vie: second northern gms transport network improvement …

Social Monitoring Report

Inception Report January 2013

VIE: Second Northern GMS Transport Network

Improvement Project

Prepared by Investment and Environment Protection Consultation Company (EPC Co., Ltd.) in

association with Center for Assisting Community Sustainable Development (CSD) for the

Ministry of Transport, Project management Unit I and the Asian Development Bank.

NOTE

In this report, "$" refers to US dollars

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

MINISTRY OF TRANSPORT

PROJECT MANAGEMENT UNIT I

The Second Northern GMS Transport Network Improvement Project -

Upgrading of National Highway 217 (NH217), Thanh Hoa Province, Phase 1

INCEPTION REPORT Service package 3 – Resettlement Independent Monitoring

By

INVESTMENT AND ENVIRONMENT PROTECTION CONSULTATION COMPANY (EPC CO.,LTD)

ASSOCIATION WITH

CENTER FOR ASSISTING COMMUNITY SUSTAINABLE DEVELOPMENT (CSD)

HCMC 1/2013

Inception report EPC-CSD

2 RP Independence Monitoring - The Second Northern GMS Transport Network Improvement

Project - Upgrading of National Highway 217, Thanh Hoa Province




TABLE OF CONTENT

PART I: BACKGROUND .................................................................................................................................... 6

I. BACKROUND ................................................................................................................................................. 6

1.1 OBJECTIVES OF INCEPTION REPORT ............................................................................................................. 6 1.2 PROJECT BACKGROUND .............................................................................................................................. 6 1.4 SUMARY OF RP ......................................................................................................................................... 7

a) Loss of land .............................................................................................................................................. 7 b) Affected Non-Land Assets ........................................................................................................................ 7 c) Impacts on Households ............................................................................................................................ 8

1.4.2 POLICY FRAMEWORK ACCORDING TO RP/URP ........................................................................................ 9

II.EXTERNAL MONITORING ON THE RP IMPLEMENTATION ........................................................... 16

2.1 EXTERNAL MONITORING CONSULTANT ...................................................................................................... 16 2.2 OBJECTIVES OF THE RP IMPLEMENTATION MONITORING ........................................................................... 16 2.3 APPROACHES/MONITORING METHODOLOGY ............................................................................................. 16

2.3.1 RP compliance monitoring ............................................................................................................... 16 2.3.2 Assessing the restoration of living standards ................................................................................... 20

2.4 FRAMEWORK FOR RP IMPLEMENTATION MONITORING .............................................................................. 22

III. MONITORING PLANS ............................................................................................................................. 23

3.1 INTRODUCTION LETTER (ISSUED EVERY MONITORING TIME) ...................................................................... 23 3.2 BUILDING UP OF MONITORING TEAM .......................................................................................................... 23 3.3 SCHEDULE OF MONITORING AND CONSULTANT MOBILIZATION .................................................................. 24 3.3 MONITORING ORGANIZATION .................................................................................................................... 24

3.3.1 Desk review at the offices of RP implementation agencies .............................................................. 24 3.3.2 On the project sites........................................................................................................................... 25

IV. MONITORING FREQUENCY AND REPORT OUTLINE................................................................... 25

4.1 QUANTITY AND FREQUENCY OF MONITORING REPORTS ............................................................................. 25 4.2 PROPOSE THE CONTENT FOR EACH MONITORING TIME, OUTLINE OF REPORTS AND QUESTIONNAIRES ........ 26

4.2.1 Outline of period monitoring reports ............................................................................................... 26 4.2.2 Outline of living condition restoration assessment report ........................................................... 27 4.2.3 Outline of Social and economic survey report includes baseline/endline survey ........................ 29

PART II: ANNEXES ..................................................................................................................................... 31 ANNEX 1: QUESTIONNAIRE FOR COMPLIANCE MONITORING ............................................................................. 31 ANNEX 2: QUESTIONNAIRE FOR BASELINE/ENDLINE SURVEYS TO SUPPORT FOR ASSESSING LIVING CONDITION

RESTORATION .................................................................................................................................................... 37




LIST OF TABLE

Table 1: Permanent Land Losses 7

Table 2: Affected Non-land Assets 7

Table 3: Total Affected Households 8

Table 4: Severely affected households by Commune (Agricultural land only) 8

Table 6: Entitlement Matrix 9

Table 7. Document types, focused information and expected outputs 17

Table 8. Expected outputs via PRA 18

Table 9. Affected People Group and Sample Selection 21

Table 8. RP monitoring framework 22

Bảng 9. Establishment of resettlement teams 24

Table 10: Work contents and methods at involving agencies 24

Table 13: Survey, monitoring time and report 25

Table 14: Outline of period monitoring reports 27




ABBREVIATIONS

ADB : Asian Development Bank

AP : Affected Person(s)

CPC : Commune People’s Committee

DCC : District compensation council

DMS : Detailed measurement survey

DPC : District People’s Committee

EMA : External monitoring agency

GMS Great Mekong Subregion

HH : Household

MOT Ministry of Transport

LURC Land Use Rights Certificate

PC : People’s Committee

PPC : Provincial People’s Committee

PMU : Project management unit

PPMU : Provincial Project management board

PRA Participatory rapid appraisal

RP : Resettlement plan

URP Updated Resettlement Plan

TOR : Term of reference

VND Viet Nam Dong




PART I: BACKGROUND

I. BACKROUND

1.1 Objectives of Inception Report

The Inception report for RP implementation independence monitoring has been prepared with

the aim at (i) provision overall project information and understand the negative impacts of

land acquisition, compensation and resettlement plan of the project (ii) Propose the

approach, methodology, indicators, frequency, time frame and personal mobilization for

conducting the RP implementation independence monitoring, finalizing tentative content of

the monitoring reports.

1.2 Project background

The Northeast GMS corridor (includes Nam Ninh, Quang Tay province, China; Hanoi and

Thanh Hoa of Vietnam; Louangphrabang of Lao and Bangkok of Thailand) has been

considered as importance corridor as pointed out in the GMS Transport Development Strategy

and the Connective between the Northeast of Lao and Northern of Vietnam. Several sections

of the Corridor are still under good condition or have been upgrading. An example of The

Northern GMS Transport Network Improvement Project has been approval in 2007, which

consist of 370 km under the Lao’s Northeast Corridor, main component is NH No. 4

connective from Louangphrabang to Lao – Thailand border. Therefore, the remaining section

of the Northeast Corridor which connective to Lao-Vietnam border need to upgrade to ensure

the connective of the whole corridor. The Second Northern GMS Transport Network

Improvement Project focuses on the HN 217 of Thanh Hoa province in the northern of

Vietnam and NH 6, 6A and 6B of Houaphanh province in the Northeast of Lao. And finally

the Nghi Son port will be taken place as the main gate to the sea of the corridor. The

government of Vietnam and Lao are strongly support for upgrading these connective routes to

promote the economic development along the Northeast GMS Corridor.

The Second Northern GMS Transport Network Improvement Project covers Vietnam and

Laos and it is aimed to improve both regional and local connectivity. The project will support

regional cooperation between the Lao PDR and Thailand by facilitating cross-border traffic

movement on border crossings between the two countries. The Project consists of new

construction and replacement of weak bridges, improvement of several road sections, and

reduction of flood effects. And the project also will provide improved links to district centers,

market center and improve road safety.

The Project in Vietnam consists of a complementary component. The component involves in

the i) upgrading of National Highway 217 section from Km107+200 – Km195+400 (QL217)

that totals to about 188 km in length to graded IV mountain road standard; ii) new

construction of 2 bypass of Cam Thuy town (Cam Thuy East and West Bypasses with total

approximately 13 km in length); and iii) improvement of road surface of the section from

Km0+000 - Km104+900. The Thanh Hoa PPC (as client of RP) will support for PPMU to

implement resettlement plan. A consultant will be mobilized to carry out independence

monitoring of RP implementation.




1.4 Summary of RP

RP was prepared by DAINICHI CONSULTANT INC Japan, in association with DENAC

ASSOCIATES, Canada and Hanoi Design and Consulting Joint Stock Company, Vietnam in

July 2010. Currently, the RP is updating. However, the Updated RP has been completed for

Cam Thuy district only, the data of Cam Thuy district quoted in this report will be referred

from Cam Thuy URP which prepared by Yooshin consultant. The data of other districts will

be referred from original RP by by DAINICHI CONSULTANT INC Japan, in association

with DENAC ASSOCIATES, Canada and Hanoi Design and Consulting Joint Stock

Company, Vietnam in July 2010, since the URP of other district is available the data

adjustment will be taken in to account in the periodic reports

1.4.1 Impacts of Land Acquisition and Resettlement

a) Loss of land

According to URP of Cam Thuy district and RP of whole project prepared in July 2010, the

acquired land is mostly agricultural and forestry land, detail in the below table:

Table 1: Permanent Land Losses

Type of land Unit Flat section Mountain section

Total Ha

Trung

Vinh

Loc

Cam

Thuy

Ba

Thuoc

Quan

Son

1. Residential land m2 - - 732,60 100 50 882,6

2. Agricultural land m2 - - 59.213 2.500 400 62.113

3. Forestland m2 - - 54.400 28.000 82.400

4. Garden land - - 2.088 2.088

4. Fishpond m2 - -

Total m2 62.034 57.000 28.450 147.484

b) Affected Non-Land Assets

The non-land assets could be affected physical structures on land, trees and standing crop,

electrical voltage cable and part of a cable network…. The inventory results of the non-land

assets presented in the below table.

Table 2: Affected Non-land Assets

Non-land Assets

Unit Flat section Mountain section

Total Ha

Trung

Vinh

Loc

Cam

Thuy Ba Thuoc

Quan

Son

Electrical voltage cable and

cable network

Unit - - 100 100 200

Perennial fruit and timber

trees on residential cum

garden land

Tree - - 562 0 562

Timber and bamboo on

forestland

Tree - - 703 8.500 8.500 17.703

Gravesite Unit - - 2 - - 2




c) Impacts on Households

- Number of affected households: According to RP and URP , total of 764 households will

be affected by project, the detail member of each districts as below table:

Table 3: Total Affected Households

Impacts Unit Flat section Mountain section

Total Ha Trung

Vinh Loc Cam Thuy Ba Thuoc

Quan Son

1. Residential land HH - - 5 10 5 20

2. Agricultural land HH - - 286 100 20 406

3. Forestland HH - - - 180 140 320

4. Garden land HH - - 4 4

4. Fishpond HH - - - 0

Total 309 290 165 764

- Severely Affected Households (SAPs): Severely affected households focus only on Cam

Thuy district, and there will be no SAPs on other districts. According to URP of Cam Thuy

district, which identifies 81 SAHs (28% of all APs) from whom the project will acquire

between 10% to more than 70% of their agricultural land as below table.

Table 4: Severely affected households by Commune (Agricultural land only)

Commune Total 10 - 30% 30 - 70% > 70%

Cam Thuy Town 9 9 0 0 Cam Phong 45 44 0 1 Cam Son 27 26 0 1

Total 81 79 0 2

- Vulnerable Households: According to URP Cam Thuy district, the number of vulnerable

households is 101 (33%) of all APs, detail data of this category as in below table

Table 5: Number and Category of Vulnerable APs

Commune

Total

Single female-

headed

households with

dependents

HHs with

disabled

persons

Social policy HHs Ethnic

minority

HHs

Poor

HHs Invalids Martyrs Other social

policy

Cam Thuy

Town 29 0 0 0 3 0 23 3

Cam Phong 44 3 1 1 8 0 11 20

Cam Son 28 7 3 3 0 2 4 9

Total 101 10 4 4 11 2 38 32

For other district, the date of affected vulnerable households is not available, which will be

updated during periodic monitoring.




1.4.2 Policy Framework according to RP/URP

The resettlement and compensation policy framework of the project has been

summarized in the below entitlement matrix for each type of the project impacts.

Entitlements adopted are based on government policies and decisions and ADB

policies. Entitled persons or APs are those who satisfy the cut-off-date. Project

entitlements are shown in Table 6

Table 6: Entitlement Matrix

Impact/ Loss

and Application

Eligible Persons Entitlements Implementation Issues

Marginal Loss of Productive Land

(Agriculture/Aquaculture/Garden)

Single affected plot: The remaining

area is still economically viable for

use or meets the expected personal

yield and within the minimum land

quota in the commune.

More than One Plot of Productive

Land. If land is affected by more

than 10% of productive land but the

HH has more than one plot of

productive land and remaining area

of total landholdings is still

economically viable for use, meets

the expected personal yield, and

within the minimum land quota in

the commune

Households or persons

with

(i) LURC; or (ii) in the

process of acquiring

LURC (iii) are eligible to

acquire LURC according

to the regulations of GoV;

and (iv) covered by

customary rights, such as

members of ethnic

minority groups.

Cash compensation at

replacement cost which is

equivalent to current

market price and free

from transaction costs

(e.g., taxes, certification,

administration costs).

Cash assistance

equivalent to 1.5 times of

the current market price

of agricultural land.

If agricultural land is

within the residential area,

cash assistance amounting

to 20% of current market

price of adjacent

residential land.

Bonus Allowance if land

is handed over in time

The actual amount will be

determined during RP

preparation.

Land Users who have no

formal legal rights nor

recognized or

recognizable claims to

such land.

No compensation for

public land and land

allocated by GoV/ local

authorities to institutions

or individual AP, but full

replacement cost for non-

land assets and investment

on land to land user.

Severe Loss of Productive Land

(Agriculture/Aquaculture/Garden)

Single or More than One Plot of

Land. The remaining area is not

economically viable for use or does

not meet the expected personal yield

or below the minimum land quota in

the commune.


with






and (iv) covered by


members of ethnic

minority groups.








OR

Land-for-land of

equivalent productive

value and with secure

tenure, if replacement

The viability of remaining

land will be officially

determined by DRC and

concurred with by the

affected household during

the Detailed Measurement

Survey ( DMS).

Even if replacement land

is available, APs can still

opt land for land or cash

for land at the

replacement cost.




Impact/ Loss

and Application


land is available in the

locality.

If agricultural land is

within the residential area,

cash assistance amounting

to 20% of current market

price of adjacent

residential land.

Provision of life

stabilization assistance

for APs:

a) Losing 10% to 30% of

agricultural land and (i)

remaining land is below

the minimum land quota

in the commune; and (ii)

households depend

heavily on agricultural

land, therefore, can no

longer sustain a household

30 kg of rice per

person per month for

6 months if not

relocating

30 kg of rice per


12 months if

relocating

b) Losing between 30% to

70%.

30 kg of rice per


6 months if not

relocating

30 kg of rice per


12 months if

relocating

c) Losing more than 70%

30 kg of rice per


12 months if not

relocating

30 kg of rice per


24 months if

relocating

30 kg of rice per


24 months or more

but not more than 36

months if relocating

to a difficult socio-

economic condition

As per Article 20, Decree

69/2009 for Life

Stabilization Allowance

for those households

losing 30% or more.

However, for this project,

households who lose10%

- 30% of their productive

land and who are

determined to depend

heavily on agricultural

production, land is below

the minimum land quota,

and the remaining land

will no longer be

sufficient to support a

household will also be

entitled to life


similar to those losing

30% or more.

The amount will be based

on current market price of

rice at the time of RP

preparation.



preparation.




Impact/ Loss

and Application


area.



Households provided with

agricultural land will be

provided with production


including seedling,

domestic animal for

agricultural production,

other incentive agriculture

service, veterinary

services, plantation and

feeding technique, and

specialty technique for

production, business of

industrial-commercial

services.

The type of assistance and

period of assistance will

be determined during RP

preparation and will

reflect actual needs and

conditions of the APs.

Cash assistance

equivalent to 1.5 times of

the current market price

of agricultural land to

cover career change and

job generation.


69/2009. It refers to

"Career Change and Job

Generation".

The amount of assistance

(i.e., between 1.5 to 5)

will be determined during

RP preparation and will

reflect actual needs and

conditions of the APs.

Other assistance in

addition to the above will

also be decided during RP

preparation to ensure

restoration of income of

households.





"other assistance.

The PPC can make the

decision and in special

cases, may require

submission of additional

assistance request to the

Prime Minister for

decision.



preparation.



recognized or


such land.

No compensation for




or individual APs, but full




Other assistance may be

provided to ensure

restoration of income of

households.



"other assistance".

The PPC will make the

decision based on actual

conditions.




Impact/ Loss

and Application


Partial Loss of Residential Land

Not Requiring Relocation


with






and (iv) covered by


members of ethnic

minority groups.












determined by the DRC

and concurred with by the



Survey ( DMS).



preparation.



recognized or


such land.

No compensation for








Total Loss of Residential Land

Land no longer viable for continued

use, i.e., not sufficient m2 to build a

house, therefore the entire property

has to be acquired


with






and (iv) covered by


members of ethnic

minority groups.








Plus: cash assistance for

self-relocation equivalent

to investment cost per

household at the

resettlement site

OR

Plot at the resettlement

site which will be

constructed by PMU1 of

similar attributes with

secure tenure





determined by DRC and

concurred with by the



Survey ( DMS).



preparation.


formal legal rights or

recognized or


such land.

No compensation for








For APs who belong to

poor and vulnerable

households who do not

have other

accommodation as they

cannot afford to purchase




Impact/ Loss

and Application


a house be allocated with

land or house at the

resettlement site, they will

be assisted in cash or in-

kind depending on actual

condition of APs and

specific needs.

Loss of Garden/Pond Land that is

not Certified/Recognized as

Residential Land







and (iv) covered by


members of ethnic

minority groups.

In addition to payment for

affected land based on

replacement cost of

garden/pond land, AP will

be entitled to cash

assistance equivalent to

40% of the current market

value of residential land.




69/2009.

The PPC will make the

decision on the amount of

assistance based on actual

condition.



preparation.

Partial Impacts on Houses or

House-Cum-Shops

Unaffected portion of the house is

still viable or can be continuously

used and will not require any

relocation, only repair works.

Owners with or without

acceptable proof of land

use rights over the land;

with or without building

permit.


replacement cost for the

affected portion that is

equivalent to the current

market value of a newly

built structure and with no

depreciation or deduction

for salvageable materials

for the affected portion.

Total Impacts on Houses or

House-Cum-Shops

House is partially affected but the

remaining portion of the house will

no longer be viable for continued

use, therefore, the entire house will

be demolished.

Owners of the structures

with or without acceptable

proof of land use rights

over the land; with or

without building permit



entire house which is



built house or house-cum-

shop and with no


for salvageable materials.

Cash payment for

connection fees for water,

electricity and telephone

at the new site (relocation

site or site that AP prefer)

Partial Impacts on Shops

Shop is partially affected but the



use, therefore, the entire shop will be

demolished.



affected portion which is



built house or house-cum-

shop and with no



for the affected portion.

Total Impacts on Shops

Shop is partially affected but the




entire shop which is

Relocation of shop can be

on remaining land or to a

new plot of land at the




Impact/ Loss

and Application



use, therefore, the entire shop should

be destroyed.



built shop and with no


for salvageable materials.

resettlement

site/commercial site or a

plot of land that the AP

chooses (self-relocation).

Loss of Income from Business

Registered business

Cash assistance

equivalent to 30% of after

tax income in one year

based on average income

in the last 3 consecutive

years as certified by the

tax department of the

province

Non-registered business

(shops)

Cash assistance based on

estimated net income of

shop. Assistance will not

be less than 3 months

Disruption During Relocation Relocating households

whose house are totally

affected and will have to

move back onto

remaining land or onto a

new plot of land

a) Life stabilization

allowance equivalent

to 30 kg of rice per

member of household.

The allowance period

will depend on the

estimated transition

period,

b) Materials Transport

Allowance which will

be equivalent to the

actual cost of moving

(vehicle and labor),

and

c) House Rental

Allowance if AP has

no other

accommodation while

waiting for new

accommodation (i.e.,

while AP is rebuilding

house or waiting for

house being built by a

contractor at the

resettlement site)

The actual amount per

type of assistance will be


preparation to reflect

actual conditions.

Relocating Shops

Materials Transport

Allowance which will be

equivalent to the actual

cost of moving (vehicle

and labor).

This applies to stand-

alone shops. If shop-

owner is also affected

house-owner who will be

required to relocate, the

materials transport

allowance will be

included in the cost for

affected house.

Higher Risks of

Impoverishment/Hardship Due to

Loss of Resource Base

Affected vulnerable

households

Allowances for

households as per

government regulation




Impact/ Loss

and Application


(social policy households,

heroic mothers, wounded,

dead soldiers)

Additional support for

vulnerable households to

assist them in rebuilding

their house or

restoring/improving their

livelihood

The actual amount and

period of assistance will

be determined during RP

preparation to reflect

actual needs of each

vulnerable household.

Households who will

experience severe loss of

production land,

relocating households and

business owners, and

vulnerable households

Entitled to take part in

income restoration

program/measures to be

designed during RP

preparation.

Loss of Secondary Structures Households or persons

with or without acceptable

proof of land use rights

over the land; with or

without building permit.





built structure and with no



Impacts on Crops, Trees and

Aquaculture Products

Owners regardless of

tenure status

Annual crops and

aquaculture products


market value of

crops/aquaculture

products at the time of

compensation;

For perennial crops trees,

cash compensation at

replacement cost


market value given the

type, age and productive

value (future production)

at the time of

compensation.

Timber trees based on

diameter at breast height

at current market value.

Impacts on Public Facilities,

Communal Owned Assets and

Collective Assets

Owners of assets Cash compensation to

cover the cost of restoring

the facilities or assets

OR

In-kind compensation

(such as PMU1 to replace

materials, provide labor)

To be agreed between

PMU1 and owner during

RP preparation

Impacts on Graves/Tombs Households/individuals

who have affected tombs

and graves

Costs of excavation,

relocation and reburial

will be reimbursed in cash

to the affected family.

Graves to be exhumed




Impact/ Loss

and Application


and relocated in culturally

sensitive and appropriate

ways.

II.EXTERNAL MONITORING ON THE RP IMPLEMENTATION

2.1 External monitoring consultant

The Association of Investment and Environment Protection Consultation Company EPC

(EPC Co.,LTD) and Center for Assisting Community Sustainable Development (CSD) is the

Consultant selected for implementing package No.3 – consulting service on safeguard

policies, external monitoring on implementing RP of the project. According to TOR for

external monitoring, the consultant is mobilized intermittence in 19 months since PPMU1

issued mobilization letter.

2.2 Objectives of the RP implementation monitoring

The external monitoring on the RP implementation aims to:

- Verify/assess whether RP implementation is complied with policies and procedures as

stated in the approved RP report

- Assess if main objectives in RP of enhancement or at least restoration of living standards

and income levels of APs as pre-project level have been met

- Detect outstanding issues if any and propose suitable and effective resolutions

2.3 Approaches/Monitoring Methodology

Two main tasks have been identified for this service package, they are i) RP compliance

monitoring and ii) Assessing the restoration of living standards of the DPs which will be

carried after 6 months since project completed. The consultant has proposed deference

approaches each task, as below:

2.3.1 RP compliance monitoring

The importance results of this task is to determine whether the procedures for APs

participation and delivery of compensation and other rehabilitation entitlements have been

done in accordance with the Policy Framework and the respective RAP. The consultant will

conduct an external monitoring in order to address the following issues: i) whether the public

participation, consultation and information disclose conducted by PMU1?, and how the

effectiveness of these activities?; ii) if DMS activity has been properly implemented such as

advanced inform for APs before DMS day, whether the APs invited to do DMS, whether APs

signed into the DMS minute and whether DMS is sufficient; iii) whether the compensation

cost is replacement cost; iv) Verify APs receive full allowances and other rehabilitation

assistance as stated in the entitlements matrix; v) Grievances and grievance redress




mechanisms; vi) resettlement site preparation if any; and vii) any difficulties and outstanding

issues.

Base on the targets of the task and the TOR’s requirements Consultant decided to use the

following methods among various methods of external monitoring:

a) Documentation review

Purpose of this method is to understand the performance of a project/organization through its

documentation, whether in written, electronic or photographic form

Table 7. Document types, focused information and expected outputs

Information

sources Document types, needed information

Expected results

PMU1

Approved RP/URP reports

Entitlement policies;

Responsibilities of

related agencies;

Procedures of

complaints and

complaint resolution,

etc.

Documents related to RP and updated RP sent to

ADB by PMU1 and responses of ADB, memoranda

of ADB mission, etc. Directions, instructions

of the investor and

local authorities about

RP implementation

Documents related to RP implementation of GoV,

PMU and ADB

Documents, letters related to RP implementation sent

to Thanh Hoa PPC by PMU1 and their responses

Monthly progress report of the construction and of

the RP implementation prepared by PMU1

General progress of RP

implementation

DCCs

Documents of RP implementation of DCCs, such as

PIBs, announcement of the compensation price,

public consultation minutes, etc.;

Whether types of

information disclosure

required in RP are

done in reality

Agreement on replacement cost survey, reports,

certificates of replacement cost valuation and

decisions on approval of replacement cost

What are types of

compensation price?

Documents/decisions of PPCs on the RP

implementation If the entitlements in

RPs are complained

with?

General compensation plans for provinces and

compensation option of each HH

Decisions on approval of general compensation plans

and of detailed compensation options

List of PAHs and level of impacts, particularly pay

attention to severely affected HHs and vulnerable

groups;

Provision basic

information to identify

scope of baseline

/endline survey

List of all relocated HHs and relocated HHs with Review resettlement




Information

sources Document types, needed information

Expected results

resettlement need sites if any and HHs

with resettlement need;

if the construction of

resettlement sites is

finished before land

acquisition; how is

living of the HHs. If

they have enough

money for buying

resettlement land,

apartment?

Entitlements of relocated HHs

Resettlement arrangement: name, location, scope,

number of resettlement plots/ apartments, distance

from the resettlement sites to the project location.

The resettlement site is newly developed or available.

If newly constructed, how are planning, design,

selection of construction contractor, etc. Estimated

price of the resettlement plots/apartments. Planned

time of resettlement arrangement and comparison

with construction progress of the project.

Compensation records (sample size as required in

TOR). Main papers are covered in the review are: (i)

DMS minute; (ii) Compensation calculation sheet;

(iii) Minute of compensation negotiation (if any); (iv)

Decision on approval of compensation options for

every HH; (v) Minute or voucher of the payment;

(vi) Minute of site-handing over

If PAHs are

compensated

sufficiently in term of

quantity of assets and

at replacement cost? Is

the timeliness of the

compensation is

complied with

requirement in RP?

Grievances and complaints and redressed by the

authorities

Number of types of

grievances and

complaints raised by

APs and the address of

authorities?

- Public

announcement

- Website:

http://www.adb.org

- Decree No. 197/2004/ND-CP of GoV dated 03

December 2004;

- Decree No. 84/2007/ND-CP of GoV dated 25 May

2007;

- Decree No. 69/2009/ND-CP of GoV dated 13

September 2009;

- Resettlement policy framework of the project

Understand about

directions on GoV and

ADB on

compensation,

assistance and

resettlement

b) Participatory rapid appraisal (PRA)

Table 8. Expected outputs via PRA

No Agency Discussed issue Expected results

1 Local

authorities

Assessment on

RP

implementation

(i) Whether the affected public assets have been adequate restored

or compensated?

(ii) Whether any HHs lost their income sources due to land

acquisition;

(iii) Whether the compensation price is suitable? Are there any

complaints about the compensation?

(iv) Is there any resettlement sites? If yes, how is the preparation

of resettlement sites? Does the construction progress of the

http://www.adb.org/




No Agency Discussed issue Expected results

resettlement sites tally with progress of the project?

2 PMU1 and

DCCs

RP and duties

of PMU1 and

DCCs

according to RP

and in reality;

(i) Types of information disclosure have been done, agencies and

number of participants. Opinions of PAHs and responses of local

authorities;;

(ii) DMS form, procedure of DMS and participation of PAHs

during the asset inventory; number of HHs with DMS without

presence of the owners and its procedure;

(iii) Classification of PAHs according to RP, severely affected

HHs, partially affected HHs, relocated HHs, vulnerable groups;

(iv) TOR for external valuation agency and requirement of

replacement cost survey on land, structures, trees, annual crops.

Procedures and results of consultation on compensation price;

(v) Is approval of detailed compensation options based on

negotiation on compensation?

(vi) Compensation payment: transferring via bank or in cash;

(vii) Time of payment as planned, number of PAHs already

compensated and not yet compensated, reasons why not yet

received compensation. Duration from the payment until site-

handing over is complied with approved report?

(viii) Number of PAHs with complaints, main reasons, percentage

of PAHs complaining about main issue, such as typically example

of compensation price;

(ix) Number of relocated HHs, including self-relocation and

resettlement arrangement. Link the resettlement process with the

preparation of resettlement sites. Investor of resettlement sites?

How is the price? Is there any comparison on compensation cost

with cost of resettlement plots? If they do not have enough money

to pay for the resettlement plot, is there any assistance?

(x) Are there any living restoration programs at the localities? If

yes, then who is responsible for the design, have the programs

been finished?, etc?

c) Interview by questionnaire (see annex)

Approach/methodology

A structured questionnaire is designed and attached to annex of this report. The questionnaire

is to collect information on household and other aspects related to the RP implementation.

The consultants will interview households by questionnaires during the monitoring process.

The focuses will be on the information disclosure, DMS activities, compensation price,

compensation payment and duration, and assistance activities, living restoration, complaints

and complaint address, etc. According to the TOR, the household interview will cover 100%

of SAHs and 20% affected HHs

Expected results




- Name of HH heads, address, national groups, education, knowledge of the HH on RP

implementation,

- Are affected assets inventoried correctly;

- Legal bases of compensation cost? Is the compensation sufficiently paid?

- Is the assistance complied with resettlement policy framework of the project?

- Living restoration, complaint and complaint resolution, etc?

- The actual implementation at the localities;

- Satisfactory level of PAHs;

- Comparison current living standards of local people with the pre-project ones;

- Impacts on environment and on local people during the construction of the project;

- Opinions of local people on compensation, resettlement and income restoration of the

project, mitigation measures on environmental impacts applied by construction

contractors; plans of relocated HHs and of vulnerable groups, their difficulties and

suggestions, etc.

- Drafts of questionnaires are represented in annex of the report for review of the client and

of ADB;

d) Site observation, taking typical pictures

Approach:

The monitoring team will directly observe on status of ground clearance, visit resettlement

sites if any and survey on living standards of some HHs and take pictures..

Expected results:

Pictures can be used to understand the context in sites.

e) RP compliance monitoring report

Based on the collected data and information, the consultant will carry out data processing and

analyzing as well as prepare the RP compliance monitoring reports as proposed content on

item 4.2.1

2.3.2 Assessing the restoration of living standards

a) Structured questionnaire

The goal of RP is to ensure that APs have been able at least to maintain, if not improve, pre-

project living standards. Therefore the expected result of post evaluation is to confirm that at

least restoration of living standards of APs have been met. The Consultant will collect social

and economic data of APs pre-and after- project (before and after land acquisition) to

compare the changes in the level of livelihood before and after the project (see detail in annex




2). A sheet of structured questionnaire has been prepared to collect these information. The

questionnaire focus on occupation, income/expenditure, ownership of consumer items…

b) APs categorizing and sample scale

The assessing the restoration of living standards need to categorize the APs of each commune

into targeted groups based on type and degree of impact. The categorization of APs group will

be based on the DMS information and data processing results as well as RP/URPs of the

project. The consultant will work close with DCCs to categorize the APs to identify the scale

of baseline and end-line surveys. The AP groups include:

Table 9. Affected People Group and Sample Selection

No. Affected People Group Number of APs according to

DMS results

Percent

of sample

1 Residential land loss, house loss and relocated

household

1.1 Relocated HHs will move to resettlement sites Working with DCCs to verify

the final number

100%

1.2 Relocated HHs will self-relocate As above 100%

2 Severe affected HH, who loss more than 10%

total productive land holding or business shop

2.1 Loss all productive land holding and need to

buy other land

As above 100%

2.2 Remaining productive land holding As above 100%

3 Vulnerable group

Vulnerable group includes poor HHs, ethnic

minority HHs, women-header families, disable

HHs, Old people with no relatives or care and

Social policy benefit HHs

As above 100%

4 Others As above 20%

c) Sample, pictures storage and recorded

To assess the living condition restoration, the Consultant will need to collect data that indicate

the pre-project level of livelihood for relevant groups of APs and collect corresponding data

that shows the current level of livelihood after project, in order to make an informed

assessment with regard to changes in the level of livelihood before and after the project.

Therefore the base line and end-line surveys (before and after project) must be coded as the

same interviewee, HH location, groups of APs, communes, districts.

The pictures of each interviewee also need to take and code corresponding questionnaire

information for both before and after project




2.4 Framework for RP implementation monitoring

Table 8. RP Monitoring Framework

Content

Summary Performance Targets/Indicators Reports Methods

Impacts

Losing land,

assets,

business

- Number of APs;

- Number of relocated AP

- Types of affected assets;

- Types of acquired land and area;

- Lost main sources of income and total income;

- Sex of affected household heads

- Ethnic groups;;

- Vulnerable group and HHs for each group

Inception

and

Period

Household

interview

questionnaire;

Guide questions

for key informant

interviews

Output

Restoration,

rehabilitation

of living

standards of

APs

- Are affected HHs compensated sufficiently for

their affected houses, including disparity,

transaction fees?

- Are affected HHs consulted with regarding their

options on developed resettlement houses?

- Is awareness of community restored?

- Do affected HHs access to main social and

cultural conditions?

- Are affected HHs sufficiently paid in the

compensation and other cost?

- Is the compensation cost high enough to replace

the affected assets?

- Does the compensated land have suitable

conditions?

- Is the compensation cost included the relocation

assistance cost?

- Does the replacement income allow affected

HHs to reestablish business and production?

- Are affected businesses able to reestablish

themselves by allowances from the project?

- Are vulnerable groups provided opportunities to

earn their living? Are the opportunities effective

and stable?

- Is there any job for affected HHs to restore their

pre-project living standards and income?

Inception

and

Period

Household

interview

questionnaire;

Guide questions

for key informant

interviews

Output




Content

Summary Performance Targets/Indicators Reports Methods

Impacts

Effectiveness

of the

resettlement

plan and other

impacts

- Do PAHs know thoroughly compensation and

resettlement procedures?

- Do PAHs know their entitlements on

compensation and resettlement? Do PAHs

know if all entitlements are paid sufficiently?

- Assessment of PAHs on their current living

standards and income capacities?

- Do PAHs know complaint procedures and the

resolution procedures?

1. Are assets of affected HHs inventoried

correctly?

2. Is there any land speculation?

3. Are the implementation progress and budget

enough to meet all the objectives?

4. Are entitlements too much?

5. Are vulnerable groups identified and

supported?

6. Are existing issues resolved by resettlement

officers?

Inception

and

Period

Household

interview

questionnaire;

Guide questions

for key informant

interviews

III. MONITORING PLANS

3.1 Introduction letter (issued every monitoring time)

According to our experience, the official introduction from PMU is very helpful during the

implementation of the service. Contents of the PMU introduction letter are:

- Brief introduction of objectives, contents, scope and benefits of the independent

monitoring on the implementing the RP;

- Introduction of the external monitoring agency;

- Suggestions for help and co-operation from local authorities and related agencies with

the consultant.

The above letter will minimize distrust and unwillingness to co-operate of local authorities

and related agencies, thus create good conditions for the service.

3.2 Building up of monitoring team

According to agreement on consulting service, the consultant chose qualified and experienced

specialists to build up a monitoring team which includes one team leader (consultant leader)

and three specialists. All of them are experienced in the RP implementation.




Table 9. Establishment of resettlement teams

Name of

specialist Firm Qualification Position Responsibility Education

Nguyen Nam

Son

EPC Co.,LTD Environment and

resettlement

specialist

Team

leader

Environment

and

resettlement

specialist

Master (2002-

2003) - AIT

Le Duc Huy EPC Co.,LTD Gender and

community

development Specialist

Gender and

community

development

Master -

Rizal

Philippine,

2007-2009

Dinh Trong

Thu CSD Gender and social

development Specialist

Gender and

social

development

Master

Tran Thi

Hong Thu CSD Livelihood

development

Specialist Livelihood

restoration

Master

3.3 Schedule of monitoring and consultant mobilization

Due to Update RP has been implementing, the detail schedule for whole monitoring service

has still not finalized yet. Basically, before each monitoring time the detail plan will be

submitted to PMU1. Thus, the detail schedule of monitoring and consultant mobilization will

not include in this inception report.

3.3 Monitoring organization

3.3.1 Desk review at the offices of RP implementation agencies

Table 10: Work contents and methods at involving agencies

Activities Contents Methods

Working with PMU1

- Project implementation progress, RP

progress, and any outstanding issue of RP

implementation,

- Internal monitoring reports (if any)

- Group discussion and

interview PMU1 staffs;

- Report review

Working with DCCs

- Progress of the project implementation,

DMS, compensation calculation,

negotiation, approval and payment;

advantages and difficulties;

- Organization mechanism;

- Reviewing compensation records: DMS

forms, calculation, payment minutes,

complaints.

- Management of records and documents;

- Construction progress of resettlement sites

and resettlement arrangement

-Discussing with

project/RP staff

-Obtaining and reviewing

100% severely affected

HHs, 20% other HHs and

100% complaint records

Responses on

monitoring reports

Quick report on detection and monitoring

results, verification of the issues

Contact with PMU1 and

DCCs if needed

Data processing Data processing - SPSS and other tools




Activities Contents Methods

Writing report in

Vietnamese, submitting

the draft to PMU1

Reports in Vietnamese Reporting and document

Revision and translation

into English Reports in Vietnamese and English Email/post office

Finalizing and sending

to PMU1 Reports in Vietnamese and English Email/post office

3.3.2 On the project sites

The monitoring team will visit the sites to (i) work with local authorities to collect

information about compensation, particularly attention will be paid to HHs with complaints if

any, compensation and restoration of public structures; (ii) interview PAHs via questionnaire

attached to the annex, focus on 100% severely affected HHs and 20% partially affected HHs,

(iii) directly observe and take typical pictures: observation on construction progress,

environmental issues during the construction, visiting resettlement sites and interviewing

PAHs.

IV. MONITORING FREQUENCY AND REPORT OUTLINE

4.1 Quantity and frequency of monitoring reports

The contact duration will be 19 months since PMU1 issues mobilization letter. During contact

implementation, the consultant will carry out the base line survey and periodic compliance

monitoring. The post-resettlement evaluation report will be implemented at the end of the

monitoring. The number and scope of work of reports have been defined in the below table:

Table 13: Survey, monitoring time and report

No. Reporting Scope of work

1

Inception report

- Review available documents, prepare the tools for each

periodic monitoring as well as baseline survey, meeting

with PMU1 - Report preparation

2 Baseline survey conduct and

report preparation on social-

economic condition of Cam

Thuy district - Progress report

No. 1

- Baseline survey (conduct before the compensation

implementation) for 100% severely affected HHs, 20%

other HHs - Data code and input to SPSS software, data processing and

analyzing - Prepare baseline report




No. Reporting Scope of work

3

Preodic compliance monitoring

report – Cam Thuy district -

Progress report No. 2 – Semi-

annually report

- Revise the resettlement, compensation documents and

records at the officer of Cam Thuy district (for 100%

severely affected HHs, 20% other HHs);

- Interview affected HHs (for 100% severely affected HHs,

20% other HHs);

4 Baseline survey conduct and

report preparation (baseline) on

social-economic condition of

Ba Thuoc and Quan Son

districts (- Progress report

No. 3)

- Baseline survey (conduct before the compensation

implementation) for 100% severely affected HHs, 20%

other HHs - Data code and input to SPSS software, data processing and


5

Periodic compliance monitoring

report – Ba Thuoc and Quan

Son district - Progress report

No. 4 – annually report


records at the officer of Ba Thuoc and Quan Son districts

(for 100% severely affected HHs, 20% other HHs);


20% other HHs);

6

Periodic compliance monitoring

report for whole project-

Progress report No. 5 – Semi-

annually report 2


records for whole project (for 100% severely affected HHs,

20% other HHs);


20% other HHs);

7 End-line survey conduct and

report preparation on social-

economic condition for whole

project

- Social and economic survey, for 100% severely affected

HHs, 20% other HHs - Data code and input to SPSS software, data processing and


8

Living condition restoration

assessment report -– Progress

report No. 6 – annually report

- Review the resettlement and compensation documents,

- Review the grievances and complaints and how the

complaints were resolved;

- Analyzing the available data, social economic condition

data to compare the change before and after prject and

evaluation of living condition restoration

4.2 Propose the content for each monitoring time, outline of reports and

questionnaires

4.2.1 Outline of period monitoring reports

Main contents of period monitoring reports are proposed on the below table. However, some

adjustments could be made during monitoring implementation to fix with the on site activites

and real situation




Table 14: Outline of period monitoring reports

I INTRODUCTION


1.2 A brief on RP

1.3 Independent monitoring on RP implementation

II FINDINGS OF THE MONITORING

2.1 Implementation progress of the project

2.2 RP implementation progress through main activities

2.2.1 DMS, replacement cost survey, preparation of compensation options,

Announcement of compensation options…,

2.2.2 Number of affected HHs by type of affects

2.2.3 Land and asset donation (if any)

2.2.4 Capital sources for payment

2.2.5 Number of relocated HHs and resettlement arrangement

2.3 Outstanding issues, recommendation and responses from relevant agency (for all

periodic monitoring reports)

2.4 Reviewing/monitoring on RP implementation

2.4.1 Information disclosure

2.4.2 Verify the sufficiency of the compensation in accordance with

entitlements in the RP

2.4.3 Timeliness of the compensation

2.4.4 Restoration programs and actual implementation (if any)

2.4.5 Number of relocated HHs, Eligible HHs for relocation and resettlement

arrangement

2.3.6 Gender issues and ethnic minorities and vulnerable group

2.3.7 Complaints and complaint resolution

2.4 Assessment on RP implementation organization

2.4.1 Review the RP implementation organization

2.4.2 Internal monitoring of PMU and internal monitoring report

III CONCLUSIONS, OUTSTANDING ISSUES AND RECOMMENDATION

3.1 Conclusions

3.2 Outstanding issues and recommendation

3.3 Summarizing outstanding issues and recommendation

IV ANNEXES

5.1 List of contacted agencies/persons

5.2 List of checked records

5.3 List of interviewed HHs

5.4 Questionnaire

5.5 Related documents

5.6 Illustrative pictures

4.2.2 Outline of living condition restoration assessment report

I INTRODUCTION


1.2 A brief on RP




1.3 Independent monitoring on RP implementation

II PROJECT PROGRESS AND RP IMPLEMENTATION

2.1 Implementation progress of the project

2.2 RP implementation progress through main activities

III Assessment on the restoration of relocated HHs

3.1 General assessment on PAHs living standards

3.1.1 Compliance with requests in RP reports

3.1.2 Good supportive policies

3.1.3 Change in land price (productive land) and ability to buyback of land

3.1.4 Changes in careers

3.1.5 Changes in income

3.1.6 Changes in living facilities

3.1.7 General assessment on living condition restoration for all affected HHs

3.2 Residential land loss and relocated HHs

3.2.1 General information of the relocated HHs

3.2.2 Current living area

3.2.3 Change in land price (productive land) and ability to buyback of land of

the relocated HHs

3.2.4 Change and trend of careers

3.2.5 Changes in and income


3.2.7 General assessment on the living condition restoration of relocated HHs

based on the baseline/end-line data

3.3 Severe affected HHs, loss more than 10% of productive land, business area, and

total loss of productive land

3.3.1 Category affected HHs by type of affects and location







3.4 Severe affected HHs, loss more than 10% of productive land, business area, and

partly loss of productive land








3.5 Vulnerable groups











III CONCLUSIONS, OUTSTANDING ISSUES AND RECOMMENDATION

3.1 Conclusions

3.2 Outstanding issues and recommendation

3.3 Summarizing outstanding issues and recommendation

IV ANNEXES

5.1 List of contacted agencies/persons

5.2 List of checked records

5.3 List of interviewed HHs

5.4 Questionnaire

5.5 Related documents

5.6 Illustrative pictures

4.2.3 Outline of Social and economic survey report includes baseline/end-line

survey

1 Project background

2 A brief on RP

3 Independent monitoring on RP implementation

3.1 RP compliance report

3.2 Living condition restoration assessment

3.3 Social and economic survey (baseline/end-line) to support for assessment of

living condition restoration

3.3.1 Survey methodology

3.3.2 Survey samples

3.3.3 Tools for survey and data analyzing (SPSS)

3.3.4 Data management and storage

4 Survey results and data analyses by Affected HH group

4.1 Household general information

4.1.1 Group of Affected HHs by location : The affected group need to

category by significance of impacts such as (severe affect HHs,

marginal effect HHs, vulnerable HHs and relocated HHs) for each

communes before and after RP implementation to compare

4.1.2 HHs’s occupation and labor by affected HHs groups (severe affect,

marginal effect, vulnerable HHs and relocated HHs) for each

communes before and after RP implementation to compare

4.1.3 The reason for changing in occupation, due to acquired land for the

project (number of people and percentage)

4.2 RP implementation ( included in the questionnaires)

4.2.1 Information disclosure and its efficiency through survey

4.2.2 DMS and adequate implementation of DMS through survey

4.2.3 Allowances and other assistance provided for in the RAP have been

adequate and acceptable to the AP through survey

4.2.4 Grievances and complaints and efficiency of grievance redress

mechanisms




4.3 Living facilities (includes in questionnaires)

4.4 Income and expenditure (includes in questionnaires)

4.5 Livelihood from productive land (includes in questionnaires) 4.6 Taking picture of the internee’s house to compare the changes if

any 4.6.1 House pictures of relocated HHs before and after RP 4.6.2 House picture of severe affect HHs before and after RP

4.6.3 House picture of vulnerable HHs before and after RP

4.6.4 Picture of resettlement sites if any




PART II: ANNEXES Annex 1: Questionnaire for compliance monitoring

1

Upgrading of National Highway 217

Project name: ……………………………………………………………………

Project category: 1 With land acquisition 2 Without land acquisition (temporary

impacts)

Location: ……………………………………………………………………….

Code

Types of

impacts:

Total loss of residential

land and moving to

resettlement areas

Severe affect due to loss

more than 10% of total

productive land holding

Others

Total loss of residential

land and self-relocation

Vulnerable HHs

A - FOR HHs WITH LAND ACQUISITION ONLY

I. General information about the household

1. Name of interviewees: .................................................

Age: ......... Gender: Male 1 Female 2 Education:……..........

Occupation: ..................................... Relationship with HH head: ..............................

2. Name of household head: ....................................................................

Age: ......... Gender: Male 1 Female 2

Education:…….......... Occupation: .....................................

Address: ....................................................................................................................................

3. Number of persons living with the householder: ..........................

Of which: Male: ........... persons Female: .......... persons

Number of HH with income:

- Before the project implementation, ……..persons, of which, Male : ….. persons.

Female : ……. persons

- After the project implementation …….. persons, of which, Male : ….. persons.

Female : ……. persons

4. Ethnic group?

Kinh 1 Chinese 2 Other 3 (please verify): ...........................

5. Is the family as a social policy family receiving Government subsidy?

1 Yes 2 No.

6. Type of impacts (Noted that a HHs could be suffered from several impacts)

1 Loss of residential land 6 Damage to business

2 Loss of agricultural land (…% of total 7 Damage to living facilities

1 The questionnaire will be pretested before conducting main survey, some adjustment could be made if needed




holding land)

3 Damage to crops Severe affect

4 Damage to houses and other structures Vulnerable HHs

5 Damage to structures rent by the State

II. Project information disclosure

7. Do you know about the project?

1 Yes 2 No

8. How do you know the project information? (Mark the answer)

1 Leaflets 4 Officer of local authorities

2 Local broadcasting 5 Project officers

3 Ward/commune speakers , news 6 Meetings with affected people/public

7 Other (please clarify) .....................

9. Do you understand policy and entitlements you will get from the project through the

information disclosure?

1 Yes 2 No

If no, the reason is:

1 Not clearly disseminated 3 Don’t know who can be asked

2 Haven’t learnt about 4 Other, detail:…………..

10. Were you suggested land and other assets donation for the project implementation?

1 Yes 2 No

11. Do you agree with land/asset donation?

1 Yes 2 No

If no, please give the reason?............................................................................

III. Inventory of losses:

12. Have you been informed in advanced about time for measurement and inventory of your

affected assets?

1 Yes 2 No

13. Are you or the representative of your family participated in inventory of your affected assets?

1 Yes 2 No

14. Are there any of your assets not inventoried?

1 Yes 2 No

If yes, what are they?......................................................................................

15. Do you agree with the inventory results of your affected assets?

1 Yes 2 No

If no, Why don’t you agree with the DMS results?

Missing affected assets

Wrong categorization of type/grade of land

Wrong categorization of house

Wrong categorization of crops/ trees

Wrong determination of land origin




Others (write clearly)……………………………………………………………….

16. Did you review and sign inventory minute?

1 Yes 2 No

17. Do you keep one copy of your compensation calculation sheet?

1 Yes 2 No

IV. Compensation and assistance

18. Are you or the representative of your family consulted and discussed with about compensation

prices and compensation plans?

1 Yes 2 No

19. How do you evaluate the compensation prices for your affected assets at the compensation

time?

Close to

market prices

Acceptable A bit lower Much lower Don’t

know

Residential land

Agriculture land

Housing

Crops/ trees

20. Are you satisfied with compensation price?

1 Yes 2 No

If no, why: ………………………………………………………………………………….

21. Did you review your compensation calculation sheet?

1 Yes 2 No

22. Have you received compensation payment?

1 Already 2 Not yet

23. When do you receive compensation payment and allowances? (Mark one answer)

Receive full payment prior to handing over the site

Receive full payment right after handing over the site

Receive partial payment, the remaining is paid right after handing over the site

Have been paid but not yet received due to unsettled complaint and grievance


24. Are there any members lost their employment due to the land acquisition?

1 Yes 2 No

25. Which of the following allowances have you received? (Mark the answers)

Subsistent allowance

Vocational training

Business interruption

Relocation

House rental

Illiteracy elimination

Ethnic minorities

Poor households

Household with special welfare

Single mothers with small children

Support for repairing the remaining house/shop

Bonus for timely movement




Others (write clearly)…………………………………………………………….

Unknown

Ineligible for allowances

26. Apart from compensation and allowances, are you participated in the following agriculture

promotion programs in your areas?

Being invited

for

participation

Being

invited but

not

participate

Not being

invited

Irrelevance due

to there are no

programs at the

commune

Guidelines on cultivation techniques

Guidelines on animal husbandry

techniques

Craft training

Provision of breeding animals/trees

Loans, credit

Others (specify)…………

Don’t know

27. Is the compensation payment and allowances sufficient for restoration of affected assets and/

or incomes at the compensation time? (Mark “X” in the line corresponding column to your

answer)

Redundant

Just

enough

Lack a

little

Lack

much

Irrele-

vant

1 2 3 4

Purchase of replacement land

Purchase of agriculture land for

replacement

Construction of a new house

Construction of a new shop/ stall

Income restoration

Changing occupation

Others (specify)..............................

B - FOR HOUSEHOLDS THAT HAVE TO RESETTLE ONLY

28. Are you participated in selection of the resettlement sites? (Mark one answer)

Participating Being informed only Being not informed

29. Are the compensation amounts for land and housing at the compensation time sufficient for

construction of a new house with equal conditions compared to the previous house? (Choose

one line only and mark “X” in the line corresponding column to the answer)

Redundant Just enough Lack a little Lack much

On-site relocation

Movement to the resettlement site

Self-movement to other places

Do not know because being compensated with a resettlement house

30. How are your living conditions at the new living area compared to your previous ones? (Mark

“X” in the line corresponding column to the answer)

Better Unchanged Worse Reasons

1 2 3

Housing conditions




Environment, sanitation, water

Electricity

Educating conditions for the children

Health care

Conditions for production, business, jobs

Relationships with relatives and friends

Integration into the new community

Security

From the above assessment, please provide

your general comments on new living

conditions.

Unknown

C. FOR HOUSEHOLD WITH COMPLAINTS

31. Do you have any complaints about the project compensation and resettlement?

1 Yes 2 No

If yes, what they are? Mark the answers

Imprecise detailed measurement, inventory of losses, and wrong categorization of affected assets

Land compensation prices are lower than the actual transaction prices

Compensation prices for houses and other assets lower than the market prices

Some affected assets have not been compensated for

No land compensation because the land cannot be legalized

Are not compensated with 100% of the house value because of illegal construction, violation of the planning

Unfair compensation compared to other affected households

Others, write clearly:…………………………………………………………......

Lack of allowances that should be provided (write clearly):…………………......

32. What is the redress situation?

1 Already (move to sentence 33) 2 No (move to sentence 35)

33. How long they have been settled..................................................................................

34. Have you be satisfactorily with redress results

Being settled satisfactorily; Being settled but not satisfactorily;

Not yet settled; Are not accepted, Why?

35. Why haven’t thy been settled: ……………………………………………

36. What are the difficulties that you encounter during making complaints and grievance? (Circle

the answers)

Complicated and unclear complaint and grievance procedures

Have to come back and forth that is time and money wasting

Are not guided carefully by the officers who receive the complaints

Wait for a long time for complaint settlement

Have to pay fees for complaint settlement

Others (write clearly)………………………………………………………………

No difficulties

VI General assessment:

Please give your opinions about the project (benefit of the project? Your living before and after the

project? If changed, how does it change, do you agree to the project implementation, etc......................




....................................................................................................................................................................

Day month year

Interviewer




Annex 2: Questionnaire for baseline/endline surveys to support for assessing living

condition restoration

Code

Type of

impacts:

Total loss of

residential land

and moving to

resettlement areas




and no remaining land

Vulnerable group (poor

HHs, ethnic minority,

women header of HHs,

invalidity header)

Total loss of

residential land

and self-relocation




Others

Noted the it could be multi-choice

Part I. GENERAL INFORMATION

1. Name of interviewees: .................................................

Age: ......... Gender: Male 1 Female 2 Education:……..........

Occupation: ..................................... Relationship with HH head: ..............................

2. Name of household head: ....................................................................

Age: ......... Gender: Male 1 Female 2

Education:…….......... Occupation: .....................................

Address: ....................................................................................................................................

3. Number of persons living with the householder: ..........................

Of which: Male: ........... persons Female: .......... persons

4. Ethnic group?

Kinh 1 Chinese 2 Other 3 (please verify): ...........................

5. Member of HHs, occupation and changes in occupation due to land acquisition

Age Gender✓ Occupation

(*)

Changes in occupation due

to land acquisition

Male Female Yes No

1- Householder

2

3

4

5

6

(*) Please choice the occupation type in the corresponding number

1) Retired/Pensioner

(2) Housework

(3) Student

(4) Unable to work (in working ages)

(5) Out of working age without pensions

6) Self-employment/Business owner

(7) Employed(in organization, agency))

(8) Looking for work

(9) Not looking for work (in working ages)

(10) Not in school

(11) Other




Part 2 II: RP implementation

2.1 Project information disclosure

6. Do you know about the project?

1 Yes 2 No

7. How do you know the project information? (Mark the answer)

1 Leaflets 4 Officer of local authorities

2 Local broadcasting 5 Project officers

3 Ward/commune speakers , news 6 Meetings with affected people/public

7 Other (please clarify).....................

8. Do you understand policy and entitlements you will get from the project through the information

disclosure?

1 Yes 2 No



2 Haven’t learnt about 4 Other, detail:…………………..

9. In case have complaints, do you know about grievance redress machinery such as grievance

procedures, complaint recipe locations, complaint settled time…?

1 Yes 2 No



2 Haven’t learnt about 4 Other, detail:…………………..

2.2 Inventory of Loss:

10. Have you been informed in advanced about time for measurement and inventory of your affected

assets?

1 Yes 2 No

11. Are you or the representative of your family participated in inventory of your affected assets?

1 Yes 2 No

12. Are there any of your assets not inventoried?

1 Yes 2 No

If yes, what are they?......................................................................................

13. Do you agree with the inventory results of your affected assets?

1 Yes 2 No

If no, Why don’t you agree with the DMS results?

Missing affected assets

Wrong categorization of type/grade of land

Wrong categorization of house

Wrong categorization of crops/ trees

Wrong determination of land origin





14. Did you review and sign inventory minute?

1 Yes 2 No

15. Do you keep one copy of your compensation calculation sheet?

1 Yes 2 No

16. How do you assess generally on the DMS?

1 Good/enough 2 Not good/not enough

2.3 Compensation and assistance (for the HHs that payment taken place )

17. Did you review your compensation calculation sheet?

1 Yes 2 No

18. Have you received compensation payment?

1 Already 2 Not yet

19. When do you receive compensation payment and allowances? (Circle one answer)

Receive full payment prior to handing over the site

Receive full payment right after handing over the site

Receive partial payment, the remaining is paid right after handing over the site

Have been paid but not yet received due to unsettled complaint and grievance


20. Are you satisfied with compensation price?

1 Yes 2 No

If no, why: …………………………………………..……………………………………?

21. How much money do your HHs received? (this question ask since the compensation payment

completed)

Total VND

22. What do you HH spend this money?

VND

- For studying of the children

- Repair the house:

- Purchase of replacement land:

- Keep in the Bank:

- Income restoration:

- Other

2.4 For households with complaints

23. Do you have any complaints about the project compensation and resettlement?

1 Yes 2 No

If yes, what they are? Mark the answers




Imprecise detailed measurement, inventory of losses, and wrong categorization of affected assets

Land compensation prices are lower than the actual transaction prices

Compensation prices for houses and other assets lower than the market prices

Some affected assets have not been compensated for

No land compensation because the land cannot be legalized

Are not compensated with 100% of the house value because of illegal construction, violation of the

planning

Unfair compensation compared to other affected households

Others, write clearly:…………………………………………………………......

Lack of allowances that should be provided (write clearly):…………………......

24. What is the redress situation?

1 Already (move to sentence 25) 2 No (move to sentence 26)

25. How long they have been settled..................................................................................

26. Why haven’t they been settled: ……………………………………………

Part III. Living facilities

27. Of which category is the main house that your family in staying in?

1 Permanent 2 Semi-permanent

3 Permanent wood 4 Uncertain house

28. How many stories are your house?

1 One 2 Two

3 Three 4 More than three

29. Of which category is the energy sources that your family using?

1 Electricity 2 Kerosene

3 Generator 4 Battery

30. Of which category is the toilet that your family using?

1 Push flush 2 Pour flush

3 Pit toilet 4 Bush

5 River/sea/channel 6 Other:……………………………..

31. Of which category is the main water sources that your family using? Please choice as priority

from 1-6

For drinking purpose

Piped water River/reservoir

Rain Spring

Well Other

For other purpose

Piped water River/reservoir

Rain Spring

Well Other

32. Which of the following durable assets owned by your family? Please cycle the answer




PB pedal bike DV DVD/ CVD [DVD/VCD]

MB motor bike RF refrigerator

Ca Car LP landline telephone

TK Truck MP mobile phone

MB motorized boat CO computer

TV television EF Electric fan

WM Washing machine OT Other:…………….

Part IV. Income and Expenses

33. How much is the monthly average income of your family VND

Source of incomes Income (VND)

Retired/Pensioner

From salaries (including hired jobs)

From business/ services

From agriculture activities

From forestry activities

From animal husbandry

Social welfare

From relatives

Savings interests

Others (specify)…...........…........................

Total

34. How much is the monthly average expenses of your family for essential demands?

Expenses item Expenses VND

Food and drink

Fuels and electricity

Health care and medicines

Clothes and footwear

Study

Transportation and communication

Social relationship

Support for other member from outside

Hire the house

Buy other goods

Pay the debt

Others (specify)…...........…........................




Part V. Livelihood from land

35. Total land area that your HH holding? (all land lots)

Type of land Area

Residential land

Productive land including agricultural, forestry and aquatic land …..

Total area

36. How many area of land are your HH acquired for the 217 project?

Type of land Area Percentage

Residential land

Productive land including agricultural, forestry and aquatic land …..

Total area

37. What are your options about the ability for purchase of replacement land?

1 Easy 2 Difficult

9 Unknown

38. Why is easy?

1 Compensation price higher that market price 2 Reduction trend of land price

3 Many seller 4 Others (specify)….............................

39. Why is difficult?

1 Compensation price lower that market price 2 Increasing trend of land price

3 Few seller 4 Others (specify)….............................

40. Are there any members lost their employment due to the land acquisition?

1 Yes 2 No

Part VI General assessment:

Please give your opinions about the project (benefit of the project? Your living before and after the

project? If changed, how does it change, do you agree to the project implementation, etc......................

....................................................................................................................................................................

Date month year

Interviewer