world bank document · 2016. 7. 17. · rp-001 0 vol. 3 socialist republic of vietnam ministry of...

RP-001 0VOL. 3

Socialist Republic of VietnamMinistry of Foreign Affairs - Danida

Halong City Water Supply andSanitation Project

Sanitation Feasibility Study

Volume V: Resettlement Action PlanFebruary 1999 (Final version)

MAR 2' 21999REEVED

lKClSA.X Ir.T E1:LN IcNAT. AS

In association with Soil &. Water Ltd, Danwaste, Danish Water Supply andVietnamese consultants VIWASE and HADECON

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Socialist Republic of VietnamMinistry of Foreign Affairs - Danida

Halong City Water Supply andSanitation Project

Sanitation Feasibility Study

Volume V: Resettlement Action PlanFebruary 1999 (Final version)

ICA1VPSAX I1NT'E RTI cNAL ys

In association with Soil & Water Ltd, Danwaste, Danish Water Supply andVietnamese consultants VIWASE and HADECON

HALONG CITY WATER SUPPLY AND SANITATION PROJECTSanitation Feasibility StudyVolume V - Resettlement Action Plan 1

RESETTLEMENT ACTION PLAN

LIST OF TABLES ............................................................................ 4LIST OF FIGURES .......................................................................... 4LIST OF A S .......................................................................... 4LIST OFACRONYMS ........................................................................... 4

1. INTRODUCTION .................................................................... 5

1.1 Objectives of the Sanitation Component .................................................................... 51.2 Sanitation Policies and Strategies .................................................................... 6

2. PROJECT COMPONENTS AND THE SCOPE OF LAND ACQUISITION ANDRESETTLEMENT IMPACT .................................................................... 7

2.1 Project Components .................................................................... 72.2 The Scope of the RAP .................................................................... 72.3 Types of Adverse Impact .................................................................... 72.3.1 Land Acquisition Requirements .................................................................... 8

2.3.1.1 Landfill Upgrading and Construction of New LandfIlls ................................................... 82.1.3.2 Drainage Channel Rehabilitation and Extension ........................................................... 152.1.3.3 Construction of Wastewater Treatment Plants (WWTP) ................................................ 162.1.3.4 Loss ofagricultural land ........................................................................... 1 6

3 DEFINITIONS ................................................................... 18

3.1 Cut-off Date and EUgibility of Project Affected People ................................................... 183.2 Legal Status of Project Affected Persons (PAPs) and Rights of Entitlement to

Compensation and Rehabilitation ................................................................... 183.3 Involuntary Resettlement ................................................................... 18

4. DETAILED MEASUREMENT SURVEY AND SOCIO-ECONOMIC CHARATERISTICS............................................................................................................................................. .19

4.1 The Detailed Measurement Survey ................................................................... 194.2 Socio-Economic Survey ................................................................... 20

5. COMPENSATION AND ENTITLEMENTS POLICY . ................................... 25

5.1 The Compensation and Entitlements Policy .255.1.1 General Principles of Compensation and Entitlement . .255.1.2 Land Tenure Status and Entitlement .. 265.1.3 Legal Status of Structures and Entitlements .. 275.1.4 Marginally and Severely Affected PAPs .. 285.1.5 Temporary and Permanent Adverse Effect .. 28

5.2 Economic Rehabilitation .. 325.3 Mechanism for Judging the Adequacy of Compensation . .34

February 1999


5.3.1 Prices Established by the People's Committees ................................................................ 345.3 2 Methodology for Verification of Replacement Cost ............................................................ 345.3.3 Grievances About Compensation Rates ...................................................................... 35

5.4 Compensation and jEntitlements Matrix .................................................................... 35

6. LEGAL FRAMEWORK .................................................................. 36

6.1 Legal Framework .................................................................. 366.1.1 Relevant Legal Documents ...................................................................... 366.1.2 World Bank Operational Directive 4.30 ...................................................................... 37

6.2 Action Required by GOV to Enable Compensation, Resettlement and Rehabilitation tobe Implemented According to RAP Policy .................................................................. 37

7 INSTITUTIONAL ARRANGEMENTS .................................................................. 39

7.1 Responsibilities of Organisations .................... .............................................. 397.1.1 Quang Ninh People's Committee ...................................................................... 397.1.2 Resettlement Committee ....................................................................... 397.1.3 Halong City Environmental Sanitation Company ............................................................... 407.1.4 External Monitoring Agency ....................... ................................................ 40

8. PUBLIC PARTICIPATION AND CONSULTATION ...................................................... 44

8.1 Objectives of the Information Campaign and Consultation Plan .................................... 448.2 Phase I: Information Campaign and PAP & Agency Consultation during RAP

Preparation ....... 448.3 Phase II: Information Campaign and Consultation during RAP Implementation ....... 45

9. GRIEVANCE PROCEDURES .................................................................. 47

9.1 Procedures ........................................ .......................... 479.2 Contents of Grievances .................................................................. 47

10. MONITORING ................................................................... 48

10.1 Internal Monitoring .................................................................. 4810.1.l Monitoring Indicators ........................................................................ 4810.1.2 Stafffor Conduc ting Internal Monitoring ........................................................................ 4810.1.3 Reporting on Monitoring ........................................................................ 48

10.2 External Monitoring ................................................................... 4810.2.1 Agency Responsible ....................................................................... 4810.2.2 Monitoring Objectives ....................................................................... 4910.2.3 Monitoring Indicators ........................................................................ 4910.2.4 MonitoringMethodology ....................................................................... 5010.2.5 Reporting ........................................................................ 5010.2.6 Follow-up to Monitoring Reports ....................................................................... 51

11. COSTS AND BUDGET . ................................................................... 52

11.1 Procedures for Flow of Funds .................................................................. 5211.2 Inflation Adjustment .................................................................. 5211.3 Implementation, Administration and Contingency Costs .............................................. 5211.4 Unit Prices for Cost Estimation .................................................................. 52

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12 IMPLEMENTATION SCHEDULE ............................. 56

12.1 Approval of the RAP .5612.2 Establishment and Training of the Resettlement Committee .5612.3 Training of the Resettlement Committee ....................................... . 5612.4 Establishment of Detailed Compensation Rates .5612.5 Conducting the Public Information Campaign .5612.6 Compensation and other Entitlement of PAPS .5712.7 Reorganisation on Existing Property and Clearance of the Project Area 5712.8 Linkage between Resettlement Implementation and Construction Schedule 5712.9 Monitoring of Resettlement Activities .57

February 1999


LIST OF TABLES

Table 2-1 Preliminary summary of Project components and acquisitio requirementsTables 4.1 - 4.2 Summary of Detailed measurement survey in Ha Long and Cam PhaTables 4.3 - 4.12 Socio-Economic survey in Ha Long and Cam PhaTable 11-1 Preliminary cost estimate for RAP implementationTables A3. 1 - A3.8 Baseline Information (inventory survey)Tables A3.1 - A3.3 History of Compensation to households in landfill areas

LIST OF FIGURES

Figure 2.1 Ha Khau Landfill Site (Bai Chay)Figure 2.2 Deo Sen Landfill Site (Hon Gai)Figure 2.3 Quang Hanh Landfill Site (Cam Pha)Figure 2.4 Hon Gai Drainage and Sewerage SystemFigure 2.5 Bai Chay Drainage and Sewerage SystemFigure 2.6 Cam Pha Drainage and Sewerage SystemFigure 7.1 Organogram of QNPCCFigure 7.2 Proposed Organogram of the Resettlement CommitteeFigure 7.3 Organogram of the HCESC

LIST OF ANNEXES

Annex 1 Compensation and Entitlement Matrix - GeneralAnnex 2 Resettlement Implementation ScheduleAnnex 3 Baseline InformationAnnex 4 History of Compensation Payments made by Municipal Authorities

LIST OF ACRONYMS

CPESC Cam Pha Environmental Sanitation CompanyDMS Detailed Measurement SurveyEIA Environmental Impact AssessmentEMP Environmental Management PlanGOSRV Government of the Socialist Republic of Viet NamGOV Government of Viet NamHCESC Halong City Environmental Sanitation CompanyHH HouseholdICR Implementation Completion ReportLURC Land Use Right CertificateMO Monitoring OrganisationPAP Project Affected People (refers to a project affected household)PC People's CommitteeQNPPC Quang Ninh Provincial People's CommitteeRAP Resettlement Action PlanR&R Resettlement and RehabilitationSPAP Severely Affected Project Affected PeopleUSD or $ United States DollarsVND Vietnamese DongWB World Bank (including IDA)

February 1999


1. INTRODUCTION

The Sanitation Component of Halong City Water Supply andSanitation Project is part of the World Bank funded Sanitation Projectin Vietnam, which covers the two cities Haiphong and Danang, andHalong City and Cam Pha town in Quang Ninh Province.

1.1 Objectives of the Sanitation Component

Development Objective is to provide the urban population in HalongCity and Cam Pha town with appropriate and affordable sanitationfacilities through upgrading the sanitation utilities and to provide moreefficient and cost effective services.

Immediate measures proposed:

* Rehabilitation of existing sanitary drainage channels, andconstruction of new channels in order to relieve flooding andprovide a public sanitation service to 70% of the population in theurbanised areas

* Construct interceptor sewers (pipelines) to collect sewage from thestormwater channels during dry weather conditions. Overflowdevices will allow storm water to pass directly to the sea

* Construct low technology WW treatment plants based onstabilisation ponds, or oxidation ditches if land is unavailable, withdischarge through a marine outfall.

* initiate a system for systematic emptying of septic tanks and safedisposal of the septage

* upgrade public latrines and improve sanitation in deprived areas* provide training and other inputs to strengthen the institutional

capacity of the sanitation company* Conduct awareness campaigns and initiatives to encourage

households in low density areas to install septic tanks

Status after Immediate Measures Project:* Flooding no longer occurs* 70% of urban population have septic tanks connected to

sanitary drainage system* Stormwater is sent untreated to the sea through a system of

open/covered channels* Sewerage in the sanitary drainage channels is treated fully

during dry weather conditions, but during wet weatherconditions it is sent untreated to the sea (but heavily dilutedby rainwater)

* Septic tanks are registered with the Sanitation Company andemptied and transported to a safe disposal site at regularintervals

February 1999


* 80% of the urban population place rubbish in containersspecially placed for this purpose and an arrangement exists(either with the sanitation company, the commune or theresidents themselves) to take the containers to the transferpoints

* The sanitation company transports solid waste from transferpoints to landfill sites

* The sanitation company has a computerised billing andaccounts system and covers 80 % of it's O&M costs withcollected revenue. The remaining 20% is assumed to be astate subsidy for the poorer segments of the population

* Bai Chay, Hon Gai and Cam Pha have properly designedlandfill sites which are well maintained and create noenvironmental damage

The main concerns regarding the sanitation sector can be summarisedas follows:

1. Raw sewage must not be discharged into Halong Bay.2. An efficient solid waste management service must be established

to ensure that solid waste is removed from the streets and doesnot add to the pollution in the Halong Bay.

1.2 Sanitation Policies and Strategies

The sanitation policy of the project should be in line with the nationalstrategy as presented in the National Urban Wastewater Collectionand Sanitation Strategy Study. The study report proposes institutional,financial and technical strategies for implementing projects in thesanitation sector.

Project components will require some land acquisition, which willadversely affect people living in the project area. The ResettlementAction Plan (RAP) has been prepared in accordance with the relevantlaws of the Govemment of Vietnam and the World Bank OperationalDirective 4.30 on involuntary resettlement. The main objective of theRAP is to assist Project Affected People (PAPs) in their efforts toimprove their former living standards, income earning capacity andproduction levels or at least restore them to their pre-project level.

This RAP has bem accckbng ID the sneiin and ftit of R=smtActm Plan pqared for Hdong Cily Water Supply Piect in ApIl 1997. MIh RAPdscbes the ojectiv and ptvceurs neede for fie prpanafion of RAP for thesniAm xmnpm1t It ontairs the scoe of samon cocmnpmi, objetiv andpxnnplesofthe RAP,rebs ofthe scdtiomic " de a*dem =tave

mrt pofcies a"niadix for siion xnp41t legal fiamewo, intionalang the oberts of the public priiation an alatin pWarn,gnievanprcez, budgtanthei1rinlandemonifnigptgran

February 1999

HALONG CITY WATER SUPPLY AND SANITATION PROJECTSanitation Feasibility StudyVolume V - Resettlement Action Plan 7.

2. PROJECT COMPONENTS AND THE SCOPE OF LAND ACQUISITION ANDRESETTLEMENT IMPACT

2.1 Project Components.

The main components of the proposed project in Halong City andCam Pha are construction or upgrading of landfills, rehabilitation andexpansion of sanitary drainage, construction of a new sewer line,construction and renovation of pump stations, and construction of awastewater treatment plant.

Table 2-1 provides a summary of project components, landacquisition requirements and other adverse impacts.

2.2 The Scope of the RAP

The RAP for the project contains the scope of the sanitationcomponent, objectives and principles of the RAP, the compensationand entitlements policy, legal framework, institutional arrangements,public participation and consultation, grievance procedures andinternal and external monitoring. Preliminary results of the socio-economic and detailed measurement survey, .entitlement policies andmatrix for sanitation components, and the budget are also included inthe RAP. It covers the following components:

* New landfill site at Ha Khau (4.2 ha) in Bai Chay, Fig. 2.1

* Upgrading the present landfill site Deo Sen (5.4 ha) in Hon Gai,Fig. 2.2

* New landfill site at Quang Hanh (6.3 ha) in Cam Pha, Fig. 2.3

* Rehabilitation and/or extension of 62.9 km of sanitary drainagechannels: Hon Gai (20.1 kIn), Fig. 2.4; Bai Chay (11.6 km), Fig.2.5 and Cam Pha (31.2 kIn), Fig 2.6;

* Construction of 10 km of sewers: Bai Chay, Fig. 2.5;

* Construction of 6 pump stations and renovation of two others: BaiChay, Fig. 2.5;

* Construction of wastewater treatment plants in Kenh Dong / CaiDam in Bai Chay, Fig 2.5;

2.3 Types of Adverse Impact

The Project is modest in scale. The types of adverse effects will rangefrom minor and temporary inconvenience during engineering works,to the need for permanent relocation and resettlement for a small

February 1999


number of households associated with the construction of a newWWTP in Bai Chay. Between these two extremes will be a range ofadverse effects, largely reflecting situations where existing channelsare covered by houses or other temporary structures

The need for resettlement of households and/or loss of assets has beenavoided whenever possible. A majority of the final sewer alignmentwill follow existing roadways. The sites chosen for pumping worksconsist of presently unused public lands. By repairing or upgradingexisting side channels it is anticipated that adverse effects associatedwith new construction can be significantly avoided. Further, by a localre-alignment of open drainage channels or by directing water flowthrough underground culverts, the adverse effects will be of atemporary nature.

2.3.1 Land Acquisition Requirements

2.3.1.1 Landfill Upgrading and Construction of New Landfills

Two new landfill sites will be constructed: at Ha Khau in Bai Chayand at Quang Hanh in Cam Pha. In Hon Gai, the existing landfill siteat Deo Sen will be up-graded. A socio-economic survey has.beencarried out in the proposed areas. All the three sites are on public land.Therefore, no land acquisition would be necessary.

In 1994, prior to the Bank's involvement in the project, twenty onefamilies living next to the land fill extension at Deo Sen wererequested to move from the area and were compensated by themunicipal authorities. These 21 households left the area within weeksof receiving compensation payments. Other 18 households living inadjacent households, report increasing levels of both water and airpollution (smell and smoke) from the land fill site. These 18households will be connected to the municipal water supply. Similarproblems are reported from the other land fill sites (See EIA and EMPfor more detail.)

At Deo Sen 25 waste-pickers would be trained to handle wastesorting, separating and other activities at the same land-fill site.

In June 1998, the municipal authorities in Bai Chay required sevenhouseholds to move from the planned land fill site at Ha Khau. Thecadestral division of the authority undertook the survey of land andassets, including 0,69 hectares of poor quality mixed cultivated land.Compensation for respective households was not in accordance withthe policies in this RAP (see detailed in annex 4). These 7 householdswill need additional compensation in accordance with O.D. 4.30, andare included in this RAP. There are 7 graves on the proposed land-fillsite which would need to be relocated.

February 1999

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HALONG CITY WATER. SUPPLY AND SANITAkTION PROJECTSanitation Feasibility StudvVolume V - Resettlement Action Plan Is

In Quang Hanh (Cam Pha) 7 families will need to be relocated andcompensation paid. In 1995, these families lost their agriculture landto a proposed joint Vietnam/Thailand venture: Mechanical Miningand Power Co-operation. Compensation was paid. After receiving ofcompensation payments, these 7 households relocated to other areabut still continue the cultivation on their forner land wheneverpossible. Due to no further activities has done by joint venture, localauthority pospont it and the land becomes public land owned byGovernment. For this landfill, no land acquisition required, only somecompensation should pay for the lost of vegetable crops of aboutmentioned 7 households. At present their principal income is fromcoal mining and related industries. Tree crops and vegetables provideadditional cash income.

2.1.3.2 Drainage Channel Rehabilitation and Extension

Proposed engineering works consist of: the construction of 23.2 km ofnew sewers and 23.6 kn of new drainage channels; further, therehabilitation 20.3 km of existing drainage channels. Areas of bothpermanent and temporary land acquisition can be found in Table 2-1.No PAPs will be displaced and there will be no need for resettlement.

Responsibility for inspecting and repairing drainage channels andsewers lies with respective sanitation companies. In several placesstructures have been built on top of, or adjacent to, transmission anddistribution channels and pipelines. These structures, includinghouses, shops, kitchens and driveways make the task of cleaning thewater courses difficult. Furthermnore, these constructions have resultedin some constriction of watercourses and/or damage to channels. As aconsequence, water courses have become far more prone to blockage,a situation made worst by the increasing population densities in theseurban areas.

Local people report that flooding has become a significant problemonly in recent years. An important cause of local flooding is thecommunities use of drainage channels as household waste and refuselumps. Another contributory cause of flooding is the deposition in thechannels of large amounts of sand and gravel washed from thesurrounding hillsides (and building sites). Hence, local flooding in theproject area is as much a social as it is a technical problem.

An appropriate 'social' solution will be the introduction of a system ofcommunity based waste management, with households living alongrespective drainage channels responsibility for ensuring the freerunning of water courses. A public education and awareness raisingprogramme is included as a necessary component in project design.

February 1999


Several measures are included to mitigate the adverse effects onhouseholds of channel rehabilitation and/or extension. Where channelflow has been significantly impeded by construction works, effortshave been made to identify solutions having the minimum adverseimpact. For example, rather than destroying a building it has generallybeen possible to re-route the channel. Detailed field surveys haveshown that where houses have been constructed on top of the channelsin almost all situations it will be possible to realign or divert thechannel thereby removing the necessity to either damage or demolishthe structure.

In channel systems 8,9 and 10, in central Hong Gai some houses havebeen constructed on top of drainage channels. A technical solutionwill be to replace the under floor channel with a concrete pipe orconduit, subsequently restoring the ground floor surface. In this way,extensive and destructive engineering works can be substituted byminor inconvenience to house residents.

A total of 110 households would be affected temporarily during theconstruction phase. Affected structures would need to be repaired bythe project.

Thirty small retail outlets will be temporarily affected in Hong Gai,twenty four whilst water channels running under the shop floors arerehabilitated, six whilst they are physically moved 2-3 metres fromtheir existing roadside site. Additionally, the channels will berehabilitated beneath five storage units in the market area of HongGai. Therefore, a total of 48 non-residential structures would beaffected temporarily.

2.1.3.3 Construction of Wastewater Treatment Plants (WWTP)

In Bai Chay a WWV? will be constructed in Kenh Dong in the CaiDam pond area. The area required is 8.50 ha. The land is publicowned and therefore, land acquisition will not be necessary. Thesocial survey indicates that there are 12 households presently doingfish famiing and grow vegetable within this area. 4 of these HH standto lose their incomes significantly. All of these households agree toreturn to their former land if they get some cash compensation forassest and crops.

2.1.3.4 Loss of agricultural land

It appears that adverse impacts of project implementation will belimited to a small number of households. Implementation of the RAPis unlikely to present any serious logistic or resettlement problem. Atotal of 179 households or 720 persons will be affected by the project,temporarily or permanently.

February 1999


TABLE 2-1 Summary of Project Components

Number NumberProject Componenls House Persons Comments

holdsLandfillsHa Khau (4.2 ha) - Bai Chay 7 21 7 HH affected in 1998 were paid compensation for

their houses and land, in accordance with CP122. (Seeannex 4). These 7 HH are proposed for the payment ofsupplementary compensation.4.2ha is public land and no land acquisition required. 7graves need to move to city cemetary

Deo Sen (5.4 ha) - Hon Gai 18 72 Waste pollution is a problem for 18 HH due to leachatefrom landfill sites. These households will be connectedto the mains water supply. 5.4ha public land. No landacquisition necessary.

25 * Waste pickers will be re-trained to restore their livingstandards.

Quang Hanh (6.3 ha) - Cam Pha 7 32 Compensation payment for affected vegetable crops to7 HH.

Rehabilitation and/or extension ofdrainage channelsBai Chay (11.6 Ian) 2 8 Structures situated adjacent to channels have been

extended or built, illegally, over channels in gaps leftHon Gai (20. 1 kmn) 60 300 between the earlier constructions. Various simple

technological responses to the situations result in onlyCam Pha (31.2 kIn) mninor impacts. These include re-alignment of channels

and replacement of under-floor box channels withconcrete culverts to facilitate cleaning andmaintenance. A total of 62 HH and their total 1088.8m2 of temnporary structures will be affected in HaLong.

48 235 Represents shops in Hon Gai adversely affected bychannels rehabilitation. 48 are extension to houses, 5storage shelters affected temporarily.

Construction of new sewersBai Chay (9.6 Ian) The construction of new sewers in Bai Chay will be

completed using public land. No land acquisitionnecessary.

Construction of pump stationsBai Chay (6) All pumping stations are to be constructed on public

land. There will no requirement for land acquisition orfor compensation payment.

Construction of wastewaterAnd sludge treatment plantsBai Chay, Kenh Dong / Cai Dam area 12 52 8.5 ha identified for WWTP is public land and no land

acquisition will be necessary. Twelve households willbe affected due to income loss.

TOTAL 179 720

25 permanent waste-pickers are representatives of 25 families living nearby to Deo Sen landfill or in other areas,their family members are not clear specified.

Fcbruary 1999


3 DEFINITIONS

3.1 Cut-off Date and Eligibility of Project Affected People

For the sanitation project in Halong, detailed measurement survey andcensus was carried out in October 1998. Therefore, Oct. 1998 hasbeen established as a cut-off date for purposes of eligibility of PAPsfor entitlements to compensation and rehabilitation assistancemeasures. PAPs are defined as Project Affected Persons (PAPs) whoat the date (October 1998) of the initial detailed measurement/censussurvey (DMS) were located within the Project area and who due to theproject, with and without their physical displacement, would havetheir: (a) standard of living adversely affected; or (b) right, title orinterest on all or part of any house, land (including premises,agricultural and grazing land, annual or perennial crops and trees) orany other fixed or movable asset acquired or possessed temporarily orpermanently; or (c) business, occupation, place of work or residenceor habitat adversely affected temporarily or permanently. PAP refersto an affected household and all members of the household and not toindividuals.

3.2 Legal Status of Project Affected Persons (PAPs) and Rights of Entitlement toCompensation and Rehabilitation

Lack of legal rights to lost assets will not bar PAPs from entitlementto compensation and rehabilitation measures in amounts and levelssufficient to ensure that the RAP objectives of improving the livingstandards and incomes, or at least restoring to pre-project levels, areachieved. Under Vietnamese law, people who use land or buildstructures without permission to do so are not entitled to the samecompensation as those who do have such permissions. However, toensure RAP objectives of restoring or improving living standards,income earning capacity and production levels of PAPs, the Projectwill provide them with assistance and rehabilitation entitlements andbenefits in amounts and levels sufficient to achieve this.

3.3 Involuntary Resettlement

Involuntary resettlement is said to occur when taking of land and otherassets resulting in involuntary loss of shelter, loss of productive assetsor access to productive assets, or loss of income and means oflivelihood....(It) covers both (a) the involuntary displacement (physicaland non-physical) of affected people that arises from such changes,whether or not the people must move to another location; and (b) themeasures for mitigating the impacts of displacement. An importantaspect in this approach is that the term 'resettlement' is not limited tothe physical relocation of people or households, but refers also to thedisplacement of their economic circumstances and life survivalstrategies.

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4. DETAILED MEASUREMENT SURVEY AND SOCIO-ECONOIUC CHARATERISTICS

4.1 The Detailed Measurement Survey

The detailed measurement surveys of construction sites have beencompleted and the entitlements are determined for each category ofPAPs. (See Annex 3)

Table A3-2: HaLong PAPs Summary

Affected Rate >= 20% < 20%Discription No. HH No. Unit Quantity No. HH No. Unit Quantity

_ person person

Land

Residential 19 73 m2 1790 0 0 m2 0Garden m2 16124.1 0 0 m2 0Sub-Total 19 73 m2 17914.1 0 0 m2 OTree _ __ |_tree 857 0 0 tree 0Vegetable ___| _| m2 14414.1 0° 0 m2 0Other 0 0 0 0

House

Structure Cat 1C0 0 m2 0 0 0 m2 0

Structure Cat 2 1 6 m2 96.8 0 0 m2 0

Structure Cat 3 15 m2 218.2 0 0 m2 0Structure Cat 4 15 52 m2 690.29 23 99 m2 37.7

Others m2 57 281 m2 1051.1

Sub-Total 19 73 m2 1526.75 80 380 m2 1088.8

Shops

Structure Cat I 0 0 m2 0 0 0 m2 0

Structure Cat 2 0 0 m2 0 0 0 rn2 0Structure Cat 3 0 0 m2 0 0 0 m2 0

Structure Cat 4 0 0 m2 0 7 37 m2 271.3

Others 0 0 m2 0 41 198 m2 620.65

Sub-Total 0 0 m2 0 48 235 m2 891.95

Others ___

Graves 0 0 7 0

Waste Pickers 0 0 0 25 0Sub-Total 0 0 7 25 0

ITOTAL | 191 731 1 1 1281 6401 1

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Table A3-8: Cam Pha PAPs Summary

Affected Rate >= 20% < 20%Discription No. HH No. Unit Quantity No. HH No. Unit Quantity

person personLandResidential m2 0Garden m2 0Sub-Total m2 0Tree treeVegetable = = - 7 32 m2 42523.9Other__ _ _ __ _ _

HouseStructure Cat 1 .Structure Cat 2Structure Cat 3Structure Cat 4OtbersSub-Total _ _ _

Shops Structure Cat I _Structure Cat 2 _ _ _ l lStructure Cat 3 _ T Structure Cat 4Others

Sub-Total l l X rl

Others ___

Sub-Total

ITOTAL I

4.2 Socio-Economic Survey

As part of the preparation for the feasibility study a socio-economicsurvey was conducted to cover a sample size of 71% (147 households)of affected households for both the cities, Halong and Cam Pha. Thesocio-economic survey covered households affected by the wastewatertreatment plants, drainage and sewerage channels. This enabled thepreparation of a socio-economic profile of respective project sites.Such a profile can be used as reference in preparation of rehabilitationor development packages for seriously affected households. The socio-economic survey data is presented in the following tables separatelyfor Halong and Cam Pha.

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HALONG:

A total of 168 households and shops (includes 3 public houses), temporarily or pernanently, butonly 110 households are interviewed in Ha Long, remaining 58 the survey team can took aninventory survey only.

Table 4.3: Household Size

HH. size No. Percentage (%)

Less than 2 persons 7 6.363 - 5 persons 72 65.466 - 8 persons 19 17.27More than 8 12 10.90

Total 110 100.00

Table 4.4: Sex of Respondents

Sex No. Percentage (%)

Male 71 64.55Female 39 35.45Total 110 100.00

Table 4.5 .i Age of Respondents

Age No. Percentage (%)

Less than 30 6 5.4531 -40 29 26.3641-50 45 40.9051-60 18 16.36

Over 60 12 10.90Total 110 100.00

Table 4.6: Occupations Types of Household Members

Occupations No. Percentage (1 0O%=1 10 HHs)

Pension/Retire 56 50.90Workers 53 48.18Officers 41 37.27

Trade/Services 152 138.18Porters 10 9.09

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Table 4.7: Household Income (Monthly) Levels

Levels of income No. Percentage (1 00%=99HH)(unit=1OOOVND)

Less than 1000 1 1 11.111000-2000 14 14.142000-3000 72 72.73

More than 3000 2 2.02Total 99 100.00

February 1999


CAM PHA:

There are 40 households and shops affected (includes 2 public houses), temporarily orpermanently, but only 37 households are interviewed in Cam Pha.

Table 4.8.: Household Size

HH. size No. Percentage (%)

Less than 2 persons 2 5.43 - 5 persons 26 70.276 - 8 persons 8 21.62More than 8 1 2.7

Total 37 100.00

Table 4.9 : Sex of Respondents

Sex No. Percentage (%)

Male 30 81.1Female 7 18.9Total 37 100.00

Table 4.1Q0 Age of Respondents

Age No. Percentage(%)

Less than 30 L 3 8. 131 - 40 10 27.02

41-50 11 29.7251-60 6 16.21

Over 60 _ __7 18.92

Total 37 100.00

Table 4.11: Occupations of Household Members

Occupations No. Percentage (100%=37 HHs)

Pension/Retire 13 35.13Workers 30 81.08Officers 7 18.9

Trade/Services 26 70.27Porters 10 27.02

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lable 4.12 : Levels of Income

Levels of income No. Percentage (100%=37)(unit=1000VND)

Less than 1000 26 70.271000-2000 10 27.022000-3000 0 0

More than 3000 1 2.7Total 37 100.00

February 1999


5. COMPENSATION AND ENTITLEMENTS POLICY

This chapter contains the general compensation and entitlementspolicy for Halong City and Can Pha town.

5.1 The Compensation and Entitlements Policy

5.1.1 General Principlies of Compensation and Entitlement

1) PAPs who have, or are eligible to have, permnanent rights to useland or to build structures will be compensated at full replacementcost for their losses.

2) PAPs who do not have permanent rights to use land or buildstructures and are, therefore under Vietnarne law entitled tocompensation at a lower rate, will be entitled to rehabilitationmeasures in amounts and levels sufficient to ensure their livingstandards, income earning capacity and production levels areimproved or at least restored to pre-project levels.

3) PAPs who have crops affected will be compensated at marketvalue for their lost crops regardless of their land tenure status. PAPwho have trees affected will be compensated at substitution cost.

4) PAPs who have shops or other business affected will be assisted toimprove, or at least restore, their income earning capacity andproduction levels regardless of their land tenure status.

5) Compensation for all residential, commercial or other structureswill be paid at the replacement cost (materials and labour) of thesestructures without depreciation and without deduction forsalvageable materials. PAPs with legally constructed structures willbe compensated at 100% of their replacement cost. PAPs withillegaly constructed structures will be compensated at 60% of theirreplacement cost plus rehabilitation assistance as provided for inthis RAP in amounts sufficient to meet the full replacement cost ofthe structures.

6) Compensation shall always include the cost of any fees, taxes onland transfer, duties or other expenses that may be attached by anycentral or local government unit to any transaction contemplated bythe resettlement.

7) Compensation shall be provided prior to displacement. Forrelocating PAPs in a resettlement site, payment of compensationand relocation activities, including construction of their house atthe relocation site, must be completed at least 30 days prior to thestart of the civil works. For self-relocating PAPs and non-relocating

February 1999


PAPs, compensation must be completed at least 30 days prior to thetaking of the asset.

5.1.2 Land Tenure Status and Entitlement

The level of compensation entitlement is determined according to thelegal status of the PAPs' land use. People may have legal rights to useland according to three types of permission from the local People'sCommittee. They may have the right to use the land permanently,temporarily or on a lease basis. People do not use agriculturallforestryland without permission but do occupy residential orresidential/commercial land illegally without the permission of thelocal People's Committee. Each of these land use categories and theirgeneral entitlement are explained below.

1) Rights to use land on a permanent basis

Those PAPs who have rights to use land on a permanent basis (theyhave either permanent LURC or are entitled to be issued withpermanent LUJRC. Such PAPs will be eligible for compensation fortheir lost assets at 100% of replacement cost.

2) Rights to use land on a temporary basis

PAPs may have temporary rights to use land which belongs to thecommune but which has been reserved for development purposes.Such people have a temporary LURC which gives them permission touse the land for an unspecified period of time on the condition the landmust be returned to the government when required, such as for thisproject. Under the current provisions of the laws in Vietnam, theperson whose land is recovered shall not receive compensation for thedamnage in land but shall receive compensation for the damage in theexpenditures in investment in the land.

However, within this Project people with temporary and no land useright will be entitled to rehabilitation assistance in amounts and levelssufficient to make up for losses and to assist them in their efforts toimprove their living standards, income earning capacity, andproduction levels, or at least to restore them to their pre-project level.

3) Leasehold rights to use land

PAPs may lease from the commune land that has been reserved fordevelopment purposes. Such PAPs have a lease for a definite period oftime. Under the current provisions of the decrees and laws in Vietnam.Such people are not eligible to receive compensation for the damagein land but shall receive compensation for the damage in theexpenditures in investment in the land.

February 1999


However, within this Project people with leasehold rights to use landand no land use right will be entitled to rehabilitation assistance inamounts and levels sufficient to make up for losses and to assist themin their efforts to improve their living standards, income earningcapacity, and production levels, or at least to restore them to their pre-project level.

4) No rights to use land

It is generally understood that people do not occupy and useagricultural or forestry land which has not been legally allocated tothem. However, there are illegal occupants of residential and/orcommercial land who do not have the legal right to use the land.According to the existing laws in Vietnam persons not allowed toreceive compensation for damage in land include those not fulfillingconditions stipulated in Article 6 of Decree CP/22, those who hasviolated the plan already ratified by the competent level and suchviolation has been announced, those who violate the corridorprotecting work, and those illegally occupy land.

However, within this Project people with no land use right will beentitled to rehabilitation assistance in amounts and levels sufficient tomake up for losses and to assist them in their efforts to improve theirliving standards, income earning capacity, and production levels, or atleast to restore them to their pre-project level.

5.1.3 Legal Status of Structures and Entitlements

PAPs are considered as having legal rights to build a structure if theyhave written permission (LURC in rural areas) or a building permit inurban areas, issued by the relevant authority. In rural areas, if PAPshave legal right to use the land, they implicitly also have the right tobuild a structure. In urban areas the- right to use the land is notsufficient but a building permit must be obtained.

PAPs are also considered as having legal rights if they have verbalpermission from the phuong which can be validated by localauthorities as legalizable according to criteria stipulated in Decree60/CP, Article 10.

1) PAPs who have legal permit to build structures will be entitled tocompensation at the rate of 100% of replacement cost of theirstructures in the form of materials or cash or a combination of the two,equivalent in value to 100% of the replacement cost of materials andlabour and transportation costs of materials to the construction site. Noreduction will be made for depreciation or salvageable materials.

February 1999


2) PAPs who built the affected structures without permission will beentitled to cash assistance in the form of materials or cash or acombination of the two, equivalent in value to 60% of the replacementcost of materials and labour and transportation costs of materials to theconstruction site. No reduction will be made for depreciation orsalvageable materials. In addition these PAPs will be entitled toreceive assistance and rehabilitation measures in amounts and levelssufficient to ensure that the RAP objectives of restoring or improvingliving standards, income earning capacity and production levels aremet.

5.1.4 Marginally and Severely Affected PAPs

The level of compensation entitlement is determined not only by thelegal status of land and structures as described above (5.1.2, 5.1.3) butalso by the degree of adverse impact the PAPs will suffer. PAPs maybe marginally or severely affected through the acquisition of land andother assets and will be entitled to compensation and otherentitlements accordingly as described in the CompensationEntitlement Matrix. In the case of marginal impacts only cashcompensation will be provided. If the impacts are to be severe so thatthe remaining assets become unviable for continued use PAPs areentitled to compensation for entire holdings.

Agicultural Iand: PAPs will be considered to be marginally affected ifthey lose less than 20% of the affected agricultural land holding. PAPswill be considered to be severely affected if they lose more than 20%of the affected agricultural land holding or if the reminder of theaffected land holding is not economically viable in the opinion of thePAP.

Foresry land: PAPs using forestry land will be considered to bemarginally affected if they lose less than 20% of the forestry landholding. PAPs will be considered to be severely affected if they losemore than 20% of the forestry land holding or if the reminder of theland holding is not economically viable in the opinion of the PAP..

It is stressed here that the threshold of 20% loss of assets is onlyindicative. The viability of remaining assets for continued use shouldultimately be the criteria to detemiine marginal or severe impact in aproject.

5.1.5 Temporary and Permanent Adverse Effect

The project will acquire land permanently for construction of projectcomponents and PAPs will be compensated for their losses atreplacement cost without deduction for depreciation or salvageablematerials.

February 1999

HALONG CITY WATER SUPPLY AND SANITATION PROJECTSanitation Feasibility StudyVolume V - Resettlement Action Plan .29

The Project will also possess land temporarily during the constructionperiod. PAPs whose land, structures and other assets, crops andforestry produce, or income are adversely affected by temporary landpossession will be compensated for their adverse effects including thecost of soil restoration and damaged infrastructure. Compensation willbe made at replacement cost without deduction for depreciation orsalvageable materials, based on the duration of the adverse effects.PAPs will be compensated for adverse effects during the temporarypossession period and assisted to improve or at least restore theirliving standards, income earning capacity and production levels aftertheir land is returned to them on completion of the construction.

Specific Compensation and Rehabilitation Entitlements to be Provided

1) Compensation for affected land will be with land of equivalentproductive capacity as a priority. If sufficient or suitable land isnot available, a combination of land, cash and non-land-basedstrategies built around opportunities for employment or self-employment will be offered.

2) Compensation for affected structures will be made at replacementcost for houses and other structures, without depreciation andwithout deduction for salvageable materials. The amount ofcompensation or assistance for the structures will depend on theirlegal status. Repair costs will be provided to PAPs whosestructures are partially affected. If partial impact on structurerenders the remainder of the structure or parts thereof unviable forcontinued use, the compensation should be paid for the entirestructure or part thereof rendered unviable. Each registeredperson in every reorganising household will be entitled to asubsistence allowance during the transition period.

Legal owner of the affected structure and fixed assets:

* PAPs who built the affected structures/fixed assets in ruralareas or with permission in urban areas will be compensated at100 % of the replacement cost of materials and labour and thecost of transporting the materials to the construction site. Noreduction will be made for depreciation or salvageablematerials.

* Compensation rates will be based on the affected constructionarea and not useable area.

* Compensation will be in the form of cash or materials or acombination of the two.

February 1999


Illegal owner of the affected structure and entitlement:

PAPs who built the affected structures without permission will beentitled to cash assistance in the form of materials or cash or acombination of the two, equivalent in value to 60% of thereplacement cost of materials and labour and transportation costsof materials to the construction site. There will be no reductionmade for depreciation or salvageable materials. The Project willprovide such PAPs with additional assistance and rehabilitationmeasures in amounts and levels sufficient to ensure that the RAPobjectives of restoring or improving living standards, incomeearning capacity and production levels are met.

3) Compensation for affected crops and forest produce will be incash at full market value.

* If the plants are not yet ready for harvest or their harvest hasjust begun, compensation will include the total costs of initialinvestment and care until the time of land recovery.

* In the case of perennial plants that can only be harvested once,compensation will be paid for the total costs of initialinvestments and costs of care calculated until the time of landrecovery.

* Compensation will be in cash.

* Farmers will be given notice of clearance 3 months prior to thedate by which the land should be handed over to the contractor.

4) Compensation rates for individual trees will be determined by thetree type, diameter and productivity. Compensation will be paid tothe private owner but not to the State.

5) Compensation for affected raves will be in cash at replacementcost for all costs of excavation, movement and reburial of graves.

6) Compensation for affected public infsastructure will be in cash atreplacement cost of removal and relocation.

7) Allaces will be provided to assist with subsistence costsduring the transition period and to cover the cost of transportingconstruction materials and personal belongings of PAPsrelocating to new sites.

8) Compensation for temporary adverse effects: PAPs may beaffected when land is possessed temporarily during therehabilitation and construction of combined sewers. Temporary

February 1999


impacts will not cause any displacement of people,major/permanent damage to structures or permanent acquisitionof assets. Temporary impacts due to the project components arelikely to be minor and in the formn of:

* inconvenience to residents and owners of land and structuresalong the drainage and sewer routes due to the excavations;

* in some cases minor damages to existing structures caused byexcavation works;

* only in exceptional cases the residents may be required to shifttemporarily from their present locations to an alternate place;

* loss of some incomes from affected crops on small land areas;and

* loss of some incomes to existing businesses due to restrictedaccess to business premises caused by excavations.

The construction work will be carried out on small stretches andwill not impact the same place for more than a few months. Whenland is possessed temporarily during the construction period,PAPs will be entitled to compensation for the losses caused by theproject, for lost crops, forestry products and incomes at marketvalue, and for the cost of restoration of land (soil conservation,levelling, fertiliser etc.) to its original state.

When structures are possessed temporarily or damaged duringconstruction, PAPs would be entitled to compensation fordamages caused to the structure at replacement cost in the form ofcash, materials or a combination of the two, without anydeductions made for depreciation or salvageable materials.

In addition, if structures are possessed temporarily causing severeimpact, PAPs would be entitled to rental allowance to cover livingexpenses and transfer to alternate accommodation during theperiod of temporary displacement and a fixed transfer allowance.If the period of temporary possession exceeds one year PAPswould be allowed to choose to extend terms and benefits fortemporary acquisition or opt for permanent acquisition at fullreplacement cost and any rehabilitation entitlements provided toother permanently affected PAPs under the project.

9) Seconda PAPs: Household affected by acquisition of land forresettlement sites, if any, and related access roads will beconsidered as PAPs with the same entitlements as other PAPs.

10) The previous level of community services and resources will bemaintained or improved.

11) The resettlement transition period will be minimised.

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12) Institutional arrangements will ensure effective and timely design,planning, consultation and implementation of the RAP.

13) Financial and physical resources for RAP implementation will bemade available as and when required.

14) Effective and timely supervision, monitoring and evaluation ofRAP implementation will be carried out.

5.2 Economic Rehabilitation

The majority of households affected by this project are dependent onsalaries from public employment. The second main income source isfrom agriculture, either from non-affected agricultural land and/orfrom fruit trees and other garden produce. As restoration orimprovement of living standards, income earning capacity andproduction levels is the prime objective of this RAP, compensationand rehabilitation entitlements have been designed to meet thisobjective.

During the Detail Measuremnent Survey baseline data of PAPs entitledto rehabilitation measures was collected. The data included presentoccupation, education level and skill possessed and preference for thetype of rehabilitation assistance required. The type of rehabilitationmeasures suitable for the PAPs will be decided in consultation withthe PAPs during implementation, taking into consideration their needsand preferences, existing skills and education levels. Where provisionof training in a current or new occupation is considered necessary,attempts will be made to ensure that it is job related. In Halong theLabour Union, the Women Union and the Department for Labour,Invalids and Social Affairs are the organisations and agenciesproviding training and employment consulting services. Each of themhas an annual training plan. Tailor-made training courses are alsopossible. PAPs who are entitled to job replacement will be provided ajob.

Rehabilitation measures to ensure restoration of income levels willinclude any of the following:

- training in new or current occupations and a subsistenceallowance during the training period;

- priority for project-related employment;

- additional special allowances for lost income for severely affectedPAPs;

- credit assistance to start small businesses;

February 1999


- agricultural inputs and extension services; and

- other measures considered appropriate and agreed by the PAPs.

Where training is proposed, one member of the household would beprovided training for a maximum period of 3 months at a fixed cost ofVND 500,000. Additionally, all trainees will be provided with atraining allowance during the training period. Every severally affectedPAP would also be entitled to subsistence allowance during transitionperiod. Affected businesses would be provided with an allowance forincome loss. Different types of losses and rehabilitation assistance areshown in Table 1-1.

Table 1-1. Types of Severe Losses and Rehabilitation Assistance.

ALLOWANCESTYPE OF SUBSIS- TRANSPORT LOSS OF RENTAL TRAINING + TRAINING ALLOW/SEVERE TENCE ALLOWANCE BUSINESS ASSISTANCE/ JOB/CREDIT ASSISTANCE/AGR.

(transition (income ALTERNATIVE INPUTS & EXTENSION / OTHERLOSS allowance) rehabilitation) ACCOMOD.

(910,000 (1,000,000 (1,400,000 (VND/HH for 3 (500,000 + 420,000 -920,000 VND/HH)VND/HH) VND/HH) VNDIHH) months)

Loss ofEntire x xAgriculturalland

Employment x x

Business x x x

Loss ofentire x xResidentialplots/house _

Tenants x

Only severely affected people will be eligible for incomerehabilitation assistance. In this project the only groups of householdsaffected in this way are: 12 HH associated with the new WWTP in BaiChay; 7 HH from the new landfill site at Ha Khau;

February 1999


5.3 Mechanism for Judging the Adequacy of Compensation

5.3.1 Prices Established by the People 's Committees

At present the Quang Ninh Provincial People's Committee (QNPPC)establishes its own prices for land in accordance with theadministrative price ranges established by Decree 87 C/P. Prices forstructures are established based on contractors' prices, which includecosts for management, labour, materials, equipment, taxes and profitand are approximately 30% higher than market prices. Contractors'prices for structures are generally based on 'useable area'. However,unit prices for this project are calculated based on 'affected area' andare updated, based on the contractors' prices, to ensure compensationat replacement cost.

During the implementation, after the QNPPC is authorised by GOV topay compensation for land and structures at replacement cost, theQNPPC will update the unit prices to reflect prevailing current marketprices.

As part of its monitoring responsibilities, the Monitoring Organisation(MO) will evaluate if prices for land and structures will permitcompensation for losses at replacement cost. In the event that the MOfinds prices are not equivalent to replacement cost, the PC will beadvised to make the necessary revisions and validation. Oncevalidated, the new unit prices will be used for compensation for theProject.

5.3 2 Methodologyfor Verification of Replacement Cost

Structures. The MO, assisted by the QNPPC, has carried out thefollowing activities to evaluate if QNPPC prices will enable PAPs torebuild their affected structures:

* Meet with QNPPC to identify:• How prices are established by the PC for the Project (source

of prices, what part of the prices is for materials or labour,updating prices);

o Whether PC-established prices are equivalent to replacementcost for affected area;

* Meet with contractors specialised in residential construction toidentify:o Costs of materials and labour,o Costs of different types of houses according to different

categories;° Validation of PC prices (cost per M2 for each category).

February 1999


Land: To evaluate if PC prices of land correspond to replacement cost,the MO, assisted by the QNPPC,.has investigated the following issues:- How rates are established by PC within the range given by

Decree 87;- Recent land transactions on land in suburban and rural areas.

5.3.3 Grievances About Compensation Rates

If PAPs are not satisfied with the unit rates established for the Project,they will have the right to have their grievances heard through theprocedures detailed in Chapter 7.

5.4 Compensation and Entitlements Matrix

The Compensation and Entitlements Matrix (Annex 1) details themain components of the compensation and entitlements policy.

February 1999


6. LEGAL FRAMEWORK

6.1 Legal Framework

The resettlement and rehabilitation plan described in this RAP hasbeen designed in accordance with the laws of the Government of VietNam and the provisions of the World Bank's Operational Directive4.30.

Where the GOV and World Bank positions differ, it will be necessaryfor the GOV to issue special decisions. The need for special decisionsfor the relevant cases has been identified in Section 6.1.3.Implementation of the resettlement and rehabilitation plan will becarried out in accordance with the specific policies of this RAP.

6.1. 1 Relevant Legal Documents

The Government of Viet Nam has issued the following directivesgoverning land acquisition and compensation:

- The Land Law No. 24/L/CTN issued 15 October 1993 by theNational Assembly of the Socialist Republic of Viet Nam:

- Decree 87/CP issued 17 August 1994 by the Prime Minister to setthe price ranges for categories of land;

- Decree 90/CP issued 17 August 1994 by the Prime Minister toprovide guidelines for compensation for appropriation of land fordefence, security, national and public interests;

- Decree 60/CP issued 5 July 1994 by GOV regulating propertyownership and the right to use urban residential land;

- Decree 64/CP issued 15 Septernber 1993 by GOV regulating theallocation of agricultural land to households and individuals forlong-term use for agricultural production;

- Decree 61/CP issued on 5 July 1994 by GOV regulating dwellinghouse purchase, sale and business;

- Decision No. 1421 QD/UB issued 20 July 1993 by Quang NinhProvince regulating the unit price for compensation and landclearing.

- 10 May 1998: Decree CP 90 replaced with Decree CP 22

February 1999


6.1.2 World Bank Operational Directive 4.30

The basic guiding principle of the World Bank's Policy onInvoluntary Resettlement (OD 4.30) is that the affected people shouldbe "assisted in their efforts to improve their former living standards,income earning capacity, and production levels, or at least to restorethem".

Absence of a legal title to land cannot be an obstacle to compensationand rehabilitation measures. All persons affected by a project,especially the poorer and/or disenfranchised sectors should beincluded in the compensation, resettlement and rehabilitation package.Compensation for lost assets must be made on the basis ofreplacement cost without depreciation.

The Bank cannot finance project policies in conflict with itsguidelines.

The land acquisition, compensation, resettlement and rehabilitationplan described in this RAP has been designed to meet the provisionsof the OD 4.30 and the Government of Vietnam.

6.2 Action Required by GOV to Enable Compensation, Resettlement and Rehabilitation tobe Implemented According to RAP Policy

To comply with RAP policy and to ensure that the proposedentitlements are not in conflict with Vietnamese regulations, specialdecisions regarding eligibility to compensation and unit prices ofcompensation have been identified as necessary:

Eligibility to Compensation - Decree 22/CP

Article 7 stipulates that "The person whose land is recovered and whohas not one of the conditions stipulated in Article 6 of this Decree orwho has violated the plan already ratified by the competent level andsuch violation has been announced, or who violates the corridorprotecting work, or who illegally occupies land shall not receivecompensation when the State recovers the land. In case of necessity,the People's Committee province or city directly under the CentralGovemnment shall consider and decide on a case by case basis".

To ensure that the objectives of this RAP are met, a special decision ofthe Government regarding waiver of Article 7 is needed to permitassistance and rehabilitation measures for illegal users of land asproposed in this RAP.

Price of Land for Calculation of Compensation - Decrees 87/CP and22/CP

February 1999

HALONG CITY WATER SUPPLY AND SANITATION PROJECTSanitation Feasibility StudyVolume V - Resettlement Action Plan .38

Article 4 of Decree 87/CP states that compensation prices for landmust be within the Government's range of minimum and maximumprices.

Article 8 of Decree 22/CP stipulates that the price of land forcalculation of compensation for damage shall be determined on thebasis of the local price of land issued according to provisions of theGovernment multiplied by a coefficient K in order to ensurecompatibility of the compensation with the profitability and the priceof assignment of the land use right in the locality. The Ministry ofFinance shall guide the method of determining the coefficient K afterconsulting with the Ministry of Construction, the Ministry ofAgriculture and Rural Development, the General Land Administrationand the Government Price Committee. The price of land forcalculation of compensation shall be decided by the President of thePeople's Committee of the province or city directly under the CentralGovernment for each project at the proposal of the Finance-PricingService with the participation of the related branches.

However, the provisions of 87/CP and 22/CP do not ensurecompensation and replacement cost, a special decision by the GOVregarding waiver of Article 4 of 87/CP and Article 8 of Decree 22/CPwould be required. This is to ensure that the objectives of this RAP aremet. Unit prices for land will be established ensuring compensations atmarket value.

The Prime Minister of Vietnam in approving the policies andobjectives set forth in this RAP has granted the waiver to the abovementioned Article 4 of 87/CP and Articles 7 & 8 of 22/CP.

February 1999


7 INSTITUTIONAL, ARRANGEMENTS

The HCESC is responsible for the Halong City Water Supply andSanitation Project's sanitation component on behalf of theGovernment of Viet Nam. The roles and responsibilities of theHCESC and other agencies involved in the implementation of the landacquisition and resettlement activities are presented below.

7.1 Responsibilities of Organisations

7.1.1 Quang Ninh People 's Committee

The People's Comrnittee (PC) is the principal authority at each levelof government (province, city, district (quan), and commune(phuong)). The implementation of all regulations is under theirresponsibility within their respective territory.

The QNPPC will be responsible for:* Establishing the resettlement committee;* Issuing the land and structure compensation unit prices;* Approving compensation amounts;* Providing instructions to identify legal and illegal PAPs and

other instructions necessary for implementation;- Allocating the land necessary for the project;• Assigning tasks to each district (quan) within their territory.

7.1.2 Resettlement Committee

The Resettlement Committee will be composed of representativesfrom the People's Committees of the two cities, quan and phuonglevel, City Departments of Construction, Finance, and Land andrepresentatives of the affected people.

The Committee will consist of two Divisions: Implementation andMonitoring. The Implementation Division will comprise five Units(See Figure 7.1)

Planning Unit: to ensure co-ordination between land and assetacquisition, compensation payments and physical works;

Acquisition Unit: to ensure that land and assets are correctly identifiedand surveyed;

Compensation Unit: to ensure that payments and compensationentitlements are correctly calculated according to OD 4.30;

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Rehabilitation Unit: to ensure that RAPs obtain all rehabilitationpackages to which they are entitled and that these are effectively andeconomically administered;

Public Information Unit: to establish and maintain effective publicrelations between all partners in RAP implementation.

The Monitoring Division will be responsible for ensuring that allaspects and details contained in the RAP are correctly implemented. Amonitoring system will be devised in consultation with theImplementation Division to ensure that the results of the monitoringprocess can inform and guide subsequent implementation.

The Committee will report directly to the Component ImplementationUnit and copy such reporting to the Project Management Unit.

7.1.3 Halong City Environmental Sanitation Company

The HCESC has the following responsibilities:- Co-ordination with Cam Pha Sanitation Company;- Co-ordination and overall responsibility for implementation of the

RAP including all necessary detailed measurement surveys;- Provision of the required funds to implement, in a timely manner,

Part 2 of this RAP.- Internal monitoring and evaluation of RAP implementation.

7.1.4 External Monitoring Agency

An agency specialised in social sciences will be contracted by HCESCto carry out external monitoring and evaluation. They will submitperiodic reports on the progress and impacts of the RAPimplementation and make recommendations regarding the issues, ifany, which need to be addressed. Detailed tasks for monitoringactivities are described in Chapter 10.

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Figure 6.1 Organogram of the Proposed Resettlement Committee

|Component Implementation|^ ~~~Unitl

Reseftlement Project ManagementCommittee Unt

Il lemenion Monitoring

L iis j Division

Planning< Unitnk

Land AcquisitionUnit

CompensationUnit

L Rehabilitaion lUnitl

Public Information jI Uniu 1

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Figure 6.2

ORGANISATION AL STRUCTURE OF THE PROVINCIAL PEOPLES COMMITTEE

| PROVINCIAL PEOPLES |ICOMM E

MT" MWF I A Ah P.o sr Sam sCfi o.

|ATEt WPLY. , _ _ _ _ e~~~~~~~~~~~~~~OMPANlY

DESM ~~~PROYWCML INNCAAND HOSPITAL AND

cunm ~~~~~~~~~~~~OSMANDA1M

nmon _ OQ l l~~~~~~~~~~~~~snTT

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Figure 7.3 Structure of the Ha long city Environmental Sanitation Company

DIRECTOR

MR. NGUYEN MANH HA

VICE DIRECTOR VIEDRECTHONGMR. PHIJNG M.NUN

Planning - Bai chay Inspection Accounting Green plantTechnical branch Dept Dept inistration Dept. group

Dept. Mr. Mien Mr. Tuan Ms. Nhan Mr. Thuy Mr. Thanh

Public ~~Solid wastes Removal Drainage unitPulcSurtanlighting unit collection transportatio Mr. Ky sanitation guard groupMr. Long street n & treatment service group Mr. Luong

cleaning of solid waste Mr. Chia

r Cemetey |Construction Fee collectionL Maintenance Group groupgroup Mr. Thanh Mr. Dung

Mr. Chinh

Management board : 03 persons Planing and technical department: 03 personsAdministration department: 04 persons Accounting department: 04 personsInspection department: 03 persons Green plant group: 58 personsBai Chay branch : 77 persons Public lighting unit: 05 personsSolid waste collection street cleaning: 98 persons Removal taansportation & Drainage unit: 10

personstreatment of solid waste : 40 persons Public sanitation service group: 19 personsSecurity and guard group : 09 persons Cemetery maintenance group: 21 personsConstruction group: 12 persons Fee collection group 09 persons

Total: 375 persons

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8. PUBLIC PARTICIPATION AND CONSULTATION

8.1 Objectives of the Information Campaign and Consultation Plan

Information dissemination to, consultation with and participation ofaffected people and involved agencies (i) reduce the potential forconflicts, (ii) minimise the risk of project delays, and (iii) enable theproject to design the resettlement and rehabilitation program as acomprehensive development program to fit the needs and priorities ofthe affected people, thereby maximising the economic and socialbenefits of project investments.

The objectives of the Public Information Campaign and PAPConsultation Program are as follows:- To share fully information about the proposed project, its

components and its activities, with the affected people.- To obtain information about the needs and priorities of the

affected people, as well as information about their reactions toproposed policies and activities.

- To obtain the co-operation and participation of the affected peopleand communities in activities required to be undertaken forresettlement planning and implementation.

- To ensure transparency in all activities related to land acquisition,resettlement and rehabilitation.

There are two phases to the public information campaign and PAPconsultation:

Phase I: During resettlement planning and RAP preparationactivities. This phase consisted of land demarcation and detailedmeasurement survey (DMS) of affected assets, in addition to thepublic consultation and information dissemination on the projectobjectives, types and degree of impacts, compensation policy andprocedures, and preferred options on relocation and compensation forland.

Phase I: During the implementation of resettlement andrehabilitation activities. This phase will consist of continuedactivities on information dissemination and consultation regarding:resettlement policies and procedures, calculation and payment ofcompensation, clearance from the project area, and civil works.

8.2 Phase I: Information Campaign and PAP & Agency Consultation during RAPPreparation

During Phase I, the phase of detailed resettlement planning and RAPpreparation, the following activities were carried out sequentially:

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HALONG CITY WATER SUPPLY AND SANITATION PROJECTSanitation Feasibilitv StudyVolume V - Resettlement Action Plan 45

Activity 1: Media campaign prior to the survey

Information to the general public in the project area was given bypublic notice. The contents of the media campaign included: adescription of project components, the content and schedule for thesurvey, and a request for PAPs to prepare their eligibility documentsto show to the survey team.

Activity 2: Verbal information dissemination to and consultationwith PAPs

Also during the DMS each PAP was informed about resettlementoptions and consulted about preliminary preferences according to theireligibility.

Activity 3: Information dissemination to and consultation withlocal authorities during RAP preparation

The Sanitation Companies consulted People's Committees regardingthe following: (i) project components, (ii) proposed policies andprocedures (iii) the implementation schedule, (iv) roles andresponsibilities of the responsible committees and agencies, and (v)options for compensation for land.

8.3 Phase II: Information Campaign and Consultation during RAP Implementation

Activity 1: Public Meeting

Immediately after the RAP is approved by GOV and WB, all PAPsand interested general public will be invited to attend a public meetingat which the following information will be given:- Project components - plans for rehabilitation of the existing water

supply system and new construction.- The need for land for new construction and project impacts.- The agreed RAP policies and PAPs' rights and entitlements,

including the right to lodge a complaint.- The institutional arrangements for implementation of the RAP,

including grievance procedures.- The implementation schedule.

Activity 2: Information Distributed Directly to Each HouseholdFollowing Pricing Application

After unit prices have been established, the Resettlement Committeewill apply the unit prices to affected assets, calculate compensationentitlement and complete the Assets Compensation Form for eachaffected household. The following information will then be distributedto each household:

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- The Assets Compensation Form showing the household's affectedassets and compensation entitlement. PAPs will be required tosign the Assets Compensation Form to indicate their agreementwith the assessment. Any complaints will be recorded at thistime.

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9. GRIEVANCE PROCEDURES

In order to ensure that affected people have avenues for redressingtheir grievances related to any aspect of land acquisition andresettlement, detailed procedures for redress of grievances have beenestablished for the Project.

9.1 Procedures

Stage 1: If any person is aggrieved by any aspect of the resettlementprogram, he/she can lodge a written grievance to the DistrictResettlement Committee within 15 days from the date of receiving thenotification of compensation and rehabilitation.

The DRC must respond to the claimant within 15 days

Stage 2: If the person making the complaint is not satisfied with thedecision or he/she receives no response within 15 days of registeringthe grievance, he/she can appeal to a Provincial Resolution Committee(PRC). The PRC must respond to the claimant within 15 days from thereceipt of the claim.

Stage 3: If the person making the complaint is not satisfied with thedecision or he/she receives no response within 15 days of registeringthe grievance, he/she can appeal to the Chairman of the PPC who has30 days to decide on the complaint.

In case the decision of the Chairman is not found satisfactory, theclaimant can appeal to the district court of law.

9.2 Contents of Grievances

The grievances lodged by an affected person can relate to any aspectof the land acquisition and resettlement program including thecompensation rates being offered for their losses.

PAPs will be exempt from all administrative and legal fees.Complainants to the court will also have the right of free legalrepresentation. The detailed procedures for redress of grievances andthe appeals process will be widely publicised among the affectedpeople. This will be done through the Resettlement InformationPamphlet to be distributed to all affected persons.

All records of conflicts, grievances and complaints will be maintainedwith the HCESC

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HALONG CITY WATER SUPPLY AND SANITATION PROJECTSanitation Feasibility StudyVolume V - Resettlement Action Plan 4S

10. MONITORING

10.1 Internal Monitoring

The Sanitation Company will be responsible for conducting regularinternal monitoring of the implementation of the RAP.

10.1.1 Monitoring Indicators

The main indicators that will be monitored regularly are:- Random check of inventory forms an assessment of compensation- Payment of compensation to the affected people in the various

categories according to the level of compensation described in theRAP, Part 2.

- Random checks on inventory forms and assessment ofcompensation

- Public information and public consultation.- Grievance procedures.- Provision of subsistence and rehabilitation allowances.- Provision of training to PAPs.- Job creation.- The linkage of resettlement and commencement of civil works.

10.1.2 Stafffor Conducting Internal Monitoring

The project management unit of the Sanitation Company and amember of the Resettlement Committee will be responsible forinternal monitoring activities. They will collect information on aregular basis, and maintain a data base of resettlement monitoringinformation, which will be successively updated every 3 months.

10.1.3 Reporting on Monitoring

The monitoring report will be submitted by the sanitation companiesto the WB every 3 months.

10.2 External Monitoring

10.2.1 Agency Responsible

An agency specialised in social sciences will be responsible forperiodically conducting independent external monitoring andevaluation of the RAP implementation and effects. This agency willbe called the Monitoring Organisation (MO).

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10.2.2 Monitoring Objectives

In addition to verifying the information furnished in the internalsupervision and monitoring reports of the Sanitation Company, theMO will visit a sample of 20% of household PAPs on an annual basisto:

a) Determine whether the procedures for PAP participation anddelivery of compensation and other rehabilitation entitlementshave been carried out in accordance with the RAP.

b) Assess if the RAP's objectives of enhancement or at leastrestoration of living standards, income earning capacity andproduction levels have been met.

c) Gather qualitative indications of the social and economic impact ofproject implementation on the PAPs.

d) Suggest modification in the implementation procedures of theRAP, as required, to achieve the principles and objectives of thisRAP.

10.2.3 Monitoring Indicators

The following indicators will be monitored and evaluated:

Payment of com