Resettlement Plan - Sub-Component VT2 - Truong Chinh Road

Resettlement Planning Document

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

Resettlement Plan Document Stage: Revised Project Number: 41462 September 2014

Viet Nam: Comprehensive Socioeconomic Urban

Development Project in Viet Tri, Hung Yen and Dong

Dang

Sub-Component VT2: Truong Chinh Road, Viet Tri

City

Prepared by Phu Tho Provincial People’s Committee

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CURRENCY EQUIVALENTS Currency unit: Vietnam Dong (VND) and US dollar ($) Exchange rate on February 2014: $1 = 21,110 VND

ABBREVIATIONS

ADB - Asian Development Bank AH - Affected Household AP - Affected Person CARB - Compensation, Assistance and Resettlement Board CPC - Commune Peoples, Committee DDR - Due diligence review DOLISA - Department of Labor, War Invalids & Social Affairs DCARB - District Compensation, Assistance, Resettlement Board DMS - Detailed Measurement Survey DOF - Department of Finance DONRE - Department of Natural Resources and Environment DPC - District Peoples, Committee DPI - Department of Planning and Investment EA - Executing Agency FS - Feasibility Study FDG = Focus Group Discussion GOV - Government of Vietnam GRM = Grievance Redress and Resolution Mechanism HH - Household IMO - Independent Monitoring Organization IOL - Inventory of Loss IRP - Income Restoration Program LURC - Land Use Rights Certificate MOF - Ministry of Finance MOLISA - Ministry of Labor, Invalids and Social Assistance MONRE - Ministry of Natural Resources and Environment MARD - Ministry of Agriculture and Rural Development NTP - Notice to Proceed PIB - Project Information Booklet PPC - Provincial People Committee PMU - Provincial Project Management Unit RCS - Replacement Cost Study RF - Resettlement Framework RP - Resettlement Plan SES - Socioeconomic Survey VND - Vietnamese dong VWU - Viet Nam Women’s Union

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GLOSSARY

Affected person (AP) / Affected household (AH)

- Means any person, household, firm or private institution who, on account of changes resulting from the Project, or any of its phases or subprojects, will have its (i) standard of living adversely affected; (ii) right, title or interest in any house, land (including residential, commercial, agricultural, forest, salt mining and/or grazing land), water resources or any other moveable or fixed assets acquired, possessed, restricted or otherwise adversely affected, in full or in part, permanently or temporarily; and/or (iii) business, occupation, place of work or residence or habitat adversely affected, with or without displacement.

In the case of affected household, it includes all members residing under one roof and operating as a single economic unit, who are adversely affected by a project or any of its components.

Detailed Measurement Survey (DMS)

- With the aid of the approved detailed engineering design, this activity involves the finalization and/or validation of the results of the inventory of losses (IOL), severity of impacts, and list of APs earlier done during RP preparation. The final cost of resettlement can be determined following completion of the DMS.

Compensation - Means payment in cash or in kind to replace losses of land, housing, income and other assets caused by the Project. All compensation is based on the principle of replacement cost, which is the method of valuing assets to replace the loss at current market rates, plus any transaction costs such as administrative charges, taxes, registration and titling costs.

Cut-off date

-

Date prior to which the occupation or use of the Project area makes a person, household or entity eligible to receive compensation and assistance under the Project. Persons not covered in the census are not eligible for compensation and other entitlements, unless they can show proof that: (i) they have been inadvertently missed out during the census and the detailed measurement survey (DMS); or (ii) they have lawfully acquired the affected assets following completion of the census and the DMS. For this project, 1st November 2011 is considered as the cut-off date.

Ethnic minority - People with a group status having a social or cultural identity distinct from that of the dominant or mainstream society.

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

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

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

Income restoration program

- A program designed with various activities that aim to support affected persons to recover their income / livelihood to pre-project levels. The program is designed to address the specific needs of the affected persons based on the socioeconomic survey and consultations

Inventory of Loss (IOL) - This is the process where all fixed assets (i.e., lands used for residence, commerce, agriculture, including ponds; dwelling units; stalls and shops; secondary structures, such as fences, tombs,

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wells; trees with commercial value; etc.) and sources of income and livelihood inside the Project right-of-way (PROJECT AREA) are identified, measured, their owners identified, their exact location pinpointed, and their replacement costs calculated. Additionally, the severity of impact to the affected assets and the severity of impact to the livelihood and productive capacity of APs will be determined.

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

Rehabilitation - This refers to additional support provided to APs losing productive assets, incomes, employment or sources of living, to supplement payment of compensation for acquired assets, in order to achieve, at a minimum, full restoration of living standards and quality of life.

Relocation - This is the physical relocation of an AP from her/his pre-project place of residence and/or business.

Replacement cost - The amount needed to replace an affected asset and net of transaction costs such as administrative charges, taxes, registration and titling costs.

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

Resettlement

- This includes all measures taken to mitigate any and all adverse impacts of a project on AP property and/or livelihoods, including compensation, relocation (where relevant), and rehabilitation as needed.

Resettlement Plan (RP) - This is a time-bound action plan with budget setting out compensation and resettlement strategies, objectives, entitlement, actions, responsibilities, monitoring and evaluation.

Severely affected households

-

This refers to affected households who will (i) lose 10% or more of their total productive land and/or assets, and/or (ii) have to relocate.

Stakeholders - Individuals, groups, or institutions that have an interest or stake in the outcome of a project. The term also applies to those potentially affected by a project. Stakeholders include land users, country, regional and local governments, implementing agencies, project executing agencies, groups contracted to conduct project activities at various stages of the project, and other groups in the civil society which may have an interest in the project.

Vulnerable groups - These are distinct groups of people who might suffer disproportionately or face the risk of being further marginalized by the effects of resettlement and specifically include: (i) female headed households with dependents, (ii) disabled household heads, (iii) households falling under the state poverty line, (iv) children and the elderly who are landless and with no other means of support.

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TABLE OF CONTENTS

CURRENCY EQUIVALENTS ............................................................................................. 2

ABBREVIATIONS ........................................................................................................... 2

GLOSSARY .................................................................................................................... 3

EXECUTIVE SUMMARY .................................................................................................. 7

I. INTRODUCTION ......................................................................................................... 9

A. Project Background ................................................................................................................................................................9

B. Project location ........................................................................................................................................................................... 10

C. Objectives of the updated Resettlement Plan ................................................................................................................ 11

II. SCOPE OF LAND ACQUISITION AND RESETTLEMENT .................................................11

A. Methodology in identifying land acquisition and resettlement impacts ............................................... 11

B. Land acquisition and resettlement impacts .......................................................................................................... 11

III. SOCIO-ECONOMIC INFORMATION ON AFFECTED HOUSEHOLDS ..............................14

A. The socio-economic information of affected households ........................................................................................ 14

B. Impact Assessment on gender ............................................................................................................................................. 17

IV. INFORMATION DISCLOSURE, CONSULTATION AND PARTICIPATION ...................19

A. Disclosure of the Updated Resettlement Plan............................................................................................................... 19

B. Public Consultation and Participation .............................................................................................................................. 23

C. Consultation and participation during the URP preparation ................................................................................. 23

V. GRIEVANCE REDRESS MECHANISMS ........................................................................25

VI. LEGAL FRAMEWORK ..........................................................................................27

A. ADB Policies ............................................................................................................................................................................ 27

B. Relevant Vietnamese Legislation. ................................................................................................................................. 28

C. Reconciliation of Government and ADB Policies on Resettlement ................................................................ 30

D. Project Policies ........................................................................................................................................................................... 33

E. Principles for Valuation ...................................................................................................................................................... 33

VII. ENTITLEMENTS, ASSISTANCE AND BENEFITS ..........................................................34

A. Types of AHs Eligible for Compensation/ Assistance .......................................................................................... 34

B. Project Entitlements ........................................................................................................................................................... 34

C. Additional Measures ................................................................................................................................................................. 43

VIII. LIVELIHOOD RESTORATION AND REHABILITATION ................................................43

A.Impact and Risks to livelihoods ...................................................................................................................................... 43

B. Income/livelihood Restoration Program (IRP) under the Project ........................................................... 44

93. Based on the proposals mentioned above, a detailed livelihood restoration

program report will be prepared by PMU with support of the social consultants and

consultation with eligible households to submit to PPC and ADB for approval before

implementation. .........................................................................................................46

IX. RESETTLEMENT .......................................................................................................46

A. Assessing the needs for resettlement ............................................................................................................................... 46

B. Preparation of the Resettlement Site ................................................................................................................................ 47

C. Proposal of resettlement allocation ................................................................................................................................... 48

X. RESETTLEMENT BUDGET AND FINANCING PLAN .......................................................49

A. Funding Source ........................................................................................................................................................................... 49

B. Replacement Cost ...................................................................................................................................................................... 49

C. Resettlement Budget ................................................................................................................................................................ 50

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XI. INSTITUTIONAL ARRANGEMENTS ...........................................................................51

A. Province Level ............................................................................................................................................................................. 51

B. City Level.................................................................................................................................................................................. 51

C. City Compensation, Assistance and Resettlement Board (CARD) .................................................................. 52

D. Commune/ ward Level ........................................................................................................................................................... 52

XII. IMPLEMENTATION SCHEDULE ................................................................................53

A. Resettlement Activities ........................................................................................................................................................... 53

B. Indicative Implementation Schedule .......................................................................................................................... 54

XIII. MONITORING AND REPORTING ............................................................................57

A. Objectives ...................................................................................................................................................................................... 57

B. Community Monitoring ....................................................................................................................................................... 57

C. Internal Monitoring................................................................................................................................................................... 57

D. External Monitoring Consultant ......................................................................................................................................... 58

LIST OF TABLES

Table 1: Project impacts .................................................................................................................. 11

Table 2: Land acquisition ................................................................................................................ 12

Table 3: Affected households .......................................................................................................... 13

Table 4: Loss of crop ....................................................................................................................... 13

Table 5: Affected houses .................................................................................................................. 13

Table 6: Affected auxiliary works...................................................................................................... 14

Table 7: Gender of household members in affected households .................................................... 15

Table 8: The age of the members in the affected households ......................................................... 15

Table 9: The main occupation of person on working age in affected households ........................... 16

Table 10: The structure of income of persons on working age from the income sources ............... 16

Table 11: The annual income of the affected households ............................................................... 16

Table 12: Gender action plan ........................................................................................................... 18

Table 13: Public consultation activities ............................................................................................ 21

Table 14: Summary of Consultation activities during RP Updating ................................................. 24

Table 15: Reconciliation of Government and ADB Policies on Involuntary Resettlement ............... 30

Table 16: Entitlement Matrix ............................................................................................................. 35

Table 17: Income Restoration Measures ......................................................................................... 43

Table 18: Tentative Schedule for Vocational Training Courses ....................................................... 45

Table 19: Cost Estimate for Vocational Training Program ............................................................... 45

Table 20: Demand of land lots for resettlement ............................................................................... 47

Table 21: Proposed resettlement allocation ..................................................................................... 48

Table 22. Compensation prices for land and crop ........................................................................... 49

Table 23. Replacement price for house and structures ................................................................... 49

Table 24: Resettlement Budget Estimate. ........................................................................................ 50

Table 25: Implementation Schedule ................................................................................................. 55

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EXECUTIVE SUMMARY

A. Scope of the updated Resettlement Plan

1. This updated Resettlement Plan for Sub-Component VT2: Truong Chinh Road, Viet Tri City under the Comprehensive Socioeconomic Urban Development Project in Viet Tri - Hung Yen - Dong Dang -, includes procedures in the acquisition of land in 04 ward/communes of Kim Duc, Phuong Lau, Van Phu and Hung Lo. The Resettlement Plan for Viet Tri subproject was prepared and approved by ADB in August 2011. This uRP for Truong Chinh Road (VT2) is based on the approved RP for Viet Tri subproject and results of DMS, public consultation and the recent replacement cost survey for the road. The scope of the updated Resettlement Plan includes the following main information: (i) Project description and the results of detailed measurement surveys (DMS), (ii) the legal policies and laws, (iii) the compensation entittlements and benefits, (iv) the grievance redress mechanism, and (v) the income rehabilitation measures as well as the monitoring and evaluation mechanism. This updated Resettlement Plan will be disclosured to affected people through consultation meetings and will be posted on the ADB website.

B. Scope of the component impacts

2. The results of the Detailed Measurement Survey conducted by the Compensation, Assistance and Resettlement Board (CARB) of Viet Tri city identified a total of 465 households and 01 CPCs in 04 ward/communes of Kim Duc, Phuong Lau, Van Phu and Hung Lo will be affected by the construction of Truong Chinh Road, of which 320 will be severely affected and will lose more than 10% of their productive land. Identified also are 59 vulnerable households (VT2). 67 households have to relocate. Total land area to be acquired is 153,064.3 m2 of which agricultural land is 86,531.2 m2; residential land is 11,905.3 m2 and other land (garden land) is 33,739 m2. All affected households are Kinh ethnic group.

C. Socioeconomic Profile of the Project Area

3. The socio-economic survey was conducted in April 2014 for 465 project affected households in 04 ward/communes commune. The per capita income of affected HHs is estimated at 16.5 million VND/person/year (equivalent to 1.37 million VND/person/month). The rate of poor households of affected HHs is 0.4%.

D. Consultation and Information Disclosure

4. During preparation of the updated Resettlement Plan, community consultation meetings and focus group discussions were held in June, 2014 with representatives of ward/communes, village chiefs and affected households. A total of 171 persons, both male and female, joined in the meetings. In those meetings, the City’s Compensation and Resettlement Board disclosed the (i) results of the detailed measurement surveys, (ii) draft of the Compensation Plan, and (iii) revised Compensation Plan after design adjustments. The participants were consulted and expressed their opinions. The minutes of the meeting are included in the updated Resettlement Plan. The updated RP will be uploaded on ADB website and project website.

E. Grievance Redress

5. A well-defined grievance redress mechanism (GRM) was established to address AHs’ grievances and complaints regarding land acquisition, compensation and resettlement in a timely and satisfactory manner. The grievance redress mechanism is based on a three stage process at various levels of local government, which follows the government’s Laws on grievances and complaints. The GRM was disclosed to APs during public meetings and consultations.

F. Legal Framework

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6. The legal and policy framework for compensation, resettlement and rehabilitation under the Project is defined by the relevant laws and regulations of the Government of Viet Nam and the ADB Safeguards Policy Statement (2009). In case of discrepancies between the Borrower’s laws, regulations and procedures with ADB's policies and requirements on Involuntary Resettlement, ADB's policies and requirements will prevail.

G. Entitlements

7. The project entitlements adopted are based on ADB SPS (2009), Government laws, Phu Tho Provincial People’s Committee Decisions on land acquisition, resettlement and assistance. It should be noted that some entitlements in this updated RP was enhanced, as following the results of DMS and consultations with AHs to ensure that losses are restored and peoples’ livelihoods are stabilized or improved. The cut-off date for eligibility for entitlements of APs was set to 1st November, 2011.

I. Income Restoration and Rehabilitation

8. AHs will be provided cash assistance for livelihood stabilization as per Government laws and regulations, in addition to compensation for land and non-land assets. The updated RP also includes income restoration activities, such as vocational training and agricultural extension support. Training costs will be covered by the Government budget, under Program 1956.

J. Resettlement Budget and Financing Plan

9. The required budget to implement the updated RP is estimated at VND 55,820,000,000 - equivalent to approximately $ 2,658,096. It covers compensation costs for land and assets, allowances and income restoration measures/programs, administration costs, internal and external monitoring, and contingency. The cost of consultation and grievances redress will be covered from administration charges. The resettlement budget will be funded by Phu Tho province through counterpart funds. In addition, about VND 4,939,450,000 will be taken from Program 1956 for implementation of the Income Restoration Program.

K. Institutional Arrangements

10. The Viet Tri city PC and Viet Tri PMU are responsible for implementation of the updated RP. A resettlement unit was established in the Viet Tri PMU to coordinate the resettlement activities with the city’s Compensation, Assistance and Resettlement Board. The Viet Tri PMU will designate a resettlement staff member and recruit an independent monitoring consultant to conduct internal and external monitoring on the implementation of the updated RP in compliance with ADB policies on Involuntary Resettlement.

L. Implementation Schedule

11. The Project will be implemented over 4 years. The resettlement implementation is expected to be completed by Quarter 4, 2014.

M. Monitoring and Reporting

12. The PMU will be responsible for internal monitoring on resettlement implementation and will engage an Independent Monitoring Consultant (individual) to conduct external monitoring and evaluation of (i) achievement of resettlement objectives; (ii) changes in living standards and livelihoods; (iii) restoration of the economic and social base of APs; (iv) effectiveness and sustainability of entitlements; and (v) the need for further mitigation measures as required. The PMU will submit quarterly internal monitoring reports and semi-annual external monitoring reports to ADB for review and upload on ADB website.

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I. INTRODUCTION

A. Project Background

1. The Comprehensive Socioeconomic Urban Development Project in Dong Dang - Viet Tri - Hung Yen (referred as to the Project) was approved by the Asian Development Bank (ADB) on March 9, 2012 with funding of $115.33 million. The Project is targeted to (i) contribute to the transformation of Viet Tri and Hung Yen into the sustainable and competive cities, strengthening the provincial capital role of the two cities, serving the economic - social development in the provinces, (ii) strengthen the role of Viet Tri, Hung Yen and Dong Dang, becoming the main development hubs in the NSEC: Viet Tri plays as a transit hub, Hung Yen plays as a tourism destination, and Dong Dang plays as a commercial hub, (iii) improve the current border gate of Huu Nghi (close to Dong Dang) to promote trade with China. 2. In Viet Tri city, there are 2 invested components: (i) Viet Tri Urban Road Component: This component will build the western part of the ring road from the Lo river dike to the Red river dike, accounting to one-third of the total length of the ring road. The new road will improve the connectivity to Noi Bai - Lao Cai Expressway, Thuy Van Industrial Zone, and the city center; as well as reduce the traffic density in the central areas. This component includes: (a) VT1 - Phu Dong road, 4.1 km long, connecting the city center with Noi Bai - Lao CaiExpressway; (b) VT2 - Truong Chinh road, the northwest part of the ring road (4.4 km long including Truong Chinh road from Lo river dike to Thuy Van Industrial Zone, intersecting Phu Dong road); and (c) VT3 - Thuy Van road, the southwest section of the ring road (6.5 km long from Thuy Van Industrial Zone to the Red River dike). (ii) Component 2: Viet Tri Solid Waste Management. This component will provide equipment and vehicles that collect and transport waste. 3. This updated RP addresses all impacts of land acquisition and involutary resettlement of VT2 - Component 1: Truong Chinh Road in compliance with all laws and regulations of Viet Nam and the Safeguard Policy Statement of the ADB (SPS) (2009). The uRP is based on the results of DMS, public consultations and the recent replacement cost survey.

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B. Project location

Figure 1: Project location

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C. Objectives of the updated Resettlement Plan

4. This updated RP aims to ensure that APs will be compensated at replacement cost and are assisted in restoring or improving their living conditions and livelihood. Compensation and various forms of assistance will also be provided. Income restoration programs, as needed, will be put in place prior to the displacement of AHs from their houses, land, and other assets, in a way that will ensure that their standard of living is at least restored to its pre-project levels, and that vulnerable groups are assisted to help improve their socio-economic status. APs will be involved in a meaningful consultation and participation in the process of project implementation.

II. SCOPE OF LAND ACQUISITION AND RESETTLEMENT

A. Methodology in identifying land acquisition and resettlement impacts

5. An Inventory Of Loss (IOL) and census was conducted in 10-12 March 2011 to identify the magnitude of resettlement impacts simultaneously with the conduct of Socio-Economic Survey (SES).

6. The Detailed Measurement Survey (DMS) for land and property, and structures subject to acquisition verified and updated the inventory of losses conducted in 2011 (the ADB approved and posted on the ADB website in 2011) during the project preparation (PPTA). The DMS aims at tallying and recording the number of people affected by the project and determining the impact on land and property to determine the final funding requirments for land acquisition and resettlement for the project.

7. Several methods were used during actual DMS. The basis of the DMS methodology was to overlay the project design drawings over local cadastral maps followed by visual surveys and measurement of the affected areas.

8. The DMS for Truong Chinh road was completed in 04/ 2014 subsequently, the internal checking, legal verification, compensation planning was completed in 4/2014. On this basis, the City’s Compensation, Assistance and Resettlement Board posted and disclosed the compensation plan to the affected households and solicit their opinions thereby finalizing the compensation plan.

9. Information gathered from the DMS and SES were encoded, entered into electronic storage and analysed using social statistical software from which a data base on the DMS was developed. B. Land acquisition and resettlement impacts

Table 1: Project impacts

No. Kind of impacts Unit Quantity HHs

I Affected assets

I.1 Land m2 135.064,3

Of AH

Residential land m2 11.905,3 67

Garden land m2 33.739 143*

Agricultural land m2 86.531,2 322

Public land Agricultural land

m2

2,888.8

01

Van Phu

CPC

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No. Kind of impacts Unit Quantity HHs

I.2 Annual crops m2 86.531,2 322

I.3 House m2 5.623,8 67

I.4 Grave unit 68

II Affected HHs

Total of AHs HH 465

Relocated HHs HH 67

Vulnerable HHs HH 59

Severely HHs HH 320

Source: Detailed Measurement Survey, the Council for Compensation Committee of Viet Tri city, 4/2014 *143 households are affected in terms of residential land and garden land 10. Affected land: The road construction will affect 135.064,3 m2 of land, of which 132.175,5 m2 is individually owned by 465 households and 2.888,8 m2 is land managed by the Van Phu CPC. 322 households living in Kim Duc, Phuong Lau, Hung Lo commune, and Van Phu ward are affected in terms of agricultural land. All requirement area of agricultural land is paddy land and got permission of government for use. 143 households living in Kim Duc, Phuong Lau commune and Van Phu ward are affected in terms of garden land. The residential and garden lands of 67 households living in Van Phu ward and Kim Duc, Phuong Lau communes will be affected.

11. There is no temporary land acquisition The details of affected land subject to acquisition are shown in Table 2.

Table 2: Land acquisition

Affected ward/commune

Permanent acquisition (m2)/

Private land Permanent

acquisition (m2)/

Public land

Total

Residential land

Garden. land

Agri. land Residential land

Agri. land

Kim Duc 4,202.6 16,341.9 9,055 29,599.5

Phuong Lau 4,292.4 16,543.2 72,798.2

93,633.8

Van Phu 3,410.3 853.9 1,804

2,888.8 8,957

Hung Lo 2,874

2,874

Total 11,905.3 33,739 86,531.2 2,888.8 135,064.3

Source: Detailed Measurement Survey, The Council for Compensation Committee of Viet Tri city,

04/2014

12. Affected households: the project will affect 465 households comprised of 2,345 individuals. Of the total affected households 320 are severely affected households due to loss of more than 10% of productive land. There are also 59 identified vulnerable households, including 16 poor households and 23 near-poor households and 20 female-headed households. 67 of the severely affected households have to relocate. Most of affected households (91.2%) lose

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agricultural land (paddy land). The severely affected households (losing more than 10%) will participate in the livelihood rehabilitation program.

Table 3: Affected households


No of affected HH

No of relocated HH

No of Vulnerable HH

No of severely HH

Kim Duc 140 9 19 96

Phuong Lau 267 25 29 184

Van Phu 47 33 7 32

Hung Lo 11 0 3 8

Total 465 67 59 320

Source: Detailed Measurement Survey, The Council for Compensation Committee of Viet Tri city, 4/2014

13. Loss of trees and crops: The total annual area of crops is 86.531,2 m2 which is all rice

Table 4: Loss of crop


Rice (m2)

Kim Duc 9055

Phuong Lau 72798.2

Van Phu 1804

Hung Lo 2874

Total 86,531.2

Source: Detailed Measurement Survey, the Council for Compensation Committee of Viet Tri city, 4/2014

14. Impacts on Public land; A total of 2.888,8 m2 of public land is under management of Van Phu will be affected by the project. These are agricultural land (paddy land). It will be got permission of Govement for project use before fourth quarter 2014. 15. Impacts on Houses: According to the results of DMS, there are 67 households in Kim Duc, Phuong Lau and Van Phu ward that will be affected residential land, garden land and house. 16. As summarized in Table 5, 67 households will permanently lose houses. The total acquired area is 5,623.8 m2 of 4th-class house area. These households must be relocated.

Table 5: Affected houses

Ward Impact on houses (m2) Must be relocated (households)

Affected houses

Partly affected houses

Tottaly affected houses

Rebuilt on the remaining land

To be relocated

Kim Duc 2,696.1 0 2,696.1 0 9

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Phuong Lau 1,683 1,683 25

Van Phu 1,244.7 1,244.7 44

Total 5,623.8 0 5,623.8 0 67


17. Affected auxiliary works: The auxiliary works of 67 households will be affected, including toilets (2,394 m2), gates (194.4 m2), cement yards (1,564 m2), and wall (2,130 m2).

Table 6: Affected auxiliary works

Affected ward

Toilets Gates Yards Walls

m2 Affected

households

m2 Affected

households

m2 Affected

households

m2 Affected

households

Kim Duc 657 9 54.5 9 345 9 450 9

Phuong Lau

980 25 60.9 25 678.5 25 890 20

Van Phu

756.5 33 79 33 540.6 33 789.5 33

Total 2,394 67 194.4 67 1,564 67 2,130 62


18. Impact on business: There is no impact on business 19. Impact on graves: There are 68 graves affected by subproject including 20 graves in Kim Duc commune, 48 graves in Phuong Lau commune. They will be removed to graveyard of communes/city . 20. The tenure status of affected households: The provision of certificates of land use right (LURC) has been done for the households affected by the project in the ward/commune. 100% of households are in possession of LURC.

III. SOCIO-ECONOMIC INFORMATION ON AFFECTED HOUSEHOLDS

A. The socio-economic information of affected households

21. The socioeconomic information of the affected households was gathered in April 2014 by social safeguard consultant (technical assistant consultant). Questionaire survey was conducted with total of 465 (100%) affected households in Kim Duc, Phuong Lau, Van Phu and Hung Lo communes. The main findings of this survey are presented below: Household demographics

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22. The 465 affected households comprising of 2,345 members, include 1153 men (49.2%) and 1192 female (50.8%) (see Table 7). 445 households are headed by men and 20 households are headed by women. On the average, each household is composed of 5.0 members.

Table 7: Gender of household members in affected households


Affected households

Members of affected households The average number of household members

Male Female Total

Kim Duc 140 337 349 686 4.9

Phuong Lau 267 670 692 1.362 5.1

Van Phu 47 120 124 244 5.2

Hung Lo 11 26 27 53 4.8

Total 465 1,153 1,192 2,345 5.0

Percentage (%) 49.2 50.8

Source: Survey of APs, 4/2014

23. Most household members are 18 to 60 years old (see Table 8). Most people under 18 years old are in school, while 60 years old people still work in farm or look after the family. Those who are 18 to 30 years old (360 people) have opportunities to find work in offices and factories. The older to be affected may live on trade or business. Many people over 60 years old are not interested in finding other sources of income as they live on pension or depend on the younger members in the families.

Table 8: The age of the members in the affected households


Age Total

Under 18 18 – 30 31 – 50 51 – 60 Over 60

Kim Duc 120 89 245 95 137 686

Phuong Lau 282 200 547 235 98 1,362

Van Phu 35 56 75 45 33 244

Hung Lo 0 15 26 10 2 53

Total 437 360 893 385 270 2,345


Livelihood and income

24. Currently, all interviewed households as well as persons of working age have jobs (see Table 9). Many persons have multiple jobs. Many persons aged 18-60 years old have jobs. Most of them are working in offices or companies. Women work in garment factories while men work in the construction industry. Hired labours are in the form of seasonal works that occupies high percentage. Not many persons are in agriculture sector and a small part are in trading.

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Table 9: The main occupation of person on working age in affected households

Affected commune

Agriculture Trading Factory workers

Hired labour Other

Kim Duc 205 45 237 35 44

Phuong Lau 398 170 345 139 28

Van Phu 58 34 40 37 40

Hung Lo 30 2 1 10 10

Total 691 251 623 221 122


25. Although many households said agriculture is their main source of income. But the result of survey only accounts for nearly 20% of working age having income derived from agriculture. The persons deriving income from working for sewing workshops or a small factory (employment) occupies nearly 42% .Small businesses accounts for 15%. Income from other sources accounts for 23%. (see Table 10). This explains the shift of income sources towards non-agricultural sources. This is rapidly taking place in the ward/communes within the project area. The agricultural households are not dependent on a single source of income. There are many individuals who have multiple income sources other than agriculture.

Table 10: The structure of income of persons on working age from the income sources

Location Agriculture Trade Employment Other Total

Kim Duc 100 84 237 15 130

Phuong Lau 216 162 453 1 248

Van Phu 41 31 42 47 48

Hung Lo 20 15 1 17

Total 377 292 733 80 426

Source: Survey of APs, 42014

26. The average monthly income of affected person is VND 1,375,000. There is no big different income between affected HHs and non-affected HHs within the project area. 27. According to Decision No.09/2011/QÐ-TTg, the poverty line for the rural area is less than 400.000 VND/person/month (or from less than 06 million VND/person/year). A near-poverty line in rural areas will have an average income from 401.000 VND to 520.000 VND/person/month. Based on this standard, among the 465 surveyed households, 16 are classified as poor households and 23 near poor households. Table 11 presents the annual income of the affected households.

Table 11: The annual income of the affected households

Affected

ward/commune

<400.000

VND

(poor)

401.000 –

520.000 VND

(near poor)

521.000 –

1000.000 VND

(medium)

>1.000.000

VND

(rather good)

Affected

households

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Kim Duc 4 7 94 35 140

Phuong Lau 9 13 124 121 267

Van Phu 2 2 35 8 47

Hung Lo 1 1 5 4 11

Total 16 23 258 168 465


Ownership status of production land plots

28. The survey showed that on average, each affected household has 2.4 production land plots (around 2250 m2), some are in different locations. But these plots were also taken for other projects. Currently, the project is near an industrial parks and factories, so less people do farming but switching to working for the local industrial parks. The Certificates of land use right (LURC) were already issued to the affected households.

Education

29. In general, a large percentage of the households have high education. Those who completed secondary school occupy 47.7% and higher levels are 38%. In general, women have less educational opportunities than men.

Vulnerable households

30. Based on the project definition about vulnerable group, the survey identified a total of 59 households, which are classified as vulnerable, including 16 poor households and 23 near-poor households and 20 female-headed households. Poor households are considered vulnerable and they will become impoverished if negative impacts on their livelihood are not mitigated or compensated satisfactorily. All affected households are Kinh ethnic group.

B. Impact Assessment on gender

31. Positive impacts on gender: The implementation of the subcomponent will have positive impacts on the people in the project area in general and on women in particular. These effects are:

• Creating new opportunities for economics services;

• Creation of jobs to increase income for women, especially poor women during the time of project construction;

• Providing opportunities to improve the status of women and enhance their participation in community activities through gender action plan;

• Contribution to poverty alleviation in the project ward/communes

32. Negative impacts on gender: Although there are positive impacts, the project will like wise impact negatively on women in particular and people in general in the area. The negative effect is the land acquisition that will affect the lives of families. However, the appropriate mitigation measures will be provided through compensation and livelihood restoration programs. In addition, during construction, environmental pollution caused by dust, construction waste, noise may occur. These effects can be significantly reduced by requiring the construction contractor to implement the appropriate mitigation measures.

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33. Gender action plan: from the above analysis of gender situation, a Gender Action Plan (GAP) is needed to facilitate maximum participation of women in the construction phase of the project, providing new opportunities for women to increase income, but not increase the burden on their lives, and contribute to increase the role and woman in the project area. The objectives of this plan are:

• The local contractor will prioritize mobilization of female workers/labors doing works relating to the project;

• For a similar type of work, women workers/labors must be paid as male laborers;

• The safety conditions must be the same for both men and women;

• The local contractor will not use child labor;

• Encourage the use of local labor and avoid building work camps;

• The woman group and the Woman Union will be consulted in the design of the Subcomponent;

• Training on gender mainstreaming for the implement agencies at the national, provincial, and local agencies (i.e. PMU, CPCs, and other stakeholders);

• Training and capacity building for women to participate in community decision making and project in a most meaningful way (i.e. training on participation and negotiation skills, marketing skill, and training on math and literacy);

• Ensure participation of women in the project study tour;

• The extension services targeted at women are designed and delivered to women;

• The campaign to raise awareness of HIV / AIDS will be given before the start of civil works;

• PMU and CPCs are responsible for monitoring and reporting of performance indicators of gender action plan, including the participation of women, the target jobs and training, and campaigns to prevent the HIV;

• At least one woman will be representative of the commune in the ward/commune supervisory boards (accounting for about 1/3 of its members).

Table 12: Gender action plan

Project outputs Activities and Indicators Responsibilities Time

Output 1: Construction of road

- Contractors will prioritize the use of local unskilled labor (through subcontracting); the labor force will prioritize local unskilled women labors;

- Male and female unskilled workers will receive equal pay for equal work;

- Contractors will not employ child labor on civil works contracts;

- Persons interested will write their names at village level; ward/commune authorities and village chiefs will provide names to the contractors; priority will be given to members of the poorest households

- PMU/TA Consultant will be responsible to ensure this clause is included in the contract;

- Ward/commune authorities will submit to the contractors the list of interested people;

- Ward/commune authorities will be responsible for ensuring that targets are

- Women’s Union at ward/commune level will also ensure that women are hired;

- During construction

Output 2: HIV/AIDS and Human Trafficking Campaign - WU at the provincial and

ward/commune levels will be - Monthly,

before and

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Project outputs Activities and Indicators Responsibilities Time

Awareness of potential social problems is enhanced among vulnerable persons, especially women

Community-Based Risk Mitigation Campaign

- The risk mitigation information will be delivered to project-affected ward/communes and villages using a participatory approach with a special focus on the poor, vulnerable households (e.g. households headed by women, and families with disabled and elderly members, and out-of-school youth).

- Materials will be gender-responsive and culturally- and linguistically-appropriate;

- Training of facilitators will be conducted by women’s unions and representatives of HIV/AIDs centers and ward/communes in each of the two project areas;

- Campaigns will be conducted at ward/commune & village levels by 2 facilitators per village (village chief & 1 woman member of the WU)

- Campaigns will be conducted at village level and during market days, through distribution of leaflets, use of loud speakers, and presentation of plays;

responsible for the whole campaign organization (training of facilitators, materials development) in collaboration with district and ward/commune health centers.

- WU at the village level will be responsible for the dissemination of information

- Ward/commune/district health centers will assist WU at ward/commune level

- TA Consultant will include international and national gender specialists

- The gender specialists from the TA Consultants will review the existing materials and, if necessary, supplement the existing materials.

during construction

Construction-Setting Risk Mitigation Campaign

- PMU and Contractor will work closely with health services at the district and ward/commune levels to develop awareness, training, prevention, diagnosis and treatment programs for workers.

- All programs and materials developed will integrate gender issues, including key vulnerabilities and needs of men and women.

- In particular contractor will:

- Develop awareness programs for the employees and the community including information, education and communication activities that address HIV transmission and promote preventive measures;

- Provide voluntary counseling and encourage testing for HIV/AIDS to make sure that all employees know their status;

- Facilitate access to health care and be supportive of people who have disclosed their HIV status;

- Provide basic medical care and facilities (free condoms) at workers’ camps;

- Contractors

- Local health centers

- Ward/commune authorities

- Women’s union will carry out overall coordination to create greater synergy on HIV focused activities.

- During construction

Project Management - Gender and development briefing and training will be provided to PMU staff, local organizations and contractors.

- All capacity development activities will include targets for female participation

- TA Consultants

- PMU

During design and initial implementation

IV. INFORMATION DISCLOSURE, CONSULTATION AND PARTICIPATION

A. Disclosure of the Updated Resettlement Plan

35. In compliance with ADB requirements, the Project Implemetation Consultant (PIC) will assist the CARB to publicly disseminate the final URP as approved by the PPC and ADB. The project information booklet shall be made available in the Vietnamese language.

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36. APs are notified in advance about resettlement activities, including: (i) community meetings about the scope of the subproject, work alignment plan, site clearance plan and construction plan, (ii) detailed measurement and survey results, (iii) lists of eligible APs and their entitlements, (iv) compensation rates and amounts, (v) payment of compensation and other assistance and (vi) other contents such as the complaint mechanism. Notices are posted in the ward/commune PC offices or other easily accessible locations; letters, notices or small brochures are delivered individually to APs; and radio announcements.

37. This uRP will be uploaded in the ADB websites in both English and Vietnamese languages and disclosed to the APs through ward/commune and village meetings. In the table below, the different public consultation meetings pursued and planned and their description and methodology are listed.

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Table 13: Public consultation activities

Issue Target Audience Means of

Communication Responsible Timing

Resettlement Issues

Project design, objectives, policy, implementation arrangements, likely impacts and planned mitigation measures

Communities in the project area

Public consultation meetings

PMU, PSC, local authorities

Project detailed design

Results of land acquisition and resettlement surveys, mitigation options, anticipated schedules

Affected households Public consultation meetings at convenient locations

PMU, PSC, local authorities

Soon after completion of resettlement surveys (DMS)

Planned resettlement plan mitigation measures, including compensation rates and entitlement matrix

Affected households Public consultation meetings at convenient locations

Resettlement Committee, PMU, PSC, local authorities

Prior to finalization of updated resettlement plan

Income restoration activitites Affected households Various-including public meetings, focus group discussions and individual consultations

Resettlement Committee, Women’s Union local authorities, PSC, DOLISA, private industries

Periodic as needed to commence after completion of DMS

Disclosure of draft and updated resettlement plan

Affected households

Communities in project areas

PIB, translated resettlement plan publically accessible in local People’s Committee Office, uploaded on ADB website and/or executing agency website

PMU with support of PSC. Disseminated by local authorities

Upon receipt of concurrence by ADB

Implementaion schedule of resettlement plan and civil works

Affected households Public consultation meetings

Resettlement Committee, PMU, PSC, local authorities

Ongoing prior to implementation and upon significant change in implementation schedule

Disclosure of periodic External Resettlement Monitoring Reports

Displaced people’s representatives, local authorities, mass organizations

Public meetings translated report publically accessible in local People’s Committee

External Monitor, PMU Upon completion of periodic monitoring reports

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Office, uploaded on ADB websites and.or executing agency website.

Other Social Impact Issues

Implementation schedule, restricted access, disruptions, hazards, opportunities for project work, road safety, HIV/AIDS and trafficking.

Communities in project areas

Public information meetings, IEC materials, public announcements in local communities

PMU, local authorities, PSC, HAPP/HTPP service provider, works contractor

Ongoing during implementation

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B. Public Consultation and Participation

38. Public consultations and community participation was encouraged in all the project cycle, from planning, designing, implementing, and monitoring. The objective of the Public Consultation and Participation is to develop and maintain avenues of communication between the Project, stakeholders and APs and ensure that their views and concerns are incorporated into project preparation and implementation with the objectives of reducing or offsetting negative impacts and enhancing benefits from the Project. The feedback from consultations is an important component of, and crucial methodology of the planning process, leading to the formulation of mitigation measures and compensation plans for project-affected communities, and for environmental mitigation measures.

39. Disclosure of information and consultations were conducted during preparation and implementation of compensation and resettlement to ensure that AHs and other stakeholders have timely information about land acquisition, compensation and resettlement, as well as opportunities to participate in and express their preferences and concerns regarding the resettlement program

40. The aims of Public Consultation and Participation are to:

(i) Provide full and impartial information to APs about the Subproject, its activities, and potential impacts that affect them, and to provide an opportunity for their feedback on the Subproject;

(ii) Explore a range of options for minimizing subproject negative impacts, and for those impacts that cannot be avoided, explore the range of options for, and ensure APs participate in the design of mitigation measures;

(iii) Gather information about the needs and priorities of APs as well as their feedback on proposed resettlement and compensation policies, options and activities;

(iv) Provide a mechanism for continued dialogue, raising of concerns and monitoring of implementation;

(v) Method of consultation and participation will ensure two-way exchange of information between the community, people and affected groups through a consultative method in accordance with the traditional culture of the locality, taking into account gender issues, social justice and the principle of equality

C. Consultation and participation during the URP preparation

41. Objectives. The objective of the consultation meeting with the Affected ward/commune is to provide information, as much as possible, on the subproject to the APs, discuss and gather their comments on project issues, specifically:

(i) Project description: location, size and scope of impacts (ii) Presentation and discussion with AHs on the project’s policies, those eligible for

compensation and resettlement assistance. (iii) Presentation and discussion with AHs on the project implementation plan; (iv) Presentation and discussion with APs on the grievance redress mechanism; (v) Presentation and discussion with the APs on issues related to gender, restore

income, livelihood and other support policies.

42. Method. The method used in the consultation process with APs by the project complies with the two-way exchange of information between the community and advisory groups. It promotes neutrality to ensure and encourage participation of the APs. There is a mechanism in-placed to provide feedback on the people’s opinions, perceive ideas, and give clarifications to those opinions that are less relevant 43. A consultation meeting were conducted in each ward/commune with participants from AHs, representatives of beneficiaries, PMU, CPC, resettlement specialists, gender specialists, environmental specialist, village leaders, and representatives of farmer associations, women union, fatherland Front association and youth union. Topics discussed were:

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(i) General information and issues on resettlement and environmental impacts as well as mitigation measures

(ii) Gender and livelihood issues (iii) Participation of local authorities (provinces, districts and ward/communes) to explain

and understand as well as respond to issues raised by local residents

44. The Consultant held consultation meetings with APs in each affected ward/commune by the subcomponent in Viet Tri city, Phu Tho Province, including: 04 meetings with APs in 04 ward/communes Kim Duc, Phuong Lau, Van Phu and Hung Lo in March and April, 2014. 45. During the RP updating, several rounds of consultations were also carried out in the sub-component. During the consultation, AHs actively participated in discussing their development needs and priorities of their locality. The AHs were also asked about the potential impacts of the Project and possible mitigation measures and measures to improve project benefits for them. AHs and local people were made aware of Project implementation and, the Project compensation policy. 46. Details of the consultation meetings and issues are presented in table following:

Table 14: Summary of Consultation activities during RP Updating

Consultation Activities

Location Number of Participants

Date of Consultation

Main Issues in Consultation Meetings

Stakeholder meetings

Viet Tri Compensation, Assistance and Resettlement Board

4 5/ 03/ 2014 - Project impacts

- Entitlement policy of Aps.

- Grievance and redress mechanism.

- Compensation policy for each kind of land, structures, architectural facilities, trees and crops.

- Assistance policies.

- Implementation plan.

- Measures to address issues arising in the project implementation stage.

Kim Duc CPC office 3 6/ 03/ 2014

Phuong Lau CPC office

5 7/ 03/ 2014

Van Phu CPC office 4 8/ 03/ 2014

Hung Lo CPC office 4 9/ 03/ 2014

Consultation Meeting

Kim Duc commune 54 10/ 04/ 2014

Phuong Lau commune

43 11/ 04/ 2014

Van Phu commune 15 13/ 04/ 2014

Hung Lo commune 39 14/ 04/ 2014

Total 171

47. The PMU and Viet Tri city Compensation, Assistance and Resettlement Board will disclose the URP, in both English and Vietnamese languages in the PMU office, and project ward/commune offices. The updated RP approved by the PPC and ADB will be uploaded on ADB’s website. The PMU will also disseminate to each AH a copy of the Project Information Booklet (PIB). Follow-up consultations will be organized for AHs who need to relocate and those who will participate in the livelihood restoration program. Both internal and external monitors will visit AHs, especially vulnerable HHs to determine if they have concerns or if they are able to cope and restore their living conditions and livelihood.

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V. GRIEVANCE REDRESS MECHANISMS

48. Grievances related to any aspect of the Comprehensive socioeconomic urban development project in Viet Tri - Hung Yen - Dong Dang - Viet Tri city subproject will be handled through negotiation aimed at achieving consensus. Complaints will pass through three (3) stages before they could be elevated to a court of law as a last resort. The complainants will be exempted from all administrative and legal fees that might be incurred in the resolution of their grievances and complaints. 49. This Grievance Redress Mechanism is governed by the following laws:

i. Article 138 of the Land Law, 2003; ii. Laws on Complaints No. 02/2011/QH13; iii. Articles 63 and 64 of Government Decree 84/2007/ND-CP. iv. Clause 2, Article 40 of Decree 69/2009; and v. Regulations on Grievance of Government Decree 75/2012/ND-CP, dated 20/11/2012

50. This grievance redress and resolution mechanism has been designed to address displaced households’ grievances and complaints regarding land acquisition, compensation and resettlement in a timely and satisfactory manner. All displaced households have been made fully aware of their rights, and the detailed procedures for filing grievances and an appeal process. The grievance redress mechanism and appeal procedures have also been explained in the PIB that was distributed to all displaced households and fully publicized during RP updating.

51. Displaced households (including either spouse heading an affected household) are entitled to lodge complaints regarding any aspect of the land acquisition and resettlement requirements such as, entitlements, rates and payment and procedures for resettlement and income restoration programs. Displaced households’ complaints can be made verbally or in written form. In the case of verbal complaints, the Committee on Grievance will be responsible to make a written record during the first meeting with the displaced households.

52. For the purposes of grievance redress and resolution, the respective PMUs shall also serve as grievance officers. The designated ward/commune officials shall exercise all efforts to settle displaced households’ issues at the ward/commune level through appropriate community consultation. All meetings shall be recorded by the resettlement committees and copies shall l be provided to displaced households. A copy of the minutes of meetings and actions undertaken shall be provided to PMU and ADB upon request.

53. Grievance redress mechanism established for the project can be summarized as stages below

I. First Stage, Ward/commune People’s Committee: For first complaint, an aggrieved AH may bring his/her complaint to any member of the Ward/commune People’s Committee, either through the Village Chief or directly to the CPC, in writing or verbally. It is incumbent upon said member of CPC or the village chief to notify the CPC of the complaint. The CPC will meet personally with the aggrieved AH and will have 10 days following the lodging of the complaint to register it. The CPC secretariat is responsible for documenting and keeping file of all complaints that it handles. Time limit for handling complaints for the first time not exceeding 30 days from the date of registration; for complicated cases, the time limit may be extended but not more than 45 days from the date of registration. In hinterlands and remote areas with difficult access and transportation, the time limit for appeal is 45 days from the date of acceptance; for complicated cases, the time limit may be extended but not more than 60 days from the date of acceptance (Article 28, Law No. 02/2011/QH13 dated on Nov. 11th 2011). Within 30 days (or not more than 45 days for hinterlands and remote areas with difficult access and transportation) from the expiration day for settlement of complaint, if the complaint is not resolved, or the complainant does not agree with the decision, they can elevate the complaint to the District People’s Committee, or can initiate a lawsuit in the People's Court.

II. Second Stage, District People’s Committee: Based on Article 63 of Government Decree 84/2007/NĐ-CP, (i) Within a period of not more than ninety (90) days from the date that the district People's Committee president renders administrative decisions, under Article 162 of Decree No. 181/2004/ND-CP, “if persons with related interests and obligations

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disagree with those administrative decisions or administrative acts, they may file a complaint to the District People's Committees” (ii) The District People's Committee president shall handle the complaint within the specified time prescribed by the Law on Complaints; (iii) The Settlement decisions of the District People's Committee president shall be made public and relayed to the complainant and other persons with related interests and obligations, (iv) Within forty-five (45) days from the date of receipt of settlement decisions by the district People's Committee president and the complainant does not agree with the settlement decision, they may initiate a lawsuit people's court or elevate the complain to the Provincial People's Committees. The time limit for appeal maybe longer but not more than 60 days from the date of acceptance for complicated case. In remote areas with difficult access, the time limit for appeal must not exceed 60 days from the date of acceptance; for complicated cases, the time limit for appeal must not be longer than 70 days from the date of acceptance (Article 37, Grievance Law No. 02/2011/QH13 dated on Nov. 11th 2011). and (v) Agency receiving the complaint shall be responsible for recording the entire proceedings in settling the complaints

III. Third Stage, Provincial People’s Committee: Article 64 of Government Decree 84/2007/NĐ-CP states that (i) Within thirty (30) days from the date that the Provincial People's Committee President renders administrative decisions, the administrative acts in the land management provisions of Article 162 of Decree No. 181/2004/ND-CP, provides that if persons with related interests and obligations disagree with the administrative decisions or administrative acts, they may elevate the complaint to the Provincial- People's Committees, (ii) The President of the provincial People's Committee shall resolve the complaint within the time prescribed by the Law on Complaints, (iii) The settlement decisions of the provincial-level People's Committee president shall be made public and relayed to the complainant and other persons with related interests and obligations, (iv) Within forty-five (45) days from the date of receipt of settlement decisions by the provincial-level People's Committee president and the complainants do not agree with the settlement decision, they may initiate a case with the People's Court. The time prescribes for the appeal must not be longer than 60 days from the date of acceptance. In remote areas with difficult access, the time limit for appeal must not exceed 60 days from the date of acceptance; for complicated cases, the time limit for appeal must not longer than 70 days from the date of acceptance and (v) The Agency receiving the complaint shall be responsible for recording the entire proceedings in settling the complaints

IV. Final Stage, the Court of Law Arbitrates: Within forty-five (45) days from the date of receipt of settlement decisions of the provincial-level People's Committee president and the complainants do not agree with the decision, they may initiate a case in people's Court. (Article 64.3 Decree 84/2007/ND-CP). When the Court deemed that land acquisition is contrary to law, the implementation of the land acquisition has to be stopped.The government agencies who issued the decision in question will be compelled to revoke such decision and compensate the damage caused by that erroneous decisions (if any). Within 30 days after the decision of the court, CARB will pay the amount to AHs to the Court. Should the Court determined that the land acquisition is lawful, the person subject of acquisition must comply with the decision (Article 54.2 Decree No.84/2007/ND-CP)

54. The grievance redress mechanism has been disclosed to affected persons during URP preparation and will be continuously disseminated to APs during URP implementation.

55. Grievance Tracking and Reporting: The GRC maintains a system to register queries, suggestions and grievances of the AHs. All queries, suggestions and grievances and their resolution are recorded and forwarded to the PMU and monitored monthly. The full cost of GRM establishment and operations is included in the Project cost.

56. The PMU will engage an Independent Monitoring Consultant (IMC) responsible for checking the procedures for, and resolution of, grievances and complaints. The IMC may recommend further measures to be taken to redress unresolved grievances.

57. The PMU and ADB (if any) will provide the necessary training to improve grievance procedures and strategy for the RC staff as and when required. Throughout the grievance redress process, the responsible committee will ensure that the concerned APs are provided with copies of complaints and decisions or resolutions reached.

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VI. LEGAL FRAMEWORK

58. The legal and policy framework for addressing the resettlement impacts of the Comprehensive socioeconomic urban development project in Viet Tri - Hung Yen - Dong Dang - Viet Tri city subproject is provided by relevant policies and laws of Viet Nam and the ADB’s Safeguard Policy Statement (SPS 2009) on Involuntary Resettlement. In case of discrepancies between the Borrower’s laws, regulations, and procedures and ADB's policies and requirements, ADB's policies and requirements will prevail. This is consistent with Decree No. 38/2013/ND-CP, in which article 46 provides that “Compensation, assistance and resettlement for programs and projects shall comply with existing regulations and International treaties on ODA and concessional loans to which the Socialist Republic of Vietnam is a contracting party. In cases where there is discrepancy between provisions of Vietnamese law and international treaties, such international treaties shall take precedence”. The following section outlines the relevant policies and laws, and highlights where differences exist, and the policies and principles that applied under this Project.

A. ADB Policies

59. Involuntary Resettlement. The main objectives of ADB’s Policy on Involuntary Resettlement is to avoid or minimize the impacts on people, HHs, businesses and others affected by the acquisition of land and other assets, including livelihood and income, in the implementation of development project, Where resettlement is not avoidable, the involuntary resettlement must be minimized by exploring project and design alternatives, and enhance or at-least restore the living standards of the APs to at least their pre-Project levels. The SPS 2009 also stresses on a new objective of improving the standards of living of the displaced poor and other vulnerable groups. The policy applies to full or partial, permanent or temporary physical and economic displacement resulting from (i) involuntary acquisition of land, or (ii) involuntary restrictions on land use or on access to legally designated parks and protected areas. Resettlement is considered involuntary when displaced individuals or communities do not have the right to refuse land acquisition that result in displacement.

60. The ADB SPS (2009) policy principles include the following:

a. Screen the project early on to identify past, present, and future involuntary resettlement impact and risks. Determine the scope of resettlement planning through a survey and/or census of displaced persons, including a gender analysis, specifically related to resettlement impact and risks.

b. Carry out meaningful consultations with affected persons, host communities, and concerned non-government organizations. Inform all displaced persons of their entitlements and resettlement options. Ensure their participation in planning, implementation, and monitoring and evaluation of resettlement programs. Pay particular attention to the needs of vulnerable groups, especially those below the poverty line, the landless, the elderly, women and children, and Indigenous Peoples, and those without legal title to land, and ensure their participation in consultations. Establish a GRM to receive and facilitate resolution of APs’ concerns. Support the social and cultural institutions of displaced persons and their host population. Where involuntary resettlement impact and risks are highly complex and sensitive, compensation and resettlement decisions should be preceded by a social preparation phase.

c. Improve, or at least restore, the livelihoods of all displaced persons through (i) land based resettlement strategies when affected livelihoods are land based, where possible or cash compensation at replacement value for land when the loss of land does not undermine livelihoods, (ii) prompt replacement of assets of equal or higher value, (iii) prompt compensation at full

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replacement cost for assets that cannot be restored, and (iv) additional revenues and services through benefit sharing schemes where possible.

d. Provide physically and economically displaced persons with needed assistance, including the following: (i) if there is relocation, secured tenure to relocation land, better housing at resettlement sites with comparable access to employment and production opportunities, social and economic integration of resettled persons into their host communities, and extension of project benefits to host communities; (ii) transitional support and development assistance, such as land development, credit facilities, training, or employment opportunities; and (iii) civic infrastructure and community services, as required

e.. Improve the standards of living of the displaced poor and other vulnerable groups, including women, to at least national minimum standards. In rural areas, provide them with legal and affordable access to land and resources, and in urban areas, provide them with appropriate income sources and legal and affordable access to adequate housing

f. Develop a transparent and equitable procedures if land acquisition is through negotiated settlement. This will ensure that those people who enter into negotiated settlements will maintain an equal or better income and livelihood status.

g. Ensure that displaced persons without titles to land or any recognizable legal rights to land are eligible for resettlement assistance and compensation for loss of non-land assets

h. Prepare an RP elaborating displaced persons’ entitlements, the income and livelihood restoration strategy, institutional arrangements, monitoring and reporting framework, budget, and time-bound implementation schedule

i. Disclose the draftRP, including documentation of the consultation process in a timely manner, before project appraisal, in an accessible place and a form and language(s) understandable to affected persons and other stakeholders. Disclose the final resettlement plan and its updates to affected persons and other stakeholders

j. Conceive and execute involuntary resettlement as part of a development project or program. Include the full costs of resettlement in the presentation of project costs and benefits. For a project with significant involuntary resettlement impact, consider implementing the involuntary resettlement component of the project as a stand-alone operation.

k. Pay compensation and provide other resettlement entitlements before physical or economic displacement. Implement the resettlement plan under close supervision throughout project implementation

l. Monitor and assess resettlement outcomes, their impact on the standards of living of displaced persons, and whether the objectives of the resettlement plan have been achieved by taking into account the baseline conditions and the results of resettlement monitoring. Disclose monitoring reports

B. Relevant Vietnamese Legislation.

61. Compensation, Assistance and Resettlement. The principal documents include

(i) The Land Law No.13/2003/QH11, on comprehensive land administration regulations. The 2003 Land Law supersedes earlier versions of 1987 and 1993

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(ii) Ordinance number 34/2007/PL-UBTVQH11 dated Aril 20th, 2007 by the Standing Committee of the National Assembly on promulgating the regulation on the exercise of democracy in ward/communes, including requirements for consultation with and participation of people in ward/communes

(iii) Decree No.105/2009/ND-CP, on penalties for administrative violations in land issues

(iv) Decree No.181/2004/ND-CP dated October 29, 2004 on the implementation of the Land Law

(v) Decree No.188/2004/ND-CP dated November 16, 2004 specifying methods for land pricing and land price frameworks in the event of land recovery by the State.

(vi) Circular No.145/2007/TT-BTC dated December 6, 2007 guiding the implementation of Decree 188/2004/ND-CP dated November 16, 2004 and Decree No.123/2007/ND-CP

(vii) Decree No.197/2004/ND-CP dated December 03, 2004 on compensation, rehabilitation and resettlement when the State recover lands

(viii) Decree No. 38/2013/ND-CP on the use of ODA funds issued on 23 April 2013 states that, in cases where there is discrepancy between provisions of Vietnamese law and international treaties, such international treaties shall take precedence

(ix) Decree No.123/2007/ND-CP, amending and supplementing Decree 188/2004/ND-CP that gives Provincial People’s Committees the authority to set local land prices by establishing ranges for all categories of land

(x) Decree No.84/2007/ND-CP dated May 25, 2007 supplementary stipulations on issue of LURC, land acquisition, land use right implementation, procedure of compensation, and assistance in the event of land recovery by the state and grievance redress

(xi) Decree No.69/2009/ND-CP dated August 13, 2009 on supplemented regulation on land use planning, land price, land acquisition, compensation, assistance and resettlement

(xii) Circular No.14/2009/TT-TNMT dated October 01, 2009 guiding in detail the implementation of Decree 197/2004 and decree 69/2009 on the compensation, support and resettlement and steps, procedures on land recovery, allotting and leasing

(xiii) Decree No.70/ND-CP that stipulates that all documents registering family assets and land use rights must be in the names of both husband and wife

(xiv) Decree 11/2010/ND-CP, dated on 24 Feb 2010 on management and protection of road corridor.

(xv) Decree 100/2013/ND-CP, dated 03/09/2013 on amending and supplementing a number of articles of Decree 11/2010/ND-CP dated 24/02/2010 of the Government on the management and protection of road infrastructure.

(xvi) Decree 42/2012/ND-CP, dated on 11 May 2012, on management and use of paddy land

62. The policies on land acquisition and resettlement of Phu Tho province:

i. Decision 24/2012/QD-UBND dated December 20, 2012 of the People's Committee of Phu Tho province on the regulation of land prices in Phu Tho province in 2013.

ii. Decision 1467/2011/QD-UBND dated March 27, 2011 of Phu Tho People's Committee, promulgating the regulations of unit prices of compensation, assistance and resettlement and implementation process and procedures when the State acquires land in the province.

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iii. Decision 13/2011/QD-UBND dated July 17, 2011 of Phu Tho People's Committee on adjustments to article 28, article 30 of unit prices of structures compensation of Decision 1467/2011/QD-UBND.

C. Reconciliation of Government and ADB Policies on Resettlement

63. The Project’s resettlement and compensation policy must comply with the requirements of ADB SPS (2009) and Vietnamese laws. Under ADB policy, it is a condition of funding that the ADB’s requirements are met in relation to resettlement, compensation and rehabilitation of all AHs as defined in the ADB’s SPS.

64. With the promulgation of Decree 69/2009/ND/CP (2009) and Decree No. 197/2004/ND-CP, the policies and practices of the national government have become more consistent with ADB’s social safeguards policies. Nonetheless, provisions and principles adopted in the RP for the Project will supersede the provisions of relevant decrees currently in force in Viet Nam wherever a gap exists, consistent with Decree No: 38/2013/ND-CP (April 2013)

65. In Article 32, Decree No. 197/2004, it is clear that: “In addition to the support specified in article 28, 29, 30 and 31 of the Decree, based on local actual condition, the Chairman of PPC will set out the decision on other support strategies for stabilizing the lives and production activities of the people whose land were recovered; other special circumstances will be submitted to the Prime Minister for his decision.” Any gaps which are not mentioned in the updating the RP, necessary changes should be done in the final updated RP.

66. Table 10 describes the difference between Laws and Decree of the Government of Viet Nam and ADB’s SPS (2009) related to resettlement and compensation as well as the means of addressing these gaps.

Table 15: Reconciliation of Government and ADB Policies on Involuntary Resettlement

Issues ADB Government of Vietnam

Subproject Policy Frame

Involuntary Resettlement Lack of formal title to affected assets

The absence of formal legal title to land is not a bar to entitlements. Non-titled AHs including displaced tenants, sharecroppers and squatters are entitled to resettlement assistance that may include replacement land, ensure greater security of tenure and upgrading of livelihoods.

All affected houses and structures, irrespective of land tenure status, need to be compensated at the full replacement cost through cash or replacement assets

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

Decree 197 Article 18, 20:

• Houses and structures on non-eligible-for-compensation land, which have not violated declared land use plans

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

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

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or the right of way, will be assisted at 80% of compensated price.

• Houses and structures on non-eligible-for-compensation land, which have violated declared land use plans or the right of way will not be assisted. In special cases, the PPC will consider to assist on case-by-case basis.

Compensation principles

Lands and assets upon land compensation should be based on replacement cost, which means the method of valuing assets to replace the loss at market value

Decree 69, Clause 14, Item 2: Persons whose lands are recovered shall be compensated with new land having the same use or purpose; if there is no land for compensation, they shall receive cash compensation equal to the value of land use right which is calculated based on land price at the time of issuance of recovery decisions.

Decree 197: Article 9: The compensation rates for land shall be determined by the PPC in accordance with the Government regulations for the type of land which has been used at the time of acquisition.

Decree 17/2006 provides for compensation to be based on replacement costs. Where there is difference between current use and market values, a Land Valuation.

Council has to be set up to establish current market values. (Article 4, clause 2).

Compensation for affected lands and assets will be based on the principle of replacement cost.

Businesses All affected business is eligible for assistance regardless of registration

Decree 69, Article 20, Clause 2, Item 3 Only registered businesses

All AHs regardless of registration status will be compensated for income

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status are eligible for assistance

loss as a result of disruption or cessation of business due to the Project, in addition to other forms of assistance, as needed and in a manner consistent with their requirements, to help restore living standards to pre-Project levels

Assistance for life stabilization and production stabilization

Severely AHs losing 10% or more of their productive asset and source of income are entitled to assistance.

Article 20 – Decree 69/2009: AHs losing 30% or more of their land are entitled to life stabilization assistance. The amounts are higher for those required to relocate, in particular if they must relocate to areas with difficult eco-social conditions.

According to Decree 69, all HHs affected agricultural land are entitled to support for job training/creation

Assistances on life and production stabilization will be provided to those who lose 10% or more of their productive assets or income generating assets and/or being physically displaced. The Project will focus on strategies to avoid further impoverishment and create new opportunities to improve status of the poor and vulnerable persons.

Income restoration programs

Severely AH losing 10% or more of their productive asset and source of livelihoods to pre-project levels

Affected HHs losing 30% or more their agricultural land are entitled to participate in income restoration programs.

Severely affected HHs losing 10% or more of their productive asset and source of livelihood or having to relocate will be entitled to participate in income restoration programs.

Assistances for vulnerable groups

Particular attention need to be paid to the needs of vulnerable groups, especially those below the national poverty line, the landless, the elderly, women headed HH and children, and Indigenous Peoples, and those without legal title to land, and ensure their participation in consultations

Assistance is only for the poor (and for EMs in some provinces)

Assistances shall be provided for those below the national poverty line, vulnerable groups (e.g. EMs, female-headed HHs with dependents, alone elderly, social policy HHs)

Replacement cost survey and application

Qualified and experienced appraiser will undertake the valuation of assets for acquisition. Results of the valuation will be applied for compensation

Provincial and city People’s Committees under central authority will establish specific land prices based on the principles stated in clause 1, Article 56, Land Law.

An independent appraiser will be engaged to conduct independent valuation particularly for land and assets as inputs for determining compensation amounts for AHs

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Qualified organizations may provide consultancy on land prices (Article 57, LandLaw). Results of the valuation will be used for reference.

M&E Internal (for all projects) and external (in case severe/complicated/sensitive project) monitoring implementation of the RP using qualified and experienced experts; adopt a participatory monitoring approach, wherever possible; disclose monitoring reports.

No regulation of the government on preparation or monitoring of RP implementation

Internal monitoring of RP implementation will be carried out by EA/IA. For project with significant/complicated/sensitive resettlement impact, an external experienced consultant agency shall be recruited for independent monitoring of RP implementation

D. Project Policies

67. The Project will follow the principles of the ADB SPS (2009) and laws of Vietnam’s Government

(i) Involuntary resettlement and impact on land, structures and other fixed assets will be minimized where possible by exploring all alternative options;

(ii) Compensation will be based on the principle of replacement cost at the time of compensation;

(iii) AHs without title or any recognizable legal rights to land are eligible for resettlement assistance and compensation for non-land assets at replacement cost;

(iv) Meaningful consultation will be carried out with the AHs, indigenous households, affected communities and concerned groups and ensure participation from planning up to implementation. The comments and suggestions of AHs and communities will be taken into account when drafting and updating the RP;

(v) The updated RP will be disclosed to AHs in a form and language(s) understandable to them prior to submission to ADB;

(vi) Resettlement identification, planning and management will ensure that gender concerns are incorporated;

(vii) Special measures will be incorporated in the resettlement plan to protect socially and economically vulnerable groups such as indigenous households, households headed by women, children, disabled, the elderly, landless and people living below the generally accepted poverty line;

(viii) Existing cultural and religious practices will be respected and, to the maximum extent, preserved;

(ix) Culturally appropriate and gender-sensitive social impact assessment and monitoring will be carried out in various stages of the project.

E. Principles for Valuation

68. All compensation will be based on the principle of replacement cost. Replacement cost is the amount calculated before displacement which is needed to replace an affected asset without deduction for taxes and/or costs of transaction as follows:

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i. Agricultural land (paddy, aquaculture, garden and forest) shall be based on the productivity of the land considering income earned from the land based on a three- year average, annual revenue, periodic revenue or one-off revenue depending on the type of trees planted, specific costs of improvements and production costs;

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

iii. Houses and other related structures based on actual current market prices for construction of the new ones with similar technical standards without depreciation or deduction for salvaged building materials;

iv. Annual crops equivalent to current market value of crops at the time of compensation.

VII. ENTITLEMENTS, ASSISTANCE AND BENEFITS

A. Types of AHs Eligible for Compensation/ Assistance

69. The project involuntary resettlement safeguard requirements apply to three (3) types of AHs or APs; including: (i) persons with formal legal rights (with LURC) to land and/or structures lost entirely or in part; (ii) persons who have no formal rights (without LURC) to land and/or structures lost wholly or in part, but who have claims to such lands that are recognized or recognizable under Government of Viet Nam Law; and (iii) persons who lost the land they occupy in entirety or in part who have neither formal legal rights nor recognized or recognizable claims to such land (without LURC).

70. 1st November, 2011 is the established cut-off date, which applies to Truong Chinh road subcomponent. This date was disseminated throughout the project area via notice in ward/commune offices and community meetings undertaken by the Viet Tri city Compensation, Assistance and Resettlement Board. Any person who acquires or occupies land in the demarcated project area after the cut-off date will not be eligible for compensation or resettlement assistance. Fixed assets such as structures, fruit trees, and woodlots established after this date will not be compensated.

B. Project Entitlements

71. The Project entitlements developed and presented in the entitlement matrix below correspond to the impact identified during the census and DMS. Entitlements adopted are based on Government Laws/policies on resettlement, and ADB Social Safeguard policies. It should be noted that these entitlements may be enhanced, where necessary, following the results of DMS and consultation with AHs to ensure that losses are restored, if not compensated at replacement value.

72. Entitlements for each type of AHs are based on the types and levels of losses. The entitlements also provide various measures aimed at providing opportunities for AHs to obtain development benefits from the project as well as assisting vulnerable AHs to improve their living standards. The entitlement matrix for the Project is shown in Table 16. Unit rates presented in the updated RP and the entitlement matrix are applicable at the time of updating of the RP, to ensure they are equivalent to replacement cost at the time of compensation.

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Table 16: Entitlement Matrix

Type of Loss Application Entitled Persons Compensation Policy Implementation Issues

1. Agricultural land

1.a. Agricultural

land (temporarily affected)

Marginal Loss of land for project use loss - less than one year)

Affected households whose land is required temporarily for the Project

(i) No compensation for land (if the land will be returned after use); (ii) Cash compensation for loss of existing trees and crops at replacement value; (iii) Cash compensation for loss of net income from subsequent crops that cannot be planted during the affected time; Note: If the use period for more than one year, displaced households have an option to (a) allow their land to be used temporarily for another year for the Project, or, (b) request the Project to be permanently acquired and compensated at replacement value

Restore the land to its original attribute before returning the land to AHs

1.b. Agricultural land (permanently lost)

Less than 10% of total land holdings

Users with permanent land use rights (legal or legalizable)

(i) Cash compensation for the land lost at replacement value; and (ii) Cash compensation for the existing trees and crops at the replacement cost

Compensation to be paid prior to displacement

Where replacement land is not available then only the option of cash compensation will be provided. 322 AHs will be compensated

Equal to or more than 10% of total land holdings

Users with permanent land use rights (legal or legalizable)

(i) Priority is given to “land-for-land” compensation with similar area and productive capacity acceptable to displaced households in the same ward/commune; or upon request of displaced households, cash compensation for the land acquired at replacement rates; and (ii) Cash compensation for loss of

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existing crops at replacement cost; (iii) Subsistence allowance for job change, and, training support (see Item 7 below); (iv) If the remaining area is less than 200 m2, or parcel of land is no longer viable for use for agricultural production, the displaced households could opt to sell the remaining land to the project at replacement cost; (v) LURCs will be re-issued in case of area adjustment ( increase or reduction of land area)

Displaced persons having temporary land use right

i. Compensation at replacement cost for crops and trees on land lost based on average productivity for the last three years. ii. Compensation for the remaining investment in the acquired land.

Displaced persons having temporary land use right (lessees of farming land); Sharecroppers of affected land

i. Compensation at replacement cost for crops and trees on productive land; and ii. Cash compensation at replacement cost for remaining investment in the affected land; OR

iii. Entitlement to stabilization assistance - the level of which to depend of severity of loss (as per Item 7 below); and

iv. Entitlement to participate in income restoration measures sufficient to restore long term income generating capacity;

The PPC will decide level of allowances

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2. Residential land

Residential land (permanently lost)

Without structures built thereon

Users with permanent land use right (legal or legalizable)

(i) Cash compensation for the affected land at replacement rates, (ii) New LURCs will be issued in case of area adjustment.

With structures built thereon with remaining land sufficient to reorganize


(i) Cash compensation for the affected land at replacement cost,

(ii) Cash compensation for affected house/structures as regulated in item 4 below

(iii) New LURCs will be issued in case of area adjustment.

There is no HH in this case.

With structures built thereon and the remaining land is

insufficient to reorganize


(i) Cash compensation for the affected land at replacement cost, or land for land compensation in resettlement sites

(ii) Cash compensation for affected house/structures as regulated in item 4 below

(iii) Entitlement to stabilization assistance (as per Item 7 below);

(ii) New LURCs will be issued in case of area adjustment.

67 relocated HHs will be compensated

Illegal users (AHs with houses on encroached land

(i) No compensation for land but displaced Person are entitled to the rehabilitation packages (see Item 7 below); (ii) Full compensation for assets associated

In case, AH has no other house/residential land in project commune/ward, PPC considers to allocate house/land for AH.

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area) to land lost at replacement rates if they were established before the cut-off date.

3. Garden, pond lost (In the same parcel of land but the land is not recognized as Residential land)

Garden, pond land (permanently lost)

Fully or partially affected


Compensation based on agricultural land at replacement rate, plus additional 30% of the cost of the affected residential land parcel. The value should not be more than the value of the affected residential land parcel

143 AHs will be compensated

4. Houses and structures lost

Fully affected Legal owner (i) Cash compensation for the whole affected structure at replacement cost, without deduction for depreciation or salvaged materials; (ii) Rehabilitation assistance if displaced people have to relocate or rebuild their main houses, specified in item 7 below.

67 relocated HHs will be compensated

Partially affected remaining area is still viable for use

Legal owner (i) Compensation in cash for portion of affected structure at replacement cost without deduction for depreciation of salvaged materials; (ii) Compensation for costs of restoration of the remaining portion of structures into its original form or better.

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Partially affected but the remaining portion is no longer viable or repairable

Legal owner Compensation in cash for the whole affected structure at replacement value without deduction for depreciation of salvaged materials.

Other structures Legal owner Compensation in cash for the whole affected structure at replacement value.

Structures constructed legally on illegal land before the cut-off date

Compensation in cash for the whole affected structure at replacement value.

No compensation for structures that local authorities have not allowed and asked for demolision at time of construction,

Graves Owner Full compensation for excavation, removal, rebury and other reasonable costs related.

Consult with affected households about removal.

5. Trees and crops affected

Owner

Cash compensation for loss of existing crops at market prices and of trees at replacement rates.

Compensation for trees calculated on the basis of type, age, and productivity of affected trees

6. Ward/communal

properties

Ward/commune, village authority representatives

(i) Restoration of affected community structures with similar or better quality; or (ii) Replacement with structures in location indentified in consultation with affected communities, wards and relevant authorities (iii) Compensation for acquired ward (public) land at replacement cost for 60% of acquired area. (iv) Compensation for acquired communal (public) land at replacement cost for 80%

The compensation for the communal land will be used to re-invest in revenue-generating projects for the affected communities. Those who are affected by the land acquisition in the ward/commune will be given priority.

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of acquired area. 7. Rehabilitation assistance

Loss of Housing Structure

Transfer and removal of structures

Displaced persons to be relocated

Transportation allowance shall be provided to DPs under the following conditions: (i) VND 2.5 million/HH if the distance is less than10km; (ii) VND 4.0 million/HH if the distance is from 10km to less than 50 km; (iii) VND 7.0 million/HH if the distance is over 50 km

It will be identified during land acquisition implementation

Temporary accommodation

Displaced persons to be relocated

Rental Assistance: Rental allowance for 4 months based on the following conditions: (i) With land in rural area: VND 150,000/ member/month for 4 months (ii) With land in urban: VND 170,000/ member/month for 4 months

Self relocation Displaced persons to be relocated

Removal allowance: Displaced people who opt for self-relocation are entitled to an additional assistance for leveling foundation, equivalent to: (i) VND 60 million if relocating outside the ward/commune; (ii) VND 56 million if relocating within the ward/commune

AHs of houses, structures, architectural works

Displaced persons who will move 1 month before project implementation

Incentive and bonuses: (i) VND 2 million/HH if house is acquired legally; (ii) VND 20,000/m2 if house is settled on residential land; (iii) VND 2,000/m2 for garden land, crop land, aquaculture land, perennial crop land

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and production forest land, if HHs has 50- year certificate of land use rights. (iv) VND1,000/m2 for forest production, perennial crop land in farm management with contract to cultivate from owner of land

Social support for vulnerable groups Poor and vulnerable Displaced persons

- Allowance for all affected household members equal to 1,500,000 VND/ person/ year x 3 years. - Entitlement to participate in additional vocational training

59 AHs will be assisted

Change of job or livelihood Displaced persons losing agricultural land area

- Cash allowance equivalent to 1.5 times the price of agricultural land for the whole acquired agricultural land area in affected comunes. Supported area should not exceed the quota of agricultural land allocation based on local decision; OR - Cash allowance equivalent to VND 240,000/m2 for 30% of the acquired agricultural land area in affected wards. - Vocational training provided free of charge for one household member of working age, if requested.

Assistance for severly AHs (lose 10% and more productive assets)

losing to equal/more than 10%-70% agricultural land area

Cash allowance equivalent to: (i) 30kg of rice per household members for 6 months if not relocating. (ii) 30kg of rice per household member for 12 months-if required to relocate. (iii) 30kg of rice per household member for 24 months if shifting to a difficult area.

Each AP will be assisted with 1.800.000VND/Person (equal to 30 kg rice/person/month * 6 months)

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Displaced persons losing to more than 70% agricultural land area

Cash allowance equivalent to: (i) 30kg of rice per household members for 12 months if not relocating. (ii) 30kg of rice per household member for 24 months-if required to relocate. (iii) 30kg of rice per household member for 30 months if shifting to a difficult area.

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C. Additional Measures

73. In cases where compensation cannot be delivered/completed due to absence of AHs, inheritance/ownership disputes, lack of documentation, it will be required that at least 3 representatives including neighboring HHs, representatives from nongovernment organizations (NGO) or community-based organizations (CBOs) and local communal/district authorities to certify for these cases and do next action.

74. An escrow account will be established under the name of the AP where the computed compensation amount will be deposited while the case is being resolved. Clearing of the affected land will be done only after approval from Viet Tri city PC or a competent court.

VIII. LIVELIHOOD RESTORATION AND REHABILITATION

A.Impact and Risks to livelihoods

75. Overall, other than the civil works which has significant social impacts, the other issue concerns on how could the displaced-persons restore or improve their standards of living? It is ensured project sustainability. The objective of Income Restoration Program (IRP) is to aid subject households experiencing income disruptions due to project implementation. Shiftmain occupations as a result of (i) loss of agricultural land and (ii) cessation of production and business as a result of loss of premises, means of production and loss of working capital due to relocation. Efforts should be made to restore income sources with levels equal or better than pre-project condition and ensure that displaced persons will favourably adapt to new conditions at the soonest.

76. Agriculture is to contribute of livelihood source for the AHs that will be affected by the Project. The AHs will be impacted to their income which are engaged in agriculture activities and have income involved in agriculture. Support for Agricultural Production – The 320 AHs losing 10% or more of productive land must be supported or provided with subsidy to recover income loss as a result of land acquisition. The census revealed that AHs involved in agriculture have lower income compared to the rest of the AHs.

77. Although most HHs have other income sources, and majority of HH members are working as laborers/employees in factories, construction sites and offices. There is still a need to assist them recover their lost income from agriculture to make sure that they will not become worse off as a result of land acquisition.

78. Besides, the 67 relocating HHs and 59 vulnerable HHs (poor HHs, HH header by female) could have their livelihood at risk by land acquisition for project implementation.

On-going Income Restorations Undertaken in the City

79. A number of specific ongoing income restoration measures in the city have been incorporated into the updated resettlement plan as summarized below:

Table 17: Income Restoration Measures

Affected Livelihood Income Restoration Measures

Farmers - Various vocational training courses (provide benefit of diversifying household income sources)

- Agriculture extension programs

Vulnerable households - Vocational training courses

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- Special assistance

80. Following the Decision No. 1956/QD-TTg dated 27 November 2009 of the Prime Minister, and Decision No. 1201/QD-TTG dated 31 August 2012 of the Prime Minister approving the National Target Program on Employment and Training for the period of 2012–2015.

81. Members of the 320 AHs losing 10 % and/or more than agricultural land, the 67 relocating HHs and 59 vulnerable HHs (a total of 2230 APs) under the Project are eligible to participate in one short term vocational training course (up to 6 months) free of charge. The main State provider of vocational training is the Provincial DOLISA as stated in Decision 1956/QD-TTg.

B. Income/livelihood Restoration Program (IRP) under the Project

82. Income restoration is considered an important component of the over-all resettlement strategy of the project. The program aims at enhancing the skills of displaced persons to pursue or improve their economic activities.

83. The IRP intends to: (i) create career opportunities through vocational training and job referrals; and (ii) provide technical advice or/and small business/service models for those who want to venture into business. Based on the consultations carried out with various stakeholders and needs assessment, the specific activities of the IRP include: (i) organizing vocational training courses suitable to AHs’ capacity; and (ii) provide technical advice, models on small business/services at site.

84. While the project provides full compensation and support for land, structures and assets affected at replacement cost, in addition, cash allowances (i.e. support for vocational training and job change and support for stabilizing HH living standards) will be provided to the ÁHs. The 320 AHs losing 10 % and/or more than agricultural land, 67 relocated HHs and 59 vulnerable HHs are eligible to participate in income restoration program.

Vocational Training Program under the Project

85. The main objectives of City vocational training programs are to provide vocational training and to create jobs for laborers. The program will target persons whose agricultural land is acquired by the Project, and where the "land for land" compensation mechanism is not applied. The criteria for people to apply for this program are: (i) long-term residence in the project area; (ii) of working age; and (iii) expressed demand for participation in vocational training courses and job creation programs.

86. At least 446 AHs (320 severly HHs, 67 relocated HHs and 59 vulnerable HHs) meet the criteria and are eligible to participate in the training. Participants will be supported, free of charge, for vocational training for a 3 year period, commencing from issuance of the land acquisition decision. There are two types of training courses:

(i) Short-term (less than 3 months): the AH will be provided with short term vocational training courses (under Decision 1956/QD-TTg dated November 27 2009), with funding sourced from Program 1956.

(ii) Long-term (more than 3 months): the AH will be provided with long term training courses (under Decision 52/2012/QD-TTg dated November 16 2012), with funding sourced from the compensation payment of the project (counterpart funds).

87. The proposed project IRP (vocational training) is a joint program, in association with current or existing vocational training programs undertaken by DOLISA under Program 1956. The steps for the implementation of vocational training program areas as follow:

(i) Ward/commune authorities maintains linkages with construction , commercial, industrial and institutional establishments within the Viet Tri city with the intention of identifying their manpower requirements (i.e. number, qualification, schedule of deployment, etc.) and securing agreements (quota for hiring) for deployment of qualified AH members to fill job vacancies, then identify the type of relevant training courses and list of participants.

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(ii) The list of proposed participants will be submitted to Phu Tho’s DOLISA, which will coordinate with City Vocational Training Centers (VTCs) to provide vocational training courses.

(iii) Available jobs will also be posted in the ward/commune offices and advertised on the ward/commune’s local radio.

(iv) Under the Project, the PMU and Viet Tri city Compensation, Assistance and Resettlement Board will closely coordinate with the project contractors and consultants to recruit local labors, especially from AHs, on a priority basis. There will be no differentiation between men and women on payment for work of equal value, and no child labor will be used for construction and maintenance.

88. Based on the survey and consultation results showing the preference of many members of AHs for short-term vocational training courses, including industrial sewing, bamboo weaving, cooking, to meet the growing demand from local industries, three vocational training courses (sewing, bamboo weaving and cooking) are planned for 2014. The tentative schedule and number of participants in these courses for 2230 Project AHs are presented in Table 18 below:

Table 18: Tentative Schedule for Vocational Training Courses

Types of Vocational Training Courses

No. Of Classes/Courses

No.of Participants Timing

sewing, bamboo weaving, cooking

30 2230 Q3-Q4 2014

Implementation Arrangements

89. The Phu Tho’s DOLISA will play a key role in implementing the training courses and the small business component. Their tasks are to: (i) Disburse budget in a planned way according to guidelines of the City VTCs; (ii) Store and maintain accounting documents for auditing; (iii) Closely monitor the training and small business activities and report to the Project in a timely manner;

90. VTC in Viet Tri city PC are responsible for conducting occupational training, industrial extension models, consultation and job referrals. Detailed tasks are as follows: (i) Participate in the needs assessment (presentation of training options); (ii) Conduct training courses suitable for trainees; (iii) Establish a program to provide information to the affected ward/communes on the availability of jobs through posting of job vacancies in the ward/commune offices and through ward/communes’ local radio;

91. The Viet Tri city Compensation, Assistance and Resettlement Board has good knowledge of APs and the status of AHs (tenure, socioeconomic status, etc.) and will be useful for the implementation of the IRP. Through the Viet Tri city Compensation, Assistance and Resettlement Board, AHs will be made aware of what to look into such as the right products, market situation, competition, amount of investments and potential profit, and risks involved

Cost Estimate

92. The training fee will be sourced from the Government of Viet Nam’s fund for implementation of Program 1956 and project counterpart fund. The estimated cost is set out in Table 19

Table 19: Cost Estimate for Vocational Training Program

Items No.of Participants Unit Price Amount (VND)

Vocational Training

Training Fee (per person) 2,230 2,000,000 4.460.000.000

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Per diem for Trainees (per person per day)

2,230 15,000 33.450.000

Others (including transportation)

2,230 200,000 446.000.000

Total 4.939.450.000

93. Based on the proposals mentioned above, a detailed livelihood restoration program report will be prepared by PMU with support of the social consultants and consultation with eligible households to submit to PPC and ADB for approval before implementation.

IX. RESETTLEMENT

A. Assessing the needs for resettlement

94. Consultations with affected people to assess the need for resettlement were conducted during updating RP and will be continued throughout resettlement implementation.

95. According to the DMS, there are 67 households whose land and houses are affected by the project and need to be relocated. The relocating HHs are from Van Phu, Kim Duc and Phuong Lau communes.

96. Based on project policy, in case of relocation and resettlement, the people will have two options: (i) resettlement in resettlement sites of the City (resettlement site in No1 area, Van Phu ward; Ma Da resettlement site in Kim Duc commune; resettlement site in No3 area, Van Phu ward; Doi Son resettlement site in Phuong Lau) or self-resettlement in other places.

97. Results of the consultations show that the relocated households :

- Understood the project value and benefit, thus they agree with the construction, site clearance and resettlement activities.

- Expected resettlement site is near from the former place or located within the ward/ commune. So that, there will be no substantial changes in customs, participation in village activities , communities, cultural features, and community relations.

- Required the development of resettlement site will be completed and handed over before the land acquisition. Technical and social infrastructure in the resettlement site must be completed before handing over. The households want that temporary living place (if necessary) to be equipped with basic amenities to ensure liveable condition and enviroment.

- Proposed the price of resettlement land is affordable and lower compared to compensation price because most of them have low and medium income. Compensation and support is expected to cover their living cost in the new place

98. According to the survey results, all of relocating HHs would be resettled at project resettlement areas. The total number of household for relocation is 67. However, many households are composed of multiple families (2-3 families) under one roof, and have expressed their desire to separate with their existing household. Therefore, relocating households after seperating with their original households will total to 93. To ensure that the project’s resettlement sites will be in accordance with the number of eligible relocating households, 26 additional house plots are required. Thus the resettlement sites for Truong Chinh road subcomponent should have at least 93 land plots.

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Table 20: Demand of land lots for resettlement

Affected ward Relocated households

The number of land lots (plots)

required for additional

resettlement

Total

Kim Duc 9 3 12

Phuong Lau 25 10 35

Van Phu 33 13 46

Total 67 26 93


99. It can be surmised that preparation for the relocation and resettlement of Truong Chinh road is sufficient. The total number of land plots requirement in the resettlement sites for the project to accommodate the relocating HH is 93 land plots. The available land plots in the resettlement sites in No1 area, Van Phu ward; Ma Da resettlement site in Kim Duc commune; resettlement site in No3 area, Van Phu ward; Doi Son resettlement site in Phuong Lau are 500 plots which are available for the project (Truong Chinh Road). The resettlement site can accommodate the relocating households by June 2014.

B. Preparation of the Resettlement Site

100. The resettlement sites with 500 plots are proposed for the project – Truong Chinh road. Determination of resettlement area had been carried out based on:

- Determination of the number of households with houses within the project area and requiring to relocate from the exisiting residence to another place. The resettlement sites in Van Phu, Kim Duc, Phuong Lau with 500 plots meet requirement of relocated HHs.

- The location of the Resettlement site is suitable for social functions, norms and customs of relocating AH. The site proposed is near the original location of the relocating AH. The locations of the resettlement sites lies next to the proposed acquired land areas (in the same Kim Duc, Van Phu and Phuong Lau ward)

- Assists the DP to adapt immediately to the new site for them to restore and stabilize their lives. The resttlement site is not far from the proposed acquired land areas for project, which will help limit the major changes affecting the lives of resettled households then help the community and inhabitants stabilize in psychology, habits.

- The resettlement sites have been constructed with completed condition of infrastructure as drainage systems, electricity, urban lighting systems, road systems and communication systems. It will equate to better living condition of relocating Ahs.

- Ensure that resettlement process will minimize reduction in AH income, disunity in the family and break-up of social relations.

- The development of new residence is based on the preferred options of relocating AH and as a results of careful review of the features of the new location vis-a-vis old residence.

101. The 04 resettlement sites (resettlement site in No1 area, Van Phu ward with 1.880 m2; Ma Da resettlement site in Kim Duc commune with 22.841,5 m2; resettlement site in No3 area, Van Phu ward with 88.852,6 m2; Doi Son resettlement site in Phuong Lau with 23.338 m2) have been identified. The construction of resettlement sites includes 500 land lots with an area ranging from 100 m2 to 235 m2 to serve the needs of the relocating households in the Truong Chinh road. The resettlement site’s design for functional areas includes: residential area,

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reserved land for public works such as drainage systems, electricity, urban lighting systems, road systems and communication systems.

102. The location of the resettlement sites is in accordance with the urban development plan of the Viet Tri City People's Committee. Further, the construction of resettlement site are geared at enhancing the city’s landscape.

103. The resettlement sites include: the resettlement site in Zone 1 - Van Phu Ward; Ma Da resettlement site in Kim Duc commune; the resettlement site in Zone 3 - Van Phu Ward; and the resettlement site in Doi Son (hill) - Phuong Lau commune. The resettlement sites are located adjacent to the acquired area for Truong Chinh project. The households affected by land acquisition for the construction of the resettment sites will move to these resettlement sites too. This will help limit significant changes on the lives and ease stable psychology and practices of the displaced households – they will not be disturbed and changed much compared to moving new residential areas far away from their old habitat.

C. Proposal of resettlement allocation

104. There are 67 relocating households. Under the implementation plan, the activities of land clearance for Truong Chinh road construction will start in the fouth quarter of 2014. To keep up with the schedule, PMU (Project Management Unit) (and concerned agencies) will promptly implement necessary activities for site clearance and resettlement.

105. Meeting the criteria for a suitable resettlement site and suitable to the preference of the relocating people 93 lots will be allocated to relocated HHs in 04 resettlement sites.

Table 21: Proposed resettlement allocation

Resettlement area Relocated HH

No of allocated land lots

Resettlement site in No1 area, Van Phu ward

10 20

Ma Da resettlement site in Kim Duc commune

9 12

Resettlement site in No3 area, Van Phu ward

15 26

Doi Son resettlement site in Phuong Lau

33 35

Total 67 93

106. Consultation meetings with the host community in the Resettlement Sites were conducted to inform the residents of the resettlement site construction and solicit their opinions on the mentioned civil works. The host community agreed and accepted the development of the resettlement sites within their community. The civil works will not affect any exisiting infrastructure and even improve the environment condition in the area.

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X. RESETTLEMENT BUDGET AND FINANCING PLAN

A. Funding Source

107. The funds to be used for land acquisition, compensation for housing, assets and other related costs will be provided from counterpart fund of Phu Tho PPC.

B. Replacement Cost

108. Replacement costs are normally determined by the district following the valuation standard methodology prescribed under MOF Circular No. 145/2007/TT-BTC, issued in 2007. However, according to ADB requirement, replacement cost should be determined by an independent appraiser. Therefore, during the URP stage, the consultants conducted investigation of the replacement unit price. The method of indepth interviews of HHs living around the affected area are applied to collect information on land, trees and house prices. Besides, the consultant worked with Financial Department to determine prices of land, tree and construction materials; worked with DONRE to determine land price; worked with Construction Department to determine the price of construction materials. The RCS shows that land market in the project area has been frozen for last few years. There were not any transaction on land, especially agricultural land during that time.

109. Therefore, agricultural land (paddy, aquaculture, garden and forest) was evaluated based on the productivity of the land considering income earned from the land based on a three- year average, annual revenue, periodic revenue or one-off revenue depending on the type of trees planted, specific costs of improvements and production costs. The valuation for Residential land was based on consultation with AHs and on prices of recent sales in neighbor locations with comparable attributes;. Prices for Houses and other fixed structures were based on neither current market prices for construction of the new ones with similar technical standards without depreciation nor deduction for salvaged building materials. Prices for Annual crops is equivalent to the prevailing market value of crops at the time of compensation;. For Perennial crops, cash compensation equivalent to their current market value given the type, age and productive value (future production) at the time of compensation; and for Timber trees was based on the type and breast height at current market prices.

110. Land in affected area includes items such as residential land, garden land, and agricultural land for annual crops. The land unit prices within the project area is determined based on results gathered from replacement Cost survey. On that basis, the reference price for calculating compensation is show in table 22, 23,

111. Survey on households’ perception of market rates shows that the current compensation prices for land, structure/assets and crop/trees are basically equal to its market value which are acceptable to AHs.

Table 22. Compensation prices for land and crop

No. Land and crop Unit Replacement Prices (VND)

1 Residential land m2 800,000

2 Garden land m2 72,000

3 Agricultual land (rice land) m2 36,000

4 Rice -Average yield over three recent consecutive years

103 VND/m2 5,000

Table 23. Replacement price for house and structures

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No. House and structures Unit Replacement Prices (VND)

1 Houes m2 2,500,000

2 Toilet m2 700,000

3 Gate m2 1,400,000

4 Yard m2 60,000

5 Wall m2 60,000

C. Resettlement Budget

The compensation and resettlement costs for land, assets/structures, crop/trees, supporting/allowance (in cash) and income restoration programs (in kind) are estimated at VND 55,820,000,000 equivalent to approximately US$ 2,658,096. These include costs of administration, monitoring and contingency. The cost of consultation and grievance redress mechanism will be covered under administration charges. All compensation costs for land, structures and crops are based on the results of the Replacement Cost Study conducted in April 2014. See details in Table 24.

Table 24: Resettlement Budget Estimate.

No Component Unit Quantity Unit price

(VND) Total cost

(VND)

A Compensation for affected land 15,154,657,440

1 Annual crop land

m2

86,531.2 36,000 3,115,123,200

2 Garden land m2

33,739.0 72,000 2,429,208,000

3 Residential land m2

11,905.3 800,000 9,524,240,000

4 Agricultural land (managed by CPC) m2

2,888.8 29,800 86,086,240

B Compensation for trees and crops 432,656,000

1 Crop (rice) m2

86,531.2 5,000 432,656,000

C Compensation for house and structure

16,229,100,000

1 House m2

5,623.8 2,500,000 14,059,500,000

2 Toilet m2

2,394 700,000 1,675,800,000

3 Gate m2

194.4 1,400,000 272,160,000

4 Yard m2

1,564 60,000 93,840,000

5 Wall m2

2,130.0 60,000 127,800,000

D Compensation for graves 272,000,000

1 Grave unit

68 4,000,000 272,000,000

I Total I A+B+C+D 32,088,413,440

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II Assistance

1 Transfer and removal of structures hộ 67

2,500,000 167,500,000

2 Temporary accommodation hộ 67

4,000,000 268,000,000

3

Assistance for axchange job

For HHs losing agricultural land in affected communes

m2

84,727.2

54,000

4,575,268,800

For HHs losing agricultural land in affected wards

m2

1,804.0

240,000

432,960,000

4 Assistance for losing garden land m2 33739 240,000 8,097,360,000

5 For poor and vulnerable HHs HH 59 22,500,000 1,327,500,000

6 For severely AH

người 1600 1,800,000 2,880,000,000

II Total II 17,748,588,800

Total I+II I+II 49,837,002,240

III Administrative management (2%) 2%(I+II) 996,740,045

Contingency (10%) 10%(I+II) 4,983,700,224

IV TOTAL 55,817,442,509

Round up 55,820,000,000

XI. INSTITUTIONAL ARRANGEMENTS

A. Province Level

112. Phu Tho Provincial People’s Committee (PPC) is responsible for resettlement activities within its administrative jurisdiction. The main responsibilities of PPC include:

(i) Approving final uRP; (ii) Issuing decisions approving land valuations applied for compensation rates,

allowances and other supports to APs, especially vulnerable groups, based on principles of uRP;

(iii) Approving and allocating budget allocation for compensation, support and resettlement sufficiently and timely;

(iv) Directing and supervising provincial relevant departments to implement effectively the uRP;

(v) Directing the relevant agencies to settle APs’ complaints, grievances related to compensation, assistance and resettlement according to prescribed laws; and Directing the relevant agencies to examine and handle violations in the compensation, assistance and resettlement domain;

B. City Level

113. The Viet Tri city People’s Committee (CPC) undertakes comprehensive management on compensation, assistance and resettlement. The Viet Tri city People’s Committee (CPC) is responsible to the Phu Tho Provincial People’s Committee (PPC) to report on the progress and the result of land acquisition. The CPC’s primary task includes:

(i) Approving the schedule and monitoring the progress of land acquisition and resettlement implementation in compliance with updated URP;

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(ii) Establishing CARB and Resettlement team and directing CARB and relevant district departments to appraise and implement the detailed compensation, assistance and resettlement;

(iii) Approving and taking responsibility before the law on the legal basis, and accuracy of the detailed compensation, assistance and resettlement options in the local area;

(iv) Approving compensation plan; (v) Taking responsibility for adjusting LURC for AHs and individuals who have land, house

partially recovered, in accordance with authorization; (vi) Directing Ward/commune People’s Committees and relevant organizations on various

resettlement activities; (vii) Resolving complaints and grievances of APs

114. Viet Tri Project Management Unit (PMU) is responsible for comprehensive URP implementation and internal monitoring. The main tasks of PMU include:

(i) Preparing, updating, and supervising URP implementation of project components;Guiding and providing appropriate technical, financial and equipment supports to CARB to implement all resettlement activities in compliance with the approved uRP;

(ii) Conducting, in combination with CARB and CPCs, information campaigns and stakeholder consultation in accordance with established project guidelines;

(iii) Coordinating with other line agencies to ensure delivery of restoration and rehabilitation measures to Aps;

(iv) Implementing internal resettlement monitoring, establishing and maintaining AP databases for each component in accordance with established project procedures and providing regular reports to ADB.

(v) Implementing prompt corrective actions in response to internal and external monitoring

C. City Compensation, Assistance and Resettlement Board (CARD)

115. The composition of the CARD includes CPC vice-chairman (playing the role as the head of CARD), the representatives of Department of Natural Resources and Environment, Department of Finance, Department of Agriculture, CPCs chairmen and AHs (including affected women headed HHs), members of City Farmers’ Association and Women’s Union. The main responsibilities of the CARB are the following:

(i) Perform the DMS, consultation and disclosure activities, design and implementation of income restoration program, coordination with various stakeholders;

(ii) Prepare compensation plan and submit to CPC for approval. Implement compensation, assistance and resettlement alternative; Take responsibility for legal basis applied in compensation, assistance and resettlement policy following approved uRP

(iii) Assist in the identification and allocation of land for relocated HHs (iv) Lead and coordinate with the CPC in the timely delivery of compensation payment

and other entitlements to AHs; and (v) Resolution of grievances.

D. Commune/ ward Level

116. The CPCs/ ward will assist the CARB in their resettlement tasks. Specifically, the CPCs/ ward will be responsible for the following:

(i) In co-operation with city level and local mass organizations to implement the compensation, assistance and resettlement according to approved URP

(ii) To co-operate with CARB and Working groups to communicate to the people whose land is to be acquired; To notify and publicize policies on compensation, assistance and resettlement which are approved by Viet Tri city PC;

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(iii) Assign Ward/commune officials to assist the CARB in the updating of the RP and implementation of resettlement activities

(iv) Identify replacement land for AHs (v) Sign the Agreement Compensation Forms along with the AHs (vi) Assist in the resolution of grievances; and (vii) Actively participate in all resettlement activities and concerns

XII. IMPLEMENTATION SCHEDULE

A. Resettlement Activities

Establishment of City Compensation Committees

117. Viet Tri city Compensation, Assistance and Resettlement Board is established under the Viet Trì City PC, which is responsible for land acquisition for all projects in the Viet Tri city. Members of the Viet Tri city Compensation, Assistance and Resettlement Board are determined by the Viet Tri PC.

(i) Information Disclose

118. Disclosure of information and consultations were conducted during preparation and implementation of compensation and resettlement to ensure that AHs and other stakeholders have timely information about land acquisition, compensation and resettlement, as well as opportunities to participate in and express their preferences and concerns regarding the resettlement program

(ii) Conduct of DMS

119. The updated Census and DMS were undertaken following the final detailed design. The DMS data, together with the results of the replacement cost study as reviewed and approved by the Phu Tho PPC, become the basis in the preparation of the Compensation Plan. During the DMS, all AHs were required to submit copies of LURCs or any legal papers to show the RC proof as basis in the preparation of the Compensation Plan. All DMS forms were reviewed and signed by AHs. AHs were informed of their right to note any objections to the DMS assessment on the form. 120. The official list of AHs, their losses, and corresponding payments due were disclosed to APs. The DMS and Compensation Plan will not be signed by AHs until any disagreements are resolved either through direct discussion with relevant agency or following the grievance redress process. During the DMS, data collection included a criteria to identify vulnerable persons beyond those who fall below the official poverty level and identify other vulnerable groups such as female headed HHs (especially those with large number of dependents, low income HHs, affected livelihoods, elderly residing alone, disabled and landless HHs).

(iii) Updating Resettlement Plan

121. After preparing the detailed compensation method, the PMU has, with support from Social Safeguard Consultant, prepared the updated RP on the basis of results of the DMS, replacement cost survey, community consultation and in compliance with ADB SPS 2009. The implementation of the updated RP (i.e., disbursement of payment to AHs, land clearance and relocation of AHs) can only commence once the updated RP has been reviewed and approved by ADB.

(iv) Preparing a Detailed Plan for Compensation, Assistance and Resettlement

121. The Viet Tri city Compensation, Assistance and Resettlement Board is responsible in preparing a detailed Compensation Plan for each AH base on the approved uRP, including quantity of impacts, entitlements, amount of compensation and allowances, implementation and institutional schedule, payment release, livelihood restoration, etc.

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(v) Payment Releasing

122. Payments will be released to AHs under the supervision of representatives from the district/ward/commune authorities and AHs. The CARB inform AHs by letter on date, location and other requirements for the payment.

(vi) Internal and Independent Monitoring

123. Internal and external monitoring should begin as early as possible and continue throughout the construction of the Project.

B. Indicative Implementation Schedule

124. The updated RP is prepared following the detailed project design. All resettlement activities are coordinated with the civil works schedule. Land acquisition and relocation of AHs cannot commence until the updated RP has been reviewed and approved by ADB. Construction activities in affected sites are not allowed until all resettlement activities have been satisfactorily completed, agreed rehabilitation assistance is in place, and site is free of all encumbrances. It is estimated that the procedures for compensation and relocation of HHs will be completed in the first two years of project implementation as detailed in Table 26 below:

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Table 25: Implementation Schedule

No Land Acquisition and Resettlement Activity Năm 2012 Năm 2013 Năm 2014 Năm 2015 Năm 2016

Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4

A Preparation of updated RP

Work with Viet Tri city Resettlement Committee

Conduct of Census, Socio-economic and RCS (household perception on market price)

Conduct public consultations (throughout RP Updating)

Conduct and Update DMS, from Viet Tri city Compensation, Assistance and Resettlement Board

Consult AHs on project impact, entitlements and final options, grievance mechanism, and complete census

Prepare updated RP

Finalize the RP incorporating comments of AHs and results of census/DMS

Submit to ADB for review

Review and approval of updated RP by ADB

Endorsement of updated RP by PPC

Disclose approved updated RP to AHs and upload to ADB website

Preparation of detailed income restoration measures

Approval and disclosure of detailed income restoration measures

B Implementation of updated RP

1 Compensation Payments and Income Restoration

Funding Arrangement from competent agency

Disbursement of compensation to remaining AHs

Grievance Redress Mechanism

Implementation of income restoration measures

2 Relocation and Handover

Relocation of AHs and clearance of land

3 Monitoring and Evaluation

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No Land Acquisition and Resettlement Activity Năm 2012 Năm 2013 Năm 2014 Năm 2015 Năm 2016

Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4

Conduct internal monitoring

Conduct external monitoring

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XIII. MONITORING AND REPORTING

A. Objectives

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

B. Community Monitoring

126. Community-based monitoring (CBM) is a form of public oversight, ideally driven by local information needs and community values, to increase the accountability and quality of social services or to contribute to the management of ecological resources. Within the CBM framework, members of a community affected by a social program or environmental change generate demands, suggestions, critiques and data that they then feed back to the organization implementing the program or managing the project.

127. People in the subproject area are encouraged to monitor the implementation of the uRP, especially the affected people by comparing what they received with what was stated in the uRP.

C. Internal Monitoring

128. Viet Tri PMU, with the assistance from the consultant, will conduct and manage internal monitoring of resettlement activities and implementation arrangements.

129. The PMU will provide quarterly monitoring reports to ADB. The PMU will ensure that the reports of the consultant are included in their progress reports. The internal monitoring report should include: the status of the RP implementation, information on location and numbers of people affected, compensation amounts paid by item, and assistance provided to AHs.

130. The range of activities and issues that need to be recorded and verified, include: (i) Compensation, allowance payments and delivery of assistance measures; (ii) Reestablishment of AHs’ settlements and business enterprises; (iii) Reaction of AHs, in particular, to resettlement and compensation packages; and (iv) Reestablishment of income levels.

(i) Internal Monitoring Indicators

131. The principal indicators for internal monitoring of resettlement activities include the following, conducted by the PMU:

- Timely and complete disbursement of compensation to AHs according to the compensation policy agreed in the RP;

- Timely and complete delivery of relocation, income restoration and rehabilitation allowances and measures to AHs;

- Allocation of replacement land and development of individual and/or group resettlement sites and infrastructure;

- Public information dissemination and consultation procedures;

- Adherence to grievance procedures and identification of outstanding issues that require further attention and resolution.

- Attention given to the priorities of AHs regarding the options offered; and

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- Completion of resettlement activities required before the award of civil works contracts.

(ii) Internal Monitoring Data Collection and Report

132. The PMU will establish a database for resettlement monitoring data. It will establish procedures for the collection of data on a monthly basis, and update the database.

133. On a quarterly basis, the PMU will prepare a resettlement monitoring report and submit to the Viet Tri city PC. The PMU will consolidate the internal monitoring report and semi- annual verification external reports and submits these to ADB on a semi-annual basis. The Viet Tri city PC will notify ADB of approval by the Viet Tri city PC of any changes, as required, to the implementation of the RP. The scope of the report will include:

• The number of AHs by category of impact level, city, ward/commune and village, and the status of compensation payments, relocation of AHs and income restoration measures for each category.

• The status of disbursement for resettlement

• The amount of funds allocated and disbursed for a) resettlement program operations and b) compensation, assistance and resettlement activities.

• The activities, levels of participation, outcomes and issues of the Information Dissemination and Consultation Program

• The status and outcomes of complaints and grievances and any outstanding issues requiring further attention by provincial or district authorities, or ADB assistance

• Implementation problems, including delays, lack of personnel or capacity, insufficient funds, etc.; proposed remedial measures; and revised resettlement implementation schedule.

D. External Monitoring Consultant

134. The PMU will engage an external resettlement monitoring consultant (called EMC) to conduct external monitoring of uRP implementation of subprojects. The purpose of the EMC is to assess whether the uRP has been implemented as planned, whether entitlements have been delivered and met the intended objectives and APs are able to restore their living conditions, livelihoods and incomes to pre-subproject levels and, if not, to recommend remedial actions to assist APs.

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

136. Strategic lessons for future policy formulation and planning will also be drawn from the monitoring and evaluation of resettlement. This is possible through a Post-Resettlement Implementation Evaluation Study that will be carried out 6 months following completion of all resettlement activities.

137. The external monitoring will be mobilized prior to uRP updating activities.

138. Relative to compliance monitoring during resettlement implementation, the main activities of the EM will revolve around the following:

(i) Review existing baseline data and gather additional socioeconomic information as necessary, on sample affected households;

(ii) Monitor updating and implementation of the uRP;

(iii) Identify any discrepancy between policy requirements and actual implementation of resettlement;

(iv) Monitor the resolution of complaints and grievances of affected households;

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(v) Provide recommendations for improving resettlement updating and implementation;

(vi) Verify that each AP has received the full payment.

139. Specifically, the EMC will monitor and evaluate the following issues:

(i) Public consultation and awareness of resettlement policy and entitlements;

(ii) Coordination of resettlement activities with the construction schedule;

(iii) Land acquisition and transfer procedures;

(iv) Level of satisfaction of APs with the provisions and implementation of the uRP;

(v) Grievance redress mechanism (documentation, process, resolution);

(vi) Effectiveness, impact and sustainability of entitlements and income restoration programs and the need for further improvement and mitigation measures;

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

(viii) Resettlement impacts caused during construction activities;

(ix) Targets proposed in the gender action plan;

(x) Participation of APs in uRP updating and implementation.

140. The EMC will supervise and submit finding reports to the PMU every quarter. PMU will submit external monitoring reports to ADB for review and posting on ADB's website. All outstanding problems of resettlement implementation determined by the external monitoring Consultant have to be resolved timely and satisfactorily by relevant agencies at all level to ensure entitlements of APs.

(ii) External Monitoring Methodologies

141. The monitoring should be conducted based on the participatory approach to mobilize different stakeholders for the monitoring. The following methods are suggested to use for the monitoring:

Document review

142. Document review will help collect data and information related to the project and project area. Review results will be basic for building a set of research tools such as questionnaire, guidelines for focus group discussion and in-depth interview, etc. Statistical data will be analysed and stored and used as basis for evaluating objectives of resettlement implementation later.

Questionnaire

143. A sample household survey using questionnaire will be conducted with 10 % of marginally affected households and 100% of severely and vulnerably affected households to collect basic information of affected households, including demographic characteristics, education attainment, incomes and livelihoods, living conditions, production conditions; identify potential project impacts on households’ lives and income and livelihoods; assess their demand/need for restoration and their satification. (about 100 households).

Focus group discussion and public consultation:

144. Focus group discussion and public consultation will be also conducted to collect information from different stakeholders including representatives of local authorities, mass organizations, non-affected and affected households, displaced households and other severely affected cases. In-depth interview would be applied for some cases to explore more information.

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Observation method

145. Observation method is used to support the above methods. The consultant will apply observation method at the field to get a socio-economic picture of affected households and their living conditions, etc.

(iii) Database Management and Report

146. The EMC will maintain a computerized resettlement databases that will be updated every six months. It will contain files on each AH and will be updated based on information collected in successive rounds of data collection. All monitoring databases will be fully accessible to implementing agencies and the ADB.

(iv) Reporting

147. Every three months, the EMC will submit an external monitoring report to the EA. The report should summarize the findings of the EMC, including: (i) progress of RP updating and implementation, any deviations from the provisions of the uRP; (ii) identification of problem issues and recommended solutions so that implementing agencies are informed about the ongoing situation and can resolve problems in a timely manner; (iii) identification of specific issues related to vulnerable AHs, ; and, (iv) a report on the progress of the follow-up of issues and problems identified in the previous report. 148. The monitoring reports will be discussed in a meeting between the EMC and Viet Tri PMU after submission of the reports. Necessary remedial actions will be taken and documented.

Resettlement Plan - Sub-Component VT2 - Truong Chinh Road

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Transcript of Resettlement Plan - Sub-Component VT2 - Truong Chinh Road