VIETNAM ELECTRICITY TRUNGSON HYDROPOWER COMPANY LIMITED RESETTLEMENT AND ETHNIC MINORITY DEVELOPMENT PLAN

Transcription

1 Public Disclosure Authorized Public Disclosure Authorized Public Disclosure Authorized Public Disclosure Authorized VIETNAM ELECTRICITY TRUNGSON HYDROPOWER COMPANY LIMITED RESETTLEMENT AND ETHNIC MINORITY DEVELOPMENT PLAN TRANSMISSION LINE COMPONENT TRUNG SON HYDROPOWER PROJECT Ha Noi, January 2013 RP857 v7 1

2 ABBREVIATIONS AH CLDF CPC DARD DCRB DMS DOC DOF DONRE DP/AP DPC EMA GOV IOL LURC MOLISA MONRE MOF PIB PMU/ PMB RAP SES TA TOR TSHPP US$ VND Affected Household Center for Land Development Fund Commune People s Committee Department of Agriculture and Rural Development District Compensation and Resettlement Board Detailed Measurement Survey Department of Construction Department of Finance Department of Natural Resources and Environment Displaced Persons/Affected People District People s Committee External Monitoring Agency Government of Viet Nam Inventory of Losses Land Use Right Certificate Ministry of Labour, Invalids and Social Affairs Ministry of Natural Resources and Environment Ministry of Finance Public Information Brochure Project Management Unit/ Board Resettlement Action Plan Socioeconomic Survey Technical Assistance Terms of Reference Trung Son Hydropower Project US Dollar Viet Nam Dong 1

3 DEFINITION OF TERMS i) Displaced Persons (DPs) Displaced Persons (DPs) include a person or many people, households, agents or organizations, individuals who are verified by their collected primary information during each inventory and resettlement plans (RPs), based on surveys and documents and impacted or potentially impacted directly on their socio-economy condition by the project implementation, due to the followings: (a) Mandatory land acquisition which leads to: Relocation or loss of residential place; Loss of properties or approach ability to properties; or Loss of income sources or facilities for earn a living, regardless whether DPs have to be relocated to other residential place; or (b) Were involuntarily limited to approach to preserving and legally assigning locations, causing adverse impacts on their livelihodd. Generally, DPs are all of affected people mentioned above. ii) Compensation Compensation is the process of payment in cash or in kind to DPs who lose partially or totally their asset value due to the project. The compensation also includes valuation and return in cash or in kind for financial and material loss due to the project impacts. iii) Cut-off date Cut-off date is the last day of the survey when all of the DPs are inventoried. After the cut-off date, no more DP will be put into the inventory of DP. The inventory listed all possible DPs, including their primary information. People who relocated their residential or business locations into the Right of way after the cut-off date will be not compensated following this policy framework. iv) Restoration Restoration is assistance for severely DPs due to loss totally or huge part of their production materials, income, jobs or other way to earn their livings, in order to supplement the compensation payment for acquired properties to improve or at least restore their income and living standard as before the project implementation. v) Replacement Cost. A concept is used to calculate the compensation amount for an asset and involves using current market value plus the transaction costs, which may include taxes, fees, transportation, labor, etc. The market value is determined by the PMU confirmed by local authorities in consultation with the PAP. The methods of estimation of prevailing market value should evolve over time to achieve good practice. (Footnote 11, OP 4.12) vi) Resettlement Resettlement mentions all methods done by the project to mitigate any and all of adverse social impacts of the project on DPs, including the compensation for lost assets and income as well as provision of other benefits, assistance for restoration of income and resettlement, when necessary. 2

4 vii) Right of way (ROW) In this policy framework, the Right of way (ROW) is determined as ROW along the electric line, with its width, length and height regulated by Decree 106/2005/ND-CP dated on 17 August 2005 on related voltage. Safeguard for high voltage system is amended by Decree 81/2009/ND-CP on 12 October viii) Vulnerable groups They are those who might suffer disproportionally from adverse project impacts and/or be less able to access the project benefits and compensation including livelihood restoration and assets compensations, when compared to the rest of PAP. Vulnerable peoples include people who, by virtue of gender, ethnicity, age, physical or mental disability, economic disadvantage or social status, may be more heavily affected by economic or physical displacement than others and who may be more limited than the population at large in their ability to claim or take advantage of resettlement assistance and related development benefits. Vulnerable people can be an entire group (like an ethnic minority community), or individual households (HHs). ix) The DPs who have no legal status The DPs who have no legal status are those use land and houses but have no legal use rights; and individuals or groups who own business stores located in the project areas but have no official registration and will be affected adversely due to the relocation. The DPs who have no legal status but have legal rights according to Vietnamese law and verified by commune People s Committees (CPCs) will receive the compensation, as long as their properties which are affected by the project are inventoried in the project population survey which is implemented prior to the cut-off date published. The DPs who have no legal status and no legal rights according to Vietnamese law but verified by CPCs will be assisted instead of compensated in order to achieve the policy objectives, as long as their properties which are affected by the project are inventoried in the project population survey which is implemented prior to the cut-off date published. x) Land use right certificate (LURC) Land use as well as house and other property attached to land right certificate are issued by the state authorities to land users so as to protect their legal rights and benefits. 3

5 TABLE OF CONTENTS ABBREVIATIONS... 1 DEFINITION OF TERMS... 2 CHAPTER I. PROJECT BACKGROUND Introduction to Trung Son Hydropower Project Mai Chau 110 kv substation and 35kV power line Subproject Legal rationale for the subproject Objectives of the Subproject Components of the Subproject... 6 CHAPTER III. SOCIO-ECONOMIC SURVEY Socio-economic Survey Socio-economic status in the project area Socio-economic survey results of the project affected households Household size Population structure by age Household occupational structure Educational level Vulnerable group Living standards Income Impacts of the subproject CHAPTER IV. LEGAL FRAMEWORK (FOR LAND AND ETHNIC MINORITY) Policies of the Government of Vietnam World Bank s Policy on Involuntary Resettlement and Indigenous Peoples Comparison between Government of Vietnam and World Bank Approaches CHAPTER V. CONSULTATION AND INFORMATION DISCLOSURE The need and Purposes Consultation during preparation of Resettlement Action Plan and Ethnic Minority Development Plan 42 CHAPTER VI. COMPENSATION, SUPPORT AND LIVELIHOOD RESTORATION Compensation Compensation and Resettlement Objectives The Compensation and Resettlement Principles Project Displaced Person(s) DPs Eligibility Cut-off date Project entitlement matrix Support and income restoration CHAPTER VII. ETHNIC MINORITY DEVELOPMENT PLAN AND GENDER STRATEGY CHAPTER VIII. IMPLEMENTATION ARRANGEMENTS CHAPTER IX. BUDGET ESTIMATE APPENDIX

6 CHAPTER I. PROJECT BACKGROUND 1.1. Introduction to Trung Son Hydropower Project Trung Son hydropower project will be constructed on the Ma River, in the territory of Trung Son commune, Quan Hoa district, Thanh Hoa province. The proposed project aims to provide least-cost electric power to support Vietnam s further economic development and improvement of living standards through the development of hydropower resources in an environmentally sustainable and socially responsible manner. The proposed project will provide support for EVN s development of one of the country s medium-sized hydropower development projects. The goal is to provide a good practice case of sustainable hydropower development in this core part of Vietnam s power sector. Trung Son Hydropower project with its installed capacity of 260 MW and mean annual energy of 1018 GWh is a multipurpose project, providing both power generation and flood control benefits. The proposed dam is about 40km downstream from Lao PDR, with the reservoir tail about 10km from the border. The roller compacted concrete dam will be 84,5 m high and have a crest length of 513 meters. Full supply level is 160 meters. The total reservoir volume will be about million m3 including a flood control volume of about 112 million m 3. It will cover an area of about km2, inundating mixed forest and agricultural land. The project will consist of the following four components: Dam construction. This will include the construction of the main dam, including the spillway, intake gate, penstock, power house and discharge channel, supply and installation of the electromechanical and hydro-mechanical equipment. Auxiliary investments including the access road and bridges, internal roads and construction camp will be included in this component, as will consulting services for supervision of construction. Construction of power lines, one from the switchyard to the connection point into the existing Hoa Binh Nho Quan 220kV system and a 110/35kV line from the area of Mai Chau to the construction site. Impact mitigation and compensation, which will include the implementation of resettlement, livelihoods restoration, ethnic minorities, environment management and public health management plans. Technical assistance to support preparation of further hydropower projects and improvement of capacity to meet best international practice for hydropower development. Total costs are estimated at $412million, of which about $2.9 million is for environmental management (in addition to remediation requirements placed on construction contractors) and $35.1 million for resettlement and restoration of peoples livelihoods. Vietnam Electricity officially received a loan of $330 million from International Bank of Reconstruction and Development (IBRD) Mai Chau 110 kv substation and 35kV power line Subproject Legal rationale for the subproject Decision by the Prime Minister approving the National Power Development Planning in the 2006 to 2015 period with prospect to 2025 numbered 110/2007/QD-TTg dated July (TSDVI). 5

7 Decision No. 5638/QD-BCT dated October by the Ministry of Industry and Trade approving adjustment of Power Development Planning of Hoa Binh in the 2006 to 2010 period with prospect to Document No. 328/DTDL-QHCP dated September by the Power Regulation Department on Adjustment of Power Development Planning of Hoa Binh. Decision No. 880/QD-EVN dated August by the Electricity of Vietnam on approving the adjustment of investment project for Mai Chau 110kV substation and 35kV power line supplying electricity for construction of Trung Son Hydropower Plant. Document No. 552/TDTS-P4 dated November by Trung Son Hydropower Project Management Board on technical design dossier, construction draw of power supply for construction of Trung Son hydropower plant component. Document No. 1538/EVN-DT dated May by the Electricity of Vietnam on adjusting information solution for Mai Chau 110kV substation. Document No. 180/TDTS-P4 dated May by Trung Son Hydropower Project Management Board on technical design dossier of Mai Chau 110kV substation and power line supplying electricity for the construction of Trung Son Hydropower Plant. Document No. 1733/EVN NPC-KT dated May by the Northern Power Company on supplying construction power for Trung Son Hydropower Project in Hoa Binh Province. Document No. 392/TDTS-P4 dated September by Trung Son HPPCo on adjusted design dossier of Mai Chau 110kV substation and power line. Decision No. 93/QD-TDTS dated November by Trung Son HPPCo on approving technical design and cost estimates of the component Mai Chau 110kV substation and 35kV power line supplying construction electricity for Trung Son Hydropower Plant. Survey documents by PECC4. Current standards and regulations Objectives of the Subproject The investment in construction of "Mai Chau 110kV Substation and 35 kv power line supplying construction power for Trung Son Hydropower Plant" aims to meet the additional load demands in the area, supply power for the construction loads at the construction site of Trung Son Hydropower Plant during the construction period and resettlement sites Components of the Subproject Mai Chau 110kV substation and 35kV power line subproject consists of the following 02 components: Component 1: Mai Chau 110kV substation and branch Component 2: 35kV power line supplying construction electricity for Trung Son Hydropower Plant. 6

8 CHAPTER II THE PROJECT S IMPACTS Anticipated impacts of the subproject and scope of investigation The subproject s affected area Mai Chau 110kV Substation Mai Chau 110kV substation is expected to build on one-crop rice-growing field and rain fed crop growing land of Tong Dau Commune, Mai Chau District, Hoa Binh Province. The North: bounded by one-crop rice field. The South: bounded by rice field and 100m from Tong Dau Primary School The East : bounded by National Highway No. 15. The West: bounded by rice field and approximately 100m from Hoa Binh-Moc Chau 110kV TL and Mai Chau- Hoa Binh 35kV power line. Area to be acquired for the works on the total site of the substation as follows: Table 1. Land area required for the substation Total land area for the substation (including talus). In which: 8.336,0m 2 - Land area required for operation house and access road to the house (including talus) - Land area required for the substation and access road to the substation (including talus) 1.000,0 m ,0m 2 35kV Power Line The 35kV power line traverses Tong Dau Commune, Mai Chau Town, Chieng Chau, Mai Ha, Van Mai and Mai Hich communes in Mai Chau District (Hoa Binh Province) and Phu Thanh Commune in Quan Hoa District (Thanh Hoa Province). Mai Chau- Trung Son HPP 35kV power line under the component Supplying power for construction of Trung Son HPP is studied with one alignment option 1 and is agreed by Mai Chau DPC of Hoa Binh Province and Quan Hoa DPC of Thanh Hoa Province. The alignment is mainly along with the National Highway 15 and construction road of the hydropower plant with the main features as shown in the table below: Table 2. Main features No. Basic parameters Main alignment Remarks 1 Starting point 35kV control cabinet at 110/35/22kV Mai Chau substation 2 Ending point Tower numbered 141 DZ 35kV (REII) supplying power for Ban Uon 1 The alignment of the 35kV power line is agreed by Hoa Binh Provincial People s Committee in the Official Letter No. 285/UBND-CN dated March and Quan Hoa District People s Committee. 7

9 substation, Phu Thanh, Quan Hoa 3 Voltage level 35kV 4 Number of circuit 01 5 Length m 20m of connecting underground cable 6 Lock angles 38 7 Houses in ROW 02 8 Intersections with 220kV TL 03 Being designed 9 Intersections with 110kV TL Intersections with 35kV and 10kV TL Length of the line going through rice area m 12 Length of the line going through fruit-tree area 145m 13 Length of the line going through eucalyptus 210m 14 Length of the line going through planted forest ( luong bamboo) 3.759m 15 Length of the line going through crops 2.403m 16 Length of the line going through bared land, river and lake 1.429m The alignment is divided into 2 sections which can be described in details as follows: - Section 1: From starting point G m long Starting from 110/30kV Mai Chau substation expected to build in Tong Dau Commune, Mai Chau District, Hoa Binh Province. The alignment intersects Mai Chau-Hoa Binh 35kV TL and Hoa Binh- Moc Chau 110kV TL. The line goes along with the National Highway 15 on its right side with the average distance from 250 to 500m and many lock angles to avoid the residential areas to G16. The line passes through the terrain which is relatively flat with productive land for growing rice, mixed with fruittrees and hills growing luong bamboo. The line traverses Tong Dau Commune, Mai Chau Town, Chieng Chau Commune, Mai Ha and Van Mai and Mai Hich communes in Mai Chau District, Hoa Binh Province. - Section 2: From G26 tower No. 59 DZ 35kV (REII) supplying power for Ban Uon substation, Phu Thanh Commune, Quan Hoa District: 4.031m long From G26, the line turns left and goes along with the inter-commune road on its right side to Trung Son hydropower plant with the average distance from 100 to 300m. The line passes through the terrain which is quite complex with many high mountains and hills, canyons and land for growing luong bamboo mixed with thickets. From G37, the line turns lock angle and links to 35kV line of REII Project in Quan Hoa District, Thanh Hoa Province. The line goes through Van Mai and Mai Hich communes (Mai Chau District, Hoa Binh Province) and Phu Thanh Commune (Quan Hoa District, Thanh Hoa Province). 8

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11 Anticipated impacts of the subproject Impacts on land acquisition: Permanent land acquisition relates to land area of electric poles of line 35kV and site of Mai Chau 110kV substation. o Total permanent land area of line 35kV: 3, m 2 o Total permanent land area of Mai Chau 110kV substation: 8,336.0m 2 Temporary land acquisition will be required for erection of towers and stringing of conductors. Temporary affected land area most likely depends on implementation plan and camping arrangement of the implementation unit. ROW of the line is 3m; temporary occupied land area is estimated to be approximately 58 ha during 1-2 weeks. These generally will be relatively minor in terms of impacts on household land areas and livelihoods. Impacts on ethnic minority communities (Ems): Except for the impacts identified, the power line will pass through the region where (EMs) live, with the majority of the Thai people and a small part of Muong, Hmong, Dao and Kinh groups. The impacts of the power line on the minority community are temporary, because it only causes a small impact on some of the households, which is not adverse to the entire community, as well as their culture. On the other hand, the 35 kv line will deliver power to the households along the route, including the ethnic minority households in the area so there is a positive impact in the socio-economic development of these ethnic minority communities. Impacts on other structures: the subproject does not cause impacts on structures for the national defense and economic purposes, historical monuments, cultural, dykes, etc. Impacts on the environment: the line is designed in the scope to minimize the permanently acquired land area. Some parts pass through the planted forest area; therefore, during construction period, there will be certain impacts on the environment and socio-economic activities. Scope of survey Socio-economic survey, IOL and consultations were conducted with community affected by the construction of 110kV Mai Chau Substation and the 35 kv power line. Specifically: Survey, IOL and consultations were carried out with households whose land in the scope of construction of 110kV substation and towers of the 35kV power line was acquired permanently; Survey, IOL and consultations were carried out for households temporarily affected on land in the Right Of Way of the 35kV line, with the width of the ROW of 3m, measured from the center to the two sides of the line. 10

12 CHAPTER III SOCIO-ECONOMIC SURVEY 3.1. Socio-economic Survey A socioeconomic survey in order to collect socioeconomic information related to the project affected people. The socioeconomic survey was conducted by the Development Research and Consultancy Centre (DRCC) and the data collected through the survey will serve: To design income restoration and livelihoods improvement program; As the database to compare the living standards of the households losing land before and after compensation delivery and resettlement (to be used for the monitoring and evaluation later in the RP implementation phase). Survey method Use of terrain map, actual land use map of the affected communes (scale: 1/50.000) and planimetric map of 110kV substation, 35kV power line coupled with field surveys to identify magnitude of losses on land, crops and affected households; Use of questionnaire to collect statistical information on socio-economic conditions of the commune for accurate assessment of the actual socio-economic status of the communes in terms of population and ethnics; Use of socio-economic survey questionnaire at households level; carry out survey on 30% of the affected households to grasp the actual socio-economic status of the PAPs; Use of detailed questionnaire at household level; questionnaire is carried out in 100% of the households affected by construction of the project to assess the magnitude of impacts on the households; Carry out consultation, combined with field works with staffs of the communes, towns and villages to inspect the field to identify the level of impacts on infrastructures and public structures; Conduct in-depth interviews with village elders and leaders, and people who are main source of information to understand the customs, traditions and spiritual sites and sources of livelihoods for ethnic minority communities; Conduct group discussion with EM households to understand opinions of EM communities with regard to the subprojects; Conduct community meetings with affected and non-affected households to disclose information on the subproject and to find out opinions of the community with regard to the construction of subprojects; Carry out consultations with staffs of the commune and district-level authority to assess livelihood restoration potential for affected households in case there is potential impacts on severely affected households; Processing of data: IOL data is handled using Excel; SPSS is used to analyze socio-economic data and quanlitative data is summarized using methods of Nvivo programs; Survey content Socio-economic survey Consultants collected the following information: Socio-economic information in the locality; 11

13 The demographic information on the population, especially of the affected households; Brief description of Ems: Population and information on the culture, society, economic and relevant institutions; identification of the affected EM groups classified or not as category IP by World Bank and whether or not it is necessary to apply IP policies of WB; Land system and legal status; Social development trend and matters of concern within affected households; Identification of affected households that need special attention and support. Survey, IOL conducted along the power line (i) Survey of losses on residential land and assets on residential land and land of other types on the same plot as residential land, which belong to the same owner Based on survey for construction of the line, identification of affected households, survey conducted for each household includes the following information: Number of households whose residential and garden land is affected by construction of the power line; Area of affected land; Type and area of affected house; Structures on land (kitchen, storage and auxiliary works etc.); Types and quantities of trees in the area of residential and garden land; Types of assets on land; Results of survey are indicated in the questionnaire for each household. For affected households that have to relocate, pictures of household heads and their houses should be included. (ii) Survey on losses of assets on land along the power line. Survey is conducted along the power line with borders identified as 3 m from the center on each side of the line. Area around the towers will be acquired permanently; the required safety height for trees planted along the ROW is measured as follows: the distance from the highest point of the tree to the height of the lowest point of the lowest conductor (when it is sagged to the greatest extent) can not be lower than 2.0 m. Under the circumstances that trees outside the ROW of the transmision line, the distance from any part of the tree if the tree falls down to any part of the transmission line can not be lower than 0.7 m. Trees that can potentially grow quickly in a short time, which can risk the safety and trees that, after being trimmed will no longer generate economic value, have to be cut down and it is strictly prohibited to be replanted. Rice and crops can only be planted 0.5 m away from the tower foundation. Inventory of losses for trees on acquired land: survey is carried out for the type, quantity and age of each tree for perennial trees and type and area of each tree for annual trees. Inventory of losses for assets on land: survey is carried out for different types of camps, other auxiliary works serving for domestic activities and production activities of the people etc. Inventory is conducted for other losses as well. Consultation with relevant parties and in-depth interview Consultations with local district authority s offices: o Office of Ethnicities; 12

14 o o o o Office of Agriculture; Office of Labour, Invalids and Social Affairs; Women s Union, Fatherland Front; Compensation Board; Consultation and in-depth interview carried out with representatives of Ems: o o o o Village elderly; Village leaders; Women; Men; Consultation and community meeting: o o Consultation is carried out with affected households including EM people (since the majority of PAPs are of ethnic minority); Consultation/community meeting is carried out with affected and non-affected households; 3.2. Socio-economic status in the project area Project area The 110kV substation and 35kV TL are built in the area of Mai Chau District, Hoa Binh Province and a commune of Quan Hoa District, Thanh Hoa Province. The project area includes the following: Table 3. List of communes in the project area No. Province District Commune Component Temporary land acquisition area I Hoa Binh Mai Chau 1 Mai Chau Town TL 8.336,0m 2 2 Tong Dau 110kV substation 3 Van Mai TL 4 Mai Hich TL 5 Mai Ha TL 3.513,41m 2 6 Chieng Chau TL II Thanh Hoa Quan Hoa 7 Phu Thanh TL Source: Detailed design of 35kV transmission line and Mai Chau 110kV substation- PECC4 The subproject construction will affect permanent and temporary land acquisition. With the total permanent land acquisition area is 11, m 2 for both 110kV station and line 35 kv, the impacts on land is generally considered as minor. Temporary affected land area with ROW is 3 m wide will impact on about over 58 ha of land during stringing of conductor. However, the affected period is short, so these impacts on livelihood are not significant. 13

15 Route of the line and substation will be constructed on site of 7 communes in 2 districts of 2 provinces, which are Thanh Hoa and Hoa Binh. This area is living place of Ems with the main affected people group is Thai. There are 249 affected EM households. This number divides into communes and ethnics as follows: Table 4. Population and Ethnicity in the project area Commune Population Including Ethnicity Males Females Thai Muong Kinh Others Mai Chau Town Tong Dau Van Mai Mai Hich Mai Ha Chieng Chau Total Source: Statistical data provided by CPCs. Among 7 affected communes, in 5 of them, 100% of affected households are EMs. Socio-economic background of the affected communes and EM group will be shown in details as follows Population- Ethnic Composition The population in 6 communes of Mai Chau District is 20,975 persons of 5,210 households. The ratio of males to females is relatively equal. The majority in 6 communes in the project area belongs to Thai ethnic group with the population of 16,076 persons, accounting for 76.64% of the total population of 6 communes. Kinh ethnic group is the second highest in the area with 3,776 persons, making up 18% of the total population, followed by Muong ethnic group with 1,056 persons. The rest is 62 persons belonging to other groups including Tay, Chinese, Dao and Mong. Table 5. Population and ethnicity in the project area Commune Total people Total household Ethnic Men Women Thai Muong Kinh Others Mai Chau town Tong Dau Van Mai Mai Hich Mai Ha Chieng Chau Total Source: Statistical data provided by CPCs. 14

16 Living standards The communes in the project area have per capita income levels lower than the national poverty line (VND 400,000/person/month) in the period. According to the data provided by the CPCs, the living standards of the communes are shown in the table 6 below. Table 6. Living standards in the project communes Commune Monthly per capita income Rich HH (%) Aboveaverage HH (%) Average HH (%) Poor HH (%) Mai Chau Town 318, Tong Dau 253, Van Mai 229, Mai Hich 330, Mai Ha 300, Chieng Chau 325, Source: Statistical data provided by CPCs. Apart from Mai Chau Town with the smallest poverty incidence of 3.7%, the other communes in the project area have relatively high poor household rates, from 8.7% (Tong Dau) to 12.1% (Chieng Chau) to the highest of 31.4% in Mai Ha Commune. It is notable that the percentages of households with the average standard of living in the communes are quite high, approximately 50% of total households in these communes. As the national poverty line is built upon the principle of ensuring minimum energy, the households with average living standard, which is approximately around the poverty line, are also those who are at high risk of falling back into poverty if they have to suffer any adverse effects in life Production activities The economic structures of the project communes show that they mainly depend on agriculture (except for Mai Chau Town with the service proportion of 60%). Table 7. Economic structure Commune Agro-forestry-fishery Industry Services Percent Number of HHs Percent Number of HHs Percent Number of HHs Mai Chau Town Tong Dau Van Mai Mai Hich Mai Ha Chieng Chau Source: Statistical data provided by CPCs. 15

17 The table above shows that the number of households engaged in agricultural and forestry production in the communes account for a large proportion, which does not commensurate with the economic values in these communes. That is agricultural products do not have high value. Main crops in agriculture are wet rice and maize and in forestry are luong bamboo and bead-trees. Small and individual industry activities are mainly to serve daily life and partly due to contributions of the handicraft products including brocade and bamboo and rattan weaving products to serve tourism. Services activities do not develop strongly and mainly occur in Mai Chau Town where have tourism development and a number of small businesses and services to serve people living in the mountainous villages Healthcare services, education and energy All communes have solid or semi-solid clinics with sufficient staff. 4 communes, namely Tong Dau, Mai Hich, Mai Ha and Chieng Chau, have doctors at the commune clinics. Primary and secondary schools are available in all communes and town; however, no commune has high school. All communes are able to access to the national grid. However, clean water is still a difficulty to people in the area. Table 8. Status of health, education infrastructure and clean water of people in the project area School Commune Clinic Primary & Secondary High school Electricity Clean water Mai Chau Town Solid Yes No 100% Tong Dau Solid Yes No 100% Van Mai Semi-solid Yes No 100% Mai Hich Solid Yes No 100% Dug well, drilled well, river, spring, lake Mai Ha Solid Yes No 100% Chieng Chau Solid Yes No 100% Tap water Source: Statistical data provided by CPCs. Except for Chieng Chau Commune with 672 out of 861 households have access to tap water; people in other communes still have to use water from drilled and dug wells or surface water including river, spring, lake, pond and rain water for their domestic and production activities Thai community in Mai Chau Thai people in Mai Chau in general as well as Thai community living in 5 communes and one town mentioned above belong to White Thai (Thai Trang- Tay Khao) group who migrated from Muong Huoc Puoc Kha (Bac Ha- Lao Cai) since the XIVth century. Due to the proximity to Muong people, Thai people are affected in some cultural elements of Muong people, which are shown in their houses, costume and funeral ceremony. Regarding spiritual culture, some ceremonies still keep Thai traditional elements. (i) Livelihoods Most of Thai people grow wet-rice (Nà) as the main crop. The Thai people in the project area, apart from wet-rice growing, also cultivate on mountainous fields (háy). Before, Thai people cultivated 2 16

18 crops (fall crop and winter crop), mainly glutinous rice. Nowadays, they have grown new varieties of non-glutinous rice producing higher yield. Besides, they also grow rain crops such as maize, sweet potato and cassava. Hunting barely exists anymore. Most of Thai households are engaged in livestock husbandry such as cattle, pigs and chickens to serve their daily needs and as sacrifices for the ceremonies like funerals or weddings, etc. Some households also keep fishes. Handicraft is developing, particularly brocade weaving. Some products are quite sophisticated such as blankets and headgears which are preferred by the domestic as well as foreign tourists. Since 1992, the villages such as Lac Village, Pom Coong Village (and Van Village later) began to establish Tourism Villages in form of community-based management, which operate quite effectively. Currently, a number of families in the above-mentioned Thai villages also open small grocery stores at home. Some people are engaged in brocade business (for example Ms. Mai in Van Village) quite successfully. Some jobs newly appear such as employees (porters, bricklayer), motorbike taxi drivers. (ii) Physical culture Thai people live in stilt houses (with 5 compartments, 2 lean-tos and 2 stairs with many windows). Their stilt houses are affected and learn from the stilt house structure of Muong people. Thai women in Mai Chau also wear costumes with many elements from Muong group. Before, Thai people only ate sticky rice; today, in many areas, Thai people have changed to eat nonglutinous rice. Some delicious dishes can be mentioned are grilled fish, sour fish, sour pork, boiled pork on banana leaf. In the cuisine of Thai people in Mai Chau, there are elements from Muong cuisine, including the type of square and wooden tray. (iii) Social culture Thai people in Mai Chau often gather and live in villages. Leaders of the village are head (tạo bản) and deputy-head of the village and a person responsible for ceremonies called Chắm bản. Each village has many families; in some villages, Ha family is the majority. The Thai families in Mai Chau include Ha/KHa, Vi, Luong, Ngan and Quang. Aristocratic family name is Ha Cong. (iv) Spiritual culture Before, Thai people in Mai Chau worshiped village ghosts and district ghosts. Each village and district had its own temple which was worshipped in August annually according to the Lunar Calendar. The worship ceremony of district ghost was then followed by the worship of village ghost. After 1954, village and district ghost worships are no longer maintained. Nowadays, they only worship house ghosts (phi hườn) and the father; that means after their father died, the sons have to set up altar in their house. Thai people in Mai Chau have their own writing in Pili-Sanskrit system. Contents of the ancient books are often related to migration history, family annals or customs and traditions. However, nowadays, the number of people able to read and write Thai is very small Socio-economic survey results of the project affected households Socio-economic survey results show that 288 households are directly affected by land acquisition and construction of 35kV TL and Mai Chai 110kV substation subproject. These impacts include impacts caused by permanent land acquisition for the construction of tower foundations of the 35kV TL and Mai Chau 110kV substation. 17

19 Apart from the impacts caused by permanent land acquisition, there are impacts related to construction activities and temporary impacts on land and crops during the construction period. These impacts are evaluated as insignificant and short-term on the income and livelihoods of the DPs. As the number of affected households who are ethnic minority people account for the majority (249 households out of 288 households), this section also describes the socio-economic status of the EM affected households Household size 288 households are affected by the subproject implementation in which 249 households are ethnic minority. Table 9. Number of affected households and affected EM ones No. Province/ District/ Commune Number of HHs Number of people Number of EM AHs Number of EM people 1 Hoa Binh 284 1, , Mai Chau District 284 1, , Tong Dau Mai Chau Town Chieng Chau Mai Ha Van Mai Mai Hich Thanh Hoa Quan Hoa Phu Thanh Total 288 1, ,433 Source: Survey Data. A total of 1,656 people are affected from 288 affected households, in which the number of ethnic minority people is 1,433 people from 249 households. In Mai Hich Commune, only one out of 21 households is ethnic minority. According to the survey data, the household sizes of the communes are not different, about 5 persons/ household Population structure by age Socio-economic survey is carried out with 30% of the PAPs, or equivalent to 108 households participated in the survey. The total number of PAPs from these households is 621. Most of them are from 18 to 60, accounting for 75.6% (470 people) of the total PAPs. In this age group, the number of EM people is 419, occupying 77% of the total EM PAPs. 18

20 Agriculture Shop owner Restaurant Worker Governmen t cadres Private sector Transportat ion Driver Housewife Total Table10. Population structure by age group No. Province/ District/ Commune Above 60 Total 1 Hoa Binh Mai Chau District Tong Dau Mai Chau Town Chieng Chau Mai Ha Van Mai Mai Hich Thanh Hoa Quan Hoa Phu Thanh Total Source: Survey Data. The number of children who are in kindergarten age is 25, accounting for 4%. Particularly, regarding EM groups, the number of EM children in kindergarten age only makes up 3.3% of the total EM population. The number of children in school-age is 59 (making up 9.5%) while the corresponding figure of the EM group is 8.8%. The similar percentages are shown in the number of people out of working age, 67 people (more than 60), which are 10.7% and 10.8% for the EM group Household occupational structure Most of the PAPs are engaged in agriculture, accounting for 74.5%. Out of the total people in the working age, approximately 100% of the PAHs members are involved in agricultural production. Table 11. Occupations of the PAPs by commune No. Province/ District/ Commune 1 Hoa Binh Mai Chau District Tong Dau Mai Chau Town Chieng Chau Mai Ha Van Mai

21 Illiterate Primary school Secondary school Not yet graduate from high school High school Vocational training University, postgradua te Others Total Mai Hich Thanh Hoa Quan Hoa Phu Thanh Total Source: Survey Data. The number of people involved in other non-agricultural activities such as running small stores, workers, motorbike taxi drivers, etc., is small. By age group, people engaged in such activities are mainly in 18 to 30 group. The majority of people engaged in agriculture sector (75.5%) are above Educational level The table below shows the educational level of the PAPs participated in the SES. Table 12. Educational level of the PAPs No. Province/ District/ Commune 1 Hoa Binh 0.2% 17.0% 41.3% 29.8% 5.9% 3.3% 2.4% 0.2% 100% 1.1 Mai District Chau 0.2% 17.0% 41.3% 29.8% 5.9% 3.3% 2.4% 0.2% 100% Tong Dau 0.8% 24.8% 42.4% 23.2% 7.2% 1.6% % Mai Chau Town % 44.0% 24.0% 6.0% 12.0% 2.0% 2.0% 100% Chieng Chau % 34.5% 33.3% 3.6% 1.2% 4.8% - 100% Mai Ha % 35.2% 33.3% 1.9% 5.6% 1.9% - 100% Van Mai % 42.5% 30.8% 7.7% 3.2% 3.6% - 100% Mai Hich % 48.9% 38.3% 2.1% % 2 Thanh Hoa % 41.7% 8.3% 33.3% 0.0% 0.0% 0.0% 100% 2.1 Quan Hoa % 41.7% 8.3% 33.3% 0.0% 0.0% 0.0% 100% Phu Thanh % 41.7% 8.3% 33.3% % Total 0.2% 17.0% 41.3% 29.3% 6.4% 3.2% 2.4% 0.2% 100% Source: Survey Data. 0.2% of the surveyed PAPs are illiterate, mainly in Tong Dau Commune. 17% of the members of the PAHs have finished primary school while 41.3% have finished secondary school and are in high 20

22 school. The number of people who have not graduated from high school (but no longer pursuing education) is 8.3%. Meanwhile, the percent of people graduated from high school is 33.3%. Only 3.2% and 2.4% of the surveyed obtained vocational training and university level. The educational level in these communes is not as high as the average level of the country Vulnerable group There are total 19 vulnerable households, including 5 ones having women as leader, 3 ones having disabled people and 11 poor ones having below 400,000VND/person/month (according to the poverty line established by MOLISA). There are no household having only single elderly in the household group affected by the subproject construction. Table 13. Vulnerable households No. Province/ District/ Commune Womanheaded The disabled Poor HHs Ethnic minority Single elderly 1 Hoa Binh Mai Chau District Tong Dau Mai Chau Town Chieng Chau Mai Ha Van Mai Mai Hich Thanh Hoa Quan Hoa Phu Thanh Total Source: Survey Data. The number of single mothers households is 5 including 2 households in Tong Dau commune, 2 households in Van Mai commune and 1 household in Mai Hai commune. Disabled households: there are 3 disabled households identified in the total of 288 PAHs. In which, 2 households are in Van Mai and 1 household in Mai Ha commune. 11 poor households are in 2 communes, namely Mai Ha (2 households) and Van Mai (9 households). All of these households are EM in Thai group. Among these households, there is one household which not only is the poor but also having women as a household leader. Poor households who have income lower than 2 million VND/month account for 30%; rate of households having low income from 2 to 3 million VND/month is 50% and female leader of a poor households having approximately 2-3 million VND. They are both famers and causes of poverty is facing difficulties such as lacking labours, employments sickness and other risks. All of the 11 poor households are affected on under 10% of their agricultural land. 21

23 Male Female Male Female Male Female Male Female Male Female Male Female HHs % Living standards The table above shows that 11 households among the PAHs are classified as poor. All 11 households belong to Thai ethnic group in 2 communes, namely Van Mai and Mai Hich. According to the statistical data provided by the CPCs, the average incomes of the communes fluctuate from VND 250,000 to 330,000/person/month, which is lower than the poverty line established by the MOLISA for the 2011 to 2015 period. Table 14. Changes in living standards of the households (in the last 3 years) No. Province/ District/ Commune Same Better Worse Total % % % % 1 Hoa Binh 1.1 Mai Chau District Tong Dau 59.10% 40.90% 0.00% % Mai Chau Town 33.30% 66.70% 0.00% % Chieng Chau 40.00% 53.30% 6.70% % Mai Ha 44.40% 33.30% 22.20% % Van Mai 63.40% 36.60% 0.00% % Mai Hich 50.00% 50.00% 0.00% % 2 Thanh Hoa 2.1 Quan Hoa Phu Thanh % 0.00% 0.00% % Source: Survey Data. In the last 3 years, the living standards of people in the project communes are being enhanced, especially most strongly in Mai Chau Town as 66.7% of the surveyed PAPs said that their living conditions were getting better than before. However, surveyed people in two communes, Chieng Chau and Mai Ha, believed that their living standards were worse. Nevertheless, the figures in these two communes show differences; only 6.7% in Chieng Chau commune while up to 22.2% of the people in Mai Ha commune share the opinion Income Table 15. Per capita income of the PAHs by gender (million VND) No. Province/ District/ Commune < 2 Mil 2 3 Mil > 3 4 Mil > 4 5 Mil > 5-6 Mil > 6 Mil Total 1 Hoa Binh % 1.1 Mai Chau % 22

24 1.1.1 Tong Dau % Mai Chau Town % Chieng Chau % Mai Ha % Van Mai % Mai Hich % 2 Thanh Hoa % 2.1 Quan Hoa % Phu Thanh % Total % Source: Survey Data. Considering the household incomes shows that among 108 PAHs in the survey samples, 16 households have income lower than VND 2 million/household/month, which is considered as the income of the poor households; therefore, compared to the data of the households who have poor cards, the number of households whose income is below the poverty line is higher. It is remarkable that among 16 poor households, one household is woman-headed. With the monthly income level from 2 to 3 million dong of a household, on average, the monthly per capita income is from VND 500,000 to 750,000. If near-poor households are those who have income level 125% higher than the poverty line, these 36 households are considered as just above the poverty line, which means that if such households encounter any adverse impact such as natural disasters, flood, land loss, crop loss, etc., they will easily fall back into poverty. The remaining households have income level from 3 to 6 million dong/month. In general, these households are regarded as middle-income to high-income households in the mountainous communes. As for these households, their livelihood capacity is more sustainable Other services (i) Energy 100% of the PAHs have access to the national grid. They use electricity for the purposes of lighting, and audio and visual entertainment activities on the communication channels such as radio, television or listening to music and working. However, for cooking purpose, they mainly use wood/firewood, accounting for 90.74% of the total surveyed PAHs. This figure is not different from that of the EM group, which is 90.72%. 23

25 (ii) Clean water Table 16. Water sources of the PAHs No. Province/ Commune District/ Dug well Village well, public well River, spring water Total HH % HH % HH % HH % 1 Hoa Binh % 1 0.9% % % 1.1 Mai Chau District % 1 2.9% % % Tong Dau % % % Mai Chau Town 9 100% % Chieng Chau 12 80% % % Mai Ha % % % Van Mai % % % Mai Hich 3 30% % % 2 Thanh Hoa % 2 100% 2.1 Quan Hoa % 2 100% Phu Thanh % 2 100% Total % 1 0.9% % % Source: Survey Data. Although some households in Chieng Chau commune have access to clean water, the remaining households among the surveyed PAHs do not have clean water to use. Water used for domestic and production purposes is from dug wells, rivers and lakes Impacts of the subproject (i) Impacts on land The implementation of the subproject will affect 69,286.8 m2 of land of 288 households, of which 45,211.2m2 of land belongs to 249 EM households. 24

26 No. of HHs No. of PAPs Total affected land area (m 2 ) Affected residential land area Number of EM PAHs Number of EM PAPs Total affected land area of EMs (m²) Affected residential land area Table 17. Scope of land acquisition and summary of impacts Total PAHs and affected land area Total EM PAHs and their affected land area No. Province/ District/ Commune I Hoa Binh 284 1,420 69, ,225 45, Mai Chau 284 1,420 69, ,225 45, Tong Dau , , Mai Chau Town Chieng Chau Mai Ha Van Mai , , Mai Hich , II Thanh Hoa Quan Hoa Phu Thanh Total 288 1,440 69, ,245 45, Source: Survey Data. Among the impacts on land, it is notable that there is no impact on residential land. Correspondingly, there are not any impacts regarding material relocation due to the subproject construction. The total area of rice-growing and rain crop-growing land to be affected is 10,734.2 m2 including 10,691.6 m2 in 6 communes of Mai Chau and 42.6 m2 in Quan Hoa. All of the affected land for growing annual crops belongs to ethnic minority people. Table 18. Details of impacts on land No. Province/ District/ Commune Reside ntial land Annual crop growing land Garde n land Forestry land Aquacult ure land Public land Total affected land area (m²) 1 Hoa Binh - 10, , , Mai Chau - 10, , ,

27 1.1.1 Tong Dau - 9, , Mai Chau Town Chieng Chau Mai Ha Van Mai , , Mai Hich , , Thanh Hoa Quan Hoa Phu Thanh Total - 10, , ,286.8 Source: Survey Data. Among ,8 m 2 of permanent and temporary affected land of 288 PAHs, affected garden lands mainly belong to PAHs in Tong Dau and Van Mai communes with the total area of 563.7m2. All of these PAHs are ethnic minority. Forestry land is the most affected type of land with 57,988.9 m2 and mainly distributed in 3 communes, namely Tong Dau (8.3 m2), Van Mai (42,732 m2) and Mai Hich (15,247.8 m2). The area of affected forestry land belong to EM PAPs with LURCs is 33,913.4 m2 including 8.3 m2 in Tong Dau commune, 33,412 m2 in Van Mai and m2 Mai Hich commune. Details of permanent land acquisition of EM households are presented in table 19. Table 19. Details of permanently affected land of EM households due to the construction of 110kV substation and tower foundations (m 2 ) No. Province/ District/ Commune Resid ential land Annual crop growing land Garden land Forestry land Aquac ulture land Public land Total 1 Hoa Binh - 10, , Mai Chau District - 10, , Tong Dau - 9, , Mai Chau Town Chieng Chau Mai Ha Van Mai Mai Hich

28 2 Thanh Hoa Quan Hoa Phu Thanh Total - 10, ,786.5 Source: Survey Data. The table 19 above shows the details of land acquisition by type of land in each commune required for the project components including 110kV substation, access road, houses of staff and tower foundations. The total area of land types to be acquired from 249 EM affected household is 10,786.5 m2 (including 10,734.2 m2 of annual crop-growing land, 44m2 of garden land and 8.3m2 of forestry land). The main impacts are on annual crop land, and mostly in Tong Dau commune due to land acquisition to construct the 110kV substation. The least impacts are in Phu Thanh commune of Thanh Hoa with only 42.6m2 of land to be acquired. Table 20. Details of temporarily affected land by ROW No. Province/ District/ Commune Resid ential land Annual crop growing land Garden land Forestry land Aquacul ture land Public land Total (m2) 1 Hoa Binh , , Mai Chau District , , Tong Dau Mai Chau Town Chieng Chau Mai Ha Van Mai , , Mai Hich , , Thanh Hoa Quan Hoa Phu Thanh Total , ,500.3 Source: Survey Data. 27

29 < 10% 10%- 30% Above 30% - 50% Above 50% - 70% Above 70% Total < 10% 10%- 30% Above 30% - 50% Above 50% - 70% Above 70% Total The Table 20 shows the land acquisition of 58,500.3 m2 in the ROW including 57,980.6 m2 of forestry land and m2 of garden land. Land acquired for ROW is mainly forestry land in Van Mai and Mai Hich communes, in which 42,732.8 m2 are in Van Mai and 15,247.8 m2 are in Mai Hich commune. This area is calculated by width of ROW which is 3m and length of the line which is 19,456km. Although the affected area is large, level of impacts is not much, because time of temporary land occupy is only maximum 2 weeks for stringing the conductor. Table 21. Affected productive land No. Province/ District/ Commune Affected productive land area of the PAHs Affected productive land area of the EM PAHs 1 Hoa Binh Mai Chau Tong Dau Mai Town Chau Chieng Chau Mai Ha Van Mai Mai Hich Thanh Hoa Quan Hoa Phu Thanh Total Source: Survey Data. Impacts caused by land acquisition are evaluated as insignificant as the figures show that compared to the total number of the affected households, only 24 households are affected more than 10% of their landholdings including 20 EM PAHs in Tong Dau Commune (13 HHs), Mai Ha commune (1 HH) and Van Mai (6 HHs). Among the households losing more than 10% of land area, 20 households lose from 10% to 30% and 4 households lose more than 30% of their landholdings. 28

30 With LURCs Without LURCs but eligible to Not eligible Long-term land lease granted by GoV With LURCs Without LURCs but eligible to Not eligible Long-term land lease granted by GoV With LURCs Without LURCs but eligible to Not eligible Long-term land lease granted by GoV (ii) Land use right Types of lands affected by the subproject are mainly annual crop growing land, garden land and forestry land. According to PAC PC, land user right certificate was issued to the households at the end of the 90s. Although some households currently have yet had LURC, they have sufficient claims for (eligible to) the granting of LURCs. The two tables below show the status of LURCs for different types of land of the PAHs by commune. Table 22. Legal status on land of the surveyed PAHs Rice growing land Forestry land Garden land No. Province/ District/ Commune 1 Hoa Binh Mai Chau District Tong Dau Mai Town Chau Chieng Chau Mai Ha Van Mai Mai Hich Thanh Hoa Quan Hoa Phu Thanh Total Source: Survey Data. Table 22 shows that 100% of PAHs having LURCs (247 households, including 189 households having LURCs for rice crop land and 58 households having LURCs for forest land) or not having LURCs but can require (fully eligible to) the granting of LURC (41 households, including 10 ones who have yet had LURC for rice crop land, 25 ones who have yet had LURC for forest land and 6 ones who have yet had LURC for garden land). According to survey result, the households confirmed that although they have yet had LURCs for these land types, they have sufficient claims for (eligible to) the granting of LURCs. 29

31 With LURCs Without LURCs but eligible to Not eligible Long-term land lease granted by GoV With LURCs Without LURCs but eligible to Not eligible Long-term land lease granted by GoV With LURCs Without LURCs but eligible to Not eligible Long-term land lease granted by GoV Table 23. Legal status on land of EM PAHs Rice growing land Forestry land Garden land No. Province/ District/ Commune 1 Hoa Binh Mai Chau District Tong Dau Mai Chau Town Chieng Chau Mai Ha Van Mai Mai Hich Thanh Hoa Quan Hoa Phu Thanh Total Source: Survey Data. Table 23 shows that status of having LURC of EM PAHs is the same as general status of the subproject. 10 EM households have yet had LURC for rice crop land, 10 ones have yet had LURC for forest land and 6 one have yet had LURC for garden land. However, the households have resettled here since before 1993 and they inform that they have sufficient claims for (eligible to) the granting of LURCs for these land types. (iii) Impacts on standing trees and crops Land acquisition and construction activities will affect 10,740 m2 of land for growing annual crops, including 10,734 m2 of rice growing land and 6m2 of maize land of 1 household in Van Mai Commune. Table 24. Impacts on land for growing rain crops No. 1 Hoa Binh Province/ District/ Commune 1.1 Mai Chau District Tong Dau Unit Rice Maize Cassava Bean Vegetable HH m2 10, HH m2 10, HH m2 9,

32 1.1.2 Mai Chau Town Chieng Chau Mai Ha Van Mai Mai Hich 2 Thanh Hoa 2.1 Quan Hoa District Phu Thanh Total HH m HH m HH m HH m HH m HH m HH m HH m HH m2 10, Source: Survey Data. In Mai Hich Commune, there is no impact on rice growing land. In the remaining 6 communes, 199 households are affected on their rice growing land with an area of 10,734 m2. Most of the affected rice growing area is two-crop land of local people. Types of affected trees include bead trees, luong bamboo, longan and mango. Among 7 communes, only Tong Dau, Van Mai and Mai Hich are affected on these trees. Table 25. Impacts on trees No. Province/ District/ Commune 1 Hoa Binh 1.1 Mai Chau District Tong Dau Mai Chau Town Chieng Chau Mai Ha Unit Bead tree Longan Mango Luong bamboo Chukrasia tabularis lat HH m2 7, ,070 52, HH m2 7, ,070 52, HH m HH m HH m HH m

33 1.1.5 Van Mai Mai Hich 2 Thanh Hoa 2.1 Quan Hoa District Phu Thanh Total HH m2 7, ,070 33, HH m , HH m HH m HH m HH m ,070 52, Source: Survey Data. 90 households are affected on their trees due to the subproject implementation, including 52,400 luong bamboo trees, 7,830 bead trees and 880 Chukrasia tabularis trees to be cut down. These types of trees have high economic value to people in the project area. Such affected trees are mainly in Van Mai Commune as 100% of the affected bead-trees belong to 10 households in this commune, 33,650 luong bamboos are owned by 41 households and 50% of the affected Chukrasia tabularis trees (lat) belong to 6 households in Van Mai. Impacts on fruit trees (longan and mango) are quite significant as the number of affected trees is quite considerable on the average of each household. Specifically, 1,070 mango trees are affected belonging to only 3 households in Van Mai commune and out of the total of 639 affected longan trees, up to 615 trees are owned by 5 households in Van Mai. Summary of impacts caused by the construction of Mai Chau 100kV substation and 35kV TL is as follows: Table 26. Summary of impacts No. Category Households Unit Quantity I Land 1 Residential land - m2-2 Annual crop growing land 199 m2 10,734 3 Garden land 6 m Aquaculture land - m2-5 Forestry land 84 m2 57,989 II Houses and structures 1 Grade Grade Grade

34 4 Grade Temporary houses Auxiliary structures Kitchen, cattle shed, etc Electricity meter, water meter Water tank III Trees and crops 1 Rain crops ,734 2 Timber 10 7,830 3 Fruit tree 3.1 Mango, longan , Bamboo, Chukrasia tabularis IV Business shops V Public structures VI Number of relocating households Source: Survey Data. 33

35 CHAPTER IV. LEGAL FRAMEWORK (FOR LAND AND ETHNIC MINORITY) 4.1. Policies of the Government of Vietnam Policies of the Government of Vietnam (Gov) on land acquisition This part presents legal framework and policies of GoV and policies of World Bank (WB) regarding land acquisition, compensation as well as resettlement and compares between two approaches. Due to differences between policies of WB and legal framework of Vietnam, the project needs to exempt some certain articles of GoV s circulars and regulations in terms of compensation, assistance and resettlement. According to that, plan of compensation, assistance and resettlement will be implemented by the project s policies. Law on land 2003 issued on 26/11/2003 by Vietnam Assembly stated that people who are acquired their land will be compensated by land for the same use; if there is no land for compensation, they will be compensated by value of land use right at the time issuing decisions on land acquisition. PC of provinces and central cities will edit and implement resettlement projects prior to land acquisition and compensation for houses and residential land for people who are acquired land and relocated their residential places. Resettlement locations need to have same or better development conditions than those of old residential places. If there are no resettlement areas, the people who are acquired land will be compensated in cash and prioritized to buy or rent houses owned by the State, in cases of urban areas; and will be compensated by residential land, in cases of rural areas. In cases land acquisition from households and/or individuals which are in direct production process, but there is no compensating land for continuing production, besides compensation in cash, the people who are acquired land will be assisted to stabilize their lives by being trained to change their production and/or business methods via assignment of new jobs (Article 42) Law on complaints and denunciations are approved on 2 December 1998 by National Assembly Law on amending and supplementing a number of articles of the Law on complaints and denunciations are approved on 15 June 2004 Decree 181/2004/ND-CP of the Government of Vietnam issued on October 29, 2004 guiding the implementation of the Land Law Decree 84/2007/ND-CP of the Government of Vietnam dated May 25th 2007 on revision of issuing LURC, land acquisition, implementation of land use right, procedure for compensation, resettlement when land acquired by State and grievance redress. Decree 197/2004/ND-CP issued on December 3, 2004 on compensation, support and resettlement when land is recovered by the State and is supplemented by the Decree No. 17/2006/ND-CP. Decree 60/CP issued on 5 July 1994 by the Government of Vietnam regulating land ownership right and land use right in urban areas; Decree 61/CP issued on 15 July 1994 by the Government of Vietnam regarding regulations on purchase houses. 34

36 Decree 188/2004/ND-CP of the Government of Vietnam issued on November 16, 2004 on methods to determine land prices and assorted land price brackets. This decree stated clearly maximum and minimum prices of different land types and categories all over the country. These land prices were established to serve the Government s land acquisition, tax on changing land use right, renting the state s land and for national as well as public objectives. Decree 123/2007/ND-CP dated July 27, 2007 on revision and supplementation of some regulations in decree 188/2004/ND-CP. Decree No. 69/2009/ND-CP dated August 13, 2009 by the Government additionally providing for land use planning, land prices, land recovery, compensation, support and resettlement in case of land acquisition, determination of land price, issuing land, renting land, and additional requirements relating to land use right. Decree No. 106/2005/ND-CP dated August 17, 2005 by the Government of Vietnam regulating protection and safety of high voltage system as well as verify necessary Right of way to ensure the safety. Certain articles of this decree, which are mainly to increase safe distance from the high voltage lines, are amended by Decree 81/2009/ND-CP dated on 12 October Decree No. 53/2005/ND-CP dated April by the Government of Vietnam detailing and guiding the implementation of the Law on Complaints and Denunciations and the Law amending and supplementing a number of articles of the Law on Complaints and Denunciations. Decision No. 52/2012/QD-TTg dated on 16 November 2012 on policy supporting and resolving jobs and vocational training for labours whose agriculture land is acquired. Circular No. 114/2004//TT-BTC dated on 26 November 2004 by Ministry of Finance issuing guideline to implement Decree 188. This circular edited details of the methods (which are direct comparison method and collection method) regarding evaluation of price of different land types and categories in different areas/regions to ensure the placement price. Circular No. 14/2009/TT-BTNMT dated October 1, 2009 by the Ministry of Natural Resources and Environment detailing the compensation, support and resettlement and order of and procedures for land recovery, allocation and lease. Other decisions and policy framework applied for making this policy framework include the followings: Decision No. 2192/QD-NLDK dated on 30 June 2005 by Ministry of Industry on approval of policy framework of compensation for resettlement, policy framework of ethnic minority development plan and framework guiding environmental evaluation of Second transmission and distribution project. Policy framework of compensation, assistance for resettlement and life recovery for DPs of Trung Son hydropower project Policies of the Government of Vietnam on Ethnic minorities For ethnic minorities, the Vietnamese Government's policies are built based on the respect and equality among ethnic groups, solidarity and mutual assistance among different ethnic groups. The application of socio-economic policies for each region, each group taking into account the needs of ethnic minorities is a requirement. Socio-economic Development Plan and Socio-economic 35

37 Development Strategy in Vietnam give special attention to the ethnic minorities. The major programs for the ethnic minorities can be listed are the Program 135 (Infrastructure in poor and remote areas), Program 134 (Eliminating temporary houses). Besides, there are also policies on education and healthcare for ethnic minority people. Resolution No. 30a/2008/NQ-CP of government, dated 27 Dec on support program for rapid and sustainable poverty reduction for 61 poorest districts Decree No.70/2001/ND-CP: all documents registering family assets and land use rights must be in the names of both husband and wife. Decree No. 82/2010/ND-CP dated July by the Government on teaching and learning of ethnic minority languages in schools and regular educational centers. Decision No. 42/2012/QD-TTg dated October by the Prime Minister on giving support to units, organizations using employees who are ethnic minority people in the mountainous regions, especially difficult areas. Decision No. 52/2012/QD-TTg dated August by the Prime Minister on using legal assistance policy to raise the awareness and understanding of law of the poor and ethnic minorities in the poor districts in the 2011 to 2020 period. Decision No. 112/2007/QD-TTg of the Prime Minister dated July by the Prime Minister on the policy supporting services to improve the people's life, and legal support to increase the legal awareness under the program 135 phase II. Decision No. 33/2007/QD-TTg dated March by the Prime Minister on Supporting ethnic minority people in settlement and sedentary farming in the 2007 to 2010 period. Decision No. 01/2007/QD-UBDT dated 31-May-2007 of the Ethnic Minorities Committee on the recognition of communes, districts in the mountainous areas Decision No. 05/2007/QD-UBDT dated 06-September-2007 of the Ethnic Minorities Committee on its acceptance for three regions of ethnic minorities and mountainous areas based on development status Decision No. 18/2011/QD-TTg dated March by the Prime Minister on policies on the prestigious people in the ethnic minority groups. Decision No. 06/2007/QD-UBDT dated 12-January-2007 of the Ethnic Minorities Committee on the strategy of media for the program 135-phase 2 Joint Circular No. 05/2011/TTLT-UBDT-BTC by the Committee for Ethnic Minority Affairs dated December guiding the implementation of the Decision No. 18/2011/QD-TTg on policies for the prestigious people in the ethnic minority groups. Circular No. 06 dated 20-September-2007 of the Ethnic Minorities Committee guidance on the assistance for services, improved livelihood of people, technical assistance for improving the knowledge on the laws according the decision 112/2007/QD-TTg 36

38 4.2. World Bank s Policy on Involuntary Resettlement (OP 4.12) and Indigenous Peoples (OP 4.10) Involuntary Resettlement (OP 4.12) The primary objective of the World Bank policy is to explore all alternatives to avoid or at least minimize involuntary resettlement. Where resettlement is unavoidable, the living standards of displaced persons should be restored or improved relative to those conditions that prevailed prior to the Project. The policy applies to the taking of land and other assets when land acquisition results in the loss of shelter, the loss of all or part of productive assets, or access to them, and the loss of income sources or other means of livelihood. Policy on Indigenous Peoples (OP 4.10) The objectives of the World Bank Policy on Indigenous Peoples aim to: To ensure that the ethnic groups adapt to the meaningful opportunities to participate in designing project activities that have impacts on them; To ensure that the opportunities for those ethnic groups have taken into account culturally appropriate benefits; and To ensure that any adverse impact caused by the project is avoided or otherwise minimized. For purposes of this policy, the term Indigenous Peoples is used in a generic sense to refer to a distinct, vulnerable, social and cultural group possessing the following characteristics in varying degrees: (a) self-identification as members of a distinct indigenous cultural group and recognition of this identity by others; (b) collective attachment to geographically distinct habitats or ancestral territories in the project area and to the natural resources in these habitats and territories; (c) customary cultural, economic, social, or political institutions that are separate from those of the dominant society and culture; and (d) an indigenous language, often different from the official language of the country or region. OP 4.10 requires a free, prior, and informed consultation with the ethnic minorities that might be affected and establishes assistances for the project affected communities Comparison between Government of Vietnam and World Bank Approaches There are a number of ways in which the approaches of the Vietnam Government either in policy or practice are compatible with World Bank guidelines. The most important compatibilities are: Vietnam has a process whereby most people without legal land rights may meet conditions of legalization and receive compensation for losses. Permanent residents are provided with options that include relocation to an improved site, or cash, or a combination of the two. Resettlement sites offer not only improved infrastructure and services but represent a higher standard of living. Allowances are provided to help the DPs in the transition period and there is an institutional structure through which people are informed, can negotiate compensation, and can appeal. 37

39 Differences between the approaches and measures that need to be addressed within the program also exist. However, in this context, procedures exist within national and City governments that allow the granting of waivers of domestic law on specific projects that may be in conflict with that of the funding agency. On the issue of land tenure and the legal right to compensation, the Government and World Bank approaches are compatible. The government has its own process in place whereby land occupied without legal documentation can be legalized; this land, however, is compensated for at a rate equal to 100% of land price minus the taxes and fee for land use right registration from 15 October 1993 (Articles No.42, 49 and 50 of the Land Law 2003). Required Waivers In order to meet the requirements of the World Bank OP 4.12 on Involuntary Resettlement a number of articles in various Vietnamese laws and regulations which do not ensure compensation at replacement cost or set eligibility provisions which do not extend the right to rehabilitation and or assistance to households without proper land paper, will be waived. The articles of law and regulations that will be waived are mentioned below: Eligibility to Compensation and or assistance Decree 197 Article 7 of Decree 197 of 2004 (Cases where land is recovered without compensation) stipulates that any person whose land is recovered and who has not met one of the conditions of Article 8 of this Decree, or who has violated the plan, or who violates the protecting corridor work, or who illegally occupies land shall not receive compensation when the state recovers the land. In case of necessity, the Provincial People s Committee shall consider and decide on a case-by-case basis. Article 18, 20 of Decree 197: Houses and structures on non-eligible-for-compensation land, which have not violated announced land use plans or the right of way will be assisted at 80% of replacement cost Houses and structures on non-eligible-for-compensation land, which have violated announced land use plans or the right of way will not be assisted. If necessary, the PPC will consider on the case by case basis. Article 29 of Decree 197: DPs losing more than 30% of productive land will be entitled to living stabilization and training/job creation assistance To ensure that the objectives of this resettlement policy are met, a special decision of the Government waiving Article 7, 18, 20, 29 of Decree 197 and article 24 of Decree 69 is needed to permit assistance and rehabilitation measures for illegal users of land as proposed in the policy. This was represented in Decision on approval of the project s policy framework in Decision No. 1856/TTg-KTN dated on 15 October Price of Land for Calculation of Compensation Article 9 of Decree 197: The compensation rates for land shall be determined by the PPC for the type of land which has been used for at the time of land acquisition To ensure that the objectives of the project resettlement policy are met, unit price for land compensation established by the Project Provincial/City People s Committees will be adjusted to meet the replacement costs on the 1 st of January every year according to the law. 38

40 Assistance Policy for DPs who Rent State-owned dwelling houses Decree 197 Article 21 of Decree 197/2004/ND-CP states that DPs who rent State-owned dwelling houses shall be provided with monetary supports equal to 60% of the land value and 60% of the value of currently rented houses; in cases where there are no resettlement houses are to be arranged for them. To ensure that the objectives of the policy are met, a special decision of the Government of Vietnam regarding waiver of Article 21 of Decree 197/2004/ND-CP is needed to permit assistance and rehabilitation measures for DPs who share State-owned dwelling houses as proposed in this policy. Article 2 of Decree 188/2004/ND-CP states that the land price shall be defined by the provincial People s Committees and/or cities directly under the central government. To ensure that the objectives of the project resettlement policy are met, unit prices for land compensation established by the project related provincial/city People s Committees shall be adjusted to meet the replacement costs. Item 5, Article 2 of Decree No.131/2006/NĐ-CP dated November 9, 2006 issuing Regulations on management and usage of Official Development Assistance (ODA) stipulates Conform to regulations under Vietnamese Law and international treaties on ODA of which the Socialist Republic of Vietnam is a member. In case an international treaty on ODA where the Socialist Republic of Vietnam is a member has contrary regulations to those of Vietnamese Law, the international treaty shall prevail. 39

41 5.1. The need and Purposes CHAPTER V CONSULTATION AND INFORMATION DISCLOSURE Information dissemination to, consultation with and participation of the affected people and key stakeholders will a. reduce the potential of conflicts; b. minimize the risk of project delays; c. enable the project to design the resettlement and rehabilitation program as a comprehensive development measure to fit the needs and priorities of the affected persons, thereby maximizing the economic and social benefits of project development and; d. make sure that the RAP preparation and implementation are in a transparency way. Not only required by the international financiers, but also information disclosures and dissemination are required by GoV as in Article 39 of Land law (2003), Articles 34, 43, 52 and 53 of Decree 197/2004 and Article 49 of Decree 84/2007 and In Decree 69/2009. The general objectives of the Public Information Campaign and the Consultation Program are to inform and get feedback from key stakeholders about all aspects of compensation and resettlement planning. Specific objectives and principles are as follows: a. To fully share key information about the project with the affected persons, local authorities and other stakeholders (project background, purposes, studied alternatives, environmental and resettlement issues etc.). b. To obtain information about the needs and proposed priorities of the affected persons, local communities, local authorities, local NGOs as well as their reactions/feedback on the compensation, assistance and resettlement policies and other relevant activities. c. To obtain the cooperation and participation of the affected persons, relevant institutions through all phases of resettlement planning and implementation. d. To ensure transparency in all activities related to land acquisition, compensation, resettlement and rehabilitation measures. e. Participation provides for the occasion and the process by which stakeholders influence and become co-responsible for development initiatives and decisions that affect them. Through their full and active involvement, the needs and priorities of the local populace are ventilated and heard. The households and other stakeholders are being consulted during the preparation and implementation of the resettlement plan. This exercise is a two-way process information dissemination/disclosure and gathering of feedbacks and suggestions for preparing and implementing RAP. Information dissemination, consultation and participation require in the period of RAP preparation and will be continued through entire period of RAP implementation. Consultation and participation are carried out through different channels and instruments, such as meetings with provincial, district, commune and village leaders and representatives of their key departments to study about the compensation and relocation policies of the city and province; the principles of determining the compensation cost, and potential of land for replacement, possibilities of economic restoration programs, employment in the locality, among others. 40

42 The consultation and participation methods: The consultation and improvement of the participation methods which were implemented include the followings; Schedule on consultation and organization of public meetings were informed to CPCs and people a week earlier by consultancy unit and representative of Trung Son HPP (table 27); Public meetings were hold at cultural houses of villages; The consultation was supported by tools such as maps, pictures and colour papers on which there are details of impacts on environment, society and of the project s land acquisition; One expert on EM (who is a Thai people) conducted a consultation meeting with support by expert on resettlement, gender and society; In-depth interviews with prestigious people in EM community were directly conducted in Thai language by expert on EM. Table 27. Consultation schedule No. District/ Commune Implement ation time Place Number of participants Total Male Female 1 Mai Chau District Mai Chau Town 12/9 Town People s Committee Tong Dau 12/9 Commune Committee People s Mai Ha 13/9 Commune Committee People s Mai Hich 13/9 Mai Hoang Son Village Chieng Chau 12/9 1.6 Van Mai 14/9 2 Quan Hoa District Commune People s Committee Commune People s Committee Phu Thanh consultation by questionnaire and indepth interview 15/9 Households Total Content of the consultation focuses on: The meetings with local organizations such as women s unions, farmer s association, and fatherland front, veteran s association etc., to draw their concerns and suggestion to Resettlement Planning. Meetings with all affected communes and affected households, including conduct of group meetings with women, the elderly, and other vulnerable groups; Distribute resettlement pamphlet to leaders of communes and the displaced persons; Conduct of socio-economic and affected property surveys, consultation with people about 41

43 options for compensation, i.e. land for land or cash for land ; proposals for economic restoration activities as well as other concerns of the different affected groups. Results of the consultation is presented in article 5.2 (table 28) below Consultation during preparation of Resettlement Action Plan and Ethnic Minority Development Plan Table 27: Summary on consultation with stakeholders Venue Time Participants Summary on local people s opinions Solutions Mai Chau Town 12/9 19 participants of the PAHs and representatives of the commune leaders including: 10 males and 9 females - Affected area is not considerable. - The construction of 35kV line does not affect their customs and traditions. - Attracting young people from the affected villages to engage in services in Lac Village and Pom Coong Village does not occur. - Some households do not know the area of their land to be acquired. - Construction of the 35kV line does not affect their customs and traditional habits. - When implementing compensation, Mai Chau District Compensation, Assistance and Resettlement Council will cooperate with investor, the commune/ town People s Committee to have a meeting publishing the project implementation guideline, inform people sufficiently about DMS plan, the project, amount of damage types, implementation progress, value of compensation and assistance, etc. - The 35kV line will contribute to the socio-economic development as this power line directly promotes the completion of Trung Son Hydropower Project, and Mai Chau is the gateway to the work. - For the first measurement of land area, the village leaders and some households are not informed. Tong Dau Commun e 12/9 56 participants of the PAHs and representatives of the commune leaders including: 36 males and 20 females - People opt to land-for-land compensation. - Propose for funding assistance for processing bamboo blinds to supply to Chieng Chau industrial zone. - People expect that the project will provide appropriate vocational training. Priority should be given to members of the PAHs. - Expect that the Project will employ local labors for unskilled work such as digging, transporting - The CPC said that there is no land for land-by-land compensation method. - PMU will be proposed to have prioritized policy for children of households who are acquired land, particularly the severely affected one. - PMU will be proposed to work with or have conditions with the contractors and must prioritize employing maximum labours, particularly unskilled labours. 42

44 during construction of tower foundation and substation period. - The construction of substation and tower foundations should be started after the harvest crop to avoid impacts on the crop productivity. - The project will be proposed to try to avoid implementing construction near to/in crop harvest. If the project needs to increase the progress, people s impacts on crops will be compensated sufficiently and in accordance with the project policy. Mai Ha Commun e 13/9 26 participants of the PAHs and representatives of the commune leaders including: 16 males and 10 females - Impacts are mainly on ricegrowing land. - The influx of workers will not affect significantly people s life. - The construction time should be informed in time to people so that they can plan to cultivate in another area to avoid more impacts caused by construction activities. - People in the area depend heavily on agriculture. Therefore, there is not much orientation in job conversion. They said that if they knew the exact amount of compensation, they would be engaged in large-scale livestock husbandry to increase income. - Expect the PMB and local authorities to identify exact acquired land area soon and prepare occupational orientation plan. - PMU will be proposed to bind contracts with the contractor, coordinate closely with the locality in terms of temporary residence registration, worker management, and good relation with local community. The stakeholders need to increase cooperation and inspection. - PMU and Mai Chau District Compensation Council will inform compensation inventory plan, construction implementation schedule to the local authorities and households soon. - PMU and Mai Chau District Compensation Council will inform households about guideline and implementation plan of the project, DMS plan, publish acquisition area and compensation amount for each household at CPC and District Compensation Council, etc. Mai Hich Commun e 13/9 15 participants of the PAHs and representatives of the commune leaders including: 8 males and 7 females - Impacts are mainly on productive land. - The acquired are is not considerable; willing to facilitate earliest construction. - Consider assistances for the area in ROW 6m (unable to continue cultivating). - Before construction, the PMU should inform the commune, village leaders, especially PAHs so that they can have time to stop cultivating on the area to be - According to the country s regulation, land compensation will base on type of land, area, position and benefit capacity. Consultancy group are aware of people s recommendation and will consult with PMU. - According to Decree No. 106 and the project policy, there is no compensation for land. In terms of supporting land in ROW, consultancy will work with PMU. 43

45 acquired. Chieng Chau Commun e 12/9 40 participants of the PAHs and representatives of the commune leaders including: 26 males and 14 females - The construction unit should have construction plan to avoid the crop time. - The specific area of land to be acquired of each household is not finalized, it is necessary to review and measure to identify the exact amount, area, households, and locations of tower foundations to avoid mistaking land of one household to another household which may lead to dispute among DPs. - The most important thing is that the measurement data should be confirmed by the commune officials, village leaders and heads of PAHs. - The project will be proposed to try to avoid implementing construction near to/in crop harvest. If the project needs to increase the progress, people s impacts on crops will be compensated sufficiently and in accordance with the project policy. - PMU and Mai Chau District Compensation Council will cooperate with the commune leaders and cadastral, village leader and households to implement measurement, area inventory, and types of land acquisition, property on land and acquisition categories. Information regarding land acquisition and affected properties need to have signatures of the household leaders and affected amount need to be published. Van Mai Commun e 14/9 70 participants of the PAHs and representatives of the commune leaders including: 41 males and 29 females - For the households whose luong bamboo growing land is acquired, according to the policy, the project does not compensation for acquired land but the standing bamboo, fruit trees or crops on the affected area. - Consider assistances for the area in ROW 6m (unable to continue cultivating). - There should be agreed document between the contractor/ construction unit with the local authorities and people about the time and implementation progress to avoid impacts on production season. - After construction, site should be restored and returned to people. - During the construction period, if there is any emerging impact, compensation should be provided for DPs. - According to Decree No. 106 and the project policy, there is no compensation for land. In terms of supporting land in ROW, consultancy will work with PMU. - PMU will be proposed to work with and request the contractors to commit progress in accordance with contract signed with the local authorities and people as well as cooperate well with village leader during the implementation in order to limit maximum of impacts on people in the project area. - During the implementation, if the contractor affects/damage people s properties, they will have to compensate sufficiently. - PMU will be proposed to bind contracts with the contractor, 44

46 - The influx of workers does not affect the life of people. - Social evils as well as waste should be managed by the concerned agencies. coordinate closely with the locality in terms of temporary residence registration, worker management, and good relation with local community. The stakeholders need to increase cooperation and inspection. Phu Thanh commune - 15/9 - Consultation by questionnaire at the households; in-depth interview - The project should have a detailed plan to inform to people. - Support the project as the impacts are not significant while the benefits brought about by the project are enormous. - Project s impacts are not considerable, mainly on rice growing area. - PMU and Mai Chau District Compensation Council will inform households about guideline and implementation plan of the project, DMS plan, publish acquisition area and compensation amount for each household at CPC and District Compensation Council, etc Consultation plan and methods of information dissemination during the project implementation The consultation and information dissemination need to be implemented during the whole time preparing for the project and also planning and implementing the project in order to ensure requirement of information dissemination, consultation and participation. So as to ensure EM people can be aware of the project information, participate in the consultation and other activities of the project, following actions need to be done: (i) Disclosed materials RP and EMDP need to be summarized and publicly disclosed to PAHs in different forms. In terms of provincial and district level, REMDP materials need to be provided to Office of Provincial and District PC as well as District Compensation Council and Minority Department with the full versions and in Vietnamese. In terms of communal level, Vietnamese summary will be placed at Office of CPC. In terms of community, summary of REMDP will be distributed to head of villages houses in Vietnamese. Flyer of REMDP will be distributed to PAHs and archived at head of villages houses in Vietnamese. (ii) Language of the materials All of EM PAP can read, listen, write and speak Vietnamese fluently. According to people s responses, language of the materials can be Vietnamese with a clear printed version which is easy for them to understand. (iii) Steps of implementation and methods of consultation The consultation needs to be done during the project preparation, implementation and operation. At least, the following activities need to be done: 45

47 Consultation, information dissemination via flyers and publicity via loudspeakers regarding the project information before conducting DMS; Consultation and information disclosure via public meetings during the whole time of preparation for the project; Publicly posting results of DMS and applications of compensation price prior to payment; Consultation and information disclosure via publicity and training about safe power network during the project operation. 46

48 6.1. Compensation CHAPTER VI COMPENSATION, SUPPORT AND LIVELIHOOD RESTORATION Compensation and Resettlement Objectives Following the op 4.12 and the Government policies on land acquisition, compensation, assistance and resettlement, the overall objectives of this resettlement policy are: to avoid, if not, minimize resettlement impacts; if impacts are unavoidable, the RAP is prepared in a way to ensure that affected persons are not worse off; rather, they should be able to at least maintain or otherwise improve their pre-project living standards and income-earning capacity. The Project should also provide an opportunity for the local population to derive benefits from it. Likewise, the Project should serve as an occasion for the local population to participate in its planning and implementation, thereby engendering a sense of ownership over this development undertaking. The main objectives and principles of WB on involuntary resettlement are: Involuntary resettlement and loss of means of livelihood are to be avoided when feasible by exploring all viable alternatives. When, after such an examination, avoidable is proved unfeasible, effective measures to minimize impact and to compensate for losses must be agreed upon with the people who will be affected; People must be resettled involuntarily and people whose means of livelihood will be hindered or lost must be sufficiently compensated and supported by project components etc. in a timely manner. Host countries must make efforts to enable people affected by the project and to improve their standard of living, income opportunities, and production levels, or at least to restore these to per-project levels. Measures to achieve this may include: providing land and monetary compensation for losses, supporting means for an alternative sustainable livelihood, and providing the expenses necessary for the relocation and reestablishment for communities at resettlement sites; and Appropriate participation by affected people and their communities must be promoted in the planning, implementation, and monitoring of resettlement action plans and measures to prevent the loss of their means of livelihood. In addition, appropriate and accessible grievance mechanisms must be established for the affected people and their communities. For projects that will result in large scale involuntary resettlement, resettlement action plans must be prepared and made available to the public. In preparing resettlement action plan, consultations must be held with the affected people and their communities based on the sufficient information made available to them in advance. When consultations are held, explanations must be given in a form, manner, and language that are understandable to the affected people. It is desirable that, the resettlement action plan include elements laid out in the World Bank Safeguard policy, OP

49 The Compensation and Resettlement Principles To achieve of the above objectives, the following principles are adopted: a. The acquisition of land and other assets and resettlement of the project affected persons will be minimized as much as possible. b. All DPs residing, operating, working or cultivating land in the project area either permanently or temporarily which identified or can prove that they have properties in the project affected areas before the cut-off date are entitled to compensation, restoration and rehabilitation measures sufficient to assist them to at least restore or otherwise improve their pre-project living standards, income earning capacity and production levels. Lack of legal rights or documentation will not bar DPs from entitlement to such measures. c. No land recovery or site clearing will be done for the project construction in anticipation or ahead of it being approved for inclusion in the project subject to this plan. Compensation will be at the costs issued by local authority; no deductions of depreciation and for salvageable materials. d. The compensation measures will be provided include (i) in cash or in kind compensation for houses and other structures with the unit compensation costs issued by local authorities.(ii) productive land-for-land replacement of equal productive capacity or cash equivalent at full Costs issued by local authorities if productive land is not available; (iii) replacement of residential land of equal size, similar location, infrastructures and social services or cash equivalent; (iv)cash compensation for renters; cash compensation for crops, trees and other productive assets lost due to the project; (v) cash compensation for grave removal and relocation; (vi) replacement or re-installation of utilities and facilities, such as water meters, sanitation facilities, electric meters, telephone lines; and (vii) in cash or in kind compensation for relocation of public works and other collective assets. e. The restoration, rehabilitation measures to be provided include: Stabilization and transport allowances for all DPs temporarily or permanently displaced; Resources or other income restoration/improvement programs (such as land development, access to credit, training for farming and non-farm activities etc.,) to assist the full restoration of income earning capacity of DPs. Livelihood restoration programs will be developed to help DPs restore their living standards as soon as possible. Special assistance to vulnerable groups such as the poor, elderly; disable people; women-headed households etc. f. The resettlement sites will be as close as possible to the affected places and the previous level of community infrastructures and social services will be maintained or improved. g. The DPs will be consulted and will be given the opportunity to participate in through entire of phased of RAP, from its preparation to implementation as well as to share with benefits of the project. 48

50 h. Financial and physical resources for resettlement and rehabilitation will be made available as and when required. Institutional arrangements will ensure effective preparation and implementation of the DP. i. Ongoing monitoring and evaluation of the implementation of the RAP will be carried out in order to ensure that DP will be implemented effectively. A clear complaint and settling mechanism will be developed to make sure that the DP will be fairly treated Project Displaced Person(s) DPs The DPs include the following persons and organizations: a. Persons whose houses and/or property are in part or in total affected by the Project; b. Persons whose agricultural and/or residential land are in part or in total affected (permanently or temporarily) by the Project; c. Persons whose crops (annual or perennial) and trees are affected in part or in total by the Project; d. Persons who affected by land acquisition for the relocation sites, if required to be developed for the project DPs. Non-eligible DPs include those making claims based on subsequent occupation after the project cutoff date. The DPs are categorized into non-severely and severely affected DPs. The severely affected DPs are the affected households who will (i) lose 10% or more of their total productive land and/or assets, (ii) have to relocate; and/or (iii) lose 10% or more of their total income sources due to the Project. The severely affected DPs and vulnerable affected groups will need special assistance to make sure that the objective of RP is achieved Eligibility The DPs eligible for compensation and rehabilitation will include: a. Those who have formal legal rights to land or other assets; b. Those who initially do not have formal legal rights to land or other assets but have a claim to legal rights based upon the laws of the country; upon the possession of documents such as land tax receipts and residence certificates; or upon permission of local authorities to occupy or use the project affected plots; and c. Those who have no recognizable legal right or claim to the land they are occupying. Persons covered under (a) and (b) are provided compensation for the land they lose, and other assistance. Persons covered under (c) are provided resettlement assistance, in lieu of compensation for the land they occupy, and other assistance, as necessary, to achieve the objectives set out in this policy, if they occupy the project area prior to the Cut-Off Date of the project Cut-off date The cut-off-date means the date prior to which the occupation or use of any part of the project area makes residents or occupiers or users of the same eligible to be recognized as DPs. For this Project, the cut-off date is the date of IOL completion and it is 15 September

51 Project entitlement matrix The project entitlements developed and presented in the entitlement matrix below correspond to the impacts identified during the inventory of losses. Entitlements adopted are based on Government laws and decisions of the involved PPCs on land acquisition, resettlement and assistance, and WB guidelines on the involuntary resettlement s impact considerations. It should be noted that these entitlements may be enhanced, as necessary, following the conduct of DMS and consultation with DPs to ensure that losses are restored and peoples livelihood are stabilized or improved. 50

52 Table 29. Entitlement Matrix No. Type of Losses Scope of application Definition of entitled DPs Compensation Policy Implementation Issues 1 Temporary acquisition of productive land in the right-of-way (ROW) All DPs who have trees, crops, other assets in ROW DPs with/without land certificate included in the inventory or able to prove land occupancy prior to cut-off date - Cash compensation for affected trees at the replacement cost plus cost for cutting trees, crops at market price. Number of crop patterns to be compensated based on the duration of temporary acquisition of land. - No compensation for land - Rehabilitate land after the project construction. - Trees that have to be cut are regulated by Article 7 of the Government Decree 54/1999/ND-CP, July 8th, 1999 on the protection of the high voltage networks. - TSHPCo and local authorities determine and ensure that compensation for trees will be at the replacement cost and for crops at the market price. If a DP is requested to cut affected trees, PMBs will pay for this work. The DP has the right to use salvageable trees. - Full compensation at least 1 month before land clearance. Payment to DPs will be delivered by TSHPCo and District Resettlement Committees (DRCs). - Affected land in ROW will be rehabilitated by contractors after the project construction and land in ROW could be used with the restricted purposes. - Finance available for compensation and ensuring information disclosure/ dissemination to DPs and key stake holders. 2 Temporary acquisition of residential and garden land in ROW without house or structures in ROW All DPs with orchards or trees in ROW As above - Cash compensation for affected fruit trees and trees at replacement cost. - No compensation for land - Rehabilitate land after the project construction. - Article 5 of Decree 106/ND-CP of August 17, 2005 on the protection of the high voltage networks and Article 1 of Decree 81/2009/ND-CP of October 12, 2009 amending Decree 106 regulate the cutting of trees in the ROW. - TSHPCo and local authorities determine and ensure 51

53 No. Type of Losses Scope of application Definition of entitled DPs Compensation Policy Implementation Issues that compensation for trees will be at replacement cost. If a DP is requested to cut affected trees, TSHPCo will pay for this work. The DP has the right to use salvageable trees. - Full compensation to DPs at least 01 month before land clearance. Affected land in ROW will be rehabilitated by contractors after the project construction - Payment to DPs will be delivered by PMUs and DRCs - Finance available for compensation and well information disclose/ disseminate to DPs and key stake holders. 3 Temporary impact on residential and garden land. Partial house/building within ROW (area in ROW less than 10% of total area) and the demolished area does not impact to the remaining house/building. Residential land and garden land outside All DPs have house/ building and trees/ fruit trees in ROW As above House/ building: - DP can opt for : i) Remain their houses or building in ROW with the conditions regulated by Article 6 of Decree 106/ND-CP of August 17, 2005 on the protection of the high voltage networks and Article 1 of Decree 81/2009/ND-CP of October 12, 2009 amending Decree 106. Subsidy for fireproof materials and lightning arrestors for the existing house/building; or ii) Cash compensation for the directly affected rooms at the replacement cost and cost for - Article 6 of Decree 106/ND-CP of August 17, 2005 on the protection of the high voltage networks and Article 1 of Decree 81/2009/ND-CP of October 12, 2009 amending Decree 106 regulate which houses and buildings must be demolished and which can remain in the ROW. - TSHPCo and local authorities determine and ensure that compensation will be paid at the replacement cost, without deduction for salvageable materials. - DPs will demolish the impacted part/ room and reconstruct/or improve their houses themselves. - Full compensation for trees and fruit trees at least 01 52

54 No. Type of Losses Scope of application Definition of entitled DPs Compensation Policy Implementation Issues of ROW is sufficient for re-organizing (not less than 60 m2) demolishing an affected room. - No compensation for land. - Rehabilitate land after the project construction by contractors. Tree and fruit tree - Compensation for affected trees and fruit trees at the replacement cost. Allowances: - Subsistence allowance of 20 kg of rice equivalent per person per month for 24 months month before land clearance. If DP is requested for cutting affected trees, PC or project provinces will pay money for this work. DP has right for using salvageable trees. - Full entitlement payment to DPs impacted on house/building at least 03 months before land clearance. - Payment to DPs will be delivered by TSHPCo and DRCs - Land in ROW could be used with restricted purposes. - Finance available for compensation and information to be fully disclosed/ disseminated to DPs and all key stake holders. 4 Temporary impact on residential and or garden land. Impact more than 10% or less than 10% of total house/building area but the demolished area will impact to the remaining of house/structure. Land outside of ROW is sufficient for All DPs who have house/ building and trees/ fruit trees in ROW As above House/ building: - DP can opt for : i) Remain their houses or building in ROW with the conditions regulated by Article 6 of Decree 106/ND-CP of August 17, 2005 on the protection of the high voltage networks and Article 1 of Decree 81/2009/ND-CP of October 12, 2009 amending Decree 106. Subsidy for fireproof materials and lightning arrestors for the existing house/building; or ii) Cash compensation at replacement cost for full areas of impacted house/building and - Which house and building has to be demolished and which can remain is regulated by Article 6 of Decree 106/ND-CP of August 17, 2005 on the protection of the high voltage networks and Article 1 of Decree 81/2009/ND-CP of October 12, 2009 amending Decree Consultation for DP s options on to remain their house in ROW or to move out of ROW. - TSHPCo and local authorities determine and ensure that compensation will be replacement cost at the time of payment. 53

55 No. Type of Losses Scope of application Definition of entitled DPs Compensation Policy Implementation Issues reorganizing (not less than 60 m2). demolish DP s house in ROW. - No compensation for land. - Rehabilitate land after the project construction by contractors. Tree and fruit tree - Compensation for affected trees and fruit trees at the replacement cost. Allowances: - Subsistence allowance of 20 kg of rice equivalent per person per month in 24 months. - DPs will demolish the impacted areas and reconstruct/or improve their houses themselves. - Full compensation for trees and fruit trees to DPs at least 01 month before land clearance. If DP is requested for cutting affected trees, TSHPCo will pay money for this work. DP has right for using salvageable trees. - Full compensation payment for impacted house and allowances to DPs at least 03 months before land clearance. - Payment to DPs will be delivered by TSHPCo and DRCs - Cleared residential could be reused with other restricted purposes. - Finance available for compensation/ rehabilitation and well information disclose/ disseminate 5 Temporary impact on residential and or garden land in ROW. Full or partial house/building impacted and land outside of is not sufficient for reorganizing (less All DPs have house, building or trees, including fruit trees in ROW As above DPs can opt for one of the following: i) Remain in their houses or building in ROW with the conditions regulated by Article 6 of Decree 106/ND-CP of August 17, 2005 on the protection of the high voltage networks and Article 1 of Decree 81/2009/ND-CP of October 12, 2009 amending Decree 106. Subsidy allowance for fireproof materials and lightning - Article 6 of Decree 106/ND-CP of August 17, 2005 on the protection of the high voltage networks and Article 1 of Decree 81/2009/ND-CP of October 12, 2009 amending Decree 106 on the protection of the high voltage networks regulates which houses and buildings must be demolished and which can remain in the ROW. Article 6 of Decree 106 and Article 1 of Decree 81 regulates which trees must be removed. - Consultation on DPs options on remaining in their 54

56 No. Type of Losses Scope of application Definition of entitled DPs Compensation Policy Implementation Issues than 60 m2) arrestors for the existing house/building; or houses in ROW or move out of ROW ii) Cash compensation for the whole residential area which DP occupied (not only for the impacted areas) and properties associated with occupied land at replacement cost. Impacted land will be obtained by local authorities; or iii) Land for land with the same area which DP occupied and cash at replacement cost for the affected assets associated with land. Land occupied by DP will be obtained by local authorities. - Article 5 of Decree 106/ND-CP of August 17, 2005 on the protection of the high voltage networks and Article 1 of Decree 81/2009/ND- CP of October 12, 2009 amending Decree 106 regulates which trees may be retained in the ROW. Compensation for affected trees and fruit trees at the replacement cost. Allowances: - Transportation allowance for relocating DP of 3 million VND if moving within province and 5 million VND if moving outside province. - Supplemental allowance for HH not moving to a resettlement site of 1 million if remaining - TSHPCo and local authorities determine and ensure that compensation will be at replacement cost at the time of payment. - Replacement land, and resettlement sites development. - DPs receiving compensation will demolish the impacted house areas and reconstruct or improve their houses themselves. - Full compensation payment for trees and fruit trees to DPs at least 01 month before land clearance. If a DP is requested to cut affected trees, TSHPCo will pay for this work. The DP has the right to use salvageable trees. - Full compensation for impacted house and allowances to DPs at least 05 months before land clearance. - Payment to DPs will be delivered by TSHPCo and DRCs - Cleared residential areas could be used with other restricted purposes. - Finance/ land available for rehabilitation and restoration and ensure information disclosure/ dissemination to DPs and key stake holders. 55

57 No. Type of Losses Scope of application Definition of entitled DPs Compensation Policy Implementation Issues within province and 2 million if moving to another. - All relocating DPs shall, for a period of 24 months receive a cash allowance equal to 20 kg of rice per month for each family member, calculated at the average monthly price. - TSHPCo and local authorities will consult with DP who are eligible to restoration programs for their options and prepare proposal for restoration programs in the period of RAP implementation. - Production disruption allowance if DPs permanently lose business or more than 10% of their incomes of 3 million VND for one person and 2 million VND for every additional person of working age in HH. - Bonus/incentive for relocating in a timely manner: maximum 5 million VND/HH - Other relocation allowances for health care: 200,000 VND per DP; lighting: 10,000 VND per DP per month for six months; school books: 100,000 VND per pupil; and 1 million VND per person in HH if HH has poor family book, single elderly, disabled or seriously ill person. 6 Permanent All DPs As above acquisition of land for occupying land tower foundations, and properties substation and associated with access roads etc. land permanently For DP losing productive land: a. Land loss less than 10% of their total landholdings and remaining land is viable - Cash compensation for the lost area if the remaining plot is still economically - Consultation with DPs on their options for land compensation. - TSHPCo and local authorities determine and ensure that compensation will be at replacement cost at the time of payment. 56

58 No. Type of Losses Scope of application Definition of entitled DPs Compensation Policy Implementation Issues impacted by towers foundations, substation and access roads etc. viable. - Cash compensation for the whole impacted plot if the remaining plot is not economically viable. - Cash compensation for properties associated with land b. Land loss equal or more than 10% of their total landholdings or remaining land is not viable: DP can opt for the following: i) Land for land with the same area and productive of impacted area if the remaining plots are still economic viable and for the whole impacted plots if the remaining plots are not economically viable. - Replacement land, and resettlement sites development. - DPs receiving compensation will demolish the impacted areas and reconstruct/or improve their houses themselves. - Full compensation for trees and fruit trees to DPs at least 01 month before land clearance. If a DP is requested to cut affected trees, TSHPCo will pay for this work. The DP has the right to use salvageable trees. - Full compensation for impacted house and allowances to DPs at least 05 months before land clearance. - Compensation and reorganizing houses or relocation must be complete before starting civil works. - Payment to DPs will be delivered by PCs and DRCs ii) Cash for land at the replacement cost. - Compensation for trees and affected fruit trees at the replacement cost. - Rehabilitation assistance c. Allowance - DPs, who are involved in agricultural production, will receive an allowance in cash as follows (i) equal to 30kg of - Finance/ land available for compensation/ rehabilitation and ensure information disclosure/ dissemination. - TSHPCos and local authorities will consult with DPs who are eligible for restoration on their options and prepare proposal for restoration programs in the period of RAP implementation. - DPs will be granted Land Use Right Certificate 57

59 No. Type of Losses Scope of application Definition of entitled DPs Compensation Policy Implementation Issues rice/person/month for a period of 6 months if DPs lose between 10% and 70% of their agricultural land holdings; (ii) equal to 30kg of rice/person/month for a period of 12 months if DPs lose greater than 70% of agricultural land holdings. without payment of administrative fees. - Support to job transfer and employment creation: DPs, who are involved in agricultural production and do not receive land for land compensation for their agricultural land acquired by the project, will be entitled to cash allowance equal to 1.5 to 5.0 times the agricultural land price for the acquired area of agricultural land in addition to the cash compensation at replacement cost. The land area which is eligible for allowance shall not exceed the limit of agricultural land allocation permitted in the province. The Provincial People s Committee stipulates the allowance rate suitable for local conditions. For DP losing Residential and garden land: - If remaining land is sufficient for reorganizing (not less than 60 m2): Cash compensation for lost area and assets associated with land. - If remaining land is not sufficient for 58

60 No. Type of Losses Scope of application Definition of entitled DPs Compensation Policy Implementation Issues reorganizing: DP can opt for i) cash compensation at replacement cost for land and assets on land, or ii) land for land compensation for the whole residential area which DP occupied (not only for the impacted areas) and properties associated with occupied land. For affected house and building, the same entitlement to DP of categories 3 or 4 or 5. 7 DP impacted on business or other services All DPs impacted on business and other services -do- (a) Temporary impact on business or other services. Compensation for income lost in the affected time (b) Permanent impact on business or other services. - Full compensation for incomes lost to DPs at least 01 month before land clearance. - TSHPCo and local authorities will consult with DP who are eligible to rehabilitation for their options and prepare proposal for rehabilitation programs in the period of RP implementation. Rehabilitation assistance. 8 Public structures Temporary impacts All impacted institutional DPs (who directly manage and operate such All impacted institutional DPs shall be approached in advance for cooperation in Alternative measures to maintain the normal functioning of the public works (i.e. roads, water supply, drainage systems, telephone lines etc.) Reinstatement after project construction. Contract(s) with Contractor(s) should include one article on this specific responsibility of the contractor(s): approach the institutional DPs for cooperation; 59

61 No. Type of Losses Scope of application Definition of entitled DPs Compensation Policy Implementation Issues impacted public works systems) impact mitigation measures as well as measures for maintaining the normal functioning of their impacted systems by the Contractor(s) All expenses on alternative measures to maintain the normal functioning of the impacted systems shall be borne by Contractor(s). arrange and pay for the expenses of the alternative measures to maintain the normal functioning of the impacted systems to the satisfaction of the institutional DPs. Permanent impacts - do - - do - Alternative measures to maintain the normal functioning of the public works (i.e. roads, water supply, drainage systems, telephone lines etc.) All expenses on alternative measures to maintain the normal functioning of the impacted systems shall be borne by Contractor(s). - do complete the works for alter native solutions prior to the commencement of the project works. 9 Permanent impacts on rented houses All DPs impacted on their leased houses for residential purposes DPs with house lease contract Tenants who have leased a house for residential purposes will be provided with a cash grant of six months rental fee at the prevailing market rate in the area. TSHPCo and local authorities will assist them in identifying alternative accommodation. 60

62 6.2. Support and income restoration Support Policy Experience shows that, unless mitigated, involuntary resettlement resulting from development projects often gives rise to severe economic, social, and environmental problems: production systems are dismantled; people face impoverishment when their affected productive assets or income sources are not replaced. In addition, there are people who on account of their position in society and/or their physical and economic situation are less capable of re-establishing themselves than the others and, therefore, face greater risks of impoverishment. Assistances through different types of allowances and economic restoration plan is needed to be developed in order to make sure that the project affected person will not be worse off or otherwise improved their livelihood and living standards at new places. The Decree 69/2009/ND-CP has improved its provision of compensation and assistance to affected households, especially those who depend heavily on agricultural production as their main source of income. Results of the consultations with the stakeholders described in the Consultation and Participation Chapter show that most of the severely affected households wish to receive cash to restore livelihoods by themselves. Table 30. Preferences of the PAHs for compensation for productive land If agricultural land or other productive land is affected, which options for compensation the household will choose? No. Commune Land for land Compensation in cash Not yet decided Total HH % HH % HH % HH % 1 Hoa Binh Mai Chau Tong Dau % % % % Mai Chau Town % % % % Chieng Chau % % % % Mai Ha % % % % Van Mai % % % % Mai Hich % % % % 2 Thanh Hoa Quan Hoa Phu Thanh % % % % Total % % % % Source: Survey Data The percent of PAHs wish to receive compensation in cash for their losses are approximately 100%. Only a small number of PAHs have not decided, mainly in Mai Chau Town with 18.2% of the PAHs said that 61

63 they had not selected either cash compensation or land-for-land compensation. Only 3.8% of the surveyed opted to land-for-land compensation, mainly in Tong Dau Commune (9 households, accounting for 3.1%). People tend to use their compensation money on repairing or building new houses, with more than a half of the households indicated that in the survey (55.2%). Details of households who plan to use compensation as a make up for their affected livelihoods are as follows: - Investing in agricultural activities or livestock husbandry: 18.7%; - Investing in their children s study: 12.1%; - Depositing to the bank: 5.5% - Buying land: 3.8% - Investing in small business: 3.4% Concerning the income restoration activities, the PAHs give their plans focusing on some activities to find alternative income sources to replace their affected ones as follows: % plans to buy new land to re-establish production; % will open small shops; % will find new jobs; - 5.8% will shift to business and services sector; - 4.7% will be engaged in handicraft; and - 2.3% will re-establish their businesses after the temporary impacts caused by the project are over. (See the table below for more details) 62

64 Table 31. Plan for using compensation cash of the surveyed PAHs How is the household going to use the compensation? No. Commune Build/ repair house Buy new land Buy new utensils Invest in small business Bank deposit Spend on children s study Invest in cultivation/ livestock husbandry Others Total HH % HH % HH % HH % HH % HH % HH % HH % HH % 1 Hoa Binh Mai Chau Tong Dau % % % % % % % % % Mai Chau Town % % % % % % % % % Chieng Chau % % % % % % % % % Mai Ha % % % % % % % % % Van Mai % % % % % % % % % Mai Hich % % % % % % % % % 2 Thanh Hoa Quan Hoa Phu Thanh % % % % % % % % 4 100% Total

65 Table 32. Plans of the surveyed PAHs for alternative income sources What is the household s plan to replace production activity/income source from agricultural land and/or restore affected business? No. Commune Buy new agricultural land for production activities Re-establish business in the new place Business Open small shops Handicraft Find new jobs Others Total HH % HH % HH % HH % HH % HH % HH % HH % 1 Hoa Binh Mai Chau Tong Dau % % % % % % % % Mai Chau Town % % % % % % % % Chieng Chau % % % % % % % % Mai Ha % % % % % % % % Van Mai % % % % % % % % Mai Hich % % % % % % % % 2 Thanh Hoa Quan Hoa Phu Thanh % % % % % % % % Total % % % % % % % % 64

66 The following assistances will be provided for the PAPs to ensure that they can restore their income affected partly by the project implementation: (a) DPs losing agricultural/productive land and crops: i. if the portion of the land to be lost represents 10% or less of the total area of the landholding, and the remaining land is still a viable economic holding, cash compensation, at full replacement cost for the acquired area may be provided to the DP. ii. if the portion of the land to be lost is more than 10% of the total area of the landholding or the remaining holding is not viable then the project will acquire the entire landholding and provide "land for land" arrangements of equal productive capacity, satisfactory to the DP. However, if the DP prefers to receive cash instead of land, then cash compensation at replacement cost is applied. iii. DPs will be compensated for the loss of standing crops at market price; productive trees will be compensated at replacement cost. iv. DPs whose land is temporarily taken by the works under the project will be compensated for their loss of income, standing crops and for the cost of soil restoration and damaged infrastructure. Land will be rehabilitated after the project construction by NPPMB or TSHPMB as the case may be. (b) DPs will also be provided compensation at full replacement cost, without deduction for depreciation and salvage materials for any other fixed assets affected in part or in total by the project, such as tombs and water wells, etc. In cases where community infrastructure such as schools, factories, water sources, roads, sewage systems is damaged, NPPMB or TSHPMB will ensure that these would be restored or repaired as the case may be, at no cost to the community. Besides the direct compensation for the losses, DPs will also be entitled to additional assistance (subsidies/allowances) as below: Livelihood Allowance DPs, who are involved in agricultural production, will receive an allowance in cash as follows (i) equal to 30kg of rice/person/month for a period of 6 months if DPs lose between 10% and 70% of their agricultural land holdings; (ii) equal to 30kg of rice/person/month for a period of 12 months if DPs lose greater than 70% of agricultural land holdings. Production disruption allowance DPs, who are permanently affected by losing more than 10% of productive land or incomes, or have to relocate will be entitled to training or other economic restoration programs at 3,000,000 VND for one person and a further 2 million VND for every additional person in the household. Support to job transfer and employment creation DPs, who are involved in agricultural production and do not receive land for land compensation for their agricultural land acquired by the project, will be entitled to cash allowance equal to 1.5 to 5.0 times the agricultural land price for the acquired area of agricultural land in addition to the cash compensation at replacement cost. The land area which is eligible for allowance shall not exceed the limit of agricultural land allocation permitted in the province. The Provincial People s Committee stipulates the allowance rate suitable for local conditions. 65

67 However, the consultation results show that the PAPs wish to receive assistances in cultivation and livestock husbandry activities, job conversion and access to loans. Based on result of consultation with local authorities, various organizations and affected households, the subproject construction did not impact greatly on PAHs livelihood sources, including EM ones. However, impacts on income sources and ability to restore income of people need to be monitored strictly. Independent monitoring unit and internal monitoring activities need to review and observe these impacts. In cases adverse impacts, identified as resulted from construction of subproject, affect PAHs living standard, the following activities/programs are listed below are considered as the subproject s livelihood restoration program: Prioritize employment for qualified persons of both genders during the construction and operation of the Project. Cooperate with local authorities to implement vocational training and provide non-agricultural jobs to PAHs. These programs should be discussed between Trung Son HPP and the local authorities in order to prioritize PAHs among currently implementing vocational training activities according to Decision No of Prime Minister on approval of Vocational training project for rural labour until Maximize the number of the affected households to the loans which available in the localities as Decision No. 52/2012/QD-TTg on policy supporting and resolving jobs and vocational training for labours who are acquired agricultural land. As it is a component of Trung Son Hydropower Project, these technical assistances activities should focus on the severely affected households of the subproject and be closely supervised by the livelihood consulting expert as well as officials from the environmental and social group. During the implementation period, if any potentially adverse impact that may worse the existing impacts on the PAHs is identified, the livelihood activities should be in place for these households in accordance with the income restoration program framework of Trung Son Hydropower Project. 66

68 CHAPTER VII ETHNIC MINORITY DEVELOPMENT PLAN AND GENDER STRATEGY The subproject construction impacts on 288 households, including 249 EM households of which majority are Thai people community. The project impacts on permanent as well as temporary land acquisition and this only affect slightly the people s livelihood. During design process, mitigation methods to avoid maximum impacts on production land (especially the people s rice crop land) were implemented via choosing one best solution for the line, including choosing conductor and route which traverses residential areas the least; therefore, impacts on houses and residential land of people as well as relocation of their houses were mitigated to the greatest extent. The construction of 35kV line and Mai Chau 110kV substation does not bring direct benefits to PAP due to not providing electricity for living or develop production directly. Positive impacts of the project are provision of electricity for main construction which causes long-term increasing impacts in general promotion of regional and national GDP. In order to mitigate adverse impacts of the subproject construction on EM PAPs, a legal framework for EM of the project was built and approved in October According to the regulation, an EMDP need to be built for the project. As the DPs of the Project belong to the ethnic minority communities, resettlement activities described above are also a part of the Ethnic Minority Development Plan. Negative impacts of land acquisition, impacts on livelihood, environment as well as the project scale were presented in consultation meeting with PAP and EM PAP, of which nearly 100% of representatives of PAHs participating. In-depth interviews with village and family leaders as well as prestigious people in Thai community were conducted in the communes. Responses from the consultation and in-depth interviews focus on following main ideas: Completely in support the project construction; The project causes minor impacts, does not affect the community structure, livelihood as well as worship places and sacred land area of Thai ethnic community; Compensation and support in cash, directly payment for PAHs; The compensation and support should be conducted once and the compensation activities should be informed soon to people as planned; The information dissemination activities can use Vietnamese because people mostly can read, write, listen and communicate directly by Vietnamese. So as to ensure mitigation of impacts on land acquisition and negative impacts of the project construction on EM community as well as compliance with EM cultural customs, following content will be observed: The project will not agree to land acquisition from ethnic minority peoples if they have not provided their broad support; Affected ethnic minorities participate in the preparation of any land acquisition; If directly affected by a project, ethnic minorities are entitled to compensation for all lost land and affected assets, incomes and businesses at replacement costs and provided with rehabilitation measures sufficient to assist them to improve or at least maintain their pre-project living standards, incomes and productive capacity; Lack of legal rights to assets and access lost or adversely affected will not bar them from entitlement to such compensation and rehabilitation measures; Compensation for ethnic minorities, female headed-households, families with the disabled or elderly will be carried out with respect for their cultural values and specific needs. 67

69 Besides, the EMDP and Gender Strategy added a number of specific activities to ensure the project benefits for EMs and women in the project. The following activities will be done: Consultation meeting on resettlement activities will be held separately with women, female headed households and elderly women; The district compensation committees will include representatives from district and commune Women s Union and women from affected households; At the inception of the project, a capacity building training program on resettlement activities will be designed for the women and men commune officials, and women and men from affected households to orient them about resettlement activities. Participation of poor women, female headed households and ethnic in the training will be ensured; The training will also include representatives from the Project Management Board, respective line agencies and representatives from commune Women s Union, Youth Union involved in resettlement committees; The training will include information on resettlement activities, compensation, management of compensation money, grievance procedures and impact of the project on livelihood activities related to loss of agricultural produce, and other productive assets. The objective of the training is to provide affected communities with understanding of resettlement issues and better access to compensation resources and information on grievance procedures; ensure participation of women/ EM women in training activity; During the conduct of the DMS in the RAP implementation phase, men and women from PAHs will participate in the said activity; Livelihood activities will be planned with active involvement of women; need assessment for livelihood activities and skill development of livelihood activities will be conducted separately for women members, poor women, female-headed households, elderly women, ethnic minority women; Compensation payment and cash assistance will be given to both men and women from the households; Specific attention will be provided for the poor women headed households, elderly women in paying the compensation on time and developing suitable livelihood activities for elderly and poor female headed households; Joint registration of land rights in the names of husband and wife and female headed households will be issued in instances where land is acquired; Special measures will be taken in the relocation of elderly, disabled and female headed households. Special support will be added. Disaggregated monitoring indicators by gender will be developed for monitoring of Social benefits, economic opportunities, livelihood program, and resettlement activities. 68

70 8.1 Implementation arrangement CHAPTER VIII IMPLEMENTATION ARRANGEMENTS The institutional arrangement for the preparation and implementation of RAP is clearly guided by Chapter VI of the Decree 197/2004-ND-CP and Chapter V of the Decree 84/2007-ND-CP. The responsibilities of key parties are described in Decree 197/2004; 184/2007 and in the decisions on land acquisition of Thanh Hoa and Hoa Binh Provincial People s Committees. The below description is just to summarize on the responsibilities of the key relevant parties PC at different levels PPC will have following responsibilities: a. Generate awareness on the project development to all relevant institutions and various administrative levels. b. Direct their relevant departments such as Departments of finance, construction, agriculture and rural development, transport and environment and natural resources to help in the implementation of the RAP. c. Approve the general compensation and resettlement plan and entitlement for each affected HH and overall budget in the RAP. d. Aware of and resolve unsolved complaints at lower levels. District PC will have following responsibilities: a. Guide, organize, inform and mobilize organizations and individuals regarding compensation, support, and resettlement and site clearance in accordance with relating policies; b. Guide District Compensation, Support and Resettlement Board to organize the implementation of compensation, support and resettlement plan as well as EMDP. Approve the compensation, support and resettlement plan when PPC assigns. c. Cooperate with departments, organizations, agents and project owners to conduct the project and implement RP and EMDP as authorized by PPC; and d. Redress grievances of PAP in terms of compensation, support and resettlement; and e. Cooperate with other departments relating to the implementation of site clearance, resettlement and EMDP Trung Son Hydropower Company Limited (TSHPCo) The TSHPCo will have the following key responsibilities related to compensation, assistance and resettlement: a. Preparing, updating and implementing RP, EMDP and collaboration with the People s Committees at various levels in implementation of the plans. b. Develop and implement a training program on the capacity building for the Affected People s Committees and Mai Chau, Quan Hoa District Compensation and Resettlement Boards and related groups regarding the RAP implementation. 69

71 c. Secure the budget for preparation and implementation of the RAP, ensure that funds for compensation, assistance and resettlement are available and in a timely manner. d. Coordinate with the Thanh Hoa and Hoa Binh PPCs to direct their relevant departments and various levels of authorities in implementing the project and RAP. e. Arrange for grievance officers and monitor/track/report on grievances related to the Project. f. Conduct internal monitoring of RAP, updating, implementation and evaluation and ensure that resettlement-related activities are carried out in accordance with the RAP approved by WB and GOV. g. Oversee the disclosure of resettlement related documents and consultation with DPs and key stakeholders h. Prepare quarterly progress reports on the, preparation, updating and implementation of RAP to EVN and WB. i. Coordinate with External Resettlement Monitoring Agency District Compensation, Assistance and Resettlement Board The District Compensation and Resettlement Board will be headed by the Vice-Chairman of DPC, and will include the heads of the Finance Department, the Natural Resources and Environment Department, and the Agriculture Department. In addition, representatives of the district Fatherland Front, Farmers Associations, Women s Union and representatives of the DPs (including women DPs) will also be invited to the District Compensation and Resettlement Board. The main responsibilities of the District Compensation and Resettlement Board are as follows: a. Assist the DPCs in the dissemination of information on the RAP; b. Organize, plan and carry out land recovery, compensation, assistance and other resettlement activities in the district on behalf of the DPC as per agreed RAP c. Submit compensation plans to DPC for its review d. Conduct consultation and participation activities, income restoration program, and coordination with various stakeholders in implementing RAP and EMDP. e. Supervise the payment of compensation and allowances, subsidies to DPs. Ensure the timely delivery of payments of compensation, assistance and other entitlements to DPs; and f. Assist the DPC in the resolution of grievances at the district level Commune People s Committee The Affected commune authorities are responsible for its compensation, assistance and resettlement tasks. Specifically, they will be responsible for the following: a. Handle the day-to-day preparation, updating, and implementation of the RAP b. Form the commune working teams and direct their functions, assign officials to assist the District Compensation and Resettlement Board in conducting DMS, preparing dossiers of land recovery for the project, preparation and implementation of resettlement activities; c. Identify the possibility of the replacement land for eligible DPs and propose for income restoration programs suitable to conditions of people and locality; 70

72 d. Sign the DMS forms, certify legal papers or history of land use, land transfer for DPs to fulfill the requirements for preparing compensation plans for them; e. Settle the complaint and grievances at the first level as required by the laws; f. Actively participate in all land recovery, compensation payment, assistance and resettlement activities and concerns Grievance redress mechanism A well-defined grievance redress and resolution mechanism will be established to address DP grievances and complaints regarding land acquisition, compensation and resettlement in a timely and satisfactory manner. All DPs will be made fully aware of their rights, and the detailed procedures for filing grievances and an appeal process will be publicized through an effective public information campaign. The grievance redress mechanism and appeal procedures will also be explained in the PIB that will be distributed to all DPs. DPs are entitled to file 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. DP complaints can be made verbally or in written form. In the case of verbal complaints, the committee hearing the complaint will be responsible to make a written record during the first meeting with the DP. Complaint and settlement of the complaint are guided as in Article 138 of Land law (2003), Articles 162, 163 and 174 of Decree 181/2004/ND-CP instructing on the land law implementation, Articles 63, 64 of Decree 84/2004 and Decree 136/2006/ND-CP on the Complaint. Based on the above, four-stage procedure for redress of grievances is proposed as follows: Step 1: If any individual complains about any sides of the resettlement and livelihood program, he can complain in verbal or written with the commune authority. CPC will deal with complaints in 15 days since receiving them. Step 2: If the claimant does not satisfy with the decision in step 1, he can file a claim District People s Committee within 15 days since receiving it. District People s Committee will make a decision in 15 days. Step 3: If the claimant sill does not satisfy with decision at district level, he can file the claim Province People s Committee within 15 days since receiving the decision of District People s Committee. Province People s Committee will make a decision within 15 days. Step 4: If the claimant sill does not satisfy with decision of Province People s Committee, the complaints will be sent to District Court in 15 days since the decision of Province People s Committee was delivered. District Court will make a decision within 15 days. The external monitoring agency will be responsible for checking the procedures for and resolutions of grievances and complaints. The said EMA may recommend further measures to be taken to redress unresolved grievances Monitoring and evaluation TSHPMB will conduct periodical monitoring RP implementation, with close cooperation with correspondent PC at various administrative unit levels and independent monitoring units. Findings will be included in monthly report sent to EVN. 71

73 Internal monitoring will (a) Verify that primary information of DP were implemented and valuation of lost or damaged properties as well as provision of compensation, benefits of resettlement and life restoration will be conducted in compliance with TOR of the policy framework and RP. (b) Monitor whether RP is conducted in accordance with design and approval. (c) Verify if budget for RP implementation is provided timely and sufficiently to achieve those objectives and the budget is used in compliance with TOR in RP and the policy framework, (d) Archive all grievances and grievance redress as well as make sure these grievances are redressed in time, Independent monitoring Due to the impact of the construction of the substation and 35 kv power line does not affect many households and the maximum execution time line is 09 months, beginning in January So, the proposed internal monitoring group of TSHPCo will perform the functions and tasks of independent social monitoring for this item. Besides verification of information provided in monitoring reports and internal monitoring of respondent PC, independent monitoring unit will visit about 10% of DP households along the electric line twice a year, which starts before the civil construction implementation and continues until all RP s necessary activities are conducted sufficiently. All of the consultants or external monitoring units will: (a) Verify whether procedure of DP s participation and compensation as well as benefits regarding other restoration are implemented in compliance with RP or not; and (b) Evaluate whether objectives of the Policy Framework, which are to increase or at least restore living standard and income of DP, are achieved or not. (c) Collect quantitative indicators regarding socio-economic impacts of the project implementation on DPs. (d) Propose amendment during implementation of the subprojects, depending on each case, in order to achieve principles and objectives of the RP Implementation of Resettlement Plan Implementation process The implementation process of the subprojects, depending on cases, in order to meet the objectives and principles of the subprojects is summarized as follows: (a) Determine boundary of the project s site clearance: After receiving Decision of District PC and District Compensation and Resettlement Board on land acquisition and hand over to TS HPP to conduct the project, PMU will cooperate with District Compensation Council and CPCs to determine the subproject s site clearance boundary and verify it in the field site, hand over site to conduct compensation, support and resettlement for PAP in order to do site clearance for the project. District Compensation Council and CPC related to the project will assign professional staffs who are members of District Compensation and Resettlement Board to participate in this activity. (b) Training for resettlement staffs: TSHPCo will prepare and conduct a training program on RP implementation. The training will include at least the objectives of RP, EMDP, agents responsibilities in updating and implementing RP, EMDP and resolving/being aware of/reporting claims and grievances, 72

74 consultation/participation of PAP, gender issues and strategy, internal monitoring and report. Target objects of the training program include representatives from PACs. (c) Information campaign before inventory and DMS: According to Decree No. 181/2004/ND-CP, before land acquisition, during 90 days for agricultural land and 180 days for non-agricultural land, District Compensation and Resettlement Board need to inform via document to owner of acquired land about reason of land acquisition, time and relocation plan, compensation, site clearance and resettlement options. Before conducting inventory and DMS, TS HPP cooperates with local district and communal authorities to disclose the project information to people in the project area. The information will be broadcasted via local loudspeaker system and other media means of communication such as radio, newspaper, TV, and project information flyers which are distributed to the households are posted publicly at the public areas. Oriented meetings will be held at PACs to inform the community impacts on: The project scale; Impacts; Policies and benefits responding types of impacts; Schedule; Stakeholders responsibilities; Grievance redress unit; The project handbook (pictures or books) related to the project implementation will be prepared and distributed to all PACs during the meetings. (d) Detailed Measurement Survey (DMS) will be conducted after detailed design is available. These surveys will form a basis to make compensation plan and RP. (e) Making compensation plan: District compensation and resettlement council has responsibility to apply price and prepare compensation tables for each of PACs. These tables will be evaluated by District PC regarding prices, amount of affected properties and benefits of PAP, etc before informing and posting at CPC for people considering and giving opinions. All of the compensation, support and resettlement plans need to be checked and signed by PAP. (f) Cooperation in preparing and implementing income restoration methods: TSHPP cooperate with District PC, Compensation and Resettlement Council as well as related departments to prepare training courses for severely and vulnerable PAHs who have demand on vocational training. These courses will be provided by decision 1956 and 52 of Prime Minister on provision of free training to people who are acquired agricultural land. (g) RP implementation: Compensation and support will be paid directly to PAP with the witness of representative of PAC authorities and PAHs. (h) Implementation notice: is only issued by TS HPP for civil construction and installation contracts to conduct construction activities when authority of District Compensation and Resettlement Board officially approves via document that (i) payment for PAP is conducted and restoration methods are prepared in accordance with approving RP and the Policy Framework; (ii) PAP are compensated for the affected area; and (iii) land which needs to be acquired is done the site clearance and handed over. (i) Monitoring: Internal monitoring and external monitoring will be conducted from the preparation to the implementation of RP. The grievances will be redressed via a mechanism established for the project. A post-project survey will be made by Internal Monitoring Unit during 6 or 12 months after the compensation and resettlement activities. (k) Ethnic Minority Development Plan The Ethnic Minority Development Plan will be implemented in parallel with the compensation process for the DPs. 73

75 Schedule The schedule for preparing and implementing Resettlement Action Plan and Ethnic Minority Development Plan is presented in the Table 34 below: Table 33: Resettlement Action Plan and Ethnic Minority Development Plan preparation and implementation schedule Activity Starting Time Responsibility of 1. Preparation 1.1. Drafts of RP and EMDP will be submitted to WB for consideration and feedback 1.2. Public RP, EMDP to affected district and communes 2. Implementation End of Nov 2012 Jan 2013 TS HPCo TS HPCo 2.1. Information campaign Before DMS District Compensation Council and TS HPCo 2.2. DMS Dec 2012 Jan 2013 District Compensation Council, PAC PC and PAP 2.3. Preparation of Compensation plan Jan 2013 District Compensation Council 2.4. Authorities review and approve Compensation plan 2.5. Disclosure of approving compensation plans to PAHs 2.6. Compensation and support payment for PAHs 2.7. Handing over land and properties to PMU and starting the construction 2.8. Complaints/ Grievances and redressing them Feb 2013 Feb 2013 The end of Feb 2013 The beginning of Mar 2013 Anytime when there are complaints/ grievances since starting DMS District PC and TS HPP District Compensation Council and CPCs District Compensation Council and TS HPCo PAHs District PC and TS HPCo 2.9. Monitoring and Evaluation Dec 2012 end of May 2013 Internal and external monitoring 74

76 CHAPTER IX BUDGET ESTIMATE The affected households will be compensated based on the replacement costs and market prices and will be assisted to restore or to improve their living standards as a policy of the Government on land acquisition, assistance and Resettlement. Table 34: Cost estimate for compensation, assistance and resettlement No. Category Compensation for land Compensation for crops Assistances Total cost (VND) A Compensation for households 713,662,050 3,701,139,330 2,572,800,200 6,987,601,580 I Hoa Binh Province 712,384,050 3,700,883,730 2,568,966,200 6,982,233,980 1 Mai Chau District 712,384,050 3,700,883,730 2,568,966,200 6,982,233, Tong Dau Commune 614,935,800 33,181,620 1,991,095,200 2,639,212, Mai Chau Town 10,350, ,340 28,663,200 39,571, Chieng Chau Commune 17,650, ,425 48,879,000 67,480, Mai Ha Commune 13,160, ,515 75,512,200 89,510, Van Mai Commune 56,285,950 2,876,856, ,616,600 3,329,759, Mai Hich Commune - 788,500,000 28,200, ,700,000 II Thanh Hoa Province 1,278, ,600 3,834,000 5,367,600 1 Quan Hoa District 1,278, ,600 3,834,000 5,367, Phu Thanh Commune 1,278, ,600 3,834,000 5,367,600 B Fund for operation and implementation 348,482,228 Total (A+B) 7,132,721,212 75

77 APPENDIX Appendix 1: Inventory of Losses Questionnaire Power line Component Trung Son Hydropower Project Questionnaire code: / / ; Survey date: / /2012 A-BACKGROUND INFO 1. Name of head of household:... Age.. Gender: [ ] (Male=1; female=2) a) Ethnicity: [ ] (1=Kinh; 2=Thai; 3=Tay; 4=Nung; 5= Muong; 6=Tho; 7=Others) b) Education Level: [ ] (1=Illiterate; 2=Primary school; 3=Secondary school; 4= Yet graduated from high school; 5=High school; 6=Vocational training; 7=University and post graduate; 8=Others) c) Main occupation: [ ] (1= Agriculture; 2=Livestock husbandry; 3=Selling goods; 4=Restaurant ; 5=Factory worker; 6=official; 7=private company; 8=transportation; 9=driver 10= receive domestic economic support; 11=receive economic support from abroad ; 12=housewife; 13=Others d) Secondary jobs: [ ] (1=Livestock husbandry; 2=perennial crops; 3=aquaculture; 4=handicraft; 5=forestry; 6=small business; 7=mechanic) 2. Home address: Village:...Commune:...District...Province Vulnerable group: [ ] (Woman headed=1; Ethnic minority=2; Disabled=3; Poor household=4; Social policy household=5) B. SOCIO-ECONOMIC SURVEY 4. Household component (including head of household) Relation Gen to the der househol d head No Name 1=M ale 2=F emal e 0=head 1=Husban d/wife 2=Father/ mother 3=Son/da ughter 4=Son-inlaw/ Daughterin-law 5=Grand child 6=Niece/ nephew Age Ethnici ty 1=Kinh 2=Thai 3=Tay 4=Nung 5=Muo ng 6=Tho 7=Othe rs Main Occupation 1= Agriculture; 2=Livestock husbandry; 3=Selling goods; 4=Restaurant ; 5=Factory worker; 6=official; 7=private company; 8=transportation; 9=driver 10= receive domestic economic support; 11=receive economic support from abroad ; 12=housewife; 13=Others Education level (7 and above) 0=Illiterate 1=Primary school 2=Secondary school 3=Yet graduated from high school 4=High school 5=Vocational training 6=University 7=Others 76

78 5. Annual household income:. VND Main household income sources are from: 1) Agricultural production activities Amount VND 2) Business Amount VND 3) Salary Amount VND 4) Other sources (for example, overseas remittances) Amount VND 6. Water use: water sources for domestic use (tick the corresponding bracket) 1) Dug well [ ] 2) Village well [ ] 3) Tap water [ ] 4) Rain water [ ] 5) River, stream, pond, lake [ ] 6) Buy water [ ] 7) Creek [ ] 8) Others [ ] 7. Common diseases among the community (specify) 1. Catch a cold [ ] 2. Dysentery [ ] 3. Influenza [ ] 4. Hepatitis [ ] 5) Respiratory diseases [ ] 6) Intoxicated [ ] 7) Malaria [ ] 8) Others [ ] 9) Cholera [ ] 10) No answer [ ] 8. Main energy for lighting for household? 1) Grid electricity [ ] 2) Power [ ] generator/hydropower 3) Battery [ ] 4) Kerosene lamp [ ] 5) Wood/coal [ ] 6) Others [ ] 9. Main energy for cooking of the household? (Can select more than 1) 1) Electricity [ ] 2) Biogas [ ] 3) Power generator [ ] 4) Others [ ] 5) Gas/oil [ ] 6) No answer [ ] 7) Wood [ ] 10. Has the living condition of the household changed during the last 3 years? 1) Remain the same [ ]; Reason 2) Better [ ]; Reason: 3) Worse [ ]; Reason: C. INVENTORY OF LOSSES 1. Land use situation of the household (affected land is in the scope of acquisition for the project) Types of land Impact degree Land tenure Legal title Impacts caused by 1= Residential land 2=Land for growing rice 3=Garden land 4=Aquaculture land 5=Forestry land 6=Non-agricultural land 7=Others Land within and beyond the project area (m 2 ) Total area of affected land (m2) (1) Partial ly affect ed (2) Fully affect ed 1=Owner 2=Lease 1=LURC 2=Without LURC but are eligible for granting LURC 3= Ineligible for granting LURC 4= Land is in the planning area of the state 5=Long-term lease of government land 6=Lease of private land 1= Transmission line 2= Station 77

79 Plot 1 Plot 2 Plot 3 Plot 4 Plot 5 Plot 6 Plot 7 Plot 8 Total Within Beyond 2. Affected houses Types of houses Legal title Impact degree Project area 1. Villa 2. Grade1 3. Grade 2 4. Grade 3 5. Grade 4 6. Temporary 7. Shop separated from house Total floor area (m 2 ) 1. With certificate 2. Without certificate 3. Build on agricultural land 4. Rented house Affected floor area (m 2 ) (Partially affected= 1; Fully affected= 2) 1= Main canal 2= Northern Canal 3= Southern Canal 4=Managem ent house 5=Borrow pit 6=Disposal area 7=Others Notes (if there is home business, except for No. 7) NB: A household can be impacted on several houses, thus it is necessary to fill full information of all affected houses. 3. Information related to houses out of the project area (if any): - No. of houses: [ ] - Area of houses out of the project area (m 2 ):. m 2 4. Other affected structures and facilities (List auxiliary structures separated from affected houses listed above and facilities) Structures/ Facilities Types of structures Unit Quantity Location 1= Transmission line 2= Station 1. Kitchen separated from the main house 2. Livestock sheds 1. Temporary 2. Equal to grade 4 house 1. Temporary 2. Equal to grade 4 house 3. Electricity meter Electrici ty meter 4. Water meter and estimate Water m2 m2 78

80 of water pipeline length 5. Telephone 6. Fence 7. Gate 8. Latrine, bathroom (separated from the main house) 9. Earth grave a) In cemetery b) Individual 10. Built grave 1. Brick 2. Steel, wire or wood 1. Brick 2. Iron, steel 2. Wood, Bamboo 1. Brick, concrete 2. Bamboo, thatch meter Fence m 2 m2 Grave 11. Well 1Drilled 2. Dug m 1. Brick/ concrete 12. Water container 2. Inox m 3 3. Plastic 13. Yard (only cement or tiled) m Fish pond (excavated amount) 15. Others (Name and affected area) m 3 5. Affected trees and crops (Only list affected perennial crops and fruit trees) Trees and crops Name Unit Amount Location 1= Transmission line 2= Station a) Fruit tree (main) Tree 1) Pomelo 2) 3) 4) 5) b) Timber tree (main) Tree 1) 2) 3) 4) 5) c) Pot plant (main) 79

81 d) Crops (main) Tree 1) Maize 2) Potato 3) Earthnut 4) Bean 5) e) Surface water area for aquaculture m2 D. CONSULTATION 6. Only for households losing productive and agricultural land If agricultural or other productive lands are affected (acquired), which compensation option does your family chooses? a) Land-for-land (if land fund in the commune is available) with equal type of land and area/nature [ ] b) Compensation in cash [ ] c) Not yet decided [ ] 7. Only for households losing residential land Is the remaining residential land area out of the project area enough for the household to rebuild house? 1- Yes [ ] 2- No [ ] 8. Only for households losing residential land If the remaining residential land area is not viable to rebuild house (the remaining area is smaller than 40m2 in the urban area or 100m2 in the rural area), which relocation option does the household choose? a) Self relocate to another land plot of the household [ ] b) Self relocate to another place decided by the household [ ] c) Project s resettlement site [ ] d) Move to the resettlement site arranged by the local authorities [ ] e) Not yet decided [ ] 9. What is your plan to use compensation cash? a) Build or repair house [ ] b) Buy new land [ ] c) Buy other properties [ ] ; Specify d) Invest in small business [ ] e) Bank saving [ ] f) Spend on children s study [ ] g) Others [ ] Describe 10. At present does the family have plan to replace production/income from agricultural land and/or restore business? 1. No [ ] 2. Yes: [ ] 80

82 If yes, what is the plan: a) Buy new agricultural land for production [ ] b) Reestablish business in the new place [ ] c) Business [ ] d) Open small shop [ ] e) Handicraft [ ] f) Look for new job [ ] g) Others [ ] Describe Surveyor On behalf of the household 81

83 Appendix 2: LIST OF PARTICIPATED PEOPLE COMMUNITY LEVEL Or. Full Name Position Gender Male Female I 1 Cao Văn Nguyên Mai Hich commune 1 2 Đỗ Xuân Tình Mai Hich commune 1 3 Hà Minh Quyển Mai Hich commune 1 4 Hoàng Đức Dương Mai Hich commune 1 5 Lê Văn Hồng Mai Hich commune 1 6 Nguyễn Thị Nhân Mai Hich commune 2 7 Nguyễn Thị Nhẫn Mai Hich commune 2 8 Nguyễn Thị Quy Mai Hich commune 2 9 Nguyễn Thị Tuyết Mai Hich commune 2 10 Nguyễn Văn Chiến Mai Hich commune 1 11 Phạm Văn Đô Mai Hich commune 1 12 Phan Thị Huyền Mai Hich commune 2 13 Phùng Thị Minh Mai Hich commune 2 14 Trịnh Văn Đông Mai Hich commune 1 15 Tưởng Thị Luận Mai Hich commune 2 II 1 Hà Công Hợp Mai Chau town 1 2 Hà Công Lúc Mai Chau town 1 3 hà Công Tường Mai Chau town 1 4 Hà Công Yêu Mai Chau town 1 5 Hà Thị Nhương Mai Chau town 2 6 Hà Thị Yết Mai Chau town 2 7 Hà Văn Hiền Mai Chau town 1 8 Hà Văn Sơn Mai Chau town 1 9 Ke Văn Can Mai Chau town 1 10 Khà Thị Diệp Mai Chau town 2 11 Khà Thị Ngận Mai Chau town 2 12 Khà Thị Thảo Mai Chau town 2 13 Khà Thị Úm Mai Chau town 2 14 Khà Văn Oát Mai Chau town 1 15 Khà Văn Sừng Mai Chau town 1 16 Lò Thị Duyên Mai Chau town 2 17 Lò Thị Kiên Mai Chau town 2 18 Lục Thị Sùi Mai Chau town 2 19 Vì Văn Nhai Mai Chau town 1 III 1 Bùi Thị Thức Chieng Chau commune 2 Note 82

84 2 Hà Công Đang Chieng Chau commune 1 3 Hà Công Kho Chieng Chau commune 1 4 Hà Công Kỳ Chieng Chau commune 1 5 Hà Công Thương Chieng Chau commune 1 6 Hà Công Tui Chieng Chau commune 1 7 Hà Công Ưởng Chieng Chau commune 1 8 Hà Thị Khơi Chieng Chau commune 2 9 Hà Thị Phiên Chieng Chau commune 2 10 Hà Thị Suốt Chieng Chau commune 2 11 Hà Thị Tèo Chieng Chau commune 2 12 Hà Thị Thanh Chieng Chau commune 2 13 Hà Thị Tiến Chieng Chau commune 2 14 Hà Văn Dơi Chieng Chau commune 1 15 Hà Văn Phân Chieng Chau commune 1 16 Hà Văn Phiền Chieng Chau commune 1 17 Hà Văn Tuất Chieng Chau commune 1 18 Khà Văn Chúng Chieng Chau commune 1 19 Khà Văn Hậu Chieng Chau commune 1 20 Khà Văn Nhơi Chieng Chau commune 1 21 Khà Văn Nội Chieng Chau commune 1 22 Khà Văn Thắng Chieng Chau commune 1 23 Khà Văn Thiện Chieng Chau commune 1 24 Lò Thị Se Chieng Chau commune 2 25 Lò Thị Thư Chieng Chau commune 2 26 Lò Văn Đức Chieng Chau commune 1 27 Lò Văn Tuân Chieng Chau commune 1 28 Mạc Thị Cò Chieng Chau commune 2 29 Mạc Thị Dàng Chieng Chau commune 2 30 Mạc Thị Ngân Chieng Chau commune 2 31 Mạc Văn Bón Chieng Chau commune 1 32 Mạc Văn Câu Chieng Chau commune 1 33 Mặc Văn Đoan Chieng Chau commune 1 34 Mặc Văn Khào Chieng Chau commune 1 35 Mạc Văn Tản Chieng Chau commune 1 36 Ngần Thị Biên Chieng Chau commune 2 37 Ngần Văn Phúc Chieng Chau commune 1 38 Vì Thị Kêu Chieng Chau commune 2 39 Vì Văn Bay Chieng Chau commune 1 40 Vì Văn Nhiết Chieng Chau commune 1 83

85 IV 1 Hà Thị Thanh Mai Ha commune 2 2 Khà Thị Minh Mai Ha commune 2 3 Khà Thị Thủy Mai Ha commune 2 4 Khà Thị Xiên Mai Ha commune 2 5 Khà Văn Long Mai Ha commune 1 6 Khà Văn Thu Mai Ha commune 1 7 Lò Văn Biếng Mai Ha commune 1 8 Mạc Văn Nhâng Mai Ha commune 1 9 Ngần Thị Hoài Mai Ha commune 2 10 Ngần Thị Tân Mai Ha commune 2 11 Ngần Văn Hùng Mai Ha commune 1 12 Ngần Văn Hưng Mai Ha commune 1 13 Ngần Văn Ít Mai Ha commune 1 14 Ngần Văn Viết Mai Ha commune 1 15 Nguyễn Thị Lợi Mai Ha commune 2 16 Nguyễn Thị Lợi Mai Ha commune 2 17 Nguyễn Thị Lư Mai Ha commune 2 18 Vì Thị Dung Mai Ha commune 2 19 Vì Văn Hiên Mai Ha commune 1 20 Vì Văn Hoàng Mai Ha commune 1 21 Vì Văn Khoan Mai Ha commune 1 22 Vì Văn Kiên Mai Ha commune 1 23 Vì Văn Ngự Mai Ha commune 1 24 Vì Văn Phao Mai Ha commune 1 25 Vì Văn Xền Mai Ha commune 1 26 Vì Văn Yêu Mai Ha commune 1 V 1 Bùi Thị Hưởng Tong Dau commune 2 2 Hà Công Thìn Tong Dau commune 1 3 Hà Công Thoại Tong Dau commune 1 4 Hà Công Thuận Tong Dau commune 1 5 Hà Thị Bình Tong Dau commune 2 6 Hà Thị Đôi Tong Dau commune 2 7 Hà Thị Kho Tong Dau commune 2 8 Hà Thị Mùi Tong Dau commune 2 9 Hà Thị Nhàn Tong Dau commune 2 10 Hà Thị Quyết Tong Dau commune 2 11 Hà Thị Thương Tong Dau commune 2 12 Hà Văn Âng Tong Dau commune 1 13 Hà Văn Bếch Tong Dau commune 1 84

86 14 Hà Văn Cường Tong Dau commune 1 15 Hà Văn Khăm Tong Dau commune 1 16 Hà Văn Kim Tong Dau commune 1 17 Hà Văn Nhợn Tong Dau commune 1 18 Hà Văn Nui Tong Dau commune 1 19 Hà Văn Núi Tong Dau commune 1 20 Hà Văn Phong Tong Dau commune 1 21 Hà Văn Tân Tong Dau commune 1 22 Hà Văn Ưu Tong Dau commune 1 23 Hà Văn Viết Tong Dau commune 1 24 Hà Văn Yêu Tong Dau commune 1 25 Khà Thị Ngân Tong Dau commune 2 26 Khà Văn Thành Tong Dau commune 1 27 Lò Thị Ăn Tong Dau commune 2 28 Lò Thị Khuân Tong Dau commune 2 29 Lò Thị Ly Tong Dau commune 2 30 Lò Thị Tâng Tong Dau commune 2 31 Lò Thị Thanh Tong Dau commune 2 32 Lò Thị Thiển Tong Dau commune 2 33 Lò Thị Xương Tong Dau commune 2 34 Lò Thị Yển Tong Dau commune 2 35 Lò Văn An Tong Dau commune 1 36 Lò Vân Âu Tong Dau commune 1 37 Lò Văn Diện Tong Dau commune 1 38 Lò Văn Diệp Tong Dau commune 1 39 Lò Văn Dũng Tong Dau commune 1 40 Lò Văn Hảo Tong Dau commune 1 41 Lò Văn Hỏa Tong Dau commune 1 42 Lò Văn Hội Tong Dau commune 1 43 Lò Văn Hợi Tong Dau commune 1 44 Lò Văn Linh Tong Dau commune 1 45 Lò Văn Luân Tong Dau commune 1 46 Lò Văn Quang Tong Dau commune 1 47 Lò Văn Quyết Tong Dau commune 1 48 Lò Văn Tiết Tong Dau commune 1 49 Lộc Thị Lọc Tong Dau commune 2 50 Lộc Văn Kui Tong Dau commune 1 51 Ngần Văn Đoàn Tong Dau commune 1 52 Ngần Văn Hà Tong Dau commune 1 85

87 53 Ngần Văn Khoa Tong Dau commune 1 54 Ngần Văn Ngoãn Tong Dau commune 1 55 Vì Thị Ki Tong Dau commune 2 56 Vì Thị Un Tong Dau commune 2 VI 1 Vì Văn Oan Van Mai commune 1 2 Đặng Thị Tư Van Mai commune 2 3 Đào Huy Tích Van Mai commune 1 4 Đào Văn Hiếu Van Mai commune 1 5 Đỗ Văn Dậu Van Mai commune 1 6 Hà Công Hoàn Van Mai commune 1 7 Hà Công Ngọc Van Mai commune 1 8 Hà Thị Bền Van Mai commune 2 9 Hà Thị Bình Van Mai commune 2 10 Hà Thị Bượm Van Mai commune 2 11 Hà Thị Chiền Van Mai commune 2 12 Hà Thị Chữ Van Mai commune 2 13 Hà Thị Duyên Van Mai commune 2 14 Hà Thị Huệ Van Mai commune 2 15 Hà Thị Kéo Van Mai commune 2 16 Hà Thị Lá Van Mai commune 2 17 Hà Thị Thảo Van Mai commune 2 18 Hà Thị Yếu Van Mai commune 2 19 Hà Văn Cầm Van Mai commune 1 20 Hà Văn Chao Van Mai commune 1 21 Hà Văn Chiểu Van Mai commune 1 22 Hà Văn Huynh Van Mai commune 1 23 Hà Văn Ngăm Van Mai commune 1 24 Hà Văn Phần Van Mai commune 1 25 Hà Văn Phiết Van Mai commune 1 26 Hà Văn Phương Van Mai commune 1 27 Hà Văn Sơn Van Mai commune 1 28 Hà Văn Súm Van Mai commune 1 29 Hà Văn Thiển Van Mai commune 1 30 Hoàng Thị Cầu Van Mai commune 2 31 Khà Thị Đoan Van Mai commune 2 32 Khà Thị Kiến Van Mai commune 2 33 Khà Thị Phính Van Mai commune 2 34 Khà Thị Sang Van Mai commune 2 35 Khà Văn Hiển Van Mai commune 1 86

88 36 Khà Văn Khánh Van Mai commune 1 37 Khà Văn Kiên Van Mai commune 1 38 Khà Văn Quyển Van Mai commune 1 39 Khà Văn Tà Van Mai commune 1 40 Khà Văn Thuận Van Mai commune 1 41 Khà Văn Tòa Van Mai commune 1 42 Khà Văn Tùng Van Mai commune 1 43 Khà Văn Vinh Van Mai commune 1 44 Khà Văn Xuôi Van Mai commune 1 45 Lại Văn Nhu Van Mai commune 1 46 Lê Quang Thái Van Mai commune 1 47 Lò Thị Chiên Van Mai commune 2 48 Lữ Văn Chiền Van Mai commune 1 49 Lương Thị Phận Van Mai commune 2 50 Lương Thị Toán Van Mai commune 2 51 Lương Văn Lai Van Mai commune 1 52 Lương Văn Quý Van Mai commune 1 53 Lương Văn Quyết Van Mai commune 1 54 Lương Văn Sao Van Mai commune 1 55 Lương Văn Sơm Van Mai commune 1 56 Ngân Thị Thạch Van Mai commune 2 57 Ngần Thị Thạch Van Mai commune 2 58 Ngân Thị Tuyết Van Mai commune 2 59 Ngần Tiến Công Van Mai commune 1 60 Nguyễn Văn Ưu Van Mai commune 1 61 Nguyễn Văn Xai Van Mai commune 1 62 Nguyễn Xuân Hòe Van Mai commune 1 63 Trịnh Thị Dương Van Mai commune 2 64 Trương Thị Chanh Van Mai commune 2 65 Tưởng Văn Nghi Van Mai commune 1 66 Vì Thị Duyên Van Mai commune 2 67 Vì Thị Hiếu Van Mai commune 2 68 Vi Thị Lê Van Mai commune 2 69 Vì Thị Quyên Van Mai commune 2 70 Vì Văn Dương Van Mai commune 1 Total

89 COMMUNE LEVEL LIST OF PARTICIPATED PEOPLE Or. Full Name Position I 1 Hà Văn Cừ Chairman of Mai Chau town PC 1 2 Hà Văn Khoan Vice -Chairman of Mai Chau town PC 1 3 Hà Văn Quang Vice-Chairman of Mai Chau town PC 1 4 Hà Anh Tuấn Land officer of Mai Chau town PC 1 Vice-Chairman of Mai Chau town Farmer 5 Hà Văn Cương Union 1 II 1 Đinh Văn Long Chairman of Tong Dau CPC 1 2 Hà Văn Tích Vice-Chairman of Tong Dau CPC 1 Gender Male 3 Ngần Thị Đoàn Land officer of Tong Dau CPC 2 III 1 Khá Thái Sàu Chairman of Mai Ha CPC 1 2 Hà Văn Duân Vice-Chairman of Mai Ha CPC 1 3 Vì Thanh Túc Land officer of Mai Ha CPC 1 IV 1 Vì Văn Tít Chairman of Mai Hich CPC 1 2 Phạm Văn Định Village leader of Mai Hoang Son village in Mai Hich commune 1 Nguyễn Văn Vice Secretary of Party in Mai Hich 3 Thuận commune 1 V 1 Khá Minh Tuấn Vice-Chairman of Chieng Chau CPC 1 Chairman of Chieng Chau commune 2 Hà Văn Tiệp fatherland fond 1 3 Hà Việt Hóa Land officer of Chieng ChauCPC 1 4 Khá Thị Thu Land officer of Chieng Chau CPC 2 5 Ngần Thị Thủy Extension officer of Chieng Chau CPC 2 VI 1 Hà Công Sang Chairman of Van Mai CPC 1 2 Ngần Văn Thoàn Vice-Chairman of Van Mai CPC 1 3 Hà Công Linh Secretary of Party in Van Mai commune 1 4 Hà Văn Huỳnh Vice-Chairman of Van Mai CPC 1 5 Vì Văn Tuyền Vice-Secretary of Party in Van Mai commune 1 6 Khà Văn Thị Land officer of Van Mai CPC 1 Total 22 3 Femal e Notes 88

90 Appendix 3: Some related picture of public consultation meeting and survey The local people and authorities Tong Dau commune attended to the consultation meeting Local people registed into the list of consultation meeting in Van Mai commune The consultation meeting was held in Mai Hoang Son cultural house in Mai Hich commune Local peole contributed their opinions Hot atmosphere of consultation meeting Local women participated in the consultation meeting 89