thanh hoa city comprehensive socioeconomic …...resettlement plan - component 1 and 4 thanh hoa...

Resettlement Plan

The resettlement and ethnic minorities development plan is a document of the borrower. The views expressed herein do not necessarily represent those of ADB’s Board of Directors, Management, or staff, and may be preliminary in nature.

Resettlement Plan Document Stage: Revised Project Number: 41013 March 2012

Viet Nam: Thanh Hoa City Comprehensive Socioeconomic Development Project Component 1: Urban Road Development and Component 4: Human Resource Development

Prepared by Thanh Hoa Provincial People’s Committee

THANH HOA PROVINCE PEOPLE’S COMMITEE

PROVINCIAL PROJECT MANAGEMENT UNIT

------------------------------------

THANH HOA CITY COMPREHENSIVE SOCIOECONOMIC

DEVELOPMENT PROJECT

(No.2511 VIE - ADB LOAN)

UPDATED RESETTLEMENT PLAN COMPONENTS 1 AND 4

Prepared by

PROVINCIAL PROJECT MANAGEMENT UNIT

February, 2012

TABLE OF CONTENTS

List of Annexes ................................................................................................................................................ 5

A. Executive Summary .................................................................................................................................... 9

B. Project Description .................................................................................................................................... 13

Resettlement Plan - Component 1 and 4

Thanh Hoa City Comprehensive Socio - Economic Development Project Page 1

1. Background ............................................................................................................................................ 13

2. Project’s Components ............................................................................................................................ 13

3. Mitigation Measures .............................................................................................................................. 14

3.1. Objective ......................................................................................................................................... 14

3.2. Mitigation Measures ....................................................................................................................... 14

C. Scope of Land Acquisition and Resettlement ........................................................................................... 16

1. Methodology .......................................................................................................................................... 16

2. Scope of Land Acquisition and Resettlement ........................................................................................ 16

2.2. Impacts on Lands ............................................................................................................................ 16

2.2. Impacts on Houses .......................................................................................................................... 19

2.3. Impacts on Other Structures ............................................................................................................ 19

2.4. Impacts on Trees and Crops ............................................................................................................ 20

2.5. Average Productive Landholding and Severity of Impacts ............................................................ 20

2.6. Impacts on Business ........................................................................................................................ 21

2.7. Impacts on Institutions .................................................................................................................... 22

2.8. Impacts on Public Works ................................................................................................................ 22

2.9. Impact on cultural structures ........................................................................................................... 23

2.10. Temporarily Impacts ..................................................................................................................... 23

D. Socioeconomic Information and Profile ................................................................................................... 24

1. Methodology .......................................................................................................................................... 24

2. Socio - Economic Conditions of Affected Households ......................................................................... 24

2.1. Household Population and Labor Force .......................................................................................... 24

2.2. Education ........................................................................................................................................ 24

2.3. Household Occupation .................................................................................................................... 25

2.4. Living Standards, Income and Expenditure .................................................................................... 27

2.5. Accommodations and home comforts ............................................................................................. 30

2.6. Infrastructures and Services ............................................................................................................ 31

2.7. Land and housing ............................................................................................................................ 33

2.8. Attitudes toward Project and Land Acquisition .............................................................................. 34

3. Socio-economic Conditions of Vulnerable Households ....................................................................... 35

3.1. Female-Headed Households ........................................................................................................... 35



3.2. Poor and Near Poor Households ..................................................................................................... 35

4. Issue of Ethnic Minorities ...................................................................................................................... 37

5. Gender Issues ......................................................................................................................................... 37

E. Information Disclosure, Consultation and Participation ........................................................................... 39

1. Objectives: ............................................................................................................................................. 39

2. Legal basics ............................................................................................................................................ 39

3. Procedures for Consultation and Disclosure .......................................................................................... 40

3.1. Consultation and Disclosure in the Preparation Stage .................................................................... 40

3.2. Consultation in the project implementation .................................................................................... 40

F. Grievance Redress Mechanism .................................................................................................................. 43

G. Legal Framework ...................................................................................................................................... 45

1. Policy & Legal Framework for Resettlement ........................................................................................ 45

1.1. Relevant Vietnamese Legislation .................................................................................................... 45

1.2. ADB Safeguard Policy and Requirements ...................................................................................... 46

1.3. Reconciliation of Government and ADB Policy on Resettlement .................................................. 47

2. Project Policies....................................................................................................................................... 50

2.1. Objectives and Principles ................................................................................................................ 50

2.2. Cut-Off Date and Eligibility ........................................................................................................... 51

2.3. Principle of Replacement Cost ........................................................................................................ 51

2.4. Eligibility and Entitlement .............................................................................................................. 52

H. Entitlements of APs .................................................................................................................................. 53

I. Relocation of Housing and Settlements ...................................................................................................... 65

1. Analysis and Assessment of Resettlement Demand .............................................................................. 65

2. Resettlement Criteria and Procedures .................................................................................................... 66

3. Description of Resettlement Areas ........................................................................................................ 66

J. Income Restoration and Rehabilitation ...................................................................................................... 70

1. Objectives .............................................................................................................................................. 70

2. Analysis of demands .............................................................................................................................. 70

3. Proposed rehabilitation program ............................................................................................................ 71

3.1. Allowance for Living and Production Rehabilitation: .................................................................... 71

3.2. Allowance for Vocational Training and Job Creation: ................................................................... 73



3.3. Management of the income restoration program ............................................................................ 76

3.4. Cost Estimation for the rehabilitation program ............................................................................... 79

L. Source of Fund and RP Costs .................................................................................................................... 81

E. Institutional Arrangements ........................................................................................................................ 83

1. Thanh Hoa Provincial People’s Committee (PPC) ................................................................................ 83

2. Thanh Hoa City and Dong Son District People’s Committees (PCs) .................................................... 83

3. Provincial Project Management Unit (PPMU) ...................................................................................... 83

4. The Thanh Hoa City Site Clearance and Resettlement Department ...................................................... 83

5. Dong Son District Compensation and Site Clearance Council .............................................................. 84

6. Commune/ward People’s Committees (CPC) ........................................................................................ 84

7. Community Management Committee (CMC) ....................................................................................... 84

8. Project Supervision Consultants ............................................................................................................ 84

M. Indicative Implementation Schedule ........................................................................................................ 85

N. Monitoring and Evaluation ....................................................................................................................... 87

1. Internal Monitoring ................................................................................................................................ 87

2. External Monitoring and Evaluation ...................................................................................................... 87



Table 1. Summary of impacts.......................................................................................................... 16

Table 2: Summary of Impacts on Agricultural Land Acquisition (m2) ...................................................... 17

Table 3. Summary of Impacts on Residential Land Acquisition (m2) ...................................................... 18

Table 4. Summary of Affected Ponds and Lakes ................................................................................ 18

Table 5. Summary of Public Land Impacts ......................................................................................... 19

Table 6. Summary of Impacts on Houses .......................................................................................... 19

Table 7. Summary of Other Structure Impacts .................................................................................... 19

Table 8.. Impacts on Trees/Crops/Aqua Produce ................................................................................ 20

Table 9. Households Losing Agricultural Land in Total Affected Population ............................................ 20

Table 10. Severity of Land Impacts of the APs (rate %) ....................................................................... 21

Table 11. Summary of Displaced Businesses ..................................................................................... 21

Table 12. Affected Public Assets ...................................................................................................... 23

Table 13. Household Population and Size ......................................................................................... 24

Table 14. Education Background per Component ............................................................................... 25

Table 15. Situation of Employment per Project Component .................................................................. 26

Table 16.. Income Bracket of Households .......................................................................................... 27

Table 17. Structure of Income Sources of the Households (%) ............................................................. 28

Table 18. Structure of Expenditure of Households .............................................................................. 28

Table 19. Monthly Incomes and Expenditures of Households per Project Component (Unit: Viet Nam Dong) ............................................................................................................................................ 29

Table 20. Lliving standard classification of Households........................................................................ 29

Table 21. Accommodations of the Surveyed Households ..................................................................... 30

Table 22. Situation of Water Sources using by the Surveyed Households .............................................. 31

Table 23. Situation of Drainage and Sewerage of the Surveyed Households .......................................... 32

Table 24. Summary of Sanitation Situation in the Project Area.............................................................. 33

Table 25. Summary of Housing Situation ........................................................................................... 33

Table 26. Summary of Land Use Situation (Rate %) ............................................................................ 34

Table 27. Belief that Project Will Benefit Community (Rate %) .............................................................. 34

Table 28. Belief that Project Will Benefit their own family (Rate %) ........................................................ 35

Table 29.: Summary of the Poor Households ..................................................................................... 36

Table 30: Summary of vulnerable APs .............................................................................................. 36

Table 31: Occupation Structure per Gender ....................................................................................... 37

Table 32: Attendance at AP Consultation Meetings ............................................................................. 41

Table 33. Gaps Between National Laws and ADB Policy .................................................................... 48

Table 34. Entitlement Matrix ............................................................................................................ 54

Table 35: Analyzing of Resettlement Demand .................................................................................... 65

Table 36. Description and Arrangement of Resettlement Area .............................................................. 67

Table 37: Statistic of employment needs in the project area ................................................................. 70

Table 38: Vulnerable Groups in the Project Area ................................................................................ 71

Table 39: List of vocational training centers in Thanh Hoa province. ...................................................... 73

Table 40: Cost estimation of the income restoration program ............................................................... 80

Table 41: Summary of Resettlement Budget ...................................................................................... 82

Table 42: Implementation Schedule of Resettlement Plan .................................................................... 85

Table 43: Monitoring and Evaluation Indicators .................................................................................. 89



List of Annexes Annex A : Resettlement Budget Annex B : Replacement Cost Survey Annex C : Project Map Annex D : Project Information Brochure Annex E : Minutes of the APs Consultation Meetings Annex F : Template of Socioeconomic Survey Annex G : List of Affected Households Annex H : List of Affected Agencies and Organizations Annex I : Template of Detailed Measure Survey Annex K : List of Vulnerable Households



CURRENCY EQUIVALENTS

(as of Dec, 2011)

Currency Unit - Vietnamese Dong (VND)

- US Dollar ($)

$1.00 = VND21.015

ABBREVIATIONS

ADB - Asian Development Bank

AP - Affected Person

DMS - Detailed Measurement Survey

EA - Executing Agency

EMA - External Monitoring Agency

GOV - Government of Vietnam

IOL - Inventory of Losses

LARU - Land Acquisition and Resettlement Unit

LURC - Land Use Rights Certificate

MOF - Ministry of Finance

MOLISA - Ministry of Labor, Invalids and Social Assistance

MONRE - Ministry of Natural Resources and Environment

MARD - Ministry of Agriculture and Rural Development

MOT - Ministry of Transport

PIU - Project Implementation Unit

PPC - Peoples’ Committee (Provincial/City/Commune)

PPMU - Provincial Project Management Unit

RCS - Replacement Cost Study

ROW - Right-of-Way

RP - Resettlement Plan

SES - Socio-Economic Survey

SGIA - Second Generation Imprest Account

VND - Vietnamese dong



Definition of Terms

Affected Persons In the context of involuntary resettlement, Affected Persons (AP) are those who are physically relocated (relocation, loss of residential land, or loss of shelter) and/or economically displaced (loss of land, assets, access to assets, income sources, or means of livelihood) as a result of (i) involuntary expropriation of land, or (ii) involuntary restrictions on land use or on access to legally designated parks and protected areas. In the case of affected household, it includes all members residing under one roof and operating as a single economic unit, who are adversely affected by a project or any of its components.

Cut-off date This refers to the date prior to which the occupation or use of the project area makes residents/users of the same eligible to be categorized as AP. Persons not covered in the census are not eligible for compensation and other entitlements, unless they can show proof that (i) they have been inadvertently missed out during the census and the DMS; or (ii) they have lawfully acquired the affected assets following completion of the census and the DMS and prior to the conduct of the detailed measurement survey (DMS).

Detailed Measurement Survey (DMS)

This is the process where all fixed assets (i.e. lands used for residence, commerce, agriculture, including ponds; dwelling units; stalls and shops; secondary structures, such as fences, tombs, wells; trees with commercial value; etc.) and sources of income and livelihood inside the Project right-of-way (ROW) are measured, detailed survey, level of lose identified and list of affected people as well as their replacement costs calculated. Additionally, the severity of impact to the affected assets and the severity of impact to the livelihood and productive capacity of APs will be determined.

Entitlement Refers to a range of measures comprising compensation, income restoration support, transfer assistance, income substitution, relocation support, etc. which are due to the APs, depending on the type and severity of their losses, to restore their economic and social base.

Host Community Means the community already in residence at a proposed resettlement or relocation site.

Income restoration This is the re-establishment of sources of income and livelihood of the affected households.

Land Acquisition Refers to the process whereby an individual, household, firm or private institution is compelled by a public agency to alienate all or part of the land it owns or possesses to the ownership and possession of that agency for public purposes in return for compensation at replacement costs.

Relocation This is the physical relocation of a DP from her/his pre-project place



of residence and/or business. Replacement cost Means the amount of cash or kind needed to replace an asset and

is the value determined as compensation for: i. Agricultural land at the pre-project or pre-displacement level, whichever is higher and is based on productive value; and residential or commercial land based on market value of land of equal productive potential or use located in the vicinity of the affected land, plus the cost of preparing the land to levels similar to those of the affected land, plus the cost of any registration and transfer taxes; ii. Land in urban areas, it is the pre-displacement market value of land of equal size and use, with similar or improved public infrastructure facilities and services and located in the vicinity of the affected land, plus the cost of any registration and transfer taxes; iii. Houses and other related structures based on current market prices of materials, transportation of materials to construction site, cost of labour and contractor’s fee, and any cost of registration and transfer taxes. In determining replacement cost, depreciation of assets and value of salvaged building materials are not taken into account and no deductions are made for the value of benefits to be derived from the project or transaction costs; iv. Crops, trees and other perennials based on current market value; and v. Other assets (i.e. income, cultural or aesthetic resources) based on replacement cost or cost of mitigating measures.

Replacement Cost Study

This refers to the process involved in determining replacement costs of affected assets based on empirical data.

Seriously Affected Households

This refers to affected households who will (i) lose 10% and more than 10% of total productive land and/or assets, and/or (ii) have to relocate; and/or (iii) lose 10% or more of their total income sources due to the Project.

Vulnerable Groups These are distinct groups of people who might suffer disproportionately or face the risk of being further marginalized by the effects of resettlement and specifically include: (i) female headed households with dependents, (ii) disabled household heads, (iii) households falling under the generally accepted indicator for poverty, (iv) children and the elderly households who are landless and with no other means of support, and (v) landless households, (vi) indigenous people or ethnic minorities.



A. Executive Summary

Introduction. The Thanh Hoa City Comprehensive Socio-economic Development Project (CSEDP, or the Project) is co-financed by the Asian Development Bank (ADB) and the Korea Export Import Bank (KEXIM) with the total investment of approximately 118 million USD and aiming at establishment of Thanh Hoa City as a competitive, livable, and sustainable city, leading to the socio-economic development of Thanh Hoa Province. The intended outcome is well-managed, safe and functional, affordable and physically accessible urban infrastructure, competitive tourism, and industrial development. The Project started in November, 2009 and is expected to be completed by June, 2014.

The Project comprises five components, which are (1) urban road development; (2) water supply upgrading and expansion; (3) drainage and wastewater treatment improvement; (4) human resource development, including the upgrading of vocational schools and development of training curriculum; and (5) tourism development by upgrading infrastructure and developing tourism development plans for Thanh Hoa City.

This Resettlement Plan will cover the Component 1 and 4 of the Project. The road expanding and upgrading under the Component 1 causes the land acquisition and asset impacts of 744 households in 2 wards (Dong Ve and Tan Son) and 4 communes (Quang Hung, Quang Thanh, Quang Thang, and Dong Hung). The vocational schools developing and upgrading under the Component 4 causes the land acquisition impacts of 109 households in Dong Cuong commune. Besides, there are 16 agencies and institutions affected by the project, mainly impacts on public land acquisition.

Scope of Land Acquisition and Resettlement Impacts. This RP mentioned the land acquisition impact of the Component 1 and 4. Accordingly, 853 households are permanently affected by the project of which 103 households are affected by loss of residential land with 69 households requiring relocation, 702 households affected by loss of agricultural land with 559 households losing 10% or more, and 48 households are affected by loss of structures such as graves. Total 486,026.2m2 of land is acquired, of which residential land is 19,014.7m2 agricultural land: 362,018.4m2 and the remaining land is pond and lake.



Legal and Policy Framework. The legal and policy framework for compensation, resettlement and rehabilitation under the Project is defined by the relevant laws and regulations of the Government of Viet Nam and the ADB . In case of discrepancies between the Borrower’s laws, regulations, and procedures and ADB's policies and requirements, ADB's policies and requirements will prevail, consistent with Decree No.131/2006/ND-CP which provides that in case of “discrepancy between any provision in an international treaty on Official Development Assistance, to which the Socialist Republic of Viet Nam is a signatory, and the Vietnamese Law, the provision in the international treaty on ODA shall take precedence” (Article 2, Item 5).

Objectives of Compensation and Entitlements. The overall objective of the compensation and entitlement policy for the Project is to ensure that all people affected by the Project will be able to restore their pre-project conditions while the poor and vulnerable households will be able to improve their pre-project living standards and income-earning capacity through compensation for the loss of physical and non-physical assets and, as required, other assistance and rehabilitation measures. Compensation will be based on the principle of replacement cost while additional assistance in cash and in-kind will also be provided depending on the severity of impacts. Income restoration measures or programs for severely affected and vulnerable households will be designed and implemented in consultation with APs during RP updating.

Project Policies. The basic principle applied in this RP is that all APs must be "supported in their efforts to improve their living standards, income-generating capacity and production to at least the same as or better than their standards of living before the project implementation. The lack of a legal basis for land use does not bar affected households from the entitlements of economic recovery compensation and/or support. Affected assets must be compensated on the basis of their replacement cost.

The cut-off-date for eligibility for entitlement was 10th November, 2011 after completing the detailed measure survey (DMS). Affected Persons and local communities have been informed of the cut-off date. Accordingly, after this date all household land/assets in Project affected areas will not be legally eligible to receive any compensation and/or support from the Project.

Mitigation Measures. In the process of preparing the Project, there was close cooperation between the technical consultant and the social consultant to achieve the Project's two objectives of promoting the efficiency of the investment in the Project and minimizing land acquisition. Accordingly, there are 11 mitigation measures proposed, in which, the measures of replacement cost, rehabilitation allowance and resettlement and other mitigation measures included.

Ethnicity, Vulnerability and Gender Issues. All affected households are Kinh. The census identified 90 households who are considered vulnerable households as the household head or members of the household fall on one or more types of vulnerability: female-headed household, elderly households, and poor households as defined by the Ministry of Invalids and Social Affairs (MOLISA). These vulnerable households will take part in the income restoration measures/programs under the Project. Separate meetings will be held with them during RP updating and implementation to ensure that their special needs and concerns are identified and addressed and that restoration or improvement of their socio-economic conditions will be carefully monitored.

Entitlements of APs. The project entitlements developed correspond to the impacts identified during the census and detailed measure survey. Entitlements adopted are based on the ADB Social Safeguard policies, the Government Decisions, and the results of consultation with APs (to ensure that losses are restored, if not improved). Entitlements for each type of APs are based on the types and levels of losses. Unit rates presented in the RP and Entitlement Matrix basing on the replacement cost units proposed by the Agency of replacement cost survey – Institute of Sociology.

Consultation and Disclosure. The project entitlement policy has been established through the close cooperation of local authorities, community based organizations and affected persons in order to maximize their participation in the formulation and implementation of resettlement plan (RP). During the survey and



investigiation, the RC used the different methods such as questionnairs, need assessing papers, counselling and consulting the affected households, the local authorities, the local mass organizations and the other stakeholders. Local authorities, mass organizations and 310 affected households were surveyed with a questionnaire. All households to be displaced in the affected areas attended the public consultations to receive information, consider the levels of the Project impact, and present their recommendations for the plan for their new lives. Information obtained during the consultations was used to establish project resettlement policies and assist in creating the compensation plans for the Project's implementation. The consultation results showed that 100% participated households agreed with the project’s compensation and resettlement policy and they support broardly the project. The affected households have right to take part in the income rehabilittion measures and programs proposed by the Project.

Relocation and Resettlement. Among 853 affected households, there are 103 households affected by loss of residential land, of which, 34 households are partly affected their residential land without houses thereon and 69 households are fully affected and require to relocate to the resettlement areas. Among 34 partly affected households, 18 households expect to get compensation by “land for land” in resettlement areas and 16 others get cash compensation. Total of 203 of land lots were prepared in resettlement areas with average area of 80m2 for each lot. Number of land lots compensated for each household depends on the affected area and the principle of replacement cost or “equipvalent value”. There are 5 resettlement areas were prepared with full infrastructure for the relocated households to resettle, including (i)Quang Hung Commune resettlement site,(ii) Resettlement Site in Dong Huong Urban area (iii) Quang Thanh commune Resettlement Area, (iv) Quang Thang commune resettlement site, (v) resident area in Nguyen Trai road (intersect with the ring road under CSEDP) at Tan Son ward). These areas close to their former resident areas (distance from 200 – 400 metres).

Income Rehabilitation Measures. This is one of the important activities during the implementation of compensation and resettlement. To have the effective solutions for remaining, restoring income and employment for the affected households, the RC consulted and counseled the stakeholders such as the Department of Agriculture and Rural Development and the Compensation and Resettlement Committee. This RP proposed some measures for income rehabilitation such as (i) Allowance for Living and Production Rehabilitation for the affected households with agricultural land, without agricultural land, or business and production; (ii) Allowance for the poor households and the other vulnerable groups; (iii) Allowance for Vocational Training and Job Creation; and (iv) Allowance for temporarily affected households; and (v) agricultural extension. Total budget anticipated for the Rehabilitation Program is 12.850.000.000,0VND, equipvalent to 611.000USD.

Implementation Arrangements and Capacity Building Interventions. The executing agency (EA) for the Project is the Thanh Hoa Provincial People’s Committee (THPPC) through the Provincial Project Management Unit (PPMU), including this RP, with support from the 5 Project Implementation Units (PIUs). They will draw support from the City People’s Committee of Thanh Hoa, Communes People’s Committees, City Resettlement Committee, and the consulting team for the updating, implementation and monitoring of the Resettlement Plan.

Grievance Redress Mechanism. A well-defined grievance redress and resolution mechanism was established to address the grievances and complaints of APs regarding land acquisition, compensation and resettlement in a timely and satisfactory manner. APs are entitled to lodge complaints regarding any aspect of the land acquisition and resettlement requirements; compensation policy, entitlements, rates and payment; and, strategies and procedures for resettlement and rehabilitation assistance programs. A four-stage procedure for redress of grievances is provided in the main report. The grievance mechanism was also disclosed to APs during consultations with them.

During the process of implementing the RP, complaints will be resolved in accordance with the approved procedure in the RP. All complaints from APs will be resolved fairly and quickly by authorities at levels and project staff. There will be no administrative charge for the settlement of complaints or for redressing



grievances. External monitoring agency (EMA) will be responsible for checking the procedures for and resolutions of grievances and complaints.

Monitoring and Evaluation. Regular internal monitoring will be undertaken by the PPMU and PIUs and will submit quarterly progress reports to ADB. Moreover, the external monitoring agency will also be engaged to carry out its own independent review and assessment of RP updating and implementation. External monitoring reports will be submitted to PPMU and ADB on a quarterly basis.

Resettlement Budget. The total budget for updating and implementing this RP is 348,119,729,100VND, equipvalent to 16,577,130.0USD. This amount covers compensation and allowances, design and implementation of income restoration measures/programs, administration cost and contingency. As cost of land acquisition and resettlement will be funded under the loan, in line with ADB’s Loan Disbursement Handbook, Second Generation Imprest Account (SGIA) will be established in Thanh Hoa City Resettlement Committee at a commercial bank acceptable to the Government and ADB. A qualified agency were hired during RP updating to carry out replacement cost survey for land and non-land assets. The rates established by the survey were used as basis for compensation payment for affected land and non-land assets. PPMU and City Resettlement Committee, with the help of project supervision consultants, will setup a system to ensure that channeling of funds are done transparently, efficiently and effectively, monitoring is in place, and timely submission of resettlement audit reports are met. ADB staff will have the right conduct spot or random checks of expenditures covered by the SGIA. Financial and audited statements will also be made available to the external monitor.

Implementation Plan. Affected households are expected to be paid compensation and the site clearance in March, 2012. The PPMU will not allow construction activities in specific sites until all resettlement activities have been satisfactorily completed, agreed rehabilitation assistance is in place, and that the site is free of all encumbrances.



B. Project Description

1. Background

1. The Thanh Hoa City Comprehensive Socio-economic Development Project (CSEDP, or the Project) is an integrated development strategy to establish the City of Thanh Hoa as a competitive, livable, and sustainable city, leading to socioe-conomic development. The Project will be used as a vehicle for Thanh Hoa City to become a city of Grade 1 in 2025. This classification will require a level of scores, which justifies the launching of multi-sectoral consistent projects to create a suitable investment for the City to allow its take-off such as in industrial and tourism development, and to contribute in building a strong back - bone of intermediary towns playing an important role in the region and in national scale. In the background of the City’s new classification, it is a matter of urban growth, of rural population attraction and reorientation, and of job creation, which are all essential for poverty alleviation. The Project also intends to set up a model of intervention that can be replicated in other medium size cities in Vietnam.

2. The project is co-financed by the Asian Development Bank (ADB) and the Korea Export Import Bank (KEXIM) with the total investment of approximately 118 million USD and aiming at establishment of Thanh Hoa City as a competitive, livable, and sustainable city, leading the socio-economic development of Thanh Hoa Province. The intended outcome is well-managed, safe and functional, affordable and physically accessible urban infrastructure, competitive tourism, and industrial development. The Project started in November, 2009 and is expected to be completed by December, 2014.

3. The Project comprises five components, which are (1) urban road development; (2) water supply upgrading and expansion; (3) drainage and wastewater treatment improvement; (4) human resource development, including the upgrading of vocational schools and development of training curriculum; and (5) tourism development by upgrading infrastructure and developing tourism development plans for Thanh Hoa City.

4. The Project will be conducted in sixteen wards and communes of Thanh Hoa City, including Ngoc Trao, Dien Bien, Lam Son, Dong Tho, Truong Thi, Ba Dinh, Tan Son, Dong Ve, Nam Ngan, Ham Rong, Dong Huong, Quang Thang, Quang Thanh, Quang Hung, Dong Cuong, and Dong Hung (under Dong Son District). It is estimated that 79,866 inhabitants (17,748 households) are project beneficiaries.

5. This Resettlement Plan will cover the Component 1 and 4 of the Project. Implementation of these components causes land acquisition impacts of 853 households. Of these, the road expanding and upgrading under the Component 1 causes the land acquisition and asset impacts, of 744 households in 2 wards (Dong Ve and Tan Son) and 4 communes (Quang Hung, Quang Thanh, Quang Thang, and Dong Hung); the vocational college developing and upgrading under the Component 4 causes the land acquisition impacts of 109 households in Dong Cuong commune. Besides, there are 16 agencies or institutions affected by the project, mainly impacts on public land acquisition.

2. Project’s Components

The Project includes 5 components: Component 1 - Urban Road Development: An improved urban road network approximately 22 km and urban basic services (water supply and drainage, transportation, power, etc.) to link peri-urban villages with the city center along with complementary basic urban services;

Component 2 - Water Supply Upgrading and Expansion: an expanded and upgraded water supply distribution network, including approximately 19 km of primary and secondary water supply pipes and connections to expand the service to peri-urban areas and replacement of approximately 19km of damaged pipes in the city;

Component 3 - Drainage and Wastewater Treatment: An improved drainage and wastewater treatment in Thanh Hoa through the construction of approximately 9.5km of interceptors for sewerage and drainage, some



pumping stations, diversion chambers, a central wastewater treatment plant, and delocalized wastewater treatment facilities for the city general hospital and 3 other hospitals;

Component 4 - Human Resource Development: Improved human resources and skills through the upgrading of vocational training centers and capacity building for teachers in the local school and vocational training centers; and

Component 5 - Tourism Development: This component includes the main task as the following: (i) Upgrading infrastructure for Thanh Hoa museum, building the entry way, Center of tourist welcome, tourism facilities and one Ecological Park with total area 60ha in Ham Rong tourism area; (ii) Upgrading road and infrastructure and restore the works in Dong Son archaeological area; (iii) Upgrading infrastructure for Mat Son area, including the beautification of Le River; (iv) Enhancing capacity for Thanh Hoa City on tourism management.

Among 5 components of the project, 4 components (except component 2) have land acquisition of local people. This RP is prepared for components 1 and 4 and updated based on results of DMS and consultations with APs.

3. Mitigation Measures

3.1. Objective

The first principle of the Policy Framework, as agreed by the ADB, is to avoid or minimize the impacts of resettlement and land acquisition. If this is not feasible, it is necessary to apply mitigation measures including compensation at replacement cost and other assistance to households affected by the Project.

In accordance with the agreed principles of the Project's implementation and policy framework, land acquisition and resettlement should be minimized. The design consultant, the PPMU and other concerned departments and agencies have made efforts to reduce and/or limit the impacts of land acquisition in the design stage and in the finalization of the Project investment reports.

The extensive consultations with different stakeholders such as local authorities, public organizations and potentially affected households have been undertaken to find measures to minimize impacts caused by the resettlement. The agreed guiding principles are to attempt identifying alternative options and select the best solution to avoid relocation of the households from the area they are living.

3.2. Mitigation Measures

Along with positive impacts on socio-economic development and social lives, the Project will also cause negative impacts to households involved in land acquisition and site clearance, and in the area through which the Project passes. Identifying the negative impacts of land acquisition and site clearance, and proposing mitigation measures, is essential to eliminate or reduce negative impacts.

During project design, the resettlement consultant closely cooperated with the PPMU to minimize the impacts of the project on the lives of people in the project area. According to that, participation meetings with local authorities and people were organised to get ideas from them to develop the Project meeting the need of local people. To mitigate the impacts on these households, in project implementation process, the following mitigation measures have been and would be applied:

First, in the finalisation stage of the route and preliminary design, appropriate technical designs and construction plans have been made to detour around residential areas. Avoiding impacts is the Project's most effective mitigation measure and avoids any original negative impacts. At the same time, the technical consultant recommended the different design models to the project communities for counseling and selecting, minimizing land acquisition and resettlement impacts. The mitigation measures proposed and selected for the project design include adjustment of road alignment to avoid dense resident areas, construction of drainage on the bed of road or sidewalk, acquisition of public land without structures thereon. If negative impacts on



properties are unavoidable, adequate compensation plans will be made to at least cover or restore any damages.

Second, in the early stages of the Project's design, activities for disseminating information about the Project, land acquisition, site clearance, compensation and resettlement have been widely propagated to gain people's participation and support. On the other hand, getting the right information from the initial phase will help people prepare spirit and facilities for expected impacts from the project. The RC conducted public consultations over the project sites to (i) publicize project information and (ii) publicize some projected impacts, land acquisition and compensation scale, compensation and support for production. After populating project information, many opinions were exchanged. In general, local people strongly supported the Project and hoped that it would be soon executed to solve the social issues during construction period.

Third, the affected households are compensated according to the replacement cost (market price). Accordingly, an independent appraiser was hired to survey the replacement cost to ensure the entitlements of the affected households with a transparency, objectivity and fairness. Beside market price - based-compensating, the affected households also get assistance depending on the level of impacts, socio-economic situation of the affected households.

Fourth, monitoring and evaluating activities (including internal and external monitoring and evaluating) are closely implemented during implementation of compensation, site clearance and construction. The independent monitoring and evaluating consultants are selected through bidding to carry out the duties of construction supervising and site clearance, mitigating the impacts arising from construction.

Fifth, for the households with their trees and crops affected, they would harvest their fruits and crops before land acquisition.

Sixth, for resettlement households, the project implementers have been co-operated with the stakeholders whom are responsible for management of the City’s resettlement area to arrange the land lots and houses for relocated households. There are 5 resettlement areas will be chosen to resettle for the relocated households (including (i) Quang Hung Commune resettlement site,(ii) Resettlement Site in Dong Huong Urban area (iii) Quang Thanh commune Resettlement Area, (iv) Quang Thang commune resettlement site, (v)resident area in Nguyen Trai road (intersect with the ring road under CSEDP) at Tan Son ward). Accordingly, the resettled people will still be able to live near the old place; the habits and the relationships with relatives, neighbors are remained, tumble and changes of the social structure will not happen. These resettlement areas will meet the full range of services and social infrastructure, and the demand for resettlement.

Seventh, the majority of displaced households are low-income households without land ownership, belonging to the vulnerable group. The project could cause impacts on these groups, so in the process of project design, the consulting group specifically note, and prioritize choosing resettlement area, income restoration and stability for this group firstly.

Eighth, to the agricultural and business households, beside the compensation according the replacement cost, the project will provide assistances such as livelihood stability assistance, support for vocational training and career change, income restoration of these households, etc.

Ninth, the project will encourage the contractors to use the local labors in the project implementation process in order to raise jobs and income for people in the project area, especially poor households and directly affected households by the project. This term is specified in the bidding doccuments.

Finally, in the next stage, there will be further comprehensive studies and recommendations for resolving negative social and cultural impacts, including avoiding the infiltration of social evils, decreasing traffic accidents after the Project in operation, etc. Specific action programmes and implementation mechanisms will be established to increase awareness, maintain accessibility to the existing systems, and enhance the benefits of the Project for the local people.



C. Scope of Land Acquisition and Resettlement

1. Methodology

A complete census and detailed measure survey (DMS) was conducted in 1 ward and 6 communes from September to November, 2011. The DMS determined the corridor of impact (COI) by juxtaposing project technical design drawings applicable at the time with cadastral maps of each affected ward and commune. A preliminary list of affected land plots and their owners was accordingly derived from the cadastral records of each area.

The DMS collected data on all affected land and assets (structures, trees, crops) as well as affected businesses by measuring and enumerating land and other assets with presence of affected households’ representatives. The collected DMS data of each household is recorded in one minute with signatures of task team members and household’s representative. . The SES was conducted on a 100% relocated households, 20% of severely affected households, and 10% remaining households.

2. Scope of Land Acquisition and Resettlement

2.1 Impacts on households

According to DMS results of component 1 and 4, there are 853 households to be permanently affected by the project, of which 103 households are affected residential land with 69 households have to relocate, and 702 households are affected agricultural land with 559 households are affected 10% or more, and 48 households have to relocate graves. Among 853 AHs, there are 140 vulnerable AHs, of which, the poor households accounted for 53.6%, the households with invalid person or martyr accounted for 44.3% (details in Table 1).

Table 1. Summary of impacts

No

Project Ward/

Commune

HHs

In which Acquired Land (m2)

Residential Land

Agricultural Land

Pond/Lake

Land Government Land

TOTAL Relocated HHs

Business

A. Component 1

1 Quang Hung 51 8 - 3,646.2 6,448.8 85.0 6,320.0 16,500.0

2 Quang Thanh 212 34 4 10,127.4 75,481.0 5,093.3 14,303.6 105,005.3

3 Dong Ve 196 - - - 102,841.6 20,363.6 33,658.2 156,863.4

4 Quang Thang 242 19 6 4,296.5 92,244.4 - 10,872.0 107,412.9

5 Dong Hung 16 - - - 8,184.5 - 384.3 8,568.8

6 Tan Son 27 8 10 944,6 26,434.4 5,071.0 7,675.1 40,072.0

Sub-total A 744 69 20 19,014.7 311,634.7 30,612.9 73,213.2 434,475.5

B. Component 4

1 Dong Cuong 109 - - - 50,383.7 - 1,167.0 51,550.7

Sub-total A 109 - - - 50,383.7 - 1,167.0 51,550.7

TOTAL (A+B) 853 69 20 19,014.7 362,018.4 30,612.9 74,380.2 486,026.2

Source: DMS

2.2. Impacts on Lands

The Project will permanently acquire 486,026.2m2 of legal/legalizable land which consists of 362,018.4m2 of agricultural land, 30,612.9m2 of pond/lake area, 19,014.7m2 of residential land, and 74,380.2m2 of public land. Most of the land acquisition concern is agricultural land (79.4%). Below is the summary of the total land acquisition for the components 1 and 4 by project location.



2.1.1. Impacts on Agricultural Land

A total of 362,018.4m2 of agricultural land is acquired by component 1 & 4. A total of 702 households (83.6% of total affected HHs) will lose agricultural land, of which 559 households are severely affected due to loss of 10% or more of agricultural land. The distribution of agricultural land losses are set out in the table below.

Table 2: Summary of Impacts on Agricultural Land Acquisition (m2)

No Project Ward/Commune

Acquired Area (m2) Total

<10% ≥10%

Acquired Area (m2)

HHs Acquired Area (m2)

HHs Acquired Area (m2)

HHs

Component 1

1 Quang Hung - - 6,448.8 10 6,448.8 10

2 Quang Thanh 55,516.1 46 19,964.9 113 75,481.0 159

3 Dong Ve 6,028.8 44 96,812.8 152 102,841.6 196

4 Quang Thang 4,149.7 29 88,094.7 165 92,244.4 194

5 Dong Hung 15.1 2 8,169.4 14 8,184.5 16

6 Tan Son - - 26,434.4 18 26,434.4 18

Sub-total A 65,709.7 121 245,925.0 472 311,634.7 593

Component 4

1 Dong Cuong 4,862.7 22 45,521.0 87 50,383.7 109

Sub-total A 4,862.7 22 45,521.0 87 50,383.7 109

TOTAL (A+B) 70,572.4 143 291,446.0 559 362,018.4 702

Source: DMS

2.1.2. Impacts on Residential Land

103 households are expected to be affected by the acquisition of 19,671.3m2 of residential land. Of which, 69 households are acquired all their residential land with total of 15,092.5m2, and 34 households are partly affected with amount of 3,922.2m2. .



Table 3. Summary of Impacts on Residential Land Acquisition (m2)


Acquisition Scope Total

Fully affected Partly affected

Acquired Area (m2)

No. HHs

Acquired Area (m2)

No. HHs

Acquired Area (m2)

No. HHs

Component 1

1 Quang Hung 1,862.5 8 1,783.7 3 3,646.2 11

2 Quang Thanh 9,119.4 34 1,008.0 16 10,127.4 50

3 Dong Ve - - - - - -

4 Quang Thang 3,227.4 19 1,069.1 14 4,296.5 33

5 Dong Hung - - - - - -

6 Tan Son 883.2 8 61.4 1 944.6 9

Sub-total A 15,092.5 69 3,922.2 34 19,014.7 103 Component 4 1 Dong Cuong - - - - - -

Sub-total B - - - - - - TOTAL (A+B) 15,092.5 69 3922.2 34 19,014.7 103

Source: DMS

2.1.3. Impacts on Ponds/Lakes

According to the DMS, total of 22 households have ponds (aquaculture areas, etc) with a total area of 30,612.9m2 will be affected. Specific levels of impact are shown in Table 4 below:

Table 4. Summary of Affected Ponds and Lakes


Affected

No. of HHs Acquired Area (m2) Component 1

1 Quang Hung 1 85.0

2 Quang Thanh 12 5,093.3

3 Dong Ve 3 20,363.6

4 Quang Thang - -

5 Dong Hung - -

6 Tan Son 6 5,071.0

Sub-total A 22 30,612.9

Component 4

1 Dong Cuong - -

Sub-total A - -

TOTAL (A+B) 22 30,612.9

Source: DMS

2.1.4. Impacts on Public Land

Total public land area of 74,380.2m2 will be acquired, of which 11,256.3m2 is managed by state offices and 63,123.9m2 is managed by communes and ward. Specific levels of impact are shown below:



Table 5. Summary of Public Land Impacts


Acquired Area (m2)

State Office Land

Public Land managed by Commune or Ward

Total

Component 1

1 Quang Hung - 6,320.0 6,320.0 2 Quang Thanh - 14,303.6 14,303.6 3 Dong Ve - 33,658.2 33,658.2 4 Quang Thang 10,872.0 - 10,872.0 5 Dong Hung 384.3 - 384.3 6 Tan Son - 7,675.1 7,675.1

Sub-total A 11,256.3 61,956.9 73,213.2

Component 4

1 Dong Cuong - 1,167.0 1,167.0 Sub-total A - 1,167.0 1,167.0

TOTAL (A+B) 11,256.3 63,123.9 74,380.2

Source: DMS

2.2. Impacts on Houses

A total of 84 households were affected their houses due to land acquisition with a total affected floor area is11,697.6m2. Of 84 those households, 69 households have to relocate, one household rebuilds house on the remaining land, and 14 households are fully affected their temporary houses which built on the affected agricultural land to control their crops, but they have other resident places.

Table 6. Summary of Impacts on Houses


No. of HHs with their affected houses

of which

Relocated households

Re-organized on the remaining land

Affected temporary houses without

relocation

Component 1

1 Quang Hung 8 8 -

2 Quang Thanh 34 34 -

3 Dong Ve 4 - - 4

4 Quang Thang 25 19 1 5

5 Dong Hung - - - -

6 Tan Son 13 8 - 5

Sub-total A 84 69 1 14

Component 4

1 Dong Cuong - - - -

Sub-total B - - - -

TOTAL (A+B) 84 69 1 14

Source: DMS

2.3. Impacts on Other Structures

The DMS iterated impacts of other structures. A summary of affected structures is presented in the table below.

Table 7. Summary of Other Structure Impacts

No Project Ward/ Commune

Toilet-Detached

Kitchen-Detached

Bath Room

Well Animal Stall

Pavement

Fence Grave Culvert



psc m2 psc psc m2 m2 m2 pcs m

Component 1

1 Quang Hung 9 36.2 4 1 21.7 2,004.7 1,280.0 127 773.0

2 Quang Thanh 16 137 14 26 443.3 3,589.0 5,217.8 - -

3 Dong Ve 2 34 2 5 359.6 491.3 2,910.3 5 510.0

4 Quang Thang 27 56.8 31 14 - 889.1 1,668.6 - 2,234.0

5 Dong Hung - - - - - - - - -

6 Tan Son 7 65.5 10 7 85.4 395.4 606 - 1,075.0

Sub-total A 61 329.5 61 53 910.0 7,369.5 11,682.7 132 4,592.0

Component 4

1 Dong Cuong - - - - - - - - -

Sub-total B - - - - - - - - -

TOTAL (A+B) 61 329.5 61 53 910.0 7,369.5 11,682.7 132 4,592.0

Source: DMS

2.4. Impacts on Trees and Crops

A summary of the impacts on trees and crops is set out in the table below. Losses of individual APs are set out in an annex of the RP.

Table 8.. Impacts on Trees/Crops/Aqua Produce


Cat 1 Cat 2 Cat 3 Cat 4 Cat 5 Paddy/Vegetable

Tree m2

Component 1

1 Quang Hung 259 66 350 2 29 6,448.8

2 Quang Thanh 529 458 2,184 3 18 75,481.0

3 Dong Ve 5,029 4,552 3,198 8 102,841.6

4 Quang Thang 529 237 1,185 33 9 92,244.4

5 Dong Hung - - - - - 8,184.5

6 Tan Son 3,750 130 8,000 - - 26,434.4

Sub-total A 10,096 5,443 14,917 46 56 311,634.7

Component 4

1 Dong Cuong 10 15 20 - - 50,383.7

Sub-total B 10 15 20 - - 50,383.7

TOTAL (A+B) 10,116 5,473 14,957 46 56 362,018.4 Category 1: mango, coconut, milk fruit, longan, durian, sour sop, mangosteen

Category 2: orange, lemon, guava, pomelo, apple, custard apple, plum

Category 3: banana, dragon fruit, pineapple, sugar cane

Category 4: ornamental plants

Category 5: fuel wood trees, bamboo

2.5. Average Productive Landholding and Severity of Impacts

A total of 702 households are affected by the loss of agricultural land. This represents 82.3% of the affected households. Quang Hung is the ward with the lowest proportion (19.6%) of households experiencing loss of agricultural land. The wards/communes with the highest proportions of households with affected agricultural land are Dong Ve, Dong Cuong, and Dong Hung with 100% of households affected, Quang Thanh with 75% of households affected.

Table 9. Households Losing Agricultural Land in Total Affected Population

No Project

Ward/Commune

Total affected

HHs

No. of HHs with No Impacted

Agricultural Land

No. of HHs with Affected

Agricultural Land

% of Agricultural Land Affected

HHs



Component 1

1 Quang Hung 51 41 10 19.6

2 Quang Thanh 212 53 159 75.0

3 Dong Ve 196 0 196 100.0

4 Quang Thang 242 48 194 80.2

5 Dong Hung 16 0 16 100.0

6 Tan Son 27 9 18 66.7

Sub-total A 744 151 593 79.7

Component 4

1 Dong Cuong 109 0 109 100.0

Sub-total B 109 0 109 100.0

TOTAL (A+B) 853 151 702 82.3

Source: DMS

Table 10. Severity of Land Impacts of the APs (rate %)


10-30% agricultural land NOT required to

relocate

10-30% AND

required to relocate

30-70% NOT


30-70% AND

required to

relocate

70-100% NOT


70-100% AND

required to

relocate

Component 1

1 Quang Hung 7 0 2 0 1 0 10

2 Quang Thanh 66 0 45 0 2 0 113

3 Dong Ve 89 0 52 0 11 0 152

4 Quang Thang 67 0 71 0 27 0 165

5 Dong Hung 4 0 5 0 5 0 14

6 Tan Son 4 0 9 1 1 3 18

Sub-total A 237 0 184 1 47 3 472

Component 4

1 Dong Cuong 65 0 21 0 1 87 87

Sub-total B 65 0 21 0 1 0 87

TOTAL (A+B) 302 0 205 1 48 3 559

Source: DMS

2.6. Impacts on Business

There are 20 business households are permanently impacted by land acquisition and have to relocate their business location. All of them are small business or services such as groceries, motorbike services, fertilizer services, breeding services, etc. The majority of the businesses are non-registered single operator type. The affected businesses are located in 2 communes (Quang Thanh and Quang Thang), and 1 ward (Tan Son) – this is also the ward with the largest number of businesses (10). A total of 27 employees are expected to lose work - none with labour contracts. A summary of these affected businesses is presented in the table below.

Table 11. Summary of Displaced Businesses

No Project

Ward/Commune Total

Business Activity Registration status Employees

Service Retail Other Registered

None No of Labours

with contract

No of Labours without

Contract



Component 1

1 Quang Hung - - - - - - - -

2 Quang Thanh 4 1 3 - - 4 - 4

3 Dong Ve - - - - - - - -

4 Quang Thang 6 3 3 - - 6 - 8

5 Dong Hung - - - - - - - -

6 Tan Son 10 4 6 - - 10 - 15

Sub-total A 20 8 12 0 0 20 0 27

Component 4

1 Dong Cuong - - - - - - - -

Sub-total B - - - - - - - -

TOTAL (A+B) 20 8 12 0 0 20 0 27

Source DMS

2.7. Impacts on Institutions

There are sixteen public/collective institutions that are also affected by the Project. In which, most of them are impacted on land without structure built thereon. Impacts on public land are listed in the Table 6.

2.8. Impacts on Public Works

Affected public assets were recorded during the DMS - the results are presented in the table below. No public buildings or houses are affected.



Table 12. Affected Public Assets

No Project

Ward/Commune Power Poles

Concrete Canal

(m)

Water Pipeline (m)

Component 1

1 Quang Hung 6 150.0

2 Quang Thanh 18 6,910.0 600.0

3 Dong Ve 21 278.9

4 Quang Thang 35 3,620.0

5 Dong Hung 5 85.0

6 Tan Son 10 72.0

Sub-total A 95 10,965.9 750.0

Component 4

1 Dong Cuong 12 62.0

Sub-total B 12 62.0

TOTAL (A+B) 107 11,027.9 750.0

Source: DMS

2.9. Impact on cultural structures

There are not any cultural structures such as pagodas, temples, historical vestiges, cultural heritage or nature reserve affected by the project.

2.10. Temporary Impacts

Beside 853 of permanently affected households, the project may temporarily affect approximately to some households in the project area during project construction. However, technical and resettlement consultants have calculated to minimize, avoid causing damage to production and business and the lives of these families. Any loss due to temporary impacts occurring during construction will be determined and compensated as per the entitlement matrix.



D. Socioeconomic Information and Profile

1. Methodology

The socio – economic survey was implemented through the semi-structural questionnaires. The interviewed households were selected randomly from the list of affected households. Accordingly, total of surveyed households are 310 households, equivalent to 310 questionnaires, in which, there are 100% of relocated households, 20% of severe households (lose 10% or more of total landholding or income) and 10% of the remaining households. Besides, group discussions were organized with relocated households, vulnerable households and severely affected households, and social organizations of communes to consult them about measures of compensation, assistance, resettlement and livelihood restoration as well as their concerns about the project. Statistic data of project communes were collected and analyzed in this RP.

2. Socio - Economic Conditions of Affected Households

2.1. Household Population and Labor Force

According to the survey, total population of surveyed households is 1,414 people. The average household size is 4.6 persons per household. Based on locations of the components, the households that will be affected by building the vocational schools in Dong Cuong Commune (Component 4) have the highest household size with 4.8 while that of the component 1 is 4.6. By age category, those household heads with age in the range between 40 – 49 years old and 60 – 69 years old have higher membership than those in the other categories. It is not much different household size between the communes or wards in both component 1 and 4. Labour force accounts for 49.4% of HHs population, number of average labour per household is 2.3. Table 13 shows the household population that will be affected by land acquisition in wards and communes by the components.

Table 13. Household Population and Size


HHs Individuals No. of Male

No.of Women

No.of labours in

HHs

Size of HHs

A. Component 1

1 Quang Hung 11 51 25 26 24 4.6

2 Quang Thanh 79 373 185 188 185 4.7

3 Dong Ve 63 280 139 141 140 4.4

4 Quang Thang 94 416 206 210 207 4.5

5 Dong Hung 6 28 14 14 12 4.7

6 Tan Son 17 74 37 37 37 4.4

Sub-total A 270 1,222 606 616 605 4.6

B. Component 4

1 Dong Cuong 40 192 95 97 93 4.8

Sub-total A 40 192 95 97 93 4.8

TOTAL (A+B) 310 1,414 701 713 698 4.6

Source: SES

2.2. Education

Education degree of the surveyed persons is generally high, with around 94.1% who can read and write. The rates of surveyed persons attended the primary, secondary and high schools accounts for 28.1%, 22.9% and 37.3%, respectively. The College or University accounts for 5.6%. However, the illiteracy still accounts for 5.9%. These rates are quite different between project communes or wards as well as the project components.



Chart 1: Education Background of the Interviewees

Source: SES

Table 14. Education Background per Component

Education Achievement

Component 1 Component 4 Total Quảng

Hưng Quảng Thành

ðông Vệ

Quảng Thắng

ðông Hưng

Tân Sơn

ðông Cương

Illiteracy Q’tity 1 4 2 8 0 0 3 18

Rate % 9.1 5.1 3.3 8.6 0.0 0.0 7.5 5.9

Primary Q’tity 3 29 12 14 1 1 10 70

Rate % 27.3 37.2 19.7 15.1 16.7 5.9 25 22.9

Secondary Q’tity 4 15 30 34 5 6 20 114

Rate % 36.4 19.2 49.2 36.6 83.3 35.3 50 37.3

High School

Q’tity 2 23 17 31 0 6 7 86

Rate % 18.2 29.5 27.9 33.3 0.0 35.3 17.5 28.1

College/ University

Q’tity 1 6 0 6 0 4 0 17

Rate % 9.1 7.7 0.0 6.5 0.0 23.5 0 5.6

Post Graduate

Q’tity 0 1 0 0 0 0 0 1

Rate % 0.0 1.3 0.0 0.0 0.0 0.0 0 0.3

Total Q’tity 11 78 61 93 6 17 40 3061

Rate % 100.0 100.0 100.0 100.0 100.0 100.0 100 100.0

Source: SES

2.3. Household Occupation

Since large portions of land to be acquired will come from agricultural land, more than half (65.6%) of the surveyed households are farmers. About 34.4% are engaged in other livelihood activities to sustain their incomes, such as, employment in government offices (3.2%), trade and business (5.8%), and free occupations with an unstable income 3.6%. There are 10.7% of interviewees are retires.

1 4 households missing information



Chart 2: Situation of Employment in the Project Area

Source: SES

By project component, Dong Hung, Dong Ve, Dong Cuong, Quang Thanh and Quang Thang are communes those are at a highest rate of affected agricultural households in comparision to the remaining locations. In which, Dong Hung is the commune with the highest rate of farmers (83.3%), the lowest rate of farmers is Tan Son with 35.3%. Business households mainly focus in Quang Hung, Quang Thanh, and Tan Son. Occupational distribution for each component is shown in the table below.

Table 15. Situation of Employment per Project Component

Occupation Component 1 Component 4

Total Quang Hung

Quang Thanh

Dong Ve

Quang Thang

Dong Hung

Tan Son

Dong Cuong

Farmers Q'tity 4 49 47 62 5 6 29 202

Rate % 36.4 62.8 74.6 66.7 83.3 35.3 72.5 65.6

Workers Q'tity 0 2 0 0 0 1 0 3

Rate % 0.0 2.6 0.0 0.0 0.0 5.9 0.0 1.0

Office Officials

Q'tity 1 2 2 4 0 1 0 10

Rate % 9.1 2.6 3.2 4.3 0.0 5.9 0.0 3.2

Retires Q'tity 0 8 3 16 0 4 2 33

Rate % 0.0 10.3 4.8 17.2 0.0 23.5 5.0 10.7

Business/ Services

Q'tity 5 10 0 0 0 3 0 18

Rate % 45.5 12.8 0.0 0.0 0.0 17.6 0.0 5.8

Securities/ Soldiers

Q'tity 0 1 0 0 0 1 0 2

Rate % 0.0 1.3 0.0 0.0 0.0 5.9 0.0 0.6

Unstable Employees

Q'tity 0 2 1 5 0 0 3 11

Rate % 0.0 2.6 1.6 5.4 0.0 0.0 7.5 3.6

Craftsmen Q'tity 0 0 0 0 0 1 1 2



Occupation Component 1 Component 4

Total Quang Hung

Quang Thanh

Dong Ve

Quang Thang

Dong Hung

Tan Son

Dong Cuong

Rate % 0.0 0.0 0.0 0.0 0.0 5.9 2.5 0.6

House-Skeepers

Q'tity 0 1 1 0 0 0 0 2

Rate % 0.0 1.3 1.6 0.0 0.0 0.0 0.0 0.6

Others Q'tity 1 3 9 6 1 0 5 25

Rate % 9.1 2.6 14.3 6.4 16.7 0.0 12.5 8.0

Total Q'tity 11 78 63 93 6 17 40 3082

Rate % 100.0 100.0 100.0 100.0 100.0 100.0 100.0 100.0

Source: SES 2.4. Living Standards, Income and Expenditure

2.4.1. Income The average income of affected household is VND1,313,000/month. In which, 31.6% of the surveyed households is average income per capita per month from VND651.000 - 1.000.000, 28% of the surveyed households is average income per capita per month from VND1.000.000 – 2.000.000. Income per capita per month less than 500,000 VND is mainly in four communes such as Dong Cuong (82.5%), Quang Thang (23.4%), Quang Thanh (19%), Dong Ve (19%). The income level at VND 2,000,000 or more mainly focus in Tan Son ward (64.7%), Quang Hung commune (36.4%) with mainly income sources from business or services.

Table 16. Income Bracket of Households

Project Ward/Commune

Less than

500.000

501.000-

650.000

651.000 -

1.000.000

1.000.000 -

2.000.000

2.000.000 or more

Q’tity Rate % Q’tity Rate % Q’tity Rate % Q’tity Rate % Q’tity Rate %

Component 1

Quang Hung - - - - 4 36.4 3 27.2 4 36.4 Quang Thanh 15 19.0 10 12.6 18 22.8 20 25.3 16 20.3 Dong Ve 12 19.0 3 4.8 24 38.1 21 33.3 3 4.8 Quang Thang 22 23.4 3 3.2 28 29.8 24 25.5 17 18.1 Dong Hung - - - - 1 16.7 5 83.3 - - Tan Son 1 5.9 1 5.9 - - 4 23.5 11 64.7 Component 2

Dong Cuong 2 5.0 4 10.0 23 57.5 10 25.0 1 2.5

Total 52 16.8 21 6.8 98 31.6 87 28.0 52 16.8

Source: SES

The below table shows the structure of income sources in the project wards or communes. Generally, it is different between project communes or wards, Quang Hung and Tan Son has mainly income sources from business and services. The free occupations also are the job that brings the mainly income for many households in the project wards or communes, especially Dong Hung commune where farmers account for




83.3% but it is a very low rate of income comes from farming and they must do other jobs to ensure their lives (such as auxiliary construction worker, motor taxi, stone worker, loading worker, street vendors, v.v.)

Table 17. Structure of Income Sources of the Households (%)

Project Ward/ Commune

Income Source

Component 1 Component 4

Total Quang Hung

Quang Thanh

Dong Ve

Quang Thang

Dong Hung

Tan Son

Dong Cuong

Farming/Fishing/ Forest

4.2 7.0 25.2 13.9 12.3 1.9 32.5 13.4

Salary 15.9 36.2 32.5 37.8 12.5 26.7 17.9 31.2 Business/Services 50.2 27.9 0.8 14.8 - 61.2 8.0 25.3 Allowance/Giving 3.8 2.0 3.6 8.9 9.5 0.4 1.7 4.1 Others 25.9 26.9 30.3 24.6 65.7 9.8 39.9 26.0

Total 100.0 100.0 100.0 100.0 100.0 100.0 100.0 100.0

Source: SES

2.4.2. Expenditure

Almost households spent their income on the daily living costs like food (around 52.5%), school fee for children (19.6%). These voice that, most of them are low income households. Of total 17 surveyed poor households and 18 surveyed near poor households, most of these have just enough income to cover daily living without savings, even some families spend more than their incomes, and their financial deficits have to rely on the state subsidies or the assistance of siblings/relatives, these are the households living under the poverty line. That detailed by component at the below table.

Table 18. Structure of Expenditure of Households

Project Ward/

Commune Expenditure

Structure


Total Quang Hung

Quang Thanh

Dong Ve

Quang Thang

Dong Hung

Tan Son

Dong Cuong

Food 47.8 55.3 56.0 55.3 67.5 33.0 57.2 52.5

School 30.4 20.5 22.2 15.9 6.9 15.4 21.0 19.6

Health 3.7 3.4 2.6 9.0 5.0 7.2 3.0 5.2

Electricity 4.3 4.6 5.0 5.5 3.7 4.6 4.2 4.8

Water 1.9 1.6 1.6 1.5 0.0 0.9 1.2 1.4

Sanitation Fee 0.4 0.3 0.2 0.3 0.3 0.1 0.3 0.2

Business/Services 2.6 1.1 1.0 0.6 2.0 29.9 0.4 4.7

Travel, clothes, customs 9.4 12.6 10.2 11.6 14.0 7.7 12.5 11.1

Others 0.5 0.6 0.2 0.3 0.6 1.2 0.2 0.5

Total 100.0 100.0 100.0 100.0 100.0 100.0 100.0 52.5

Source: SES

2.4.3. Living Standard

By component, the monthly average household income in component 1 (VND1,364,000/month) is higher than that in the component 4 (VND1,003,781/month). The average monthly income per project communes or wards is different; it can be assumed that the higher income levels of the households are largely influenced



by those who are into non - farm activities. Dong Hung, Dong Ve and Dong Cuong communes are at the high rates of farmers (83.3%, 74.6% and 72.5%), these communes are at the monthly lowest incomes. Table 20 shows the average monthly income per household in each project location.

Table 19. Monthly Incomes and Expenditures of Households per Project Component (Unit: Viet Nam Dong)

Project Ward/Commune

Monthly average Income

Monthly average Expenditure

Monthly average Saving

Component 1 1,364,000 1,007,338 356,662

Quang Hung 2,003,529 1,400,020 603,509

Quang Thanh 1,322,266 924,678 397,588

Dong Ve 981,960 880,914 101,046

Quang Thang 1,165,857 862,337 303,520

Dong Hung 1,176,471 778,286 398,185

Tan Son 3,433,000 2,530,340 902,660

Component 2 1,003,781 780,302 223,479

Dong Cuong 1,003,781 780,302 223,479

Total 1,313,000 976,553 336,447

Source: SES

The analysis shows that, of 310 respondents, only about 8,1% has monthly income per capita of above 1,000,000 while 80,1% of total is at the average income (VND 651,000 - 1,000,000). There are 17 households (accounting for 5.7%) whose incomes fall below VND 500,000 per month, the poverty threshold established by the Ministry of Labor, Invalids and Social Affairs (MOLISA). There are 21 households are either living just within this poverty line or a little bit higher (VND 501,000 - 650,000), accounting for 6.1%.

Table 20. Lliving standard classification of Households

Project Wards/

Communes

Living Standard Classification

Poor Near Poor Average Fairly Wealthy

High Income

Total

Component 1

Quang Hung

Q’tity 0 0 7 4 0 11

Rate % 0,0 0,0 63,6 36,4 0,0 100,0

Quang Thanh Q’tity

1 2 62 14 0 79

Rate % 1,3 2,5 78,5 17,7 0,0 100,0

Dong Ve Q’tity 2 4 51 0 0 57

Rate % 3,5 7,0 89,5 0,0 0,0 100,0

Quang Thang Q’tity

10 0 75 1 0 86

Rate % 11,6 0,0 87,2 1,2 0,0 100,0

Dong Hung Q’tity 1 0 5 0 0 6

Rate % 16,7 0,0 83,3 0,0 0,0 100,0

Tan Son Q’tity 0 1 11 3 2 17



Project Wards/

Communes

Living Standard Classification

Poor Near Poor Average Fairly Wealthy

High Income

Total

Rate % 0,0 5,9 64,7 17,6 11,8 100,0

Component 2

Dong Cuong Q’tity 3 11 26 0 0 40

Rate % 7,5 27,5 65,0 0,0 0,0 100,0

Total Q’tity 17 18 237 22 2 2963

Rate % 5,7 6,1 80,1 7,4 0,7 100,0

Note: (i) Poor = below 500,000VND; (ii) Near Poor = 501,000 -650,000VND; (iii) Average = 651,000 – 1,000,000VND;

(iv) Fairly Wealthy = 1,000,000 – 2,000,000VND; and (v) High Income = More than 2,000,000 VND.

2.5. Accommodations and home comforts

One other indicator is the means and facilities of living of the households which can help categorizing living standards more objectively when based on observations and interviews by the investigators. The table using living facilities of households gives quite detailed description of the means and facilities of living of households from the sample survey results.

Table 21. Accommodations of the Surveyed Households

Accommodations Component 1

Component 4

Total Quang Hung

Quang Thanh

Dong Ve

Quang Thang

Dong Hung

Tan Son

Dong Cuong

Bicycle 72.7 88.6 81.0 81.9 83.3 64.7 85.0 82.6

Motorbike 72.7 75.9 77.8 69.1 83.3 88.2 67.5 73.9

Car - 1.3 1.6 1.1 - 23.5 - 2.3

Air Conditioner 27.3 8.9 6.3 9.6 - 35.3 - 10.0

Washing Machine 45.5 21.5 19.0 16.0 - 47.0 2.5 18.7

Bed/Wood Furniture

100.0 97.5 96.8 100.0 100.0 94.1 100.0 98.4

Television 100.0 97.5 96.8 96.8 100.0 94.1 92.5 96.5

Telephone Set 63.6 48.1 52.4 52.1 83.3 70.6 40.0 50.3

Mobile Phone 100.0 78.5 84.1 77.7 100.0 82.4 85.0 81.6

CD/DVD player 63.6 44.3 34.9 50.0 50.0 58.8 52.5 46.8

Computer 27.3 15.2 7.9 13.8 33.3 41.1 5.0 14.2

Rice-Cooker 100.0 96.2 96.8 97.9 100.0 88.2 90.0 95.8

Gas Cooker 72.7 87.3 71.4 84.0 83.3 17.6 77.5 81.0

Refrigerator 81.8 43.0 61.9 58.5 50.0 64.7 45.0 54.5

Source: SES

According to the survey result, the most popular accommodations are bed/wood furniture (98.4%), television (96.5%), rice-cooker (95.8%), bicycle (82.6), mobile phone (81.6%), gas cooker (81.0%). The expensive living home comforts are not popular in the project area, they are at the low rates, such as car (2.3%), computer




(14.2%), and washing machine 18.7%. These shows that a large portion of affected households are at the average living standards. By project communes or wards, Tan Son is the ward with a highest living standard, in this ward, 23.5% of the affected households possessing the cars, 47% possessing washing machine.

2.6. Infrastructures and Services

The socio-economic survey results of the affected households show the current status of infrastructural and social services in the project areas as follows:

2.6.1. Situation of Clean Water Use

The percentage of households using tap water for drinking and bathing and washing up is quite high, accounting for 89.4%, however, 10.6% of total is still not accessible to tap water. In particular, 100% surveyed households in Dong Hung is not accessible to tap water yet, meanwhile, the rate accessing tap water is 100% in Quang Hung.

Chart 3: Situation of Water Use in the Project Area

Source: SES

Most of household use tap water for eating and drinking, many of them use the other water sources for washing clothes or other purposes. The percentage of households using drilled well water for living is 19.0%, 1.9% surveyed households are using rain water. Notably, 0.3% of the households still use water from rivers/canals/ditches in their daily life, these households locate in Dong Ve commune under the component 1.

Table 22. Situation of Water Sources using by the Surveyed Households

Project Wards/ Communes

Using Water Source

Tap Water

Drilled Well

Water

Dug Well Water

Rain Water

Canal, Pond, Lake Water

Component 1

Quang Hung 100.0 9.1 - 9.1 -

Quang Thanh 94.9 20.3 13.9 2.5 -

Dong Ve 98.4 3.2 - - 1.6

Quang Thang 84.0 9.6 5.3 3.2 -

Dong Hung - 83.3 16.7 - -




Using Water Source

Tap Water

Drilled Well

Water

Dug Well Water

Rain Water

Canal, Pond, Lake Water

Tan Son 70.6 29.4 - - -

Component 2

Dong Cuong 95.0 7.5 2.5 - -

Total 89.4 13.2 5.8 1.9 0.3

Source: SES

2.6.2. Situation of Drainage and Sewerage System

Regarding wastewater collection forms, the percentage of households in project areas discharge wastewater through the combined sewer system accounts for 53.7%, 37.5% through ponds, lakes, rivers, 7.1% is “self-absorbed into the soil”. In general, the majority of the households say that the drainage system is often stagnant; the sewage causes flood, severe pollution.

Table 23. Situation of Drainage and Sewerage of the Surveyed Households

Project Communes or Wards

To combined

sewer

Self-absorbed into the

soil

To pond/lake

/river Others

Do not know

Total

Quang Hung Q'tity 7 2 1 1 0 11

Rate % 63,6 18,2 9,1 9,1 0,0 100,0

Quang Thanh

Q'tity 17 6 54 1 1 79

Rate % 21,5 7,6 68,4 1,3 1,3 100,0

Dong Ve Q'tity 62 0 1 0 0 63

Rate % 98,4 0,0 1,6 0,0 0,0 100,0

Quang Thang

Q'tity 31 8 52 2 0 93

Rate % 33,3 8,6 55,9 2,2 0,0 100,0

Dong Hung Q'tity 6 0 0 0 0 6

Rate % 100,0 0,0 0,0 0,0 0,0 100,0

Tan Son Q'tity 13 0 4 0 0 17

Rate % 76,5 0,0 23,5 0,0 0,0 100,0

Dong Cuong Q'tity 30 6 4 0 0 40

Rate % 75,0 15,0 10,0 0,0 0,0 100,0

Total

Q'tity 166 22 116 4 1 309

Rate % 53,7 7,1 37,5 1,3 0,3 100,0

Source: SES

2.6.3. Electricity

100% of the households have electricity. Among them, 98% of the households own electric meter, 2% use someone’s electric meter (mostly from brothers or cousins). However, power consumption is not the same among the income groups. The households with upper or rich income consume much more than the poor or near poor households. Most of the rich households consume an average of from 200kw/household/month, while the poor consume less than 100kw/household/month.

2.6.4. Latrine



There is only 59.7% surveyed households have their own septic tank. 38.4% of households is using the simple latrines, 1.9% of households has no toilets, they often go to rivers, ponds or lakes (focused in Quang Thanh and Quang Thang communes).

Table 24. Summary of Sanitation Situation in the Project Area


Septic Tank

Simple Pond, River,

Canal (no toilet)

Total

Component 1

Quang Hung Q'tity 9 2 0 11

Rate % 81.8 18.2 0.0 100.0

Quang Thanh Q'tity 40 36 3 79

Rate % 50.6 45.6 3.8 100.0

Dong Ve Q'tity 54 9 0 63

Rate % 85.7 14.3 0.0 100.0

Quang Thang Q'tity 56 35 3 94

Rate % 59.6 37.2 3.2 100.0

Dong Hung Q'tity 3 3 0 6

Rate % 50.0 50.0 0.0 100.0

Tan Son Q'tity 13 4 0 17

Rate % 76.5 23.5 0.0 100.0

Component 4

Dong Cuong Q'tity 10 30 0 40

Rate % 25.0 75.0 0.0 100.0

Total

Q'tity 185 119 6 310

Rate % 59.7 38.4 1.9 100.0

Source: SES

2.7. Land and housing

Average area of housing in the surveyed area is 78,3m2, in which, Dong Hung commune has the lowest figure (45.5m2), and the highest average number belongs to Tan Son with 144.8m2. Hardly there are no temporary houses in the area, except some in Tan Son ward which like camps build with the purpose of trading or manufacturing.

Table 25. Summary of Housing Situation

Project Wards/

Communes


Quang Hung

Quang Thanh

Dong Ve

Quang Thang

Dong Hung

Tan Son

Dong Cuong

Ave Floor Area (m2)

72.5 62.9 71.6 93.1 45.5 144.8 48.7

Structure Category Permanent House

54.5 43.8 56.5 91.9 50.0 60.0 27.5

Semi-permanent house

45.5 56.2 43.5 58.1 50.0 33.3 72.5

Temporary house

6.7

Ownership Status



Project Wards/

Communes


Quang Hung

Quang Thanh

Dong Ve

Quang Thang

Dong Hung

Tan Son

Dong Cuong

Long term 100.0 96.1 98.4 96.8 100.0 93.8 100.0

Temporary 2.6 2.1 6.2

State

Other 1.3 1.6 1.1

Type of Ownership Certificate

LURC 100.0 93.5 93.5 76.6 100.0 100.0 100.0

LURC with limited time

Nonetittled 2.6 6.5 21.3

Other 3.9 2.1

Source: SES

About the status of land ownership: Among the surveyed households, the proportion of households which are granted with certificates of land use is very high, especially in Quang Hung commune and Tan Son where it reached 100%. Quang Thang is the commune of which the number of households granted the certificates is lowest. The detail of land ownership status is shown in the table 26 below.

Table 26. Summary of Land Use Situation (Rate %)

State of Own Component 1 Component 4

Quang Hung

Quang Thanh

Dong Ve Quang Thang

Dong Hung

Tan Son Dong Cuong

Agricultural land with LURC

100,0 100,0 94,2 88,6 - 100,0 100,0

Residential land with LURC

100,0 94,8 90,0 70,4 100,0 100,0 100,0

Pond with LURC

100,0 93,0 75,0

Source: SES

2.8. Attitudes toward Project and Land Acquisition

An attitude and perception survey was conducted as part of the SES. The survey took place concurrently with the DMS. The respondents confirmed that they had been provided the project information, including project components, project benefits, and scope of impacts, project policies of compensation, assistance and resettlement, measures of income and livelihood restoration, and grievance mechanism. In general, most of people, especially affected people perceived that the project will bring benefits and opportunities for them to improve their conditions of living, travelling, and producing. Moreover, the project will create more jobs and increase in value of their land. Therefore, people strongly and broadly support project. The survey also indicated that affected people concern about level of compensation and measures of income/livelihood restoration. They expected that the compensation and allowance should be enough for restoration of their income and livelihood.

Table 27. Belief that Project Will Benefit Community (Rate %)



Project Wards/

Communes

Strongly Agree

Agree Undecided Disagree Strongly Disagree

Component 1

Quang Hung 45,0 50,0 5,0 0 0

Quang Thanh 33,0 65,0 2,0 0 0

Dong Ve 43,0 52,0 5,0 0 0

Quang Thang 30,0 66,0 4,0 0 0

Dong Hung 30,0 68,0 2,0 0 0

Tan Son 40,0 53,0 7,0 0 0

Component 1

Dong Cuong 66,0 34,0 0 0 0

Table 28. Belief that Project Will Benefit their own family (Rate %)


Strongly Agree

Agree Undecided Disagree Strongly Disagree

Component 1

Quang Hung 0 85,0 15,0 0 0

Quang Thanh 12,0 80,0 8,0 0 0

Dong Ve 23,0 75,0 2,0 0 0

Quang Thang 20,0 83,0 7,0 0 0

Dong Hung 25,0 72,0 3,0 0 0

Tan Son 10,0 83,0 7,0 0 0

Component 4

Dong Cuong 0 94,0 6,0 0 0

3. Socio-economic Conditions of Vulnerable Households

3.1. Female-Headed Households

For this resettlement plan, female headed households are defined in this RP as households that an unpartnered woman has significant responsibility for the maintenance and operation of the household and with dependants. Households which have unpartnered women listed as head of the family registration booklet and without dependents have not been treated as female headed households. Similarly, elderly women (of retirement age) living alone are treated separately as vulnerable elderly APs rather than as female headed households. The reason being that the responsibility of maintenance tends to fall to other family members (rather than by the APs themselves for others) and in that respect they share more in common with elderly males residing alone than with other female headed households.

Based on other resettlement plans for this Project for which information on individual female headed households was obtained through the resettlement surveys, it is expected that 2 affected households (2.2%) would be female headed households. The expected distribution is presented in Table 30.

3.2. Poor and Near Poor Households

Based on poverty statistics maintained by the respective wards and the survey result, the poor APs was shown at the below table. The definition of poverty used here is based on the MOLISA’s criteria of poor and



near poor (phase 2011-2015). Accordingly, the poor group incomes less than 500.000VND/person/month, the near poor incomes from 501.000-650.000VND/person/months in city.

Table 29.: Summary of the Poor Households

Project Commune/Ward

No. of Poor APs

No. of Poor APs in the survey

sample

No. of Near Poor APs

No. of Near Poor APs in the

survey sample Quảng Hưng

Q’tity 2 0 4 0

Rate 2.7 0,0 3.8 0,0

Quảng Thành

Q’tity 5 1 7 2 Rate 6.7 1,3 6.7 2,5

ðông Vệ

Q’tity 54 2 66 4

Rate 72.0 3,5 62.9 7,0

Quảng Thắng

Q’tity - 10 8 0 Rate - 11,6 7.6 0,0

ðông Hưng

Q’tity 1 1 5 0 Rate 1.3 16,7 4.8 0,0

Tân Sơn

Q’tity - 0 2 1

Rate - 0,0 1.9 5,9

ðông Cương

Q’tity 13 3 13 11 Rate 17.3 7,5 12.4 27,5

Total

Q’tity 75 17 105 18

Rate 100.0 22.7 100.0 17.1

A summary of other vulnerable APs households is presented in the table below.

Table 30: Summary of other vulnerable APs

Project Commune/Ward

Disabled

Revolution HHs

HHs with

Invalid Person

Single Woman- Headed

HHs

Other

Quảng Hưng

Q’tity 1 3 2 0 1

Rate 14.3 42.9 28.6 0.0 14.3

Quảng Thành

Q’tity 3 8 7 2 1 Rate

13.0 34.8 30.4 8.7 4.3 ðông Vệ

Q’tity 0 6 4 0 1

Rate 0.0 42.9 28.6 0.0 7.1

Quảng Thắng


0.0 10.0 40.0 0.0 16.7 ðông Hưng


0.0 0.0 50.0 0.0 0.0 Tân Sơn

Q’tity 0 2 1 0 0

Rate 0.0 66.7 33.3 0.0 0.0

ðông Cương


0.0 27.3 27.3 0.0 9.1 Total

Q’tity 4 25 30 2 9

Rate 4.4 27.8 33.3 2.2 10.0



There are 145 affected households identified as vulnerable households , including 75 poor households and 70 other households belonging to categories of disable, women headed households, revolution households. Beside of compensation for affected assets, the project will provide special allowances for them as mentioned in the entitlement matrix.

4. Issue of Ethnic Minorities

There were no ethnic minorities identified in the project area.

5. Gender Issues

Interviews and consultations with women APs show that women play important roles in households though the households are headed by males. The socio-economic survey showed that there is not gender problem in the project area, women and men are equal in labor division, schooling, participating in social work or leadership. Some gender aspects found during the survey could be summarized as follows:

(i) Gender in labour division of families

The survey showed that, there is not much different of occupation structure between men and women in the family (see the below table). However, it is much deferent in between men and women in doing housework. Most women work outside and do a lot of housework (such as cooking, cleaning, washing, taking care of children, etc) meanwhile men almost work outside and some ones share housework with their wives. The women are generally responsible for a variety of tasks related to household water, sanitation in the families, and community environment improvements. They are key actors in collecting, using, and managing water in the household and in the community.

Table 31: Occupation Structure per Gender

Occupation Male Female Total

Q'tity Rate Q'tity Rate Q'tity Rate

Farmers 102 59,6 100 73,0 202 65,6

Workers 2 1,2 1 0,7 3 1,0

State Officers 6 3,5 4 2,9 10 3,2

Retire 23 13,5 10 7,3 33 10,7 Small business/services

10 5,8 8 5,8 18 5,8

Security/Soldiers 2 1,2 0 0,0 2 0,6

Unstable employment 9 5,3 2 1,5 11 3,6

Handicraft 2 1,2 0 0,0 2 0,6

Housekeepers 0 0,0 2 1,5 2 0,6

Others 25 14,6 10 7,3 25 8,1

Total 171 100,0 137 100,0 308 100,0

(ii) Gender in social management and social organizations in project communes/wards

All of women in the surveyed households are the members of the Women’s Union. Each project commune/ward established a Community Management Committee (CMC) which includes 20% of women take part in it. Attention of women are being paid more and more in the project area as number of women is



increasing in the local decision-making institutions, such as Project Management Unit, Project Implementing Units, local authority, Women’s Union, CMC, etc. Women have equal opportunity with men for advancement.

(iii) Gender violence in family and society

Issue of beating women and girl children were not popular, but still scattered in the project area. The situation of abortion to eliminate female decreased significantly after the advocacy activities of the Women’s Union and other functional agencies. In general, gender inequality is not available in the project area. However, during project implementation, the attentions should be paid to women to:

- Ensure women participation in meetings and consultations;

- Ensure payments to be paid directly or with presence of the women;

- Ensure the grievances to be solved satisfactorily for both men and women;

- Ensure women to be enjoyed the income and livelihood restoration programs;

- Ensure jobs creation for the local women in the project to be a priority.

The gender action plan was proposed that cleared the solutions to solve the gender issues in the project.



E. Information Disclosure, Consultation and Participation

1. Objectives:

The main objectives of consultation and participation are to:

• Ensure that all APs and related agencies participate together in issuing decisions on involuntary resettlement matters;

• Minimise negative impacts caused by involuntary resettlement; and

• Avoid possible conflicts during the project implementation

2. Legal basics

As regulated in ADB policy, APs shall be fully informed and carefully consulted on resettlement and compensation plans. Consulting APs is the starting point for all activities related to the resettlement. APs may be afraid that they will lose their livelihood and community, or that they are not well prepared for complicated negotiations on their rights. Participation in establishment of the RP and its management will help APs relieve their worries and give them the opportunity to participate in what will affect their lives; implementing resettlement without consulting APs is improper and ineffective strategy. APs may object to the Project if they are not consulted, and create difficulties that could delay or even halt the Project and increase its costs. If APs are consulted any project objections, the Project can be dealt with at the beginning and changed with constructive participation.

For Viet Nam Government, one of the most important legal documents is the Instruction No.30-CT/TW by the Central Committee of the Vietnamese Communist Party on the “Construction and implementation of a basic democratic regime” and OrdinanceNo.34/2007/PL-UBTVQH11 on the same topic. The key basis of this legal document is the well-known slogan: “people know, people discuss, people do, people monitor.”

• Ordinance No.34/2007/PL-UBTVQH11points out matters that need the comments from local authorities and communities before the relevant authority issues a decision including the preparation of compensation, assistance and resettlement related to projects and works in the wards/communes.

• Article 39, clause 2 of the 2003 Land law requires matters related to resettlement, such as reasons and plans for land acquisition, relocation, general compensation and site clearance plans to be published for APs.

Therefore, consultation and participation is a new innovation in project implementation in Vietnam. The policy will overcome the shortcoming in the process of deployment of the Project because both local residents and project officers are lack of experiences in this field. The following points need to be focused on to encourage relevant agencies to participate in the Project's consultation process:

a. Determining and encouraging all related agencies, and especially APs (male, female, poor people and ethnic minorities), to join in the consultation and participation;

b. Establishing strategies for them to participate in project planning, implementation, monitoring and evaluation;

c. Building contents and topics for dissemination and information strategies, and establishing procedures to enable APs to negotiate their entitlements;

d. Attracting related agencies to participate in making decisions at the different steps of Project implementation (e.g. modes of compensation, consulting APs on compensation and implementation schedules, etc);



e. Setting up a schedule for activities such as providing information; compensation levels and modes; and establishing interests, locations and the relocation plan;

f. Establishing procedures for redressing grievances.

3. Procedures for Consultation and Disclosure

3.1. Consultation and Disclosure in the project Preparation Stage

At the beginning of the project preparation, local authorities and administrative leaders at all levels and potential affected people were informed about the proposed project and its objectives and various components. They were thoroughly consulted and actively participated in discussions about their demands for development and their priorities, as well as their awareness of the Project's objectives. APs were consulted about impacts and applicable measures to minimize negative impacts and improve the benefits for local residents. Local authorities were also consulted about their agreement with and commitment to implementing the Project’s resettlement policies. Summary of consultation results is attached in the annex of the RP.

In the meantime, the resettlement consultant group also conducted community consultations (meeting with the affected communities) to collect information about demographic status, sources of income, expectations for compensation prices, etc. After the Project is officially approved, project information including the project objectives and components and policy, were published via the national and local presses and televisions as well as the City PPC’s papers to disseminate to the project areas.

3.2. Consultation in the project implementation

3.2.1. Information dissemination

During the Project's implementation, the PPMU in combination with resettlement committees and CPCs with the support of the project consultants organized many public meetings to disclose the project information for APs in the project area. A Project Information Brochure was prepared and delivered to APs (Please refer to annex). Information were disclosed and discussed include:

(i) overall project information

(ii) Project impacts

(iii) Entitlements of APs

(iv) Compensation prices and payment procedures

(v) Resettlement options

(vi) Grievant redress mechanism

(vii) Measures of income and livelihood restoration, and

(viii) Project implementation schedule

3.2.2. Community consultation

As soon as the approved project, the RC conducted community meetings in affected wards/communes to provide additional information for APs and create opportunities for them to participate in open discussions about resettlement policies and procedures. The ward or commune PCs or resettlement consulting groups held meetings to consider and resolve issues related to compensation policies, household land use status, and land use origins. The affected communes were consulted about following issues:

a. Representative of each affected household should participate in the measurement and inventory of their assets, and sign in minute of inventory.



b. Households are involved in reviewing and commenting the draft compensation plan before submitted to PPC for approval.

c. After that, the city RC will calculate compensation based on the agreed prices and complete the compensation plan for affected assets. The PPMU will present information on entitlements for APs in the next consultation.

d. Next, the compensation plan shall clearly state affected assets and the compensation to which APs are entitled, and this shall be signed by the APs to show their agreement with the evaluation results. Any questions of APs on the contents of the plan shall be noted at this time.

e. Sending APs letters and/or questions related to the RPs to inform them about the plans and clearly explain the consequences of each plan.

f. Each household has the right to reflect, raise their questions related to resettlement such as prices, installment payments and procedures for documenting ownership in the new place, etc. Their questions will be resolved satisfactorily and timely.

g. Requesting APs confirm their choice of resettlement areas and get their preliminary confirmation of the location of the resettlement area. Displaced households visited the proposed resettlement areas to make their selection.

h. Requesting APs to state services clearly they are currently using such as education, health care, and markets, and the distance they travel for these services.

i. Consultation with affected people about their desire to the support and recovery plan. This section applies for severely affected and vulnerable APs. The RC will inform APs about the plan and their entitlement to technical assistance before requesting them to present their desires for restoration assistance clearly.

3.2.3. Community consultation results

The RC organized 18 community meetings for consultation with 100% of affected households participated. Of these, 54% of males and 46% of females participated in the meetings. An overview of the consultations is presented below and a detailed summary of the consultations is presented in the Annex. In genneral, 100% of affected people agreed with the result of the DMS and the replacement cost survey as well as the compensation, assistance and resettlement policies of the project.

Table 32: Attendance at AP Consultation Meetings


Date Location No.

Of meeting Total

Participants

In which, No. of

woman

Component 1

Quang Hung Oct, 2011

Meeting room of the commune PC

1 51 15

Quang Thanh Oct, 2011


4 212 95

Dong Ve Oct, 2011


4 196 87

Quang Thang Oct, 2011


5 242 130

Dong Hung Oct, 2011 Meeting room of 1 16 8



the commune PC

Tan Son Oct, 2011


1 27 12

Component 4

Dong Cuong Oct, 2011


2 109 50

18 853 397



F. Grievance Redress Mechanism

This section presents procedures and arrangements for addressing conflicts and appeals of APs regarding eligibility and entitlements of APs as well as the implementation of the resettlement activities.

A well-defined grievance redress and resolution mechanism was established to address AP grievances and complaints regarding land acquisition, compensation and resettlement in a timely and satisfactory manner. All APs was made fully aware of their rights, and the detailed procedures for filing grievances and an appeal process was publicized through an effective public information campaign. The grievance redress mechanism and appeal procedures were also explained in the project information booklet that was distributed to all APs.

APs are entitled to lodge complaints regarding any aspect of the land acquisition and resettlement requirements such as, entitlements, rates and payment and procedures for resettlement and income restoration programs. AP 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 AP.

For the purposes of grievance redress and resolution, the respective PIUs will also serve as grievance officers. The commune officials will make all reasonable attempts to settle AP issues at the commune or ward level through community consultation. All meetings will be recorded by the commune or ward and resettlement committees and copies will be provided to APs. Copies of minutes of meetings will be provided to PPMU and ADB upon request.

A four-stage procedure for redress of grievances is proposed:

• Stage 1: Complaints from APs are in the first instance lodged verbally or in written form with the Commune or Ward People’s Committee (CPC). The complaint will be discussed in an informal meeting with the AP and the CPC. It will be the responsibility of the CPC to resolve the issue within 15 days from the date the complaint is received. All meetings will be recorded and copies of the minutes of meetings will be provided to APs.

• Stage 2: If no understanding or amicable solution can be reached or if no response is received from CPC within 15 days of registering the complaint, the AP can appeal to the City PC. The AP must lodge the complaint within 30 days of registering the original complaint and must produce documents that support his/her claim. The City PC will provide a decision within 30 days of receiving the appeal.

• Stage 3: If the AP is not satisfied with the decision of the city PC or in the absence of any response, the AP can appeal to the Provincial People’s Committee. The PPC will review and issue a decision on the appeal within 30 days from the day it is received.

• Stage 4: At any stage of Grievance Redress Solving, if the AP is dissatisfied with the grievance solving result, they have right to submit their complaints to the City People’s Court.

The procedure described above is consistent with the legal process for resolution of disputes in Viet Nam.

The EMA will be responsible for checking the procedures for and resolutions of grievances and complaints. The EMA may recommend further measures to be taken to redress unresolved grievances. The Project Supervising Consultants will provide the necessary training to improve grievance procedures and strategy for the RC staff as and when required.

The Executing Agency will shoulder all administrative and legal fees that will be incurred in the resolution of grievances and complaints if the APs win their case. Other costs incurred by legitimate complaints will also be refunded by the Project if APs win their case.

It is recognized that, in many cases, APs may have the writing skills or are unable to express their grievances verbally; however, APs are encouraged to seek assistance from the nominated local CMC or other family members, village heads or community chiefs to have their grievances recorded in writing and to have access



to the DMS or other documentation, and to any survey or valuation of assets, to ensure that where disputes do occur all the details have been recorded accurately enabling all parties to be treated fairly. Throughout the grievance redress process, the responsible committee will ensure that the concerned APs are provided with copies of complaints and decisions or resolutions reached.



G. Legal Framework

1. Policy & Legal Framework for Resettlement

The legal and policy framework for compensation, resettlement and rehabilitation under the Project is defined by the relevant laws and regulations of the ADB policies and the Viet Nam Government. In case of discrepancies between the Borrower’s laws, regulations, and procedures and ADB's policies and requirements, ADB's policies and requirements will prevail, consistent with Decree No.131/2006/ND-CP which provides that in case of “discrepancy between any provision in an international treaty on Official Development Assistance, to which the Socialist Republic of Viet Nam is a signatory, and the Vietnamese Law, the provision in the international treaty on ODA shall take precedence” (Article 2, Item 5). This is also showed in the Article 16 Item A, Annex 5 of the Loan Agreement No.2511-VIE dated April, 17th, 2009 between Viet Nam Government and ADB.

1.1. Relevant Vietnamese Legislation

1. The Constitution of the Socialist Republic of Viet Nam (1992) confirms the right of citizens to own and protect the ownership of a house. In addition, the Government has enacted a number of laws, decrees and regulations that constitute the legal framework for land acquisition, compensation and resettlement. The principal documents include the Decree 69/2009/ND-CP dated 13/8/2009 regulated on the addition of land use planning, land price, land acquisition, compensation, assistance and resettlement, the Land Law No. 13/2003/QH11, providing a comprehensive land administration law; Decree No.197/2004/ND-CP, on compensation, rehabilitation and resettlement in the event of land recovery by the State, as amended by Decree No.17/2006/ND-CP; Decrees No. 188/2004/ND-CP and 123/2007, specifying the methods for land pricing and land price frameworks in the event of land recovery by the State. There is also Decree No.84/2007/ND-CP, which stipulates issue of LURC, land acquisition, land use right implementation, procedure of compensation, and assistance in the event of land recovery by the state and grievance redress.

2. Other laws, decrees and regulations relevant to land management, land acquisition and resettlement include the Construction Law 16/2003/QH11 on compensation and relocation of people affected by ground clearance for investment projects, Decree 16/2005-ND-CP on the implementation of the Construction Law, Decree 182/2004/ND-CP on penalties for administrative violations in land issues, Decree 198/2004/ND-CP on land use fees.

3. Laws, decrees and decisions relevant to public disclosure of information include Land Law, No.13/2003/QH11, Article 39, requiring disclosure of information to affected people prior to recovery of agricultural and non-agricultural land of, respectively, 90 and 180 days minimum and Decision 3037/QD-BGTVT, 2003, making the Project Management Unit (PMU) together with the Resettlement Committee responsible for public disclosure through mass media of the Project policies and the extent of site clearance to local people, particularly those that will be affected. The Decree 69/2009/ND-CP, Article 29, regulated about introduction of location and notice of land acquisition.

4. Decrees relevant to protection and preservation of cultural property include Decree No.172/1999/ND-CP, Article 25, requiring that sites currently recognized for cultural and historical preservation and that are situated within the boundaries of waterway safety corridors, should be kept intact according to current legal regulations.

5. Decree 69/2009/ND-CP of 13/8/2009 (Supplementary Regulations Regarding Land Use Planning, Land Pricing, Land Acquisition, Compensation, Assistance and Resettlement) amends Decree No. 197/2004/ND-CP, extends eligibility and provides additional entitlements, compensation and assistance over previous legislation.

6. Thanh Hoa Province People’s Committee Decision 3788/2009/QD-UBND of 23/10/2009 (decision regarding compensation, support and resettlement when the state acquires land in Thanh Hoa Province)



provides details for the application of compensation, assistance and eligibility regimes set out in Decree 69/2009/ND-CP.

1.2. ADB Safeguard Policy and Requirements

1. The ADB Safeguard Policy Statement (2009) consolidates three existing safeguard policies: involuntary resettlement (IR), indigenous peoples (IP), and environment. The objective of ADB Policy on IR is to avoid or minimize the impacts on people, households, businesses and others affected by the acquisition of land and other assets, including livelihood and income. Where resettlement is unavoidable, the overall goal of the ADB policy is to help restore the living standards of the affected people to at least their pre-Project level by compensating for lost assets at replacement costs and by providing, as necessary, various forms of support and assistance. This policy is guided by Operations Manual on Involuntary Resettlement (2009). Following are the key principles in the Bank’s policy on involuntary resettlement

a. Involuntary resettlement should be avoided where feasible.

b. Where population displacement is unavoidable, it should be minimized by exploring all viable project options.

c. Preference will be given to land-based resettlement strategies when affected livelihoods are land based

d. All compensation is based on the principle of replacement cost.

e. Each involuntary resettlement is conceived and executed as part of a development project or program

f. Affected people should be fully informed and consulted on compensation and/or resettlement options.

g. Institutions of the affected people, and, where relevant, of their hosts, are to be protected and supported. Affected people are to be assisted to integrate economically and socially into host communities so that adverse impacts on the host communities are minimized and social harmony is promoted.

h. The absence of a formal legal title to land is not a bar to ADB policy entitlements.

i. Affected people are to be identified and recorded as early as possible in order to establish their eligibility through a population record or census that serves as an eligibility cut-off date, preferably at the project identification stage, to prevent a subsequent influx of encroachers of others who wish to take advance of such benefits.

k. Particular attention must be paid to the needs of the poorest affected households and other vulnerable groups that may be at high risk of impoverishment. This may include affected households without legal title to land or other assets, households headed by women, the elderly or disabled, and ethnic minority peoples. Appropriate assistance must be provided to help them improve their socio-economic status.

l. The full costs of resettlement and compensation should be included in the presentation of project costs and benefits.

m. Budget for relocation and rehabilitation comes from ADB loan financing for the project, to assure timely availability of the required resources and ensure compliance with involuntary resettlement procedures during implementation.

2. The ADB Policy on Gender and Development (1998) adopts gender mainstreaming as a key strategy for promoting gender equity, and for ensuring that women participate in and that their needs are explicitly addressed in the decision-making process for development activities. The new safeguard policy and requirements also reiterates the importance of including gender issues in the preparation of safeguards documents at all stages to ensure that gender concerns are incorporated, including gender-specific consultation and information disclosure. This includes special attention to guarantee women’s assets, property, and land-use rights and restoration/improvement of their living standards; and to ensure that women



will receive project benefits. Other policies of the ADB that have bearing on resettlement planning and implementation are the (i) Public Communications Policy (March 2005), and (ii) Accountability Mechanism (2003).

1.3. Reconciliation of Government and ADB Policy on Resettlement

1. The resettlement and compensation policies for the Thanh Hoa City Comprehensive Socio – Economic Development Project are to be in accordance with ADB requirements and laws of the Government of the Socialist Republic of Vietnam. Under the ADB policy, it is a condition of funding that the Bank’s requirements are met in relation to resettlement, compensation and rehabilitation to all APs as defined in the ADB Safeguard Policy Statement.

2. With the promulgation of Decree 197/2004/ND/CP (3/12/2004), Decree 69/2009/ND-CP dated 13/8/2009 and relevant decrees stated above, the policies and practices of the Government have become more consistent with ADB’s social safeguards policies. Nonetheless, provisions and principles adopted in this Resettlement Planning Document will supersede the provisions of the relevant decrees currently in force in Viet Nam wherever a gap exists, as provided for under Decree 131/2006/ND-CP (November 2006), which regulates the management and use of official development assistance.

3. Besides the Viet Nam Government’s regulations, Article 23 in the Decree 69/2009/ND-CP dated 13/8/2009, regulated: “Besides assistance regulated in the Articles 18, 19, 20, 21 and 22 of this Decree, basing on the real situation of the location, the President of the PPC decides other assistance to ensure life stability and production for the AP, to case specially, this should be submitted to the Prime Minister for approval”. In addition, if additional gaps not mentioned below are found during RP updating, the required assistance or support will be included in the Updated RP.

4. The differences between the Government’s Laws and Decrees and ADB Policy with regard to resettlement and compensation, and how to address these gaps for this Project are shown in the table below.



Table 33. Gaps Between National Laws and ADB Policy

Key Issues State Legislation ADB Policy Project Policy

Definition of seriously affected households

Decree 69/2009 (Article 20(1)) states that households directly engaged in agriculture losing 30% or more of their agricultural land are entitled to life stabilization assistance.

Physical displacement from housing, and/or loss of 10% or more of APs’ productive assets (income generating).

Seriously APs are: (i) lose 10% or more productive capacity, assets or land; and/or: (ii) relocate their residence and/or: (iii) lose 10% or more income causes by the project

Eligibility for compensation & assistance. Legalizable users

Decree 197/2004, Article 8, Compensation for the timely specific cases and no dispute

Affected person are entitled to compensation at replacement cost and other assistance similar to the title users

Affected people are entitled to compensation at replacement cost and other assistance similar to the title users

Eligibility for compensation & assistance. Non-titled users

Decree 69/2009 Article 14(1) If persons who have land recovered by the State meet conditions related to land ownership set out in Article 8 Item 1, 2, 3, 4, 5, 7, 9, 10, 11 of Decree 197/2004/ND-CP, they shall receive compensation; if they fail to meet all conditions for compensation, the Peoples’ Committees of the provinces or centrally run cities shall consider providing such support.

Decree 69/2009/ND-CP Article 24(4): Property attached to land which falls into one of the cases prescribed in Clauses 4, 6, 7 and 10 of Article 38 of the Land Law shall not be compensated.

Those without titles to land or any recognizable legal rights to land are eligible for resettlement assistance and compensation for loss of non-land assets.

Improve the standards of living of the displaced poor and other vulnerable groups, including women.

Those without titles to land or any recognizable legal rights to land are eligible for resettlement assistance and compensation for loss of non-land assets.


Compensation of land at replacement cost

Decree 69/2009, Article 11, regarding the land price, if the PPC sets the land price at the land acquisition time does not match with the actual price of land in the market, the PPC will adjust the specific price suitably

All compensation is based on the principle of replacement cost, which is the method of valuing assets to replace the loss at current market value, plus any transaction costs such as administrative charges, taxes, registration and titling costs. In the absence of functions markets, a compensation structure is required that enables affected people to restore their livelihoods to level at least equivalent to those maintained at the time of dispossession,

All compensation is based on the principle of replacement cost, which is the method of valuing assets to replace the loss at current market value, plus any transaction costs such as administrative charges, taxes, registration and titling costs. In the absence of functions markets, a compensation structure is required that enables affected people to restore their livelihoods to level at least equivalent to those maintained at the



displacement, or restricted access. time of dispossession, displacement, or restricted access.

Unregistered businesses Decree 69/2009, Article 20(2) states only registered businesses are eligible for assistance. When the land used by a registered economic organization, production household, business household and the business and production must be suspended, the user shall be compensated with 30% (the highest) of the after tax income in one year subject to average income in the last 3 continuous years as certified by the tax department.

In the case of economically displaced persons, regardless of whether or not they are physically displaced, the borrower/client will promptly compensate for the loss of income or livelihood sources at full replacement cost. The borrower/client will also provide assistance such as credit facilities, training, and employment opportunities so that they can improve, or at least restore, their income-earning capacity, production levels, and standards of living to pre-displacement levels.

Those who are economically displaced, but who are not formally registered (e.g. unregistered businesses, employees without labour contracts) will be assisted as appropriate to ensure that their income sources are restored to at least pre-project levels.


Entity that conducts the valuation of acquired assets

Provincial and cities people’s committee under central authority will establish specific land prices based on the principles stated in clause 1, Article 56, Land Law

Qualified organizations may provide consultancy on land prices (Article 57, Land Law)

Qualified and experienced experts will undertake the valuation of acquired assets

A qualified appraiser will be engaged to conduct replacement cost surveys for the project which will be used as input by the District Compensation Boards for determining compensation amounts for PPC approval.

Provision of rehabilitation assistance

Decree 69/2009/ND-CP, Article 20 - 21 and Decision 3788/2009/QD-UBND, Article 2[3]: APs losing more than 30% of productive land will be entitled to living stabilization and training/job creation assistance.

Rehabilitation assistance is required for those who lose 10% or more of their productive income generating assets and/or being physically displaced. Focus on strategies to avoid further impoverishment and create new opportunities to improve status of the poor and vulnerable people.

Rehabilitation assistance will be provided to those who lose 10% or more of their productive income generating assets, being physically displaced, and households who belong to poor and vulnerable groups.



2. Project Policies

2.1. Objectives and Principles

The overall objectives of this resettlement policy are (i) to avoid, if not, minimize resettlement impacts; (ii) if impacts are unavoidable, RP 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. Principles adopted for this Project are presented below:

(i) The acquisition of land and other assets and the relocation of affected persons (APs) will be minimized as much as possible by exploring all viable options.

(ii) APs are entitled to compensation at replacement cost for their lost assets, incomes and businesses, including temporary losses or impacts.

(iii) Rehabilitation assistance will be provided to severely affected people and other vulnerable groups to assist them to improve or at least restore their pre-project living standards, incomes and productive capacity.

(iv) Particular attention will be paid to the needs of the poorest people and vulnerable groups that may be at high risk of impoverishment. This may include those without legal title to land or other assets, landless households, households headed by females, the elderly or disabled and other vulnerable groups. Appropriate assistance must be provided to help them improve their socio-economic status.

(v) APs that lose only part of their physical assets will not be left with a portion that will be inadequate to sustain their current standard of living. The minimum size of remaining land and structures will be agreed during the detailed measure survey (DMS).

(vi) Lack of legal title to affected assets will not bar APs from entitlement to compensation and assistance to achieve the stated objectives of this Resettlement Policy Framework.

(vii) As a priority, loss of agricultural land will be compensated with alternative land of equal size and productive capacity. If suitable replacement land is not available and/or at the “informed request” of APs, compensation will be paid in cash at replacement value based on current market prices for agricultural land of the same category (or productive capacity) as the affected land.

(viii) Replacement land for agriculture and residential purposes will be provided with secure tenure status; all fees and/or other surcharges associated with transfer of land title will be waived.

(ix) Compensation for permanent houses and other structures will be determined according to replacement value for materials and labour to rebuild similar structures, at current market prices in the locality. In determining replacement costs, depreciation of assets and salvage value of materials will not be taken into account.

(x) In the determination of compensation for movable structures including houses, where the structures can be moved easily, relocation and repair allowances will be calculated. An assessment of material replacement was made, based on the condition of materials, with valuations calculated based on market prices.

(xi) In the case of the relocation of APs, replacement houses and/or agricultural land will be located as close as possible to the assets that were lost, and at locations acceptable to APs. Relocated APs will receive relocation and transition subsistence allowances.



(xii) Efforts shall be made to maintain, to the extent possible, the existing social and cultural institutions of the resettled people and host communities.

(xiii) APs will be fully consulted and will participate in the preparation and implementation of RPs for each sub-project. The comments and suggestions of affected people and communities will be taken into account during the design and implementation phases of resettlement activities.

(xiv) Adequate resources will be identified and committed during resettlement planning for each sub-project and the overall Project. This includes adequate budgetary support fully committed for each sub-project and made available to cover the costs of land acquisition, compensation, resettlement and rehabilitation within the agreed implementation period for the sub-project; and, adequate human resources for supervision, liaison and monitoring of land acquisition, resettlement and rehabilitation activities.

(xv) Appropriate reporting, monitoring and evaluation mechanisms will be identified and set in place as part of the resettlement management system. Monitoring processes and the final outcomes will be conducted by an independent monitoring agency.

(xvi) Detailed RPs will be translated into Vietnamese or, where necessary, the local language and placed in the commune offices for the reference of APs as well as other interested groups.

(xvii) ADB shall not approve of any award of civil works contract for any sub-project to be financed from the loan proceeds unless the Resettlement Plan following detailed design and based on detailed measurement survey (DMS) has been submitted to and approved by ADB. The Provincial People’s Committee of Thanh Hoa shall ensure that civil works contractors are not issued a notice of possession of site for construction works with respect to any subproject unless it has (i) satisfactorily completed, in accordance with the approved RP, the compensation payment and relocation of APs to new sites; and (ii) ensured that required rehabilitation assistance is in place and the area required for civil works is free of all encumbrances.

2.2. Cut-Off Date and Eligibility

For the Project, the cut-off-date for eligibility for entitlement is defined as the completion of the DMS on affected property. The complete day of detailed measurement survey of the Component 1 and 4 is 10th November, 2011. Persons who occupy the project area after the cut-off date will not be eligible to any compensation or assistance. This cut - off - date has been widely announced to the affected communities and affected households.

2.3. Principles of Replacement Cost

All compensation will be based on the principles of replacement cost which needs to replace an affected asset without deduction for taxes and/or costs of transaction as follows:

a) Productive Land (agricultural, aquaculture, garden and forest) based on actual current market prices that reflect recent land sales in the area, and in the absence of such recent sales, based on recent sales in comparable locations with comparable attributes, fees and taxes for LURC or in the absence of such sales, based on productive value.

b) Residential land based on actual current market prices that reflect recent land sales, and in the absence of such recent land sales, based on prices of recent sales in comparable locations with comparable attributes; fees and taxes for LURC.

c) Houses and other related structures based on actual current market prices of materials and labour without depreciation or deduction for salvaged building materials.



d) Trees and annual crops equivalent to current market value of crops at the time of compensation. Compensation for affected annual crops is based on the average market price for the average annual output of crop products. For perennial trees, compensation at replacement cost equivalent to current market value given the type, age and productive value of trees at the time of compensation. Compensation price for timber trees is calculated based on average diameter of trees and their current market value.

2.4. Eligibility and Entitlement

The project-affected people (APs) are those persons experiencing part or total affects on their property and/or livelihoods as a result of the project. A complete DMS was undertaken from September to November, 2011 to prepare this resettlement plan.



H. Entitlements of APs 1. The entitlements of APs developed and presented in the entitlement matrix below correspond to the impacts identified during the census and detailed measure survey. Entitlements adopted are based on the ADB Social Safeguard policies, the Government Decrees and provincial Decisions, and the results of consultation with APs (to ensure that losses are restored, if not improved).

2. Entitlements for each type of APs are based on the types and levels of losses. The Entitlement Matrix for the Project is shown in the table below. Unit rates presented in the RP and Entitlement Matrix basing on the replacement cost units proposed by the Agency of replacement cost survey – Institute of Sociology.



Table 34. Entitlement Matrix No Impact Level Of

Impact Eligible Persons Entitlements Implementation Issues

I. LAND

1 Productive land (agricultural, orchard land, aquaculture, garden)

Marginal loss – (losing less than 10% of total landholding,

remaining unaffected portion is viable for productive use)

a. Owners with LURC, eligible to acquire LURC according to Government regulations, or otherwise legalizable under Government regulations

(i) Preference to cash compensation for acquired land at replacement cost which is equivalent to current market price and free from transaction costs (e.g., taxes, certification, administration costs);

(ii) APs whose garden land, pond which is located on the same land lot having a residential house located in a residential area but which is not classified as residential land; garden land, pond on the same land lot having separate house; garden land, pond on the same land lot having house located along a canal and traffic road, addition to the compensation based on agricultural land price of orchard land, are entitled to assistance equivalent to 40% of the value of residential land (at replacement cost) in the locality of the affected land. If affected agricultural land locates in rural resident area or ward/city territory, addition to the compensation for the affected land, based on agricultural land price, is entitled to assistance equivalent to 20% of the average value of residential land (at replacement cost) in the locality. The maximum area that may be thus be calculated for this assistance is not to be larger than 5 times the quota of land allocation in the local area.

(iii)Assistances for the APs affected their productive land, see the item III below

(iv) For the portion to be used temporarily during construction: (i) rental in cash which will be no less than the net income that would have been derived from the affected property during disruption (ii) restoration of the land within 3 months after use.

• For non-land affected assets, see item II below.

If the area of the remaining land is not viable, and if the AP so agrees, then the remaining portion of land will be acquired according to the project’s compensation/ assistance regime.

APs are obliged to pay pre-existing outstanding financial obligations to the state related to affected land from land compensation.

Affected households to be notified at least 3 months prior to the date that the Project will actually be acquired by the Project

b. User with lease or temporary right

(i) No compensation for land, (ii) Compensation for investment costs for land and/or

City Resettlement Committee will determine the value of investments



No Impact Level Of Impact

Eligible Persons Entitlements Implementation Issues

remaining contract period; • For non-land affected assets, see item II below.

on the affected land in consultation with the AP

c. Non-titled user not eligible to become legalised

(i) No compensation for land; (ii) Compensation for non-land assets (crops, trees structures), see item II below. (iii) If the AP is classified as poor and directly use the land they are entitled to receive cash assistance as per PPC decision.

Losing 10% or more of total landholding (entire land affected or the remaining unaffected portion is not viable for productive use)

a. Owners with LURC, eligible to acquire LURC according to Government regulations, or otherwise legalizable under Government regulations.

(i) Due to limitation of agricultural land, the Project will prior to compensate with “land for land” mechanism for the affected households whose are impossible to transfer their job, the remaining households will get compensate by cash for the lost land at 100% of replacement cost which is equivalent to current market price and free from transaction costs (e.g., taxes, certification, administration costs); (ii) APs whose garden land, pond which is located on the same land lot having a residential house but not classified as residential land; garden land, pond on the same land lot having separate house; garden land, pond on the same land lot having house located along a canal and traffic road, addition to the compensation based on agricultural land price of orchard land, are entitled to assistance equivalent to 40% of the value of residential land (at replacement cost) in the locality of the affected land. . If affected agricultural land locate in rural resident area or ward/city territory, addition to the compensation for the affected land, based on agricultural land price, is entitled to assistance equivalent to 20% of the average value of residential land (at replacement cost) in the locality. The maximum area that may be thus be calculated for this assistance is not larger than 5 times the land allocation limit in the local area. (iii) If loss is equivalent to 10% or more of total agricultural land: assistance for livelihood restoration programs will be provided; Assistances for the APs affected their productive

For some affected households, priority will be given to “land-for-land” compensation equal in area and value to the affected land. the remaining households will get compensate by cash at replacement cost. Affected households to be notified at least 3 months prior to the date that the Project will actually be acquired by the Project;





land, see the item III below • For non-land affected assets, see item II below. • For allowances due to severe loss, see item 8 and 10 below.

b. User with lease or temporary right

(i) No compensation for land, (ii) Compensation for investment costs for land and/or remaining contract period; • For non-land affected assets, see item II below.

City resettlement committee will determine the value of investments on the affected land in consultation with the AP.

c. Non-titled user and not eligible to become legalised

(i) No compensation for land; (ii) Compensation for non-land assets (crops, trees structures) See item II below. (iii) If the AP is classified as poor and they directly use the land they are entitled to cash assistance as per PPC decision.

Temporary loss

Land users regardless of tenure status.

(i) Cash compensation based on average productivity of three years multiplied by the duration of using time. The amount of the compensation will not be less than the minimum wage for those whose labour is displaced from the affected land. (ii) Full restoration of affected land to pre-impact conditions. (iii) APs being thus displaced for periods in excess of one year will be entitled to participate in vocational training programs.

Temporary impacts will be minimised by reducing the area used, utilising areas being permanently acquired for the project where feasible and reducing the time of the temporary acquisition as much as possible.

2 Residential land Residential land with structures where remaining land is sufficient to rebuild a house and not requiring relocation.


(i) Cash compensation for the portion to be acquired permanently at replacement cost which is equivalent to current market price and free from transaction costs (e.g., taxes, certification, and administration costs). • For non-land affected assets see items II below.

Minimum permitted residential lot size to rebuild house is according to provincial regulations. Affected household to be notified at least 6 months prior to the date that the Project will actually be acquired by the Project

b. Non-titled user (i) No compensation for land





and not eligible to become legalised.

• Compensation for non-land assets (structures, crops, trees), see item II below.

Residential land with structures where remaining land is insufficient to rebuild a house.


Residential plot at a resettlement site Number of resettlement plots is basically suitable for the expectation and livelihood of the affected households, equivalent to the value of the land acquisition. (i) APs shall be entitled to provision of at least one standard resettlement lot; (ii) Relocated households whose directly work on agricultural production (land-based income) will be given preference to resettle near the former residence (within 500m). These households will also be paid compensation by cash and support priority to resettle in the new residence at least equal to or better than the former residence. (iii) Where extended families jointly reside on the same acquired lot and would be eligible for separate household registration books, or if there are multiple households jointly holding the same LURC then additional resettlement lots will be granted with an equivalent value. (iv) APs who receive resettlement land but the value of the compensation and assistance they are entitled to be less than the value of a standard lot in resettlement site, shall receive the balance of the value of the lot as assistance. If they do not receive a resettlement lot they will receive the equivalent value of the difference between the amount of compensation/ assistance and the minimum value of one resettlement lot as cash. [ND 69/2009:19(1)] Cash compensation (iv) Cash compensation at replacement cost which is equivalent to current market price and free from transaction costs (e.g., taxes, certification, and administration costs) if APs not select to receive a resettlement lot. Lot development grant (v) Those entitled to receive a resettlement lot, but choose

Resettlement sites are to have adequate infrastructure and access to social services.

Depending on the area, category and location of affected land, APs may be entitled to additional resettlement lots as specified in the relevant PPC decision.

Where the entitlement for number of lots granted are less than the actual number of households of an extended family living separately on the acquired land, favorable consideration will be given to grant priority access of remaining households to purchase resettlement plots and facilitate suitable payment arrangements as needed.

The allocation of resettlement lots will take account of the needs of extended families to be co-located. In this regard special attention will be paid to the elderly residing separately, female headed households and vulnerable APs.

Affected household to be notified at least 6 months prior to the date that the Project will actually be acquired by the Project





self-relocation shall receive a lot infrastructure development grant as per relevant provincial decision. • For allowances associated with relocation of house, see item 8 below • Assistance for livelihood restoration programs.

b. Land users without LURC and whose land use is not legalizable.

(i) No compensation for land. (ii) Entitled to participate in livelihood restoration programs. (iii) Those displaced from land they are residing on prior to the cut-off date, have no alternative accommodation and who are otherwise ineligible for a resettlement lot shall be favorably considered for grant of a resettlement lot plus supplementary assistance for housing construction as needed. • For non-land affected assets see items II below. • For allowances associated with relocation of houses, see item 8 below.

Affected household to be notified at least 3 months prior to the date that the Project will actually be acquired

Residential land with no residential structures

Owners with LURC, or eligible to acquire LURC according to Government regulations

(i) Cash compensation for the portion to be acquired permanently at replacement cost.

Minimum permitted residential lot size is according to provincial regulations.

If the remaining portion is less than minimum permitted residential lot size then the entire lot will be acquired.

Affected household to be notified at least 3 months prior to the date that the Project will actually be acquired by the Project

Temporary impacts during construction (for soil dumping, borrow sites

Owners with LURC; in the process of acquiring LURC; are eligible to acquire LURC.

(i) For the portion to be used temporarily during construction: (1) rental in cash to be negotiated by RC with the affected households; (2) restoration of the land within 3 months after use; Government will pay replacement cost if contractor fails to restore the affected land within 3 months after end of use; (ii) Affected non-land assets cause during construction will be paid at replacement cost by the Contractor





and contractor's camps

3 Public land No compensation of affected public land • Compensate for the non-land assets according to the equivalent value

II STRUCTURES, CROPS & TREES

4 House and other structures

Houses and other structures partially affected

Owner of structures regardless of tenure status

(i) Cash compensation at replacement cost equivalent to current market prices of materials and labour without depreciation or deductions for salvaged building materials for the affected portion at the time of compensation. (ii) Repair compensation equivalent to the actual cost of repair (materials and labour). • For allowances, see item 7 below

Affected house built after the cut-off date shall not be compensated.

Houses and other structures totally affected


(i) Cash compensation at replacement cost equivalent to current market prices of materials and labour without depreciation or deductions for salvaged building materials for the entire structure at the time of compensation. • For allowances, see item 7 below

APs who have affected houses, but who are landless shall be favourably considered for assistance of replacement land Affected house built after the cut-off date shall not be compensated.

Business structures


(i) Cash compensation at replacement cost equivalent to current market prices of materials and labour without depreciation or deductions for salvaged building materials for the entire structure at the time of compensation. (ii) Other business assets (not structures): Owners of businesses will be considered (by PPC) to be assisted with relevant costs of not fixed business assets (material and equipment) remaining at the time of displacement. The PPC will decide on assistance based on each specific case after receiving a request from the owner of the business. • For allowances, see item 9 below

Affected business structures built after the cut-off date shall not be compensated.

Graves Affected household

(i) All costs of land, excavation, relocation and reburial will be reimbursed in cash to the affected family as prescribed in PPC regulation.

For ownerless affected graves, compensation will be given to Commune PCs to relocate them to





a local cemetery.

Graves to be exhumed and relocated in culturally sensitive and appropriate manner.

5 Crops, trees, and aquaculture products

Loss of or damage to trees/crops

Owners regardless of tenure status

(i) Cash compensation for annual crops and aquaculture products equivalent to current market value of crops/aquaculture products at the time of compensation; (ii) For perennial crops trees, cash compensation at replacement cost equivalent to current market value given the type, age and productive value (future production) at the time of compensation. (iii) Timber trees based on diameter at breast height at current market value.

APs have the right to use salvageable trees.

APs will be given 3 months notice prior to land acquisition.

APs will receive cash compensation based on market cost of ripened crops/fruit for any unharvested crops that were planted prior to the land acquisition announcement. No compensation for trees/crops are going to harvest.

6 Public facilities Loss of or damage to assets

Relevant agencies

Cash compensation to cover the cost of restoring the facilities

Relocation or reconstruction of public facilities will be done with minimal disruption to public service.

III TRANSITION ASSISTANCE

7 Displacement from residential housing

Severe impacts on house

Relocating households regardless of tenure status

Transport allowance as follows: (i) The relocated households also get support for relocation with VND3.000.000 for each household to relocate in the inner province or VND5.000.000 for each household to relocate to another province. Rental assistance (iii) For those without alternative accommodation and are: (a) Awaiting for resettlement land/house at a resettlement site; and (b) Awaiting finalization of construction of replacement house not on a resettlement site shall receive adequate rental assistance sufficient to meet their accommodation needs, at VND1.000.000/HH/month in Thanh Hoa City, or

Transport allowance to be provided to APs displaced from rented accommodation and those temporarily displaced from owned residential accommodation in addition to those permanently displaced from owned accommodation.





VND800.000/HH/month in Sam Son and Bim Son towns and VND600.000/HH/month in the remaining areas. Time for support bases on the reality, but not exceeds 6 months. Vocational training and income restoration (iv) Household members whose livelihoods are impacted due to relocation are entitled to participate in livelihood restoration programs including: • any one vocational training course within the province free of charge; • Income restoration programs sponsored under the project.

8 Loss of income/ livelihood due to loss of agricultural land

Losing 10% or more and/or relocation

APs directly farming affected land

Stabilization allowance • losing 10-<30% of agricultural land: cash grant equivalent to 30kg of rice at market price per household member for a period of 3 months if not required to relocate and for a period of 6 months if required to relocate; • losing 30-<70% of agricultural land: cash grant equivalent to 30kg of rice at market price per household member for a period of 6 months if not required to relocate and for a period of 12 months if required to relocate; • losing 70-100% of agricultural land: cash grant equivalent to 30kg of rice at market price per household member for a period of 12 months if not required to relocate and for a period of 24 months if required to relocate; Job creation and vocational training allowance Cash grant equivalent to 1.5 times of the current market value of the agricultural land acquired but not excess the quota of agricultural land allocation of Thanh Hoa city; All members of the affected household of working age are entitled to participate in any one vocational training course within the province free of charge (if in need). Agricultural extension • APs compensated with land-for-land shall receive technical and material support to promote their farming production. The type of extension services provided shall be based on

APs not eligible for compensation of affected agricultural land will be entitled to stabilisation allowance, income restoration allowance, and vocational training assistance.

Income restoration allowance and vocational training is not provided to those who are compensated with land-for-land nor those whose agricultural land is subject to supplementary compensation due to being on same lot with resident house or within ward/resident area (as in 1 above). [ND69/2009:22;]

However, the above does not affect the entitlements that vulnerable AP households are otherwise eligible for under RP entitlements.





consultations with the respective APs. • APs having remaining farming land shall be entitled to participate in agricultural extension and development programs.

9 Loss of Income/ livelihood due to relocation of business

Severe impacts on businesses (10% or more of total of income)

APs losing business Income

Business Transport allowance To transport business equipment/inventory. For businesses operating from fixed space, the amount of allowance will not be less than that for relocating households. Business stabilization allowance • For registered businesses: cash assistance equivalent to 30% of 1 year after tax income, calculated according to average level of previous three years certified by tax office. • For non-registered businesses: cash assistance equivalent to 5% of monthly revenue for a period of 3 months. Business rental assistance Affected businesses renting business premises will be entitled to cash assistance equivalent to 3 months rent. Vocational training and income restoration All owners/partners of the affected business (registered or non-registered), if in need, are entitled to participate in: • any one vocational training course within the province free of charge; • Income restoration programs sponsored under the project.

Affected business owners may nominate an immediate family member of working age to participate in vocational training in lieu of themselves.

Employees losing their job in affected businesses

Stabilisation allowance • Employees with minimum 6 working months through labour contracts employed by registered businesses: cash allowance equivalent to 70% of pre-tax wage specified in the labour contract (but not less than the minimum wage) for the duration of cessation of the affected business or 3 months, which every period is less, according to the confirmation from the tax office; • Employees without labour contracts or who have labour contracts of less than 12 months duration: cash allowance equivalent to 70% of monthly salary for 3 months. Vocational training Permanently affected employees of the affected business (registered or non-registered) will be entitled to participate in

The ward/commune People’s Committee of the affected business will certify employment of affected employees without labour contracts.





any one vocational training course within the province free of charge, if in need.

IV SPECIAL ASSISTANCE

11 Higher risks of impoverishment/ hardship due to loss of resource base/ relocation.

Loss of land and non-land assets and relocation.

Affected vulnerable groups regardless of severity of impacts

Special allowance Poor households shall receive a grant of VND 1,5 million – 2 million per household, these households shall be given priority in the income restoration program and be considered to support until their poverty is eliminated; Other vulnerable households as well as female headed households as defined in the RP, if need help as confirmed by the local authorities and their communities, shall also receive a grant of VND 1,5 million – 2 million per household. House upgrade assistance Vulnerable households and female headed households with less than a category IV house or who are compensated for a house of less than category IV shall receive additional assistance to enable them to upgrade their house to category IV standard. Disabled APs shall receive assistance to upgrade their houses to provide appropriate accessibility for them (e.g. wheelchair access). Vocational training and income restoration In addition to other income restoration entitlements mentioned elsewhere vulnerable and female headed households are entitled to: • One additional vocational training course per household member within the province free of charge; • Additional income restoration program assistance sponsored under the project. Other Special assistance will be provided to families on social allowance (poor families, policy families, war heroes, war invalids, etc) as per provincial policies in addition to the above entitlements. Grant of assistance is from 1 million to 3 million per household

Design of replacement houses provided to elderly APs or APs with disability is to take account of accessibility needs (e.g. minimising steps and provision of ramp access).

No dual support for vulnerable households





Progressive Bonus

Relocated households who hand over their affected land to the project on time

The relocated APs who hand over their affected land on time shall receive an incentive bonus of VND1 million – 3million million per household



I. Relocation of Housing and Settlements

1. Analysis and Assessment of Resettlement Demand

There are 103 households affected resident land, of which, 16 households are partly affected their residential land (without affected housing) and they will get compensation by cash, 87 affected households get compensation by land in the resettlement areas. Of 87 affected households, 69 households have to relocate in the resettlement areas; the remaining households (18 households) get compensation by “land for land” according to their expectation.

Based on the demand for resettlement, the relocated people will be moved into the resettlement areas with fully social and technical infrastructure which meet the resettlement need of the relocated households. The resettlement sites are suitable for their living conditions and business because they are constructed near the former ones so that relocated households can maintain their earning activities and neighborhood relationship as well as membership of social organizations.

Table 35: Analyzing of Resettlement Demand

No Project ward or commune

Land for cash compensation

Land for lots compensation

Undecided Total

Component 1

1 Quảng Hưng - 10 - 10 2 Quảng Thành - 44 - 44 3 ðông Vệ - - - -

4 Quảng Thắng - 25 - 25 5 ðông Hưng - - - - 6 Tân Sơn - 8 - 8

Sub - Total A - 87 0 87

Component 4

1 ðông Cương - - - -

Sub - Total B - - 0 -

TOTAL (A+B) - 87 0 87

Accordingly, 203 of land lots are allocated for 87 affected households in need, average area is 80m2 for each lot. Number of land lots allocates for each household depends on their affected area and the principle of replacement cost or “equipvalent value”.

The survey also showed the occupation situation and expectation of the resettlement households. Of total 87 resettled households, there are 13 of farming households and all of them can continue their production on the remaining agricultural land (in case they are in need of transfering their job, the supports for them will be given as shown in the income rehalibitation programme). There are 23 of small business or service households, all of them will set their new business location in the resettlement areas. The remaining households are still doing their current jobs such as workers, office staff, hired labors. Besides, all the resettled households will be particularly paid attention and be supported according to the income restoration programme.

Chart 4: Structure of Occupation of the Resettled Households



2. Resettlement Criteria and Procedures

The resettlement for households whose land is entirely acquired complies with the following procedures:

1. Consultation with displaced/resettled households about the resettlement areas;

2. Publish the detailed design of resettlement areas;

3. Subdivide land in resettlement areas based on the principle of consultation with affected households;

4. Arrange and support for temporary residence during the time of constructing new house;

5. Move households to resettlement areas and apply living rehabilitation measures.

Criteria for resettlement priority:

As above classification, the consideration for resettlement is divided into two main categories - residential land affection and severe agricultural land affection (10% or more). Therefore, the criteria for prioritizing resettlement will be arranged as follows:

1. Priority 1: Households, whose residential land is affected and their leftover area is not enough for rebuilding houses, will be arranged in resettlement areas.

2. Priority 2: Households with no legal certifications for land and houses but have no place to live and apply for land plots in resettlement sites.

3. Priority 4: Households lose 10% or more of agricultural land, legally residential land, lose job and lose land for business or production

4. Priority 5: Households with sub-households

5. Priority 6: The households hand over affected land soon

3. Description of Resettlement Areas

There are 05 resettlement sites making in available by the government of Thanh Hoa city for the APs. Therefore the APs will be relocated close to their former resident areas. These resettlement sites are including of:



1. Quang Hung commune resettlement site (junction with the ring road under this project) invested by Dat Viet GOLD company.

2. Resettlement Site in Dong Huong Urban Area

3. The insertion resettlement site in Thanh Yen village, Quang Thanh commune manage by Quang Thanh committee (Established at Decision 1502/UBND-QLDT dated September 03, 2009 of Thanh Hoa city).

4. Quang Thang commune resettlement site invested by resettlement Committee of Thanh Hoa city (decision 1821/UBND-QLDT dated October 20, 2010).

5. The resident area in Nguyen Trai road (intersect with the ring road under CSEDP) at Tan Son ward. This site is under preparation of the planning by Thanh Hoa city.

Table 36. Description and Arrangement of Resettlement Area

No Content Unit Quantity

I+II. Quang Hung Commune Resettlement Site and Resettlement Site in Dong Huong Urban Area

1 Total area of the resettlement area m2 137 819

2 Total area of resettlement housing building m2 41 916

3 Total area of infrastructure for resettlement areas (including transport, electricity, trees, water supply, social infrastructure ...)

m2 95 903

4 No of resettlement land lots Lot 428

5 No of HH demands of resettlement land lots HH 10

Total of acquisition area m2 3.633,1

Total of land lots for compensation (average area is 80m2/lot, minimum area is 60m2

Lot 41

5.1 Total of relocated household HH 8

+ Total of acquisition area m2 1.862,5

+ Total of land lots for compensation Lot

5.2 Total of affected household can build on the remaining land, but in need o resettlement land lots

HH 2


+ Total of land lots for compensation Lot 18

III. Quảng Thắng Commune Resettlement area

1 Total area of the resettlement area m2 108.688

2 Total area of resettlement housing building m2 14.843

3 Total area of infrastructure for resettlement areas (including transport, electricity, trees, water supply,

m2 48.545




social infrastructure ...)





Lot 48




5.2 Total of affected household can build on the remaining land, but in need of resettlement land lots

HH 6

+ Total of acquisition area m2 915,2


IV. Quảng Thành Commune Resentment Area




m2

9.683





Lot 105





HH 10






V. The resident area in Nguyen Trai road (intersect with the ring road under CSEDP) at Tan Son ward




m2

94.300



Total of acquisition area m2 883,2


Lot 9





HH 0

+ Total of acquisition area m2 0




J. Income Restoration and Rehabilitation

1. Objectives

The livelihood restoration programme plays an important role in the RP implementation when project creates negative impacts on local residents. Without livelihood restoration programs APs may become poorer or being separated from their community; they may suffer from diseases, lack of food, inaccessible to public resources.. Therefore, the key objective of this programme is to restore livelihoods of APs to the same level or better than that prior to the project, and to ensure that APs will be adaptable to their new conditions and restore or improve their income as soon as possible.

2. Analysis of demands

The survey shows that total 853 households will suffer impacts on residential land/houses and other architectural works, of which 69 households must relocate for the project implementation. The affected households are living in Quang Thanh, Quang Thang, Quang Hung, Dong Hung, Dong Cuong communes, and Tan Son and Dong Ve wards. They are currently relying on their business and production. The households affected by the Project have been consulted and assessed on needs of livelihood restoration . Their views and opinions about the restoration of livelihood after resettlement are shown as follows:

Table 37: Statistic of employment needs in the project area


People look forward to vocational training

People want to be recommended jobs

A. Component 1

Quang Hung 9 4

Quang Thanh 105 42

Dong Ve 156 25

Quang Thang 69 25

Dong Hung 3 3

Tan Son 18 5

Sub-Total A 360 124

B. Component 4

Dong Cuong 69 25

Sub –Total B 69 25

TOTAL (A+B) 429 148



The above table, there are 429 persons expect to get the vocational training courses from the project and 148 persons want to be recomended a job by the project. Therefore, recommendations on vocational training courses and other supports for them will be made in this rehalibitation program.

According to the surveyed results, the income sources of the surveyed households are diverse, such as businessmen, farmer, workers-officials, employees, etc. In which, the income sources of these households mainly come from small business or service (25.3%), and salary (31.2%).

Table 38: Vulnerable Groups in the Project Area

Project Communes or Wards

Total of HHs

Poor HHs

HHs with disabled Persons

HHs devoted for revolution

HHs with war

invalid Persons

Others Total

Quang Hung

Q’tity 0 1 3 2 0 1 7 Rate 0.0 14.3 42.9 28.6 0.0 14.3 100.0

Quang Thanh

Q’tity 2 3 8 7 2 1 23 Rate 8.7 13.0 34.8 30.4 8.7 4.3 100.0

Dong Ve

Q’tity 3 0 6 4 0 1 14 Rate 21.4 0.0 42.9 28.6 0.0 7.1 100.0

Quang Thang

Q’tity 10 0 3 12 0 5 30 Rate 33.3 0.0 10.0 40.0 0.0 16.7 100.0

Dong Hung

Q’tity 1 0 0 1 0 0 2 Rate 50.0 0.0 0.0 50.0 0.0 0.0 100.0

Tan Son

Q’tity 0 0 2 1 0 0 3 Rate 0.0 0.0 66.7 33.3 0.0 0.0 100.0

Dong Cuong

Q’tity 4 0 3 3 0 1 11 Rate 36.4 0.0 27.3 27.3 0.0 9.1 100.0

Total

Q’tity 20 4 25 30 2 9 90

Rate 22.2 4.4 27.8 33.3 2.2 10.0 100.0

There are 90 households directly affected by the project are the vulnerable households, including the poor households, households with disabled persons, “revolution” households (HHs with war invalid Persons, martyrs or of revolution) or single women with dependants. Support, impact mitigation for these households will also be taken into account fully.

3. Proposed rehabilitation program

The project ensures to fully compensate and to assist for affect land/assets/works basing on replacement cost. Besides, rehabilitation programs for affected persons are recommended basing on the policy framework and the policy of Thanh Hoa Province PC and consultations with APs, including:

3.1. Allowance for Living and Production Rehabilitation:

a) Assistance for households with agricultural land

For households whose agricultural land is affected 10% or more will be supported one time by cash, equivalent to 30kg of rice per month for each person of affected household based on local average market



price at the time of support, including: (a) In case, from 10% to less than 30% of agricultural land affected, APs are supported for living stability within 3 months if not displaced and within 6 months if displaced and (b) In case, from 30% to less than 70% of agricultural land affected, APs are supported for living stability for 6 months if not displaced and for 12 months if displaced; (c) In case, from 70% or more of agricultural land affected, APs will be supported for 12 months if not displaced and for 24 months if displaced.

b) Assistance for relocating and temporary residence

The relocated household whose have their land area is smaller than area of a standard resettlement land lot, they will be supported one resettlement land lot with standard area is 50m2 in the inner city or 60m2 in the peri-urban area. If the affected households want to resettle by themselves (not relocate to the resettlement areas), they will get a cash allowance of equal to value of investment in infrastructure of a standard plot in resettlement site. Besides, the relocated households also get support for relocation with VND3.000.000 for each household to relocate in the inner province or VND5.000.000 for each household to relocate to another province.

For relocated households who have no other resident place, they will get support for temporary resident during pending the new resident place at VND1.000.000/HH/month if relocating within Thanh Hoa City, or VND800.000/HH/month within Sam Son and Bim Son towns as well as within the remaining areas. Time for support bases on the reality, but not exceeds 6 months.

c) For APs loss of income sources from business and production

(i) Compensation by cash for damage of income in the transition time, is compensated with 30% of the after-tax income of one year according to the average income of the three preceding years approved by the tax authorities (equivalent to 100% of the total average income in 6 months);

(ii) Compensation for the construction works, production materials at the full replacement cost of the work, without depreciation; and,

(iii) If a business location is displaced, the affected people will be given an alternative business location or compensated with cash for the area lost which is eligible for compensation with replacement cost, plus support of transportation to relocate properties and belonging production materials.

d) Temporary impacts on production and business

(i) Compensation for loss of income which is equivalent to the average net income each month, at least for 3 months; (ii) Compensation for properties on the affected land at the replacement costs, and (iii) restore status of the land or improve soil quality.

e) Allowance for the poor households and the other vulnerable groups, including:

- The poor households that have to move to another place will be supported of VND 1,500,000 - 2,000,000 addition to other allowances.

- The other vulnerable groups such as households with single women headed with dependants, households with disabled persons, the single elderly, or the helpless also receive the support of VND1,500,000 - 2,000,000/household, depending on the number of households and the dependents of these households.

- If the households under preferential treatment policy or the households having members who receive social policy of the state have to move, they will be supported of 1,500,000 - 2,000,000VND/ household. These cases should have an agreement minute from the local authority and community.



Together with the policies of support the poor and other vulnerable groups (policy households, disable persons, single female headed households, etc) mentioned above, these households will facilitate to participate in poverty reduction programs in accordance with the regulations of the Thanh Hoa People’s Committee.

3.2. Allowance for Vocational Training and Job Creation:

Households with agriculture land affected whose are not compensated by “land for land” mechanism, they will get support for job transition by cash, equivalent to 1.5 times of agricultural land price for the acquired agricultural land area, the assisted area is not exceed the quota of agricultural land allocation in the location. The allowance is included in resettlement budget.

Besides, households need a training or apprenticeship; they will be admitted to the vocational centers within the province and are exempted from tuition fees for such training course for people at working age (not applicable for those who enroll for vocational trainings outside the province).

When needed, the following organizations will assist the affected households in participating in the programs with the knowledge and basic skills needed to find work or start a new livelihood activities, and lending capital to launch the programs.

Table 39: List of vocational training centers in Thanh Hoa province.

No. Names of the vocational training centers

Locations & Phone numbers

Management agency

Vocation & scale of training

I Vocational School

Vocational School mountainous of Thanh Hoa

Minh Son commune, Ngoc Lac district , Thanh Hoa province

People’s committee of Thanh Hoa

Scale: 650 students/ year, include 4 groups: Mechanical, Agriculture- forestry, Electrical, Information Technology

Vocational School of Applied Technology in Thanh Hoa

No 5 of 3, Phu Chung , Tay Son 2, Phu Son, Thanh Hoa

Ha Noi University of Labour and Social Affairs

Enrollment 9 career in 2011: Computer Network Administration, Technical repairs, computer assembly, Civil power, Electricity industry, South, Processing plants and product design, Textile- fashion, Business accounting; The number of annual enrollment of 400 students

Vocational School of Commerce – Tourism Thanh Hoa

272 Pho Moi, Quang Tam, Quang Xuong, Thanh Hoa

Thanh Hoa Department of Trade and Industry

Every year the school enrollment from 900 to 1,000 intermediate-level practitioners and primary occupations; Industry Training: Intermediate Vocational cooking technique, High-level hospitality training, High level training in business administration, Intermediate Vocational Business Accounting, Intermediate Vocational Finance and Banking, Intermediate Vocational Travel Management - restaurants - hotels

Vocational School Radio - Television

Quang Tho,

People’s committee of

Enrollment 9 career in 2011: Exploiting radio equipment, Mining TV equipment, Electronics,





Management agency


Thanh Hoa Quang Xuong district, Thanh Hoa

Thanh Hoa Industrial electronics, Civil power, Information technology, Computer network administration, Reporters and editors base station, Business accounting; The school enrollment 450 students in 2011.

Vocational School Transport Thanh Hoa

No 2, Doc Ga, Phu Son, Thanh Hoa city


In 2010, nearly 2.000 foreign students studying at the school, which has 123 students in the University class automotive technology, the school has trained and certified by the 1136 graduating class B1 driving, Grade B2 1876 driver, 1089 driver class C

Build Vocational School in Thanh Hoa.

Hamlet 2, Quang Hung, Thanh Hoa city


Carpentry construction and interior design, construction techniques, Formwork - Scaffolding, reinforcing steel - Welding, Drawing on computer, graphic design, civil electronic, electricity, water supply, accounting, computer, concrete

Vocational School of Agriculture and Rural Development

No 579, Quang Trung 2 street, Dong Ve, Thanh Hoa city


Training human resources for the sector of Agriculture and Rural Development of Thanh Hoa, intermediate and primary vocational training.

Vocational School in Nghi Son

Zone 4 - The town of Tinh Gia District, Tinh Gia, Thanh Hoa province.


Currently, the school has 750 students are intermediate level occupations: Devices, South, South-tech 3G, 6G, Business Accounting. Every year, from 300 to 600 students of primary school system

Private Vocational School Vietnam China

Quang Ninh, Quang Xuong district, Thanh Hoa City

Industry Training: South, Computer network administration, Sewing fashion, Business accounting, Electricity industry. Every year, the school enrollment 390 students

Vocational School Youth difficulties

No 125B Le Lai, Quang Hung, Thanh Hoa city

Department of Labor, Invalids and Social affairs Thanh Hoa province

Industry Training: Sewing fashion, Technical repair, computer assembly, Electricity industry, South. Every year, the school enrollment 110 students

Vocational School An Vinh Nhat

Urban and Industrial Zone Hoang Long, Hoang Hoa district, Thanh

Industry Training: Power systems, Civil and industrial, Accounting, Agronomy, Aquaculture, Husbandry and veterinary medicine. The school enrollment 350 students in 2011





Management agency


Hoa province

II Colleges, Intermediate-level professional have vocational training

Industrial Vocational College Thanh Hoa

No 64, Dinh Huong street- Dong Cuong (Dinh Huong crossing)- Thanh Hoa city

Minister of Labor Invalids and Social Affairs

Industry Training: Industrial Electronics, Automotive technology, South, Metal cutting, Techniques refrigeration and air conditioning, Devices, Repair techniques and computer assembly, Information Technology, Business accounting, Sewing and fashion design; The school enrollment 435 students in college and intermediate-level in 2011

Lam Kinh Vocational College

People’s committee of Thanh Hoa, Department of Labor, Invalids and Social affairs Thanh Hoa province

Colleges level : including 4 trades with 200 training target 36 months:

- Business Accounting

- Corporate Governance

- Food

- Hotel Management

Intermediate level: 3 trades with 120 training target 24 months include:

- Business Accounting

- Corporate Governance

- Food Processing 40

Primary system: 7 trades with 1795 targets school from 3 to 6 months (according to the scheme of the Prime Minister 1956)

- Growing of crops

- Information Technology

- Tourist Guide

- Automotive Technology

- Restaurant Service

- Techniques for sugar cane

- Mushroom cultivation techniques

III Vocational training center

Center of Informal Education and Vocational Training of Thanh Hoa City

No.11 Chu Văn An, Bà Triệu Str, Trường Thi ward, Thanh Hoá city

Department of Education and Training

Short-term vocational training: mechanic, technique of processing food and tourism services, application computer, vocational training for the farmers whose land is recovered.





Management agency


Center for Vocational and driver training- People’s police Academy

Hoang Long, Hoang Hoa, Thanh Hoa

Ministry of Public Security

Organize of training and licensing drivers

Trung tâm dạy nghề Công ñoàn Thanh Hóa

Centers for Vocational training Thanh Hoa union

No 57 Nguyen Du, Sam Son tower

General Labor Confederation of Vietnam.

The array of activities: Consulting job training, job placement, and policies related to labor relations, provide information on the labor market, About jobs in countries and to work in labor-exporting. The Center has allowed eight vocational training and vocational elementary level include: Sewing Industry, Mechanics (mound-welding) , Information Technology Office, Electronics Industry, Civil power, Sewing Machine Repair, Technical refrigeration and air conditioning, Food processing techniques; and Link training on the needs of learners.

Centers for Vocational training Tuan Hien

130 Tong Duy Tan- Lam Son- Thanh Hoa City

Private Vocational training: Motorcycles repair and paint refurbish, Car repair, Civil power repair, utilities, Electronic repair, Refrigeration, Engineering( welding mound) , Accounting , Driving

Work switching will be implemented by the Department of Labour, Invalids and Social Affairs. Before and during project implementation, the provincial authorities would require the construction contractors to coordinate with the Department of Labour, Invalids and Social Affairs to provide a list of jobs that the seriously affected households can join. Work switching will be given firstly to affected households with skills according to evaluation of the representatives of the Department of Labour, Invalids and Social Affairs.

Besides the above training supporting policy, the project also covers some other supports such as:

- For those short of capital in manufacturing, business and services, the project implementers in coordination with the local government and local banks will seek priority for them to borrow from banks to invest in production. Thanks to the loan, they can recover their lives. Maximum loan that each AP can borrow is VND 25 million. The loan comes from the Bank of Agriculture and Rural Development or Bank of Social Policies.

- Priority of allocation of jobs is given for capable workers in the households affected in the process of preparing and implementing the project.

- For the affected agricultural land households, the project will help them access to the programs to develop production applications, such as training in new production technology, advanced breeding methods, sources of new varieties and support market information and outputs for agricultural products.

3.3. Management of the income restoration program

3.3.1. Program Management Structure

Through the supervision of the city departments, the Department of Labour, Invalids and Social Affairs will monitor implementation of the income restoration programs daily. The Standing Committee shall consider



and approve the proposals on startup capital and training support for the affected households. This Committee is in charge of the progress of implementation of the livelihood activities which the affected households participating in the program selected. Cost of managing the rehabilitation program will be deducted from the cost of managing the site clearance & resettlement plan.



Organizing structure of the income recovering program

PPC

DPI

PPMU - Managing

Agency of the Income

Recovering program

PC

RC

Implementing Agency

Commune People’s

Committee

Farmers’

Association

Women’s

Union

Veterans’

Association

Youth’s

Association

Department of Labor,

Invalids and Social Affairs

EMA

Leading, approving

Managing programs

Affected households

participating in Recovering

Program

Monitoring

Department of MARD

Bank of MARD

Bank of Social Policies

Vocational Training

Centers

TA

Supporting in technical

training, vocational training,

giving loans for production

Supporting,

proposing



Missions of the organizations in the structure of implementing the income restoration program

� PPC: responsible for directing, reviewing and approving the program

� The Project Resettlement and Site Clearance Committee: generally responsible for managing and implementing the entire program and reporting to the PPC.

� PPMU: responsible for reporting progress and results to the PPC, the ADB and the relevant Departments and Branches.

� Supervising Consultant: responsible for supporting and recommending resolutions when there are discrepancies and unsuitable contents during the program implementation.

� Department of Labour, Invalids and Social Affairs: responsible for regular monitoring of the income restoration program and participating in reviewing the agenda.

� City People's Council and Compensation and Site Clearance Committee: responsible for implementing the contents of the income restoration program, directing wards, communes, and associations in the city in the project implementation.

� Associations (Farmers’ Union, Women’s Union, Veterans’ Union, Youth’s Union): play the roles of intermediary organizations that link the affected people with the income restoration programs.

� Department of Agriculture and Rural Development, vocational training centers, Bank of Agriculture and Rural Development, Bank of Social Policies: responsible for supporting training, vocational training, giving loans to the affected households for production.

3.3.2. Progress of Implementation

Progress of implementingthe activities related to the income restoration program is summarized in the Table of Resettlement Implementation Schedule.

3.4. Cost Estimation for the rehabilitation program

The costs for implementing the recovery program are estimated in the table below. These costs cover implementation of chosen livelihood programs of the affected households as well as training, planning, services of credit and extension. Total of anticipated budget for rehabilitation programme is VND12.850.000.000.



Table 40: Cost estimation of the income restoration program

Program content Unit Quantity Cost Total cash Notes

1. Supporting vocational training for labour at the age 18-45 in need (this money is directly supported for the vocational training center or schools, without directly supporting for the APs.

Person 1,600 4,000,000 6,400,000,000 The capital for the program comes from the project as required.

In addition, each year the Department of Agriculture and Rural Development, Provincial Farmers’ Association regularly organizes technical training courses at no cost to families, so that the affected households will be participating in this program when they need.

2. Giving loans for production (husbandry, cultivation, business…)

HH 380 16,000,000 6,080,000,000 Capital from the provincial bank of Agriculture and Rural Development, and from the provincial bank of Social Policies are ready for the households to loan. Order, procedure and conditions of loan are implemented as stipulated.

3. Cost of implementation management (3%)

HH 370,000,000 This source of capital is from the project.

Total cost of the income restoration program

12,850,000,000



K. Source of Fund and RP Costs

The total budget for implementing this RP is 348,119,729,1004VND, equipvalent to 16,577,130.0USD. This amount covers compensation and allowances, design and implementation of income restoration measures/programs, administration cost and contingency. As cost of land acquisition and resettlement will be funded under the loan, in line with ADB’s Loan Disbursement Handbook, Second Generation Imprest Account (SGIA) will be established in Thanh Hoa City Resettlement Committee at a commercial bank acceptable to the Government and ADB. Use of these SGIAs will be limited to PPMU providing funds for payments: (i) to APs for land and other assets acquired to facilitate the construction of the various components; (ii) to APs for resettlement compensation and allowances as set out in the approved updated RP; (iii) relocation site development and income restoration program, and (iv) for incremental expenses incurred by the City Resettlement Committee necessary for the implementation of the approved updated RP. A qualified appraiser will be hired during RP updating to carry out replacement cost survey for land and non-land assets. The rates established by the qualified appraiser will be used as basis for compensation payment by the PPMU and City Resettlement Committee. PPMU and City Resettlement Committee, with the help of project supervision consultants, will setup a system to ensure that channeling of funds are done transparently, efficiently and effectively, monitoring is in place, and timely submission of resettlement audit reports are met. ADB staff will have the right conduct spot or random checks of expenditures covered by the SGIA. Financial and audited statements will also be made available to the external monitor.

4 The increasing of RP budget in comparison with previously estimated budget was cleared in the Annex 2



Table 41: Summary of Resettlement Budget

No Items Component 1 Component 4 Total (dong) Total (USD)

I

Compensation, Assistance and

Resettlement Budget for the

Affected Households

253,294,777,000 9,739,080,000 263,033,857,000 12,525,421.8

1 Compensation for Affected Land 140,520,819,000 2,832,768,000 143,353,587,000 6,826,361

2

Compensation for Affected

Assets/Objects 58,409,629,652 672,997,000 59,082,626,652 2,813,458

3 Compensation for Tree and Crop 2,444,143,386 1,126,163,000 3,570,306,386 170,015

4

Compensation for Grave

Relocation 455,005,000 0 455,005,000 21,667

5 Assistance for Relocation 228,000,000 0 228,000,000 10,857

6

Assistance for Temporary

Resident 456,000,000 0 456,000,000 21,714

7

Assistance for Affected

Agricultural Land 29,401,140,180 0 29,401,140,180

8

Assistance for Production and

Livelihood Stabalization 4,749,343,200 818,640,000 5,567,983,200 265,142

9 Assistance for Job Transitions 16,459,696,500 4,249,512,000 20,709,208,500 986,153

10

Assistance for Affected Vulnerable

Households 171,000,000 39,000,000 210,000,000 10,000

II

Compensation, Assistance and

Resettlement Budget for the

Affected Agencies/Organizations

26,051,505,000 6,481,188,000 32,532,693,000 1,549,176

1 Compensation for Affected Land 2,388,124,000 49,827,050 2,437,951,050 116,093

2Compensation for Affected

Assets/Objects23,633,187,451 6,431,361,086

30,064,548,537 1,431,645

3 Compensation for Tree and Crop 30,193,680 0 30,193,680 1,438

III Progressive Bonus 80,000,000 0 80,000,000 3,810

IV Total Compensation and

Assistance Budget I+II+III

279,426,282,000 16,220,268,000 295,646,550,000 14,078,407.1

V Income Rehabilitation Budget 12,850,000,000 611,904.8

Sub-total IV+V 308,496,550,000 14,690,311.9

VIAdministration Resettlement

Fee (2%)6,169,931,000 293,806

VII Independent Monitoring 1,386,000,000 66,000.0

VIII Replacement Cost Survey Fee 420,000,000 20,000.0

Sub-total IV+V+VI+VII+VIII 316,472,481,000 15,070,118.1

Contingency Fee (10%) 31,647,248,100 1,507,011.8

348,119,729,100 16,577,130.0

1USD = 21,000 dong

TOTAL OF RESETTLEMENT

BUDGET



L. Institutional Arrangements 1. Thanh Hoa Provincial People’s Committee (PPC)

The PPC is the Client and be responsible for approval of RP and overall management and implementation of the Project. The PPMU is the agency is established by the PPC as an Executing Agency whose will be on behalf of the Client to implement and to manage the Project.

2. Thanh Hoa City and Dong Son District People’s Committees (PCs)

The City and Dong son District PCs will direct with their agencies to implement the relevant tasks in the process of detailed measurement survey, updating the RP, arrangement of resettlement areas, based on the ADB’s approval and the PPC for appraisal and approving the detailed plan on compensation, assistance and resettlement, decision of land acquisition and directing of compensation payment for the affected households, resolving of complaints.

3. Provincial Project Management Unit (PPMU)

As an Executing Agency of the Project, the PPMU will be on behalf of the Client (PPC) to implement and manage the Project PPMU is tasked to collaborate with the City, Provincial and Dong Son district People’s Committees to ensure that the updated RP complies with the RP approved by PPC and ADB and submit the same to ADB for approval.

The detailed tasks of the PPMU with regard to resettlement will include the following:

a. Recruit the agency of independent replacement cost survey, external resettlement monitoring agency for implementing the tasks related to resettlement;

b. Spearhead field activities in connection with the preparation, updating, and implementation of the RP, such as dissemination of project information and consultation with affected households and other Project stakeholders;

c. Together with the RC, coordinate with the Provincial/City Land Administration Offices for the expeditious allocation of replacement land to eligible affected households;

d. Supervise and monitor the preparation, updating, and implementation of the RP, ensuring that it is carried out according to the approved Updated RP;

e. Prepare quarterly progress reports on RP updating and implementation for submission to PPC and the ADB. This includes resettlement audit on SGIA (payment and allowances to APs, cost of development of relocation sites, cost of income restoration programs, external monitoring, administrative costs, and use of contingencies).

4. The Thanh Hoa City Site Clearance and Resettlement Department

This Department was established for relevant implementation in the City. Therefore, PPMU signed contract and opened bank account level 2 – SGIA for this agency to carry out the activities related to site clearance and resettlement of the Component 1 and 4. The Department together with the project commune or ward authorities and CMC be responsible for:

� Disseminating the project information, compensation, assistance, income rehabilitation and resettlement as well as consultation with the APs;

� Conduct the detailed measure survey (DMS) to determine the detailed lost assets of the APs;



� Prepare compensation plan and submit to the City PC for approval.

� Pay compensation and assistance for the APs

� Arrange resettlement for the relocated households

� Implement livelihood restoration programs

5. Dong Son District Compensation and Site Clearance Council

Dong Son District People’s Committee established the Council of Compensation and Site Clearance to implement the duties related to compensation, assistance, resettlement and site clearance under Dong Hung Commune due to without the specialized agency in charge of compensation and site clearance, committee. This Council carries out the duties similar to The Thanh Hoa City Site Clearance and Resettlement, however, the PPMU will cooperate with the Council to pay directly for the APs during compensation payment implementation.

6. Commune/ward People’s Committees (CPC)

The CPC will assist the RC in their resettlement tasks. Specifically, the CPC will be responsible for the following: (i) participate in the updating and implementation of RP; identify potential replacement land for affected households; (iii) ensure that vulnerable and severely affected households are properly consulted and that the concerns and grievances of these households are heard, recorded and addressed in a timely manner; (iv) certify DMS and payments made to affected households; and (v) assist in the resolution of grievances.

7. Community Management Committee (CMC)

The CMC including the representatives of ward or commune officials, mass organizations and local professional associations will monitor and assist RP implementation. The related tasks assigned would be:

(i) Participating in the community consultation meetings with the APs, to inform and to consult or counsel the issues related to compensation, assistance and resettlement;

(ii) Assisting the PPMU assessing social impacts of the project (socio-economic surveys);

(iii) Assisting the AP who wants to submit complaints to the GRC following the Project Procedures (as mentioned in the Item F: Grievance Redness Mechanism)

8. Project Supervision Consultants

The Project Supervision Consultants (PSC) will assist THPPC, PPMU, RC in the updating and implementation of the RP, including the design and implementation of suitable livelihood programs for severely affected and vulnerable households. The updating of the RP will be done in conjunction with the conduct of the detailed measurement survey. The consultants will review and assess the (a) capacity of the responsible institutions at central and project levels to update and implement the resettlement plan and (b) trainings and capacity buildings provided during the PPTA. Design and implement necessary training and capacity-building interventions.

The project supervision consultants will include one resettlement specialist and at least one social development specialist on an intermittent basis to assist and supervise all social and resettlement-related activities.

a. Design and implement procedures for (i) minimizing adverse social impacts from land acquisition and loss of other assets throughout the implementation phase (e.g., coordinating resettlement and



compensation activities on the various components), (ii) avoiding if not minimizing impacts caused during construction, and (iii) ensuring that losses that cannot be avoided are recorded and compensated as per approved updated RP;

b. Carry out consultation and disclosure programs. Ensure that options of or agreements reached with APs in terms of replacement of assets, i.e., cash or in-kind are provided in a timely manner;

c. Implement gender strategies to ensure that concerns women are addressed during updating, implementation and monitoring. Activities gender-specific consultation and information disclosure; special attention to guarantee women’s assets, property and land-use rights to ensure the restoration of their living and income standards;

d. Assist in the design and implementation of suitable income restoration programs for people severely affected by loss of livelihood and income and for vulnerable households;

e. Assist in the design and implementation of liaison mechanisms to ensure proper technical and logistical support to the RC, and procedures for a management information system, resettlement audit, and internal monitoring;

f. Coordinate with the external monitoring agency. Ensure that findings and recommendations made by the external monitoring agency are discussed with PPMU and PIUs for appropriate action to ensure that resettlement implementation is undertaken properly and effectively;

g. Assist in the review of all liquidations submitted by the RC with regard to resettlement costs and assist in the preparation of quarterly progress reports on resettlement;

h. Review and assess grievance redress mechanism and ensure that the responsibilities, reporting requirements, and budget allocation to support the committee’s functions are in place; and

i. With the exception of ongoing income restoration program activities, assist in the preparation of a Resettlement Completion Report to properly document the actual resettlement impacts, resettlement implementation and resettlement audit. The report will be based on the internal and external monitoring and evaluation reports and ADB Review mission Aide-Memoires and Memorandum of Understanding.

M. Indicative Implementation Schedule The schedule for RP implementation is shown at the below Table:

Table 42: Implementation Schedule of Resettlement Plan



3 4 5 6 7 8 9 10 11 12 1 2 3 4 5 6 7 8 9 10 11 12 1 2 3 4 5 62

YEAR 2012 YEAR 2013 YEAR 2014

7

8 Post - Resettlement Evaluation

Submit RP to the ADB for Approval

ADB review and approve the RP

1

2

ADB review and approve the RP implementation result (with no objection letter)

9

4Implementing Income Restoration Programs

Relocation of APs and Site Clearance

5

Submit the external and internal monitoring reports

6Internal and External Monitoring

3Payment of Compensation and Assistance

IMPLEMENTATION SCHEDULE OF RESETTLEMENT PLANCOMPONENT 1 AND 4, THANH HOA CITY COMPREHENSIVE SOCIO - ECONOMIC DEVELOPMENT PROJECT

No Activities1



N. Monitoring and Evaluation 1. Internal Monitoring

The objectives of the internal monitoring are (i) to ensure that the standard of living of APs are restored or improved; (ii) to monitor whether the overall project and resettlement objectives are being met; (iii) to assess if rehabilitation measures and compensation are sufficient; (iv) to identify problems and risks; and (v) to identify measures to mitigate problems.

The Project Management Unit of the THPPC will serve as the Project’s internal monitoring body. As such, the PPMU will maintain a file of all data gathered in the field, including a data base on the affected households. Each PIU will submit quarterly monitoring report to the PPMU starting from the commencement of RP updating, which coincides with the conduct of the detailed measurement survey and other RP updating activities. The PMU in turn will include updates on resettlement in its regular progress reports to ADB. Social monitoring reports will be made available to the affected households and will be submitted to ADB for web posting.

Internal monitoring and supervision will focus on the following issues:

a. Compensation and other entitlements are computed at rates and procedures as provided in the approved RP, with no discrimination according to gender, vulnerability, or any other factor;

b. Affected households are paid their compensation and other entitlements as per approved Updated RP, ensuring that all entitlements are delivered as planned and agreed, including compensation in cash or in kind, allowances, replacement land, resettlement sites developed and people moved onto them;

c. Income restoration programs designed and delivered including modifications in the programs and provision of additional cash and in-kind assistance to the participating affected households as and when necessary;

d. Public information, public consultation and grievance redress procedures are followed as described in the approved RP;

e. Capacity of APs to restore/re-establish livelihoods and living standards. Special attention was paid on the severely affected and vulnerable households. Focus will also be given if the objective of improving socio-economic condition of vulnerable households is achieved.

f. Affected public facilities and infrastructure are restored promptly; and

g. The transition between resettlement and commencement of civil works is smooth and that sites are not handed over for civil works until affected households have been satisfactorily compensated and resettled.

2. External Monitoring and Evaluation

The main objective of external monitoring is to provide an independent periodic review and assessment of (i) The compliance of compensation and resettlement implementation with the approved RP; (ii) achievement of resettlement objectives; (iii) changes in living standards and livelihoods; (iv) restoration and/or improvement of the economic and social base of the affected people; (v) effectiveness and sustainability of entitlements; and (vi) the need for further mitigation measures.



The external monitoring agency (EMA) will be recruited prior to RP updating activities. Relative to compliance monitoring during resettlement implementation, the main activities of the EMA will revolve around the following:

a. Review existing baseline data and gather additional socio-economic information, as necessary, on sample affected households;

b. Monitor updating and implementation of the RP;

c. Identify any discrepancy between policy requirements and actual implementation of resettlement;

d. Monitor the resolution of complaints and grievances of affected households; and

e. Provide recommendations for improving resettlement updating and implementation.

f. Review compliance with regard to use of ADB loan funds for land acquisition and resettlement.

g. Issue certification that each AP has received the full payment.

h. Carry out resettlement audit.

Specific to resettlement updating and implementation activities, the EMA will monitor and evaluate specific issues such as the following:

a. Public consultation and awareness of resettlement policy and entitlements;

b. Coordination of resettlement activities with construction schedule;

c. Land acquisition and transfer procedures;

e. Construction/Rebuilding of replacement houses and structures on residual land or to new relocation sites;

f. Level of satisfaction of APs with the provisions and implementation of the RP;

g. Grievance redress mechanism (documentation, process, resolution);

h. Effectiveness, impact and sustainability of entitlements and income restoration programs and the need for further improvement and mitigation measures

i. Relocation site development (housing and market) from identification of sites in consultation with APs, to resettlement site development and relocation of APs.

j. Land title issues and process of land title granting.

k. Capacity of affected households to restore/re-establish livelihoods and living standards. Special attention will be given to severely affected households and vulnerable households focusing on achieving project objectives of improving socio-economic status of vulnerable households;

l. Resettlement impacts caused during construction activities.

m. Participation of APs in RP updating and implementation

n. Witness of compensation payment to ensure that each AP has received the full payment.

External Monitoring Methodologies:

The methods for external monitoring and evaluation of land acquisition, compensation and resettlement activities include:



a. Documents review: All documents and data relating to compensation and resettlement should be collected from PPMU, City RC and PIUs for reviewing. Results of document review will be cross-checked with the field sample survey. A baseline data should be established for monitoring and evaluating project benefits.

b. Sample Survey: EMA will conduct periodical sample surveys at household level in the project area by interviewing 20% of marginally APs and 100% of severely APs, using questionnaire. A post resettlement evaluation survey will also be undertaken 6-12 months following completion of resettlement activities. Special attention is to be paid to the inclusion of women, poor, landless and other vulnerable groups. The database is to disaggregate information by gender, geographic and social groups.

c. Participatory rapid appraisals (PRA) method: The EMA will consult with various stakeholders such as local authorities, resettlement committees, implementing agencies, NGOs, community leaders and APs. PRA method will involve obtaining information, identifying problems and finding solutions through participatory means including: a) key informant interviews with local leaders, NGOs and resettlement committees; b) focus group discussions on specific topics such as compensation payment, income restoration and relocation; c) community public meetings to discuss community losses, integration of resettled APs in host communities or construction work employment; d) field observations; e) formal and informal interviews with APs, women, other vulnerable groups and host communities; and, f) in-depth interview of APs to understand problems as identified by internal monitoring or field survey and required special efforts to resolve.

Database Management and Storage:

The EMA will maintain computerized resettlement databases that will be updated every six months. They will contain files on each AP and will be updated based on information collected on successive rounds of data collection. All monitoring databases will be fully accessible to implementing agencies and the ADB.

Reporting

Every six months, the EMA will submit an external monitoring report to the PPMU and directly to ADB. The report should summarize the findings of the monitoring, including but not limiting the following main issues: (i) progress of RP updating and implementation, any deviations from the provisions of the RP; (ii) identification of problems and recommendation of solutions so that implementing agencies are informed about the on-going situation and can resolve problems in a timely manner; (iii) identification of specific issues related to vulnerable APs, as relevant; and, (iv) a report on progress of the follow-up of issues and problems identified in the previous monitoring report.

The monitoring reports will be discussed in a meeting between the EMA, the PIU and PPMU held after submission of the reports. Necessary remedial actions will be taken and documented.

Monitoring and Evaluation Indicators

Table 43: Monitoring and Evaluation Indicators

Type Indicator Examples of Variables

PROCESS INDICATOR

Consultation, Participation

Number of consultations held with various stakeholders

Procedures in Operation

• Census and asset verification/quantification procedures in place;



Type Indicator Examples of Variables

• Effectiveness of compensation delivery system; • Number of land transfers effected; and • Coordination between implementing agencies and other agencies

OUTPUT INDICATOR

Land • Number, type and size of private land acquired; and • Number, type and size of public land acquired

Buildings or Objectives

• Number, type and size of private houses/structures acquired; and • Number, type and size of public buildings or objectives acquired

Trees and Crops • Number and type of private trees acquired; • Number and type of government/community trees acquired; • Number and type of crops acquired; and • Crops destroyed by area, type and number of owners.

Compensation and Rehabilitation

• Number of households affected (land, buildings, trees, crops); • Number of owners compensated by type of loss; • Amount compensated by type and owner; • Amount of payment made; • Household compensation payments made to both male and female heads of households; • Number of persons with seriously affected livelihoods provided with income restoration assistance; • Types of livelihood restoration assistance provided by number of persons and types of livelihoods impacted; • Disbursement of livelihood restoration assistance by type of assistance, types of impacted livelihoods and number of beneficiaries; and • Data to be disaggregated by gender

Grievance Redness Resolution

• Number of complaints made by APs is resolved following the Grievance Redness Mechanism, and complainants’ satisfaction.

IMPACT INDICATOR

Restoration of Livelihoods

• Level of restoration of impacted livelihoods/income sources by type of impacted livelihood; and • Effectiveness of income restoration measures to create/restore livelihoods.

Changes to Status of Women

• Participation in community consultation meetings; • Participation in vocational training schools; and • Changes in livelihood activities, income and control of self-earned income.

Settlement and Population

• Growth in number and size of settlements; • Satisfaction with resettlement site living conditions; • Maintenance of establishment of new social networks.

NECESSARY ADJUSTMENTS

Any issues in terms of policy, implementation and procedures need to be adjusted.



Annex:

Annex 1: Summary of Community Consultation Meetings

Date, Venue

& Participants

Main Issues

raised by APs

Responses of representatives

of relevant agencies

October 24, 2011

Quang Hung commune,

Thanh Hoa city, Thanh

Hoa prov.

� Number of

Participants: 62

Representatives of Quang Hung commune PC, Thanh Hoa city RC, Thanh Hoa PPMU CSEDP and all 51 AHs.

� Consultation content:

- Thanh Hoa PPMU CSEDP brief about the target Development Project;

- Introduced alignment of the ring road; area of affected land in Quang Hung commune;

- Introduced advantages and expected out comes of the project as well as challenges that local inhabitants will face;

- Introduced policies of Vietnam and ADB on Resettlement and support, restoration programes for the APs;

- Compensation and

- Concern of AHs on specific time for compensation, time for relocation, place of relocation;

- According to project’s implementing schedule: Time for compensation in Quang Hung commune will take place at the beginning of March, 2012; Time for resettlement & clearance will take place at the end of March, 2012.

- PPMU added that, the above timeline may vary depend on the preparation, especially depends on the support and participation of APs.

- Thanh Hoa city RC noticed AHs not to carry out constructions post to the DMS and IOL; but APs could continue their business or cultivation of short-term crops that could harvest within February 2012.

- As the decision to be made, Thanh Hoa city’s RC will notice the AP at least one month before occupation in order to help APs arranges their movements.

- Concern on compensation & support for the loss of trade and business;

- AHs whom loss of trade/business including of hereunder two types: + For registered businesses:

Cash assistance equivalent to 30% of 1 year after tax income, calculated according to average level of previous three years certified by tax office;

+ For non-registered businesses:

Cash assistance equivalent to 5% of monthly revenue for a period of 3 months certified by local authorities.

- Job transaction training & restoration of



Date, Venue

& Participants

Main Issues

raised by APs



land clearance plan

- Grievance redness mechanism.

incomes: Member of affected households or company (regardless registered or not) will be provide job transaction training course if required with following programes:

- Member of AHs may join a job training course held in the provincial area for free;

- Joint the rehabilitation and relocation programes under the project.

Concern if project is available resettlement sites & and area for resettlement selection

- APs are entirely reserve their right to select at available relocation sites # 2072 nearby Dong Huong market area and GOLD VIET site nearby NR 47;

- The average area of each land plot is approximate 80 sqm;

- Particular area may vary depends on actual affected area, then AHs will be compensated with land equivalent to the displace area;

- In case AHs expected to buy extra land at the new relocation sites (other than compensation quota), Thanh Hoa RC will consider demand of AHs if the site is still available.

October 25, 2011

Thanh Yen village

Quang Thanh commune,


Hoa prov.

� No. of Participants:

180

Representatives of: Quang Thanh commune PC, Thanh Hoa city RC,

- AHs wanted to know exact time for receiving compensation so as to harvest theirs crops and to hand over the lands.

- Thanh Hoa city RC replied that they were in the process of detail DMS and IOL. The cut-off-date is count on the date of DMS commencement. While waiting for approvals form Thanh Hoa province and ADB, you could continue work on your land with short-term crops so that possible to harvest and handing over the land in February, 2012.

AHs wanted to know if their children and young labors of in Thanh Yen

- With refer to the project’s policies, labor of AHs under this project will be prioritize to collect and work for the



Date, Venue

& Participants

Main Issues

raised by APs



Thanh Hoa PPMU CSEDP and 177 AHs.



- Introduced alignment of the ring road; area of affected land in Quang Hung commune;



- Compensation and land clearance plan


village would have opportunity to work for the contractors under this project

works under this project providing that he/she is in the working age, healthy status. If so requires, AHs should booking with Thanh Hoa city RC, the RC will in co-ordination with the contractor to consider. However, final decision is fall on contractor based on contractor’s recruitment demand and in accordance with prevailing labor law.

AHs would like to hear the brief compensation policies in the most understandable way.

There are two types of affected: Marginally affected and severely affected:

- Severely affected AHs will receive of following allowances:

1) Stabilisation allowance:

+ Loss 10-<30% of agricultural land will receive allowance in cash equivalent to 30kg of rice per HH member for 3 months if not relocate and for 6 months if relocate;

+ Loss 30-<70% of agricultural land will receive allowance in cash equivalent to 30kg of rice per HH member for 6 months if not relocate and 12 months if relocate;

+ Loss 70-100% of agricultural land will receive allowance in cash equivalent to 30kg of rice per HH member for 12 months if not relocate and for a 24 months if required to relocate;

2) Job transition and vocational

training allowance:

- Cash grant equivalent to 1.5 the current market value of the agricultural land acquired;

- All members of the AHs whom in



Date, Venue

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working age are entitled to participate in any one of vocational training courses held within the province free of charge (if require).

- Vulnerable households shall also receive a grant of VND 1.5 million – 2.0 million.

October 25, 2011

Thanh Mai village

Quang Thanh commune,


Hoa prov.

Number of Participants:

42

Representatives of: Quang Thanh commune PC, Thanh Hoa city RC, Thanh Hoa PPMU CSEDP

All 32 AHs.



- Introduced alignment of the ring road; area of affected land in Thanh Mai village, Quang Thanh commune;


- Introduced policies of

AHs concerned that many of theirs trees, crops and animal are in the fruiting circle, any possible for them to continue do farming until completely harvested products.

- In general, project will coordinate with APs to harvest all the crops & products on the affected area before acquire the land. For the time being, your farm is cultivating fishes and planting fruit trees as well as timbers. Therefore, you can imitative with your production plan and try to prompt harvest all crops on the farm by the end of February 2012.

What compensation or assistances will AHs received and in what conditions for temporary loss of land for the right of way of construction works?

- Compensation for temporary loss on the right of way of constructions work will be calculated on the basic of average productivity of three continuous annual by multiply with duration of acquisition. Detail as follow:

(1) The amount of the compensation will not less than the minimum wage for that labour whom be displaced from the affected land.

(2) Full restoration of affected land to pre-impact conditions.

(3) APs being displace for periods in excess of one year will be entitled to participate in vocational training programs.



Date, Venue

& Participants

Main Issues

raised by APs



Vietnam and ADB on Resettlement and support, restoration programes for the APs;



October 26, 2011

Quang Dai cooperative

Dong Ve ward,


Hoa province


83

Representatives of: Dong Ve ward PC, Thanh Hoa city RC, Thanh Hoa PPMU CSEDP and 74 AHs.



- Introduced alignment of the ring road; area of affected land in Dong Ve ward;

- Introduced advantages and expected

AHs asked about compensation for households whose cultivating land is marginally affected.

This is belonging to AHs of marginally affected category (possible to continue cultivation), depend on affected portion, APs will compensated and getting assistances at replacement cost for the loss of cultivating land.

AHs concerned about supports or assistances will the poor household received; is there any discrepancy in assistance for single member household, vulnerable household(s) with comparison to the poor HH.

- Depend on group classification, project the AHs within this project will receive following assistances and supports:

* Special allowance

+ Poor households shall receive a grant of VND 1.5 million – 2.0 million;

+ Other vulnerable households and female headed households as defined in the RP, if need help as confirmed by the local authorities and their communities, shall also receive a grant of VND 1.5 million – 2.0 million.

*House upgrading assistance

+ Vulnerable households and female headed households reside in house of category IV or lower, or who are compensated for a house of less than category IV shall receive additional assistance to enable them to upgrade their



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out comes of the project as well as challenges that local inhabitants will face;




house to category IV standard;

+ Disabled AHs shall receive assistance to upgrade their houses to provide for appropriate accessibility (e.g. wheelchair access).

*Vocational training and income

restoration

In addition to income restoration entitlements mentioned, elsewhere vulnerable and female headed households are entitled to:

+ One additional vocational training course per household member within the province free of charge;

+ Additional income restoration program assistance sponsored under the project.

*Other

Special assistance will provided to families on social allowance (poor families, policy families, war heroes, war invalids, etc) as per provincial policies in addition to the above entitlements.



Date, Venue

& Participants

Main Issues

raised by APs



October 27, 2011

Mat Son 1 cooperative

Dong Ve ward,


Hoa prov.


81

Representatives of: Dong Ve ward PC, Thanh Hoa city RC, Thanh Hoa PPMU CSEDP and 75 AHs.

� Consultation

content:


- Introduced alignment of the ring road; area of affected land in Mat Son cooperative, Dong Ve ward;



- Compensation and

AHs wanted to know about compensation(s) for timber and other types of crops when state occupy land for project development?

Same with answer number 1 above, regardless of tenure status, land user will be compensate by cash compensation for:

(a) Annual crops and aquaculture products equivalent to current market value of crops/aquaculture products at the time of compensation;

(b) For perennial crops trees, cash compensation at replacement cost equivalent to current market value given the type, age and productive value (future production) at the time of compensation;

(c) Timber trees based on diameter at breast height at current market value

(d) APs will be notice 3 months prior to land acquisition.

(e) APs will receive cash compensation based on market cost of ripened crops/fruit for any unharvested crops planted prior to the land acquisition announcement.

AHs would like to hear about supporting policies from city’s government for the loss of cultivating land.

This project will give you three supports:

1) Stabilisation allowance:

+ Loss 10-<30% of agricultural land will receive allowance in cash equivalent to 30kg of rice per HH member for 3 months if not relocate and for 6 months if relocate;

+ Loss 30-<70% of agricultural land will receive allowance in cash equivalent to 30kg of rice per HH member for 6 months if not relocate and 12 months if relocate;

+ Loss 70-100% of agricultural land will receive allowance in cash equivalent to 30kg of rice per HH member for 12



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land clearance plan


months if not relocate and for a 24 months if required to relocate;

2) Job transition and vocational

training allowance:

- Cash grant equivalent to 1.5 the current market value of the agricultural land acquired;

- All members of the AHs whom in working age are entitled to participate in any one of vocational training courses held within the province free of charge (if require).

- Vulnerable households shall also receive a grant of VND 1.5 million – 2.0 million.

3) Support in agricultural extension

- APs compensated with land-for-land shall receive technical and material support to promote their farming production. The type of extension services provided shall base on consultations with the respective APs.

- APs having remaining farming land shall be entitled to participate in agricultural extension and development programs.

October 27, 2011

Mat Son 2 cooperative

Dong Ve ward,


Hoa prov.


50

Representatives of: Dong Ve ward PC, Thanh Hoa city RC, Thanh Hoa

Local questions were focus on:

1) For a supporting policy appropriate to every AH so that can help them quick adapt with changes and settle theirs living;

2) Provision of vocational training for the youth and receiving them in to the project’s

- The replacement costs are made by the independent value and decide by Thanh Hoa PPC;

- Thanh Hoa city’s RC will comply with current law of Vietnam and policies of the Donor in the implementation of DMS, calculation and compensation to APs, ensure transparence and accuracy;

- The rehabilitation/restoration programes are designed and will be implemented following ADB’s guidelines. These programes will provide proper option(s)



Date, Venue

& Participants

Main Issues

raised by APs



PPMU CSEDP and 41 AHs.



- Introduced alignment of the ring road; area of affected land in Mat Son cooperative, Dong Ve ward;




- Grievance redness

works

those help APs rehabilitate their livelihood.

- Thanh Hoa city’s RC commented that the PPMU CSEDP should ensure the implementation of updated RP in order to settle the APs living conditions A.S.A.P;

October 28, 2011

Cultural house of alley 1

Quang Thang commune,


Hoa prov.

Number of Participants: ...

Representatives of: Quang

AHs question about the complaining procedures?

- In case APs unsatisfied with compensations and demand for clarification, a three-stage procedure for redress of grievances is proposed: • Stage 1: Complaints from APs are in the first instance lodged verbally or in written form with the Commune or Ward People’s Committee (CPC). The complaint will be discussed in an informal meeting with the AP and the CPC. It will be the responsibility of the CPC to resolve the issue within 15 days from the date the



Date, Venue

& Participants

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raised by APs



Thang commune PC, Thanh Hoa city RC, Thanh Hoa PPMU CSEDP

All 48 AHs of alleys 1 & 2.


- Brief about Thanh Hoa city Comprehensive Socioeconomic Development Project;

- introduced alignment of the ring road, area of land that affected in Quang Thang commune



- Compensation plan, land clearance;

- Grievance redness mechanism

received complaint. All meetings will be record and copies of the minutes of meetings will be provided to APs.

• Stage 2: If no understanding or amicable solution can reached or if no response is received from CPC within 15 days of registering the complaint, the AHs can appeal to the City PC. The AHs must set forth their complaint within 30 working days since register of the original complaint, and must produce documents that support his/her claim. The City PC will provide a decision within 1 month of receiving the appeal.

• Stage 3: If the AP is not satisfied with the decision of the RC or in the absence of any response, the AP can appeal to the Provincial People’s Committee. The PPC will review and issue a decision on the appeal within 30 days from the day it been received.

- At any stage of Grievance Redness Solving, if the AP is unsatisfied with the grievance solving result, they have right to submit their complaints to the City People’s Court

- However, before decide to claim/put the case for judment, APs should well study the project’s policies. If not clear, APs should consult with local authorities before set forth the claim procedures in order to avoid wasting time and costs.

AHs supposed that, one of their HH will lost 1,200 sqm of contractual land which will last by the end of 2017 but now that land to be acquire

- Regardless the tenure status, if your land be acquires for the public purposes, organization and people will responsible for returning such lands although they are still remain using/leasing right. In this case, when your contractual/leasing land



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for the project. So what compensation(s) or assistance(s) will the AH received for 6 years remaining.

be acquired earlier than expiration, following case will be apply:

- Not compensate for land but compensation for investment costs for land and/or remaining contract period;

- Cash compensation for rock(s) in attachment with the land;

1) Annual crops and aquaculture products equivalent to current market value of crops/aquaculture products at the time of compensation;

(2) For perennial crops trees, cash compensation at replacement cost equivalent to current market value given the type, age and productive value (future production) at the time of compensation.

(3) Timber trees based on diameter at breast height at current market value.

- Other than the above compensations & supports, AHs still reserve the right to receive restoration support programes for each type of loss.

October 28, 2011




Hoa prov.


64

Representatives of: Quang Thang commune PC, Thanh Hoa city RC, Thanh Hoa PPMU

AHs concern about project support(s) for garden land, pond and lake other than resident land?

(i) AHs whose garden land, pond which is located on the same land lot having a residential house located in a residential area but which is not classified as residential land; garden land, pond on the same land lot having separate house; garden land, pond on the same land lot with house located along a canal and traffic road, in addition to the compensation based on agricultural land price of orchard land, are entitled to assistance equivalent to 40% of the value of residential land (at replacement cost) in the locality of the affected land

(ii) APs whose cultivating land locates



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CSEDP

All 58 AHs of alleys 3 & 4.


- Brief about Thanh Hoa city CSEDP;


- Introduced advantages and expected out comes of the project and challenges that local inhabitants will face;

- Introduced policies of Vietnam and ADB on Resettlement and support, restoration programes;


Grievance redness mechanism

within the administration territory of ward/commune in the district town resident area and rural resident area, other than the compensation at current price of cultivating land, APs also receive a 20% support of resident land price at the average replacement cost in the area.

While compensations and supports under this project were established following ADB policy and regulation of Vietnam. If there are discrepancies between ADB’s policy and Vietnamese policy, should AHs have the right to choose the best option?

- The Resettlement Plan and compensation frame-work under this project was established on the basic of harmonize differences between ADB and Vietnamese policies. In case of discrepancies, ADB policy will govern. Throughout view point of this project is to remain APs living condition status at least equal to pre-project implementation.

October 29, 2011




Hoa prov.


65.

Representatives of: Quang

Mr. Le Huu Dung:

According to DMS, 100% residential land of may family will acquire for the project. At the moment, there are three sub-families (my two sons families and my original family) now living in the same plot of land. Whether I could register for more than one plot of resettlement

(i) Number of resettlement plots is basically suitable for the expectation and livelihood of the affected households, equivalent to the value of the land acquisition, then:

(a) APs shall be entitled to a minimum of one resettlement lot;

(b) Where extended families jointly reside on the same acquired lot and would be eligible for separate household registration books, or if there are multiple households jointly holding the same LURC



Date, Venue

& Participants

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raised by APs



Thang commune PC, Thanh Hoa city RC, Thanh Hoa PPMU CSEDP

All 60 AHs of alleys 5, 6 & 9.








land, when could I register, do I have to prepare application?

Mr. Mai Huu Quy: My family will lost 75/355 sqm of residential land. However, I wanted to receive a plot of land at the new resettlement site instead of cash compensation to split my son’s family. Could this demand accepted?

then additional resettlement lots will be granted with an equivalent value.

(ii) APs who receive resettlement land but the value of the compensation and assistance they are entitled to be less than the minimum amount of one lot, shall receive the balance of the value of the lot as assistance. In case of exceeding, APs do not have to pay the transaction costs.

October 29, 2011




Hoa prov.


AHs questioned about difference between compensation for garden land and cultivating land.

(i) APs whose garden land, pond which is located on the same land lot having a residential house located in a residential area but which is not classified as residential land; garden land, pond on the same land lot having separate house; garden land, pond on the same land lot having house located along a canal and traffic road, in addition to the compensation based on agricultural land price of orchard land, are entitled to



Date, Venue

& Participants

Main Issues

raised by APs



80

Representatives of: Quang Thang commune PC, Thanh Hoa city RC, Thanh Hoa PPMU CSEDP

All 72 AHs of alleys 7.








assistance equivalent to 40% of the value of residential land (at replacement cost) in the locality of the affected land

(ii) APs whose cultivating land locates within the administration territory of ward/commune in the district town resident area and rural resident area, other than the compensation at current price of cultivating land, APs also receive a 20% support of resident land price at the average replacement cost in the area.

AH concerned if it was possible to to register for a plot of land in new resettlement area for AH whom marginally lost of resident land, any possible

AH that don’t have to remove, however if they want to register a plot of land to separate multi-households in the same place, then theirs proposal will be considered by the RC and if acceptable they will be prioritize and get preferential treatment equivalent to the actual lost.

AHs concerns about compensation for crops and work on the public land that have been leasing for years?

Not compensate for land but compensation for investment costs for land and/or remaining contract period;

(i) Cash compensation for rock(s) in attachment with the land;

1) Annual crops and aquaculture products equivalent to current market value of crops/aquaculture products at the time of compensation;

(2) For perennial crops trees, cash compensation at replacement cost equivalent to current market value given the type, age and productive value (future production) at the time of compensation.

(ii) Timber trees based on diameter at



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breast height at current market value.

November 03, 2011

Dong Hung commune,

Dong Son district, Thanh

Hoa

province


25

Representatives of Dong Hung commune PC, Dong Son district RC, Thanh Hoa PPMU CSEDP and 16 AHs, including husbands and wives.



- introduced alignment of the ring road, area

Summary of questions & issues:

- Compensation rate:

Most of AHs required a reasonable compensation rate, acceptable to them based on the replacement cost at the time of compensation;

- RP implementation:

Land acquisition should implement close to the commencement of construction in order to avoid wasting land and aqua-cultivation...

- Land acquisition and compensation should be implement in the transparent manner, APs should be noiticed about

- The replacement costs are made by the independent value and decide by Thanh Hoa PPC;

- Thanh Hoa city’s RC will comply with current law of Vietnam and policies of the Donor in the implementation of DMS, calculation and compensation to APs, ensure transparence and accuracy;

- The rehabilitation/restoration programes are designed and will be implemented following ADB’s guidelines. These programes will provide proper option(s) tho help APs rehabilitate their livelihood.

- Thanh Hoa city’s RC commented that the PPMU CSEDP should ensure the implementation of updated RP in order to settle the APs living conditions A.S.A.P;

- Local authority committed to deliver project sheet to APs whom absented in this consultation meeting and closely



Date, Venue

& Participants

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raised by APs



of land that affected in Quang Thang commune





the DMS & IOL process, method of calculation for compensation; list of AHs should be notice at the community hall, in the project area(s) where easy for reference of APs and for monitoring of implementation of the RP;

- Proposals for

rehabilitation and

restoration programes:

- AHs requested to be received the most appropriate compensation for each type of AP so as to settle their living soonest;

- The EA should forcus vocational training for APs, especially for the youth.

coordinate with Thanh Hoa city’s RC, with PPMU CSEDP in the implementation of the RP, ensure both profit of APs and support project implementation schedule.

November 02, 2011

Meeting hall of Tan Son

ward


Hoa prov.


35


All 27 AHs

AHs We want to know project’s policy on compensation and support.

APs will receive following supports:

(i) Transport allowance:

(i) The relocated households also get support for relocation with VND3.000.000 for each household to relocate in the inner province or VND5.000.000 for each household to relocate to another province.

(ii) Rental assistance

For those without alternative accommodation and are: (a) Awaiting for resettlement land/house at a resettlement site; and (b) Awaiting finalization of construction of replacement house not on a resettlement site shall receive adequate



Date, Venue

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rental assistance sufficient to meet their accommodation needs, at VND1.000.000/HH/month in Thanh Hoa City, or VND800.000/HH/month in Sam Son and Bim Son towns and VND600.000/HH/month in the remaining areas. Time for support bases on the reality, but not exceeds 6 months.

(iii) Vocational training and income

restoration

Household members whose livelihoods are impacted due to relocation are entitled to participate in livelihood restoration programs including:

• any one vocational training course within the province free of charge;

• Income restoration programs sponsored under the project.

- Other than above support, vulnerable groups such as households with single women with defendants, households with disabled persons, the single elderly, or the helpless also receive the support of VND1,500,000 - 2,000,000/household, depending on the number of households and the dependents of these households

AHs concerned about compensation and support for stable their trade & business.

Other than compensation for land at replacement cost, your loss of business will be support as follow:

* Business stabilisation allowance

• For registered businesses: cash assistance equivalent to 30% of 1 year after tax income, calculated according to average level of previous three years certified by



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tax office.

• For non-registered businesses: cash assistance equivalent to 5% of monthly revenue for a period of 3 months.

* Business rental assistance

Affected businesses renting business premises will be entitled to cash assistance equivalent to 3 months rent.

* Vocational training and income

restoration

All owners/partners of the affected business (registered or non-registered), if in need, are entitled to participate in:

• any one vocational training course within the province free of charge;

• Income restoration programs sponsored under the project.

AHs wanted to know information about relocation site, options and area of relocation lands.

APs have the right in selection of relocation site. APs of Tan Son ward which is proposed to relocate at the inter-section of Nguyen Trai road and the ring road under this project, 200 m away from former location of APs. Average area of each plot of land is 80 sqm, equivalent to compensating area. In case APs want receiving more than one plot, their demand will be consider by RC if available.

November 04, 2011


& 6

Dong Cuong commune

AHs would like to be clarified about compensation for the APs of cultivating land.

- The cultivating land APs be separated into two categories: marginally affected (less than 10%) and severely affected (from 10% on ward);

- APs with LURC or have been using land



Date, Venue

& Participants

Main Issues

raised by APs




Hoa prov.


60


All 53 AHs








for a defined long-term that are eligible to accquire the LURC will received cash compensation at replacement cost which is equivalent to current market price and free from transaction costs (e.g., taxes, certification, and administration costs

- APs without LURC (illegal occupied, hiring, houses or works on the public land) will be compensate for assest on the land at replacing cost;

- Severely APs will receive following allowances:

Stabilization allowance

• 10-<30% loss of agricultural land: cash grant equivalent to 30kg rice per household member for a period of 3 months if not required to relocate and for a period of 6 months if required to relocate;

• 30-<70% loss of agricultural land: cash grant equivalent to 30kg rice per household member for a period of 6 months if not required to relocate and for a period of 12 months if required to relocate;

• 70-100% loss of agricultural land: cash grant equivalent to 30kg of rice per household member for a period of 12 months if not required to relocate and for a period of 24 months if required to relocate;

Job transition and vocational training

allowance

Cash grant equivalent to 1.5 the current market value of the agricultural land acquired;

All members of the affected household of working age are entitled to participate in any one vocational training course within



Date, Venue

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the province free of charge (if in need).

- Vulnerable households shall also receive a grant of VND 1,5 million – 2 million.

AHs wanted to know compensation for timber and other crops when revoke the land.

(i) Annual crops and aquaculture products equivalent to current market value of crops/aquaculture products at the time of compensation;

(ii) For perennial crops trees, cash compensation at replacement cost equivalent to current market value given the type, age and productive value (future production) at the time of compensation;

(iii) Timber trees based on diameter at breast height at current market value;

(iv) APs have the right to use salvageable trees;

(v) APs will be given 3 months notice prior to land acquisition.

(vii) APs will receive cash compensation based on market cost of ripened crops/fruit for any unharvested crops that were planted prior to the land acquisition announcement.

Annex 2: Justification for increase of compensation cost

After updated the Resettlement plan for components 1 & 4 and inclusion of the cost estimation for components 3 & 5 (without compensation for component 2) under the “Thanh Hoa city Comprehensive Socioeconomic Development Prpject” (CSEDP), total compensation cost was increased from $4,837,796.0 up to $19,201,545.2.

Now therefore, the Thanh Hoa PPMU CSEDP would like to justify reason for increasing of RP cost as follow:

(1) Increasing scope of civil works: To line with Decision 84/Qð- TTg dated January 16, 2009 of the PM on adjustment the Master planing of Thanh Hoa city by 2020, vision 2035 (Issued post to the RP



2008), it’s necessary to change the alignment design and extend the width of the ring road under component 1 from 24.0 m up to 34.0 m type and 65.0 m type. Those changes were cause to the increase of land acquisition area as details bellow:

No Item Unit

By the RP

2008

By the RP

2012 Difference

(1) (2) (3) (4) (5) (6)=(5)-(4)

A Area M2

217,438.0 486,026.2 268,588.2

I Component 1 M2

141,942.0 434,475.5 292,533.5

1 Resident land m2 3,885.0 19,014.7 15,129.7

2 Cultivating land m2 136,742.0 311,634.7 174,892.7

3 Pond & lake m2 - 30,612.9 30,612.9

4 Public land m2 1,315.0 73,213.2 71,898.2

Total m2 141,942.0 434,475.5 292,533.5

II Component 4 m2 75,496.0 51,550.7 -23,945.3

1 Resident land m2 - - -

2 Cultivating land m2 75,496.0 50,383.7 -25,112.3

3 Pond & lake m2 - -

4 Public land m2 - 1,167.0 1,167.0

Total 75,496.0 51,550.7 -23,945.3

Grand total: I + II m2 217,438.0 486,026.2 268,588.2

B No of AHs HH 491 853 362

I Component 1 HH 330 744 414

II Component 4 HH 161 109 -52

Total HH 491 853 362

(2) Increasing compensation price: Applied compensation price in 2008 was also much lower than the replacement cost surveyed by December 30, 2011. Table hereunder will show the comparison of price differences of some critical items:

No. Item Unit Price by RP

2008 (VND/m2)

Price by the

updated RP

2012

Differ.

(1) (2) (3) (4) (5) (6)=(5)/(4)

I Land

1 Resident land

1.1 Quang Thang commune

- Hai Thuong Lan Ong street: From Provincial general hospital to Maternity hospital.

m2 8,000,000 12,200,000 1.525

- Sub-lanes of Hai Thuong Lan Ong road

m2 2,000,000 3,050,000 1.525

1.2 At Tan Son ward m2 18,000,000 29,000,000 1.611

II Housing

1 Tiling roof housing (class 4) m2 1,025,000 1,950,000 1.902

2 Slab roof housing (class 4) m2 1,201,000 2,280,000 1.9

3 Multi-floors housing (class 3 m2 1,427,000 Từ 2,700,000 > 1.892



onward) ÷ 4,120,000

(iii) Change in the compensation and resettlement policy of government: Due to the changes of supporting policy (including support for the loss of cultivating land, support for job transaction, livelihood restoration) which are much higher than proposed in the RP 2008 which indicates hereunder:

No Item RP 2008 Updated RP 2012 Remark

1 Agricultural land support

Not applied

For cultivating land in the

ward/commune area:

- Support by 20% of average price of resident land;

- For garden and pond: support by 40% of average price of resident land in the same affected plot.

- Total supporting area for such two cases shall not exceed 450 sqm.

New policy

2 Job transaction support Not applied

For cultivating land in the

ward/commune area

Support in cash equivalent to 1.5 time of cultivating land for area that be entirely acquired

New policy

3 Rice support

8,000 ñ/kg 13,000 ñ/kg Increasing 5,000VND/kg

With refer to the above justification, total compensation of the RP 2008 with comparision to the RP 2012 increased as follow:

Total compensation for all AHs of components 1 & 4 increased from $3.2 million up to $16.58 million;

In which:

1) Increase of land compensation from 1.72 million USD up to 6.83 million;

2) Increase of asset compensation from 0.162 million USD up to 2.81 million USD;

3) Increase of trees & crops compensation from 0.07 million USD up to 0.17 million USD;

4) Increase the cost of moving graves (without cost in the RP 2008 but increased 0.022 million in the actual);

5) Support the loss of cultivating land not mentioned in the RP 2008 but increased 1.4 million USD in the actual;

6) Increase of livelihood restoration from 0.217 million USD up to 0.265 million USD;

7) Job transaction support that not mentioned in the FS 2008 but increased up to 0.986 million in the actual;



8) Compensation for organizations:

The RP 2008 did not include this item; the increase amount under this item by the RP 2012 is 1.55 million USD.

•••• Total compensation of components 1 & 4 is: $16,577,103.00. Increased $13.37 million (See detail attachment 1)

•••• Total compensation for the whole project (components 3&5 are only estimated) is 19,201,545.2 USD. Increased is 14,663,748.9 USD (See detail attachment 2)