Decision No.6545/QD-UBND dated December 13, 2011 by Tu Ky district, in which agricultural land to be permanently acquired is 25 m2 and agricultural land to be temporarily acquired for 2 years for the construction is 1,034m2. (ii). Land area reclaimed from the CPC management: 13,151m2 pursuant to Decision No.2043/QD-UBND dated June 18, 2012 by Tu Ky district, in which agricultural land to be permanently acquired is 10,310m2 and agricultural land to be temporarily acquired for 2 years for the construction is 2,841m2. 7. Impact on assets: affected assets are mainly trees and crops in addition to several other properties as livestock pens, ponds, cement courtyards etc. II. OBJECTIVES, METHODS AND STEPS OF POST RESETTLEMENT EVALUATION 2.1 Site survey for post-resettlement evaluation: 8. From July, 2016, the EMC Consultant carried out a site survey for Cau Dua pump station in Van To commune, Tu Ky district to collect data for the post resettlement evaluation Objectives of the post resettlement evaluation 9. Though, the subproject applied various measures to restrict adverse impacts of the subproject, certain temporary and permanent impacts on the social and environmental conditions were not avoidable in the subproject location. The objectives of this monitoring are to provide the post resettlement evaluation report with: (i) Achievement of the resettlement objectives; (ii) Changes in living standards and livelihoods; (iii) Restoration and/or improvement of socio-economic conditions of AHs; 7

9 (iv) Effectiveness and sustainability of compensation and allowance packages; (v) Recommendations and lessons learnt Scope of works 10. In the final monitoring mission, the EMC reviewed all activities related to the resettlement implementation process in the subproject, the compliance with the requirements in the Project Resettlement Framework (RF) and the updated Resettlement Plan of the Subproject (urp), including: a. Identifying any difference between the policy requirements stated in the RP and the actual implementation of the resettlement policy; b. Updating, concluding the land acquisition and resettlement of the subproject; c. Checking if any land acquisition related issue raised during the construction process; d. Inspecting and consolidating the process of issuance of certificate of land-use rights to AHs in the subproject as well as the livelihood restoration when they were acquired with the land; e. Assessing the satisfaction of AHs in the land acquisition, resettlement and compensation carried out by the Subproject; f. Monitoring at the site. In the post-resettlement monitoring for Cau Dua pump station subproject - Van To commune, Tu Ky district, no servely affected households were found. The number of households affected by the Subproject includes 18 households, therefore the Consultant conducted a survey for all of them; g. Evaluating the grievance address process; h. Making recommendations/solutions if any Monitoring indicators 11. The monitoring indicators the EMC carried out are: i. Public consultation and awareness on resettlement policies and the entitlements of AHs; ii. Coordination between resettlement and land acquisition activities and the construction progress; iii. Land acquisition and procedures for conversion of land use purpose; iv. Responsiveness to AHs in terms of the provision and RP implementation; v. Grievance redress (documentation, process, explanation and response to AHs); vi. Effectiveness and sustainability of entitlement and measures on income restoration to AHs; vii. AH s capacity to the rehabilitation and livelihood and living standards, special attention to vulnerable AHs and severe AHs; viii. Impacts caused by land acquisition in the construction activities; ix. Participation of AHs in RP preparation, updating and implementation. 8

10 2.5. Methodology 12. Various methods of information collection were applied in this Report such as preliminary information and secondary information; qualitative and quantitative information. In the principle of monitoring and evaluation, some criteria would be considered and analyzed carefully such as efficiency, impacts, compliance and sustainability then compared the actual implementation with the plan proposed in the RP. The EMC carried out deep-interview and surveyed AHs and some project beneficiaries by questionnaires in order to obtain information and evaluate the effectiveness of the subproject as the main basis for the completion of this final report. The information collected from the site is the main source for the EMC in completing this review report. Finally, the EMC would make recommendations and future lessons learnt for the project. 13. The EMC applied both quantitative and qualitative methods for monitoring and evaluation. In addition, the EMC applied the observation and desk-review methods. In order to comply with these principles, the EMC would use, but not limit, the following sources of information and methods of information collection. a. Source of information: 14. There are two types of information collected: primary information and secondary information. The secondary information was collected from existing reports, project documents, socioeconomic development plan of the local government, etc. The primary information was collected from the site survey, group discussion, deep-interview, etc. The sources of information below was accessed by the EMC: Central Project Office (CPO), Provincial Subproject Management Unit (PPMU), social - economic reports provided by local governments in the sub-project area; District Land Acquisition, Resettlement and Compensation Committees; Commune People s Committees; AHs. 15. In addition, the data and information was collected from community meetings organize by the PPMU and local governments or direct-interviews with PPMU staff. The meetings were to discuss about the RP and its implementation as well as measures to mitigate any problems incurred. b. Sample survey 16. Number of households affected by the subproject is18 households, without severely affected and vulnerable households. Therefore, the Consultant surveyed all. Considering that the control households in the survey with small number of affected households will have no statistical significance and the Subproject has no severely affected and vulnerable households, the Consultant did not conduct the survey to unaffected households. 9

11 Data collection methods Desk review 17. Review documents provided by the CPO/CPMO, PPMU such as the Subproject report, RP, FS, detailed designs and other related documents. 18. Review the land acquisition, resettlement and compensation plans, grievance redress database collected from the PPMU, DLARC, CPC, etc. in order to identify any pending problems related to the land acquisition, resettlement and compensation in the subproject. 19. Review other documents collected from functional administration agencies in the locality and reports prepared by the project consultants, etc. to update the status as well as the outcomes of the RP implementation. 20. Desk review provided basic information on the project and reasons affecting the subproject progress, if any. In addition, this method helped collecting statistic data in the subproject area. Based on the outputs obtained in this method, the EMC would prepare appropriate monitoring tools such as questionnaires, guidelines for group discussion and indepth interview, etc. 21. Data and information collected from the CPO/PMO, PPMU, DARC, CPC, etc. The data collected was analyzed and filed as basic information for preparing the post-resettlement evaluation report. Qualitative method 22. Group discussion, in-depth interview, and public consultation: The EMC obtained information from various stakeholders by doing these activities. The group discussion was carried out with the PPMU to find out advantages, difficulties and solutions in the implementation process. Besides the group discussion was applied with the representatives of local government, units and AHs as well as unaffected HHs, HH benefited from the project in order to evaluate aspects related to the entitlements of AHs. The group discussion with vulnerable groups included women (which are not supported), poor HHs, HHs entitled to social policies, and the aged in order to obtain their feedback on the subjects related to the community participation, resettlement policies, gender. Women were encouraged to participate in the consultation, group discussions. 23. Group discussion and community consultations were conducted in project commune. The Consultant conducted 1 meeting for focus group discussions with the affected households. The consultations focused on the effectiveness of the implementation of the resettlement plan. Quantitative method: 24. Questionnaire based survey: During the monitoring, this method was used as a primary tool to evaluate the resettlement contents, gender. In the final monitoring, the Consultant surveyed 18 affected households. 10

12 25. A HH questionnaire includes: i) general information on household, (ii) economic condition of household, (iii) income and expenditure of household (iv) types of impact on household, (v) information on compensation and resettlement, (vi) assessment of changes in household and (vii) opinions of household for the Project. This questionnaire was used during the Consultant s monitoring and evaluation stage. 26. As the results, the questionnaires reflect the real situations of the households socioeconomic conditions: (1) collecting baseline information on affected households as demographic characteristics, educational attainment, income and living standards, living conditions, production conditions; (2) determining impacts/changes caused by the Project to the lives, incomes, living standards of affected households before and after the project is implemented (if any); (3) assessing the satisfaction/suggestions of affected households for the resettlement implementation as well as the implementation of the Project. Observation method 27. The observation method was used to complement the above information collection methods. The EMC applied this method to explore more the actual living conditions of people and on-construction works at site in order to capture the picture of living conditions and adjust if any additional information be collected from the secondary information collection or questionnaire or group discussion methods. Analyzing and reporting 28. All information collected by questionnaires and other sources was collected, analyzed and included in the final monitoring report. The information collected under the monitoring tasks was analyzed and processed by various methods. The outputs of questionnaires were coded and processed by the Window-applied SPSS. However, due to the small number of subproject affected households, the statistics contains no significance. 29. The EMC filed the processed data in a folder that would be used for future assessment. The ownership of this data belongs to the PPMU and would be transferred to the CPO when the EMC completes the contract. 30. The draft report and the survey results were submitted by the PPMU to the CPO and the ADB for review. III. SURVEY AND ASSESSMENT RESULTS ON RESETTLEMENT PLAN IMPLEMENTATION (RP) 3.1 Summary of subproject impacts and RP implementation in the subproject 31. The sub-project impact scope is mainly on agricultural land which was temporarily allocated to the households and some properties on affected land as trees and crops. The Subproject affects 18 households. According to the information provided by the PPMU, there are no affected households to be relocated and households whose agricultural land is serverly affected. 11

13 32. Impact on land: Total land area used for upgrading the pump station is 14,210m 2 including: (i). Land area reclaimed from households: 1,059 m 2 acquired pursuant to Decision No.6545/QD-UBND dated December 13, 2011 by Tu Ky district, in which agricultural land to be permanently acquired is 25 m 2 and agricultural land to be temporarily acquired for 2 years for the construction is 1,034m 2. (ii). Land area reclaimed from the CPC management: 13,151m2 pursuant to Decision No.2043/QD-UBND dated June 18, 2012 by Tu Ky district, in which agricultural land to be permanently acquired is 10,310m2 and agricultural land to be temporarily acquired for 2 years for the construction is 2,841m Impact on assets: affected assets are mainly trees and crops in addition to several other properties as livestock pens, ponds, cement courtyards etc. 34. The results of surveying 18 affected households show that all of them responded their agricultural land was affected and no one has residential land affected. The households whose agricultural land is temporarily affected by the construction, already handed over the land to Project and they also received compensation for their affected trees, crops and property on land Surveyed results on households socio-economic information Household information 35. Demographic number: Cau Dua Subproject affected 18 households, mostly in Van To commune, in which there are no servely affected, poor and vulnerable households. The current demographic number of households includes 76 persons. The average demographic number is 4.2 persons/household. 36. Sex of householders: there are 6 female-headed households and 12 male-headed households. The majority of the household heads is in the mature age and working age. The average age is 53.4 years old. No one is under 25 years old. On average, each household in the surveyed households has about two main labor who earn income. 37. Education: Neither affected households nor unaffected households have college education. Among 18 affected households, 4 households finished primary schools, 9 households finished secondary schools, and 5 households finished junior high schools. For 4 unaffected households, 2 households finished secondary schools and 2 households finished junior high schools. 38. Most occupation of the surveyed householders is engaged in agriculture (13/18 households), 2 householders retired, 2 householders are government officers and 1 householder is trading. The households income is from agriculture or agriculture combined with trade and services; or agriculture and services and employment; or agriculture and state salary etc. As reported by the CPCs, the agriculture income accounts for 30 to 50% only of the total income structure of the communes. The agriculture income will tend to reducing annually for the increase of handicraft, small industries, construction, trade and services. 12

14 Living conditions of households Facilities/assets of households 39. Living facilities: In today's modern life, the living means of the households not only meet their daily needs but also are increasing modernly and comfortably. The survey results show that the number of households means of living is quite rich and diversified. There is not much difference between affected and unaffected households. The survey results on 18 households show that all have televisions, 14 households have motorcycles, 17 households have telephones, 15 have refrigerators, 3 households have computers and 3 households have air conditioners but no one have automobiles. 40. In addition to the facilities to serve their daily activities, the households equip their kitchens. Many use gas instead of firewood and coal in their former stoves. People are more interested in cooking utensils, foods, wearing. Most households now are using electric cookers to cook rice. In particular, to ensure clean water for drinking and cooking, many households equip water filters to filter their well-water before cooking because they think their water source filtered via sand and other equipment is not clean enough. 10/18 survey households use water purifiers, which mean people's lives are better off and in addition to caring for daily needs, they have better living quality and equip themselves with modern appliances and facilities to serve their daily lives. Type of housing 41. As observed by the surveyors, all households have permanent houses. One-storey houses are mostly made of concrete roofs, brick walls, tiled floors. However, 4-grade houses still occupy mainly among the surveyed households (11/18), followed by 2-storey houses with 4 households and 1-storey houses with 3 households. 42. The economic conditions of the affected HHs are being improved, so people tend to choose more modern, solid and beautiful houses. In recent years, 1-storey houses or 2-storey houses with flat-concreted roofs are built more. Houses are also split from kitchens, bathrooms or toilets. The houses the surveyed HHs are living were built on legal land with certificates of land-use rights and convenient to transportation, healthcare, education and most houses were built on long- standing residential land. Water sources and water resource quality 43. The households are currently using cleaning water from An Thanh plant. However, they still use some other water sources as drug-wells, rainwater. According to the opinions of the households drilled-wells and dug wells have less water quality because of irons, so they use this water for irrigation and husbandry. 44. The drinking water supply the families are currently using basically meets their daily needs. The seasonal water shortage almost did not happen because people have replacable water 13

15 sources and the exploitation of the water resources in these communes is very convenient as people can dig wells, drill wells or store rainwater for use in dry season. Toilets /18 households in the survey use flush toilets and 5 households use 2-compartment toilets. Besides, flush toilets are self-contained with other auxiliary works (bathrooms and toilets are self-contained with houses) (6 households); 46. The toilet quality is general good. Everyone in family uses toilets. There is no phenomenon of indiscriminate defecation. In self-contained bathrooms and toilets there are water and soaps for washing hands. 47. The surveyed households said that their families economic changes are more improved than before the project implementation. 11/18 households said that their income is higher than before the project. 7/18 households said that their economic life has no change. All households in the survey said that currently they do not suffer from food shortages and hunger. Their current difficulty is the lack of economic capital (6 households), major labor shortage (4 households) and 5 households worry about the education of their children and 3 households care about their monthly expenses Income and expenditure 48. As reported by Van To commune, due to applying the multidimensional poverty criteria in 2015, the number of poor households in the commune increases. The commune has about 2020 households, including 239 poor households (11.8%) and 115 marginal poor households (5.7%). The annual average income per capita is about 20 million/person/year. Gia Xuyen village located in the project area in the commune has 18 affected households but they are not eligible to the marginal poor criteria. Table 2: Income and poverty rate before and after the project Van To commune Averaged income per capital Poverty rate Before the project 11,500,000 12,4 After the project 20,000,000 11,8 49. The main occupation in the commune is agriculture, accounting for about 70-80%. These households are mostly builders, masons and bricklayers but agriculture is their mainly job. In the area there is Van To industrial cluster with one export garment factory, one export glove factory, one clothing factory and one export frozen processing plant, which attract more than 1,000 local employees. Their average income is about 4 million VND. 50. The survey results from 18 households show that the average income ranges 6-8 million household/month. In the 18 affected households, only 1 household earns 3 million/month. This household has only 2 members. The households with the highest income are 15 million/household/month with 4 family members currently living together. 14

16 Table 3: Sources of income before and after project implementation After project Before project implementatio Main sources of income implementation n N % N % Agricultural production Salary Subsidize Extra works Income from small businesses In general, the surveyed households spend 80% of their income monthly and some spend absolutely all their income. They use a wide variety of products, facilities and services to meet their needs such as food, housing, clothing, transportation, parenting, healthcare, entertainment, etc. The expenditures of the households are divided into two groups: spending for food (food, drinks, cigarettes etc.); other spending except food (wearing, housing, electricity, health care, education, entertainment etc.). The most common expense is buying food, children's learning, and the expense for production is only in the third ranked in the household spending structure. Households with many children going to school, their expenses related to education and eating are two major costs. 52. The survey of the households shows that the family spending is more and more diverse. In addition to spending on food which is the mainly expenditure previously, there are some big expenses on production, children's learning, household equipment, repair and construction of houses, electric lighting, telephone, moving and travelling expenses etc. In general, they mostly buy services and facilities for manufacturing and family activities, they can be only selfsufficient of a part of food and vegetables. 53. The occupations of the affected households and their income sources are not corresponding to each other. The survey shows that most households said that their family job is agriculture. However, the current agricultural activity does not bring much for their income, so most of them actively seeks other income sources for their families. 10 affected households responded that their main source of income today is from casual jobs, small business, masonry; 2 households have income from salary, 4 households do small business, 2 households are supported by their sons and daughters monthly Evaluation on effectiveness of RP implementation 15

17 54. Generally, people living in the subproject area fully support the subproject implementation. The local people as well as the local authorities are aware of the practical benefits the subproject brings in and are pleased with the project outcomes Organization for RP implementation 55. The land acquisition, resettlement and compensation was carried out by the PPMU in cooperation with Tu Ky Board of Land Acquisition, Resettlement and Compensation (DLARC). Tu Ky District People s Committee also set up a working team that helps the DARC in carrying out the land acquisition and resettlement tasks. 56. Most DLARC staff and other members are experienced in implementing land acquisition, resettlement and compensation tasks for local funded projects so that the land acquisition, resettlement and compensation was quite smoothly and in compliance with the Government s regulations and the ADB s policy. The grievance redress to AHs questions and complaints was quickly and in right procedures. 57. Conclusion: the DLARC capacity and the organization for RP implementation meet the requirements on the land acquisition, resettlement and compensation of the Subproject Information disclosure 58. It can be said that the disclosure of the project information is a very important step in the process of land acquisition, resettlement and compensation. The project information, brief of proposed benefits and impacts, entitlements to AHs would be disclosed properly to people would have positive affects on the awareness of the subproject area. 59. Understanding the importance of this step, the PPMU coordinated closely with the local government in the subproject area to carry out systematically and fully the procedures of the subproject information disclosure as it was planned and proposed in RP. When the project was started, the PPMU coordinated with Khoai Chau DLARC to carry out the plan to disseminate the project information to AHs, such as meeting with AHs to inform and consult them the decision of land acquisition, DMS plan, distributing declaration slips, informing schedule of DMS to every AH. 60. The information disclosure was regulated by the PPMU and the DLARC. The information disseminated to the AHs included: the scope of the subproject, benefits, policy on land acquisition, resettlement and compensation, mechanism for grievance redress, etc. 61. The channels of information dissemination: The community meetings to announce the project information; the consultation meetings of the Consultant; the documents listed in the CPC; the specialized staff of the PPMU and the DLARC. 62. According to the consultation results with the affected households, 100% of them attended the meetings for information dissemination. They are aware of the project policies and their questions were answered. 16

18 63. All households were aware of the project information and the information channels they received were from village meetings, local government, project staff/consultants. The households were aware of the Project s supports and policies that they received "We got sufficient money for borrowed land and delivery records. The policy and compensation costs were public. The households came home to check and gave questions later if they have. My family had no questions at all" (In-depth interview - female PAP) Detailed measurement survey (DMS) 64. The affection on land and assets by the Strengthening Water Management and Irrigation Systems Rehabilitation Project is not significant. For Cau Dua Pump Station Subproject, there is only slightly affected households without severely affected households losing over 10% of their arable land or moving houses. The DMS was carried out in the close cooperation between the DLARC, PPMU, local government and AHs. 65. In the DMS process, participants to the DLARC are representatives of the PPMU, CPCs, village headers, AHs and representatives of households engaged in the DMS. The DMS committee reviewed, checked the declarations with actual survey assets and counted and corrected assets to be affected on site, and the record of assets to be affected were signed by all DMS participants. The DMS for land and property was completed in April As assessed by the AHs, the DMS committee had done quite well and responsibly. 66. It can be said that the participation of the affected households in the project DMS, surveying and information dissemination etc was very closely. 100% of the affected households in the survey said that they were informed previously the measurement time of their assets and engaged in measuring, counting their assets as well as reviewed and signed in the tally records. And they say they retained 1 record of calculation of their compensation value. 67. Conclusion: According to the surveyed AHs, their representatives participated in the DMS, measurement of their affected assets. After the DMS, all AHs received the DMS records for checking. Then, all AHs signed on the DMS records to verify the DMS results and sent it to the DLARC Compensation plan 68. The legal framework for implementing the land acquisition, resettlement and compensation is the Project Resettlement Framework (RF) approved by the ADB, which was formulated on the basis of the legal documents of the Government of Vietnam and Hai Duong province on land management and administration, land acquisition, compensation and support to AHs of whom the land is acquired for the public interests and other relevant policies of ADB on involuntary resettlement. 69. The compensation plan was approved in Decision No. 1753/QD-UBND dated June 1, 2012 by Tu Ky DPC with the total budget is VND 1,591,200,

19 70. In periodical monitoring stages, the EMC coordinated with the local authorities in the Subproject area and the AH representatives to carry out site surveys to collect information at site. Comparing the market prices with the unit prices applied for compensating AHs indicated that the compensation unit prices for land, crops and trees were equal to the compensation unit prices issued by the Province, the unit prices applied in RP and also were responsive to the ADB s policy. The compensation plan was prepared by Tu Ky DLARC and posted at Van To CPC office in 20 days as regulated. Responding to the interview, the AHs said they did not have any complaint about the compensation, support and resettlement plan. 71. By the site visit in the post-resettlement monitoring and evaluation mission for preparing the final report, there were neither additional impacts nor land acquisition required in the Subproject, so no additional compensation plan would be needed. 100% of the survey households said they currently had no grievances/complaints about the Project. Lessons learnt 72. In Cau Dua Pump Station Subproject, the procedures for preparing and updating land acquisition, compensation and resettlement plan, support and compensation policy for affected people were implemented in compliance with the requirements. This facilitated the compensation quickly and effectively, made AHs concurred and satisfied with the process of the land acquisition, resettlement and compensation in the cause of the Project implementation The payment and use of compensation and support of AHs 73. By the time the Consultant carried out the final site survey for the post-resettlement monitoring mission, the payment of compensation and allowances for the households affected by the construction of Cau Dua Pump Station was completed (in September 2012) with the total amount of VND VND 1,591,200, The payment was made by the district Treasure to AHs at the CPC office. The AHs were informed of the payment 4-7 days in advance and the compensation payment was done before the construction started. 75. In the final monitoring and evaluation, the surveyed AHs indicated that they was informed of the time of payment, received the payment and signed to confirm on the papers. The payment procedures were carried out smoothly and conveniently to them. The PPMU and the DLARC coordinated with the CPCs to deliver AHs entitlement in their place. However because the payment is too long, people do not remember how much did they receive as well as the supports from the project. 76. All respondents answered that they were satisfied with the compensation and supports from the Project. Most households use the support, compensation money in different purposes. However, they spent mostly on savings, commercial ventures and investment in children's education. 18

20 77. Conclusion: The compensation payment was carried out publicly and transparently. The AHs received all the compensation and allowances, kept receipts and had no complaints. 78. There was no land donation in the subproject area. The surveyed AHs informed that their land and assets was measured carefully and the resettlement plan, compensation and allowances was made to them. The compensation and allowance payment was made before the civil works started Resettlement program for relocation AHs 79. No household moving in the sub-project. At the time of monitoring, final evaluation, without incurring affected households displaced Grievance redress 80. In the regular monitoring missions, the EMC reported in detailed people s questions or complaints (the complaints are not serious), which they were solved satisfactorily. By the postresettlement monitoring mission, there was no complaint received in the subproject area. 81. The grievance redress was carried out in line with the grievance redress prescribed in the Subproject RP approved Income restoration program 82. It was noted in the final monitoring mission that under this Subproject, the compensation payment to AHs was made in compliance with the resettlement policies presented in RP. 83. In Cau Dua Pump Station Subproject, there are no affected households to be displaced and households affected 10% and more their agricultural land, therefore it is not necessary to have a separate income restoration program. All AHs received full compensation and allowances as regulated in the approved RP. Most AHs who received the compensation from the project allocated and spent this money on necessary expenditures of their families. 84. The households, whose agricultural land is affected, received the compensation and said that their current life has no difficulties at all Issuance of certificates of land-use rights 85. The households were granted with certificates of land-use rights for agricultural land in In 2013, executing the Government policy on the new rural development on widen land, change plots, households having agricultural land all are not yet re-granted with the certificates of land-use rights. Consulting with local government, the issuance of certificate of land-use rights is in progress, people are in process of declaring the area of their land as instructed by the commune land-administration official in accordance with the district s work-plan. However, in this subproject, AHs were only affected with temporarily allocated land, so the adjustment to the certificates of land use rights or the issuance of such certificate does not affect on them, or in other words, the issuance of certificate of land-use rights of AHs does not depend on the workplan of the district or of the province. 19

21 Satisfaction of AHs on RP implementation 86. The households affected by the Subproject s construction have received all compensation and allowances and are satisfied with the resettlement policy executed in the Subproject, including (i) information disclosure; (ii) information of DMS schedule; (iii) unit prices for compensation and allowances, and (iv) grievance redress mechanism. 87. The surveyed households are all satisfied with the compensation, allowances and supports that were delivered to them and have no complaints during the subproject implementation process. 88. The survey questionnaire does not give specific criteria for evaluating the satisfaction the assessment relied on the respondents. The survey results show that 18 households and the local government are very satisfied with the Project. No affected households in the survey are not satisfied with their current lives. The affected households highly appreciate the project benefits "The pump station drains flood water for nearly 10 communes. Now it has come into operation, we are afraid of no water for it to pump. It has been put into operation for about 1 year and it worked during the last year flooding reason. Rating the pump station is too good. No flooding, before when there were heavy rains, it flooded, we lost fish, now flooding no longer appears. The District manages the pump station, the commune only manages the registered demography for temporarily absence here serving the pump station. The enterprise only exploits the irrigation works they are managing. The households plowing around the pump station do their farming as usual without affection at all. Rice is not inundated compared with before and we people changed to other crops. People do not complain about the pump station, they feel good "(Focus group discussions with local authorities and affected households) Difficulties of local government in land acquisition and resettlement 89. In the implementation process, the PPMU and local government encountered certain difficulties that affected the construction progress a bit as well as the support to AHs living stabilization like the land management system had not yet completed, many AHs were lacked of necessary documents so it took quite a long time to check and verify the facts and it might also result in certain questions from AHs. 90. However, with the close coordination and good cooperation of the project stakeholders, the land acquisition, resettlement and compensation of the Subproject was completed in line with the schedule and the requirements. IV. CONCLUSION AND LESSONS LEARNT 4.1. Conclusion 91. As it is noted in the final monitoring mission, the land acquisition, resettlement and compensation of the Subproject completed and the AHs resettled their lives. During the 20

22 construction process, no additional impacts related to land acquisition incurred. The Subproject was completed and brought into operation in 2015 and has been working well. 92. The PPMU and the DLARC carried out the land acquisition, resettlement and compensation in compliance with the procedures and requirements specified in the RP and also of the regulations of the Government and of the Province. The information disclosure, DMS, compensation payment, etc. were participated and observed by the AH representatives and other related agencies. The queries and complaints of AHs raised in the inventory of loss, DMS and RP preparation were solved by the PPMU, the DLARC and the competent agencies on time. 93. The internal monitoring was adequately carried out by the PPMU. The internal monitoring reports were documented with sufficient information and reflected the RP implementation progress as well as problems to be solved. The data on land acquisition, resettlement and compensation was kept at the DLARC and the PPMU s offices in hard copies and electronic copies for management and reporting. In such cooperation, the land acquisition, resettlement and compensation for the Subproject was carried out accurately, objectively and smoothly. 94. The PPMU, Tu Ky DLARC, Van To CPC well cooperated and carried out the land acquisition, resettlement and compensation process for the construction subproject of Cau Dua pump station. All people living in the subproject area support the subproject. Their livelihood and living conditions have been stable and developed in the commune trend of the people in the commune Lessons learnt 95. The compliance with the procedures, process and resettlement policy of the project as well as the timely allocation of budget for compensation and allowances to AHs from the central budget facilitates the quick and good performance of the land acquisition, entitlement delivery to AHs, so as facilitates the construction of the subproject carried out in line with the schedule. 96. The DMS on affected assets is an activity that acquires high accuracy in the land acquisition process. The DMS information is the baseline data for calculating the compensation and allowance for each AH. Therefore, any mismeasurement in DMS process would make the calculation on compensation and allowance wrong, and this in turn would result in complaining from AHs later. The fact proves that the better DMS process is the faster and better progress of the land acquisition and compensation. 97. The information disclosure an the grievance redress mechanism for AHs complaints and grievances is an indispensable stage in the project implementation process. Providing sufficient information about the project as well as the entitlements of AHs in the land acquisition, resettlement and compensation as well as the grievance redress mechanism would facilitate households more positively and actively in participating in the project implementation process. 21

23 APPENDIX. Appendix 1: Summary of affected quantity and compensation amount of Cau Dua subproject AHs Acquired land area (m 2 ) Compensation amount (1000 VND) Total AHs Relocation AHs AHS losing >10% of agricultural land Vulnerable households Permanently acquired Temporarily acquired Total Paid amount ,335 3,875 1,591,200 1,591,200 22

24 Appendix 2: Form of socio-economic survey Form of Socio-economic Survey On-site Survey Code Types of Affection: 1 < 10%, others 2 >10% 3 Proof : The Strengthening Water Management and Irrigation Systems Rehabilitation Project is funded by ADB and French Development Organization and approved by the Government in the Decision No. 2272/TTg HTQT dated 18/11/2009. This project is effective on 07/09/2011 and closed on 31/12/2016. It is implemented in three provinces: Bac Ninh, Hai Duong and Hung Yen, in Hong River s Delta. Purpose of the survey: to determine the socio-economic conditions of AHs and capacity to recover their living conditions before and after the resettlement. We are appreciated for your participation. IDENTIFICATION Date: Village: Commune: District: Province: Surveyor: I. GENERAL INFORMATION OF THE HOUSEHOLD 1. Name of the respondent:... Age:... Gender: Male1 Female2 Education Level:... Occupation:... Relationship with the Householder: Name of the householder:... Age:... Gender: Male1 Female2 Education Level:... Occupation:... Address: Number of people living in the house... In which: Male:... people Female:... people People who are working with income:... people 23

25 4. Does your family belong to any of these types? (may choose more than one option) No. Types Yes No 1. Contribution to the past Revolution, political HH 2. HH with female owners 3. HH with less than 2 people 4. HH with the elderly 5. HH with the disabled 6. Poor HH with certificate from local authority 7. Pro-poor HH with certificate from local authority 8. HH with children less than 14 years old 9. Others II. SOCIO-ECONOMIC CONDITIONS OF THE HOUSEHOLD 5. Please tell us whether your households have these types of equipment? Equipments 1. Yes Equipments 1. Yes 2. No 2. No 1. Television 7. Expensive wardrobe (> 1 MVND) 2. DVD or Video player 8. Computer 3. Radio/cassette 9. Air conditioner 4. Motorbike 10. Hot/cold water 5. Telephone/Handphone 11. Car 6. Refrigerator 12. Expensive agricultural machines (>1 MVND) 13. Others: Types of houses: Which types of houses? (Observation of the houses) 1. Temporary house 4. 2-storey house 2. 4 th -level house 5. More than 2-storey house 24

26 3. 1-storey house 6. Others 7. Type of water source and water quality that the household is using: Water source Water quality Good Average Polluted Heavily polluted Others 1.Rainwater 2.Digging well water 3.Hole well water 4.Public tap water 5.Bought water 6.Tap water 7.Lake/ pond/ river 8.Others 8. Types of toilets: 1- Constructed latrines 3- Closed auxiliary toilets 5- None 2- Temporary latrines 4- Others: III. INCOME AND EXPENDITURE 9. Estimation of monthly spending (equivalent to cash) in 01 month? Total: millions VND (MVND) Estimation of monthly household spending) 1. Food: VND 2. Health: VND 3. Education: VND 4. Production: VND 5. Funeral/ Wedding: VNĐ 6. Purchasing: VNĐ 7. Others: VND 10. Estimation of total monthly income from all family members (agricultural production, salary, trading and services...)? Total income: millions VND Surveyor: If the respondent cannot tell the specific number on the total income, we can ask their estimation. 11. Has your household been malnourished for two years? 25

27 1. Yes to No to If yes, the duration is: months months 3. >3 months 12. Surveyor observed and assessed the level of the household, in comparison with other households 1. Poor 2. Average 3. Better-off IV. TYPES OF IMPACTS 13. Types of impacts (might have more than one option) 1. Loss of land 2. Loss of agricultural land (percentage(%) of land lost:...) 3. Loss of houses and other structures 4. Loss of State-owned constructions 5. Loss of services, business 6. Affected living facilities 7. Other losses (specify): 14. Do you have other assets in other places which are not affected by the project? 1. Yes to No to 16 If yes, please specify: No. Types of assets 1= Yes 2= No 1 Agricultural land 2 Ponds 3 Residential land 4 Trading 5 Forestry 6 Others: 15. If you have unaffected houses in other places, please specify? Village: Commune:.. District: Distance to affected areas: 16. Did you voluntarily relocate? 1. Yes move to C No move to C 17 If yes: Type of land-use Area:.. V. COMPENSATION AND RESETTLEMENT 17. Did you know information about the project? 1. Yes move to No move to If yes, please specify the source of information? 1.Flyers 6. Officials 2. Notice Board 7. Project staff 3. Communication means (newspaper...) 8. Commune/ Village Meeting 26

28 4. Other sources (specify):.. 9. Not remember 5. Not know 18. Did you know the policy and your benefits? 1. Yes move to C No move to C If No, because of: 1. Unclear information dissemination 3. Do not anyone to ask 2. Do not care 4. Others 19. How did you use the compensation paid for your land acquired? 1- Build or repair house 2- Buy land 3- Buy home applicants, specifiy;.. 4- Do business 5- Deposit at bank as savings 6- Invest in education 7. Others, specify: _ 20. Do you have any alternative income sources after your land was acquired/ busiess affected? 1. Yes move to C No move to C If yes, specify what option (s) you have below: 1. Buy new land for production 3. Do handicraft 2. Do business 4. Do other job 5. Others, please specify: Do you involve in, know about the information below? Nr. Contents 1. Yes 2. No 1 Being informed in advance about the DMS time of your HH? 2 Participated in measuring, couting your assets to be affected? 3 DMS results on your land, assets are correct? 4 Reading and signing on your DMS record? 5 Keeping 1 copy of calculations on compensation amount you re your assets affected? 6 Being consulted about options for compensation? (e.g. discussing about in cash compensation option, or land-for-land option, house-for-land option, etc.) 7 Reading the calculation of compensation record? 22. Any missing in your assets counted? 1. Yes move to C No move to C If yes, what are they?... 27

29 23. Did you receive any amount of compensation? 1. Yes move to C Not yet move to C If yes, it is the compensation for. 1 Compensation for land 2. Compensation for assets 3. Other compensation (for crops, trees) 4. Not remember 24. When did you receive your compensation? 1. Before construction 2. During construction 3. After construction 25. Did your HH receive any types of allowances/ assistance below? 1. Allowance for land lost 2. Allowance for crops/trees 3. Allowance for bussiness lost 4. Job training assistance 5. Allowance for transporting salvaged materials for relocation 6. Yes, entittled but not yet received 7. No allowance move to C Employment support 9. Others (specifiy). 10. Not remember 11. Not know 26. Are you satisfied with the compensation rate? 1. Yes move to C No move to C If no, why? Have you received any support from local government in stablizing your life? (Question for relocation AHs or AHs losing >10% of agricultural land or income generation only) 1. Training new jobs 2. Finding new employment 3. Supporting with credit for production 4. Other supports 5. No support 6. Not remember 7. Not know 28. Difficulties that your HH are facing with? 1. No difficulty 5. No land for production, do business 2. Lack of employment 6. Children not go to school 3. Lack of fund for business 7. Lack of food 4. Lack of labor 8. No house/living place 9. Other specify VI. EVALUATION ON CHANGES (Used for regular evaluation and final evaluation monitoring) 29. Has your job changed before and after the Project? 28

30 1. Yes move to C No move to C If yes, what is that job? Occupation? 30. How has your living standards changed in comparision with the pre-project? 1. Better 2. No change 3. Worse 4. little difficul If more difficult, why? Are you pleased with your present livelihood? 1. Pleased 2. Quite pleased 3. Not pleased 32. What is your main income source presently? 1. Salary/wage 2. Allowance 3. Overtime working 4. Small business 5. Other income source 33. What was your main income sources before your AH was affected by the Project? 1. Salary/wage 2. Allowance 3. Overtime working 4. Small business 5. Other income source 34. How is your present HH income? 1. Increased 2. No changed 3. Reduced 35. Did you have any question, complaint when the Project has been being implemented? 1. Yes move to C No If yes, what is it about? (specify) Has your problem solved up yet? 1. Yes 2. Not yet How long the time your problem solved up... Questions following are for relocation AHs only 36. Are you pleased with your new living place/ new house? 1. Pleased 2. Quite pleased 3. Not pleased If not pleased or Quite pleased, why?

31 37. Are you pleased with your current income gained? 1. Pleased 2. Quite pleased 3. Not pleased 38. Are you pleased with your present livelihood? 1. Pleased 2. Quite pleased 3. Not pleased 39. Are you pleased with the transport conditions in your new living place? 1. Pleased 2. Quite pleased 3. Not pleased 40. Are you pleased with schooling conditions at primary and secondary education near your new living place? 1. Pleased 2. Quite pleased 3. Not pleased 41. Are you pleased with health facilities in your new living place? 1. Pleased 2. Quite pleased 3. Not pleased 42. Are you pleased with the social relationship with your new neighbours? 1. Pleased 2. Quite pleased 3. Not pleased 43. Are you pleased with environment and hygiene conditions in your new living place? 1. Pleased 2. Quite pleased 3. Not pleased 44. What are your main income sources presently? 1. Salary/wage 2. Allowance 3. Overtime working 4. Small trade/business 5. Others 45. What were your main income sources of your HH before being relocated? 1. Salary/wage 2. Allowance 3. Overtime working 4. Small trade/business 5. Others 46. How is your HH income gained? 1. Increased 2. No change 3. Reduced 47. Do you have any complaint? 1. Yes move to C No If yes, is your problem solved up? 30

32 1. Yes, done 2. Not yet How long it took to solve up your problem... VII. YOUR FAMILY S OPINIONS TO THE PROJECT 1. The Project improves environment and habitat for people 2. The Project provides convenient irrigation for people 3. The Project will help increase sources of income for people when its construction ends 4. The Project does not benefit at all 5. The Project makes people s lives/incomes reduced 6. Other opinions (please specify):... 31

33 Appendix 3: Main discussions in the group discussion No. Content Answer 1 Update on local socioeconomic situation 2 The compensation and support for building the pumping station 3 Impact of construction of pumping station on local people 4 The benefits that the pumping station brings to the local people Van To has 8 villages with over 2,020 households and about 8,000 people. There are 239 poor households (11.8%), 115 marginal-poor households (5.7%) in total. The annual average income per capita is about 20 million VND/ person/year. The main occupation of people in the commune remains agricultural production, accounting for 70-80%. Households have secondary jobs in construction as masons, bricklayers but are predominantly engaged in agriculture. At present, Van To industrial cluster has one export garment factory, one glover export garment factory, one clothing export garment factory and one frozen processing factory which attract more than 1,000 local workers. The average income is about 4 million VND/ person. The main water source used by villagers is clean water supplied by An Thanh Water Supply Plant. The percentage of septic toilets households in the commune use accounts for over 90%, the rest is using two-compartment toilets. The compensation and support for the households who lost land for the pumping station was completed. The affected households received compensation and had no comments or complaints. As the Plant is far from residential areas, the construction of the Plant does not affect the people s lives and production in the commune. The pumping station has been in operation for more than one year, the flooding does not happen; increase the productivity of rice (flooding occurred in the past, affecting rice, crops and fishes and aquacultural products in ponds and lagoons). At present, the pumping station is managed by the district level and Van Tuy commune only manages the temporary residence of the labor force working at the pumping station. 32

34 Appendix 4: List of officials met and consulted Subproject: Cau Dua Pump Station Van To commune, Tu Ky District, Hai Duong province 20 th July, 2016 No Full name Position Địa chỉ 1 Trần Văn The CPC Chairman Van To commune 2 Nguyễn Thị Dược Chairman of WU Van To commune 3 Vũ Thị Yến AH Van To commune 4 Nguyễn Văn Chài AH Van To commune 5 Nguyễn Văn Kính AH Van To commune 6 Nguyễn Văn Nghì AH Van To commune 7 Nguyễn Văn Hát AH Van To commune 8 Nguyễn Tiến Quân AH Van To commune 9 Nguyễn Thị Chuyền AH Van To commune 10 Hà Văn Bằng AH Van To commune 11 Nguyễn Thị Tám AH Van To commune 12 Nguyễn Văn Thông AH Van To commune 13 Nguyễn Công Nguyên AH Van To commune 14 Phạm Hồng Thơm AH Van To commune 15 Nguyễn Văn Đầm AH Van To commune 16 Nguyễn Văn Sen AH Van To commune 17 Nguyễn Thị Cúc AH Van To commune 18 Phạm Văn Hòa AH Van To commune 19 Nguyễn Thị Cạm AH Van To commune 33

35 Appendix 5: Minute of consultation 34

36 35

37 36

38 Appendix 6: Some of photos in the monitoring Cau Dua Pump Station Consultation of AH Consultation of CPC Van To Cau Dua Pump Station 37