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MINISTRY OF AGRICULTURE AND RURAL DEVELOPMENTCENTRAL PROJECT OFFICE - CPO

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RESETLLEMENT ACTION PLAN

SUB-PROJECT: UPGRADE DIKE SITE OF LUONG YEN KHAI FROM K3+262.66 TO K6+133.1 – THANH CHUONG DISTRICT – NGHE AN PROVINCE

PROJECT: VIETNAM – MANAGING NATURAL HAZARD

HANOI, 10/2011

RP1276 v5

MINISTRY OF AGRICULTURE AND RURAL DEVELOPMENTCENTRAL PROJECT OFFICE

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RESETTLEMENT ACTION PLAN

SUB-PROJECT: UPGRADE DIKE SITE OF LUONG YEN KHAI FROM K3+262.66 TO K6+133.1 – THANH CHUONG DISTRICT – NGHE AN PROVINCEPROJECT: VIET NAM NATURAL HAZARD MANAGEMENT

REPRESENTATIVE OF OWNERCENTRAL PROJECT OFFICE - CPO

DIRECTOR

REPRESENTATIVE OF CONSULTANTCENTER FOR ENVIROMENTAL RESEARCH

DIRECTOR

DUONG HONG SON

HANOI, 10/2011

CURRENCY EQUIVALENTS

Unit = Viet Nam Dong (VND)

1 VND = 0,00004878048 $

1 $ = 20.500 VND

ABBREVIATIONS

AH = Affected HouseholdCARB = Compensation, Assistance and Resettlement BoardCPMU = Central Project Management UnitDOF = Department Of FinanceDONRE = Department Of Natural Resources and EnvironmentDMS = Detailed Monitoring SurveyDPC = District People’s CommitteeDRC = District Resettlement CommitteeEA = Executive AgencyEOL = Excess Of LossFHH = Female Headed HouseholdGoVN = Government of VietNamHH = HouseHoldIMO = Independent Monitoring OrganizationLURC = Land Use Right CertificateMARD = Ministry of Agriculture and Rural DevelopmentMOLISA = Ministry of Labour, Invalids and Social AffairsNGO = Non Government OrganizationPAP = Project Affected PeoplePC = People’s CommitteePPC = Provincial People’s CommitteePPMU = Provincial Project Management UnitRCS = Replacement Cost SurveyRPF = Resettlement Policy FrameworkRT = Resettlement TeamWB = World Bank

NOTE

(i) The fiscal year of Vietnam government ended on December 31st every year. The previous fiscal year represents the calendar year in which the fiscal year end, for example, fiscal year 2000 ended on December 31st, 2000.

(ii) In this report, “$” means United States Dollars (USD).

GLOSSARY OF TERMS

Affected People - refers to individuals or businesses that are directly affected socially and economically by Bank-assisted investment project caused by the involuntary taking of land and other assets that results in (i) relocation or loss of shelter; (ii) loss of assets or access to assets; or (iii) loss of income sources or means of livelihood, whether or not the affected persons must move to another location. The involuntary taking of land includes the exercise of possession when the proprietor has allowed and benefited from others' occupation of the area. In addition, displaced person is one for whom involuntary restriction of access to legally designated parks and protected areas that result in adverse impacts on livelihoods also; this category of displaced person would be unlikely in the urban area, however.

Compensation - Means payment in cash or in kind for an asset 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 value, plus any transaction costs such as administrative charges, taxes, registration and titling costs.

Cut-off-date - The date of completion of inventory of losses during preparation of the RAP. Displaced Persons and local communities will be informed of the cut-off date for each project component, and that anyone moving into the Project Area after that date will not be entitled to compensation and assistance under the Project.

Eligibility - means any person who at the cut-off-date was located within the area affected by the project, its sub-components, or other subproject parts thereof, and would have their: (i) standards of living adversely affected, (ii) rights, titles, or claim in any land (agricultural, grazing or forest), house or structure (be it residential, commercial permanent or temporary), or (iii) production assets such as business, occupation, place of work, residence, or habitat, or (iv) access to assets adversely affected (e.g. fishing rights). Eligibility is irrespective of: (a) formal legal rights to land, or (b) customary claim to land or asset, or (c) having no recognizable legal right or claim to the land they are occupying.

Entitlement - Refers to a range of measures comprising compensation, income restoration support, transfer assistance, relocation support and income substitution to help the PAPs restore their economic and social base.

Land acquisition - Refers to the process whereby an individual, HH, 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.

Project impact - Means any consequence immediately related to the taking of a parcel of land or to restrictions in the use of legally designated parks or protected areas. People directly affected by land acquisition may lose their home, farmland, property, business, or other means of livelihood. In other words, they lose their ownership, occupancy, or use rights, because of land acquisition or restriction of access.

Rehabilitation - Means assistance provided to project PAPs due to the loss of 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 a PAP from the project area.

Replacement cost - is the method of valuation of assets that helps determine the amount sufficient to replace lost assets and cover transaction costs. For agricultural land, it is the pre-project or pre-displacement, whichever is higher, market value of land of equal productive potential or use located in the vicinity of the affected land, plus the cost of preparing the land to levels similar to those of the affected land, plus the cost of any registration and transfer taxes. For land in urban areas, it is the pre-displacement market value of land of equal size and use, with similar or improved public infrastructure facilities and services and located in the vicinity of the affected land, plus the cost of any registration and transfer taxes. For houses and other structures, it is the market cost of the materials to build a replacement structure with an area and quality similar to or better than those of the affected structure, or to repair a partially affected structure, plus the cost of transporting building materials to the construction site, plus the cost of any labor and contractors’ fees, plus the cost of any registration and transfer taxes. In determining the replacement cost, depreciation of the asset and the value of salvage materials are not taken into account, nor is the value of benefits to be derived from the project deducted from the valuation of an affected asset. Where domestic law does not meet the standard of compensation at full replacement cost, compensation under domestic law is supplemented by additional measures so as to meet the replacement cost standard. In applying

this method of valuation, depreciation of structures and assets should not be taken into account. For losses that cannot easily be valued or compensated for in monetary terms (e.g., access to public services, customers, and suppliers; or to fishing, grazing, or forest areas), attempts are made to establish access to equivalent and culturally acceptable resources and earning opportunities. Where domestic law does not meet the standard of compensation at full replacement cost, compensation under domestic law is supplemented by additional measures necessary to meet the replacement cost standard. Such additional assistance is distinct from resettlement assistance to be provided.

Resettlement - in Bank terminology, covers all direct economic and social losses resulting from land taking and restriction of access, together with the consequent compensatory and remedial measures. Resettlement is not restricted to its usual meaning-physical relocation. Resettlement can, depending on the case, include (a) acquisition of land and physical structures on the land, including businesses; (b) physical relocation; and (c) economic rehabilitation of displaced persons (DPs), to improve (or at least restore) incomes and living standards.

Resettlement Plan - Means the time-bound action plan with budget setting out resettlement and compensation strategy, objectives, entitlements, actions, responsibilities, monitoring and evaluation. Resettlement plan should be prepared and approved prior to loan appraisal for the Project.

Severely affected households

- This refers to affected HHs who will (i) lose 20% (10% for the poor and vulnerable households) or more of their total productive land and assets, and/or their total income sources due to the Project; and/or (ii) have to relocate.

Severe resettlement effects

- Means 200 people or more will experience major impacts, which are defined as being physically displaced from housing and/or losing 20% (10% for the poor and vulnerable households) or more of their productive assets and income generating.

Vulnerable groups - 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) women headed household (widow, disabled husband) with dependents, (ii) disable or the elderly alone, (iii) poor people (living below the state poverty threshold), (iv) the landless, and (v) ethnic minority groups.

TABLE OF CONTENTS

Page_Toc318700620EXECUTIVE SUMMARY...........................................................................................................1I. INTRODUCTION.............................................................................................................4

1.1 Introduction of the project and sub-project.....................................................................41.1.1 Vietnam Natural Hazard Management Project (WB5)......................................41.1.2 Introduction of the sub-project...........................................................................7

1.2 Mitigation measures of adverse impacts........................................................................101.3 Purposes of Resettlement Action Plan (RAP)...............................................................11

II. SUB-PROJECT IMPACTS............................................................................................122.1 Procedures and methods of Estimation of Loss.............................................................122.2 Summary of sub-project impacts...................................................................................12

2.2.1. Summary of sub-project impacts.............................................................................122.2.2 Effects on Households......................................................................................132.2.3 Effects on houses and auxiliary structures.......................................................132.2.4 Effects on land..................................................................................................132.2.5 Effects on crops and trees.................................................................................142.2.6 Effects of relocation and resettlement..............................................................142.2.7 Effects on business and income.......................................................................152.2.8 Grave relocation...............................................................................................152.2.9 Effects on historical/cultural heritage...............................................................152.2.10 Severely AHs due to the acquisition of land and assets...................................15

III. RESULTS OF SOCIO-ECONOMIC SURVEY...........................................................153.1 Socio-economic survey in the affected sub-project area...............................................153.2 Demographic characteristics of AHs.............................................................................16

IV. POLICY FRAMEWORK AND ENTITLEMENTS....................................................184.1 Legal documents on land acquisition and resettlement.................................................18

4.1.1 Laws and principle policies of the Government of Vietnam............................194.1.2 World Bank Policy on Involuntary Resettlement............................................214.1.3 Key differences between the Government and WB’s Policy...........................21

4.2 Compensation and resettlement policy..........................................................................234.2.1 General principles............................................................................................234.2.2 Rights and Entitlements to Compensation.......................................................244.2.3 Entitlement to compensation and resettlement.................................................25

4.3 Compensation and resettlement strategies.....................................................................284.3.1 Procedures for Payment of Compensation and Allowances.....................................284.3.2 Vulnerable AHs........................................................................................................284.3.3 Gender strategy.........................................................................................................29

V. LIVELIHOOD RESTORATION PROGRAMS..........................................................305.1 Objectives........................................................................................................................305.2 Principles.........................................................................................................................305.3 Proposed livelihood restoration program......................................................................30

VI. RESETTLEMENT ARRANGEMENT.........................................................................31VII. INFORMATION DISCLOSURE AND PUBLIC CONSULTATION.......................32

7.1. The WB’s Information Disclosure Policy (OP 17.50)...................................................327.2. Information disclosure....................................................................................................32

7.2.1 Information disclosure during RAP preparation......................................................327.2.2 Information disclosure during RAP implementation................................................33

7.3 Public consultation........................................................................................................347.3.1 Consultation during RAP preparation......................................................................347.3.2. Consultation during RAP implementation..............................................................35

VIII. INSTITUTIONAL ARRANGEMENT..........................................................................358.1. Responsibility of Project owner.....................................................................................358.2. Responsibility of People Committee..............................................................................358.3. Responsibility of resettlement committees.....................................................................36

IX. GRIEVANCE REDRESS MECHANISM.....................................................................379.1. World Bank’s Requirements.........................................................................................379.2. Grievance redress mechanism.......................................................................................38

X. MONITORING AND EVALUATION..........................................................................3910.1 Internal Monitoring........................................................................................................3910.2 External Monitoring......................................................................................................40

XI. BUDGET AND COST ESTIMATE..............................................................................4211.1 Financial sources for all resettlement activities.............................................................4211.2 Compensation and allowance cost estimate..................................................................42

11.2.1. Compensation with replacement costs...................................................................4211.2.2 Compensation costs..........................................................................................4311.2.3 Assistant and administrative costs....................................................................45

11.3 Contingencies for prise arising and unexpected expenditures.......................................4611.4 Total budget of estimated costs.....................................................................................46

XII. IMPLEMENTATION SCHEDULE..............................................................................4712.1 Implementation activities..............................................................................................4712.2 RAP updating procedure...............................................................................................5112.3 Implementation plan......................................................................................................52

APPENDIX...................................................................................................................................53APPENDIX 1: REFERENCE TABLES...............................................................................53APPENDIX 2: REPORT ON REPLACEMENT COST SURVEY......................................54

LIST OF TABLES AND FIGURES

Table 1: Summary of project’s sub-projects....................................................................................8

Table 2: Summary of Loss.............................................................................................................13

Table 3: Income of AHs................................................................................................................16

Table 4: Basic differences between Vietnam resettlement policy and the WB’s involuntary resettlement policy (OP 4.12)........................................................................................................22

Table 5: Entitlement matrix...........................................................................................................25

Table 6: Internal monitoring indicators.........................................................................................39

Table 7. External monitoring indicators........................................................................................41

Table 8: Summary of compensation cost for the agricultural land................................................44

Table 9: Summary of compensation cost for perennial trees........................................................44

Table 10: Assistance and administrative costs..............................................................................45

Table 11: Contingencies for arising price......................................................................................46

Table 12: Summary of costs..........................................................................................................46

Table 13: Implementation Schedule.............................................................................................52

Table 14: Characteristics of affected HHs.....................................................................................53

Table 15: Number of HHs and household demographics (%).......................................................53

Table 16: Education level of HH heads.........................................................................................53

Table 17: Owner status of affected land area................................................................................53

Figure 1: Map of sub-project area...................................................................................................9

Sub - project “Upgrade dike site of Luong Yen Khai from K3+262.66 to K6+133.1, Thanh Chuong district, Nghe An province”Vietnam Natural Hazard Management Project – (VN-Haz)

EXECUTIVE SUMMARY

Purpose of sub-project

- To prevent from flood, inundation and minimize the negative effects of natural disasters in order to protect life and property for 10.756 inhabitants and maintain production stability for 651.8 ha of agricultural land, forest land in the communes within sub-project area.

- To stabilize dike system, creating the route to improve circulation and facilitate dike system inspection when flood occurs, to ensure socio-economic development of sub-project area. Simultaneously, the implementation of this sub-project will generate a beautiful landscape and pure environment without any contamination due to flooding.

Land Acquisition Scope and Impact

The implementation of sub-project “Repairing and Upgrading Luong Yen Khai dike from K3+262.66 to K6+133.1” will acquire land and assets in the sub-project area, for that reason it will affect 83 HHs in Thanh Yen and Thanh Khai communes, Thanh Chuong district, Nghe An province. Of which, 80 HHs will lose their agricultural land, 03 HHs will lose adjacent garden in their residential land. The total area of affected land will be 13.300 m2.

In the sub-project area, no HH will lose more than 10% of their total agricultural land area.

The implementation of the sub-project will not require any relocation and will not affect to any architectural structures. The survey results indicate that 100% of AHs are Kinh person, there is no ethnic minority in the sub-project communes as well as adjacent communes. In the upstream and downstream area, there is also no presence of ethnic minority.

The repairing and upgrading Luong Yen Khai dike will not cause any changes to the river flow; it will not bring the negative impacts to the local residents from both upstream and downstream toward.

Main demographic characteristics of PAPs

Thanh Chuong district has a total area of 1128.31 km2 with a population of 252.459 people.

The main income sources of local people come from agriculture production.

The implementation of this sub-project will affect to a total of 83 HHs in Thanh Khai and Thanh Yen communes, Thanh Chuong district. The AHs heads are mostly at the age from 31-55. 68.67% of the total AHs has the family size of 5-7 persons, mostly in Thanh Khai commune.

The universal primary education was achieved in these 2 communes. However, the average education level of AHs heads in these 2 communes is at secondary school level. Only a few HH heads have passed the high school grade.

Legal basis

CENTER ENVIRONMENTAL RESEARCH (CENRE) Page 1


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 Vietnam and the WB policies. In case of discrepancies between the Borrower’s laws, regulations, and procedures and WB's policies and requirements, WB's policies and requirements will prevail, consistent with Decree No. 131/2006/ND-CP which provides that in case of “discrepancy between any provision in an international treaty on Official Development Assistance, to which the Socialist Republic of Viet Nam is a signatory, and the Vietnamese Law, the provision in the international treaty on ODA shall take precedence” (Article 2, Item 5).

Entitlements of the AHs

The project entitlements developed and presented in the Resettlement plan (as per the entitlement matrix below) correspond to the impacts identified during the census and inventory of losses and socio economic survey (SES). It should be noted that these entitlements may be enhanced, as necessary, following the conduct of DMS and consultation with AHs to ensure that losses are restored, if not improved.

Information disclosure, Public consultation and Grievance Redress

The public consultation meetings, the discussions at village / hamlet with affected HHs and local authorities had been conducted during the resettlement planning. Policies of the project and the options for relocation, income restoration had been discussed in these meetings. The relating issues, the proposal of affected HHs had been highlighted and included in the resettlement plan. Grievance redress mechanism would be designed to ensure that all inquiries or complaints from affected HHs will be resolved properly and promptly. The PAPs will be aware of their rights through the notice and documents in the consultations, surveys, and at the time of payment of compensation. The primary information in the draft resettlement plan will be announced to the PAPs prior to the appraisal of WB.

Institutional arrangements

Ministry of Agriculture and Rural Development (MARD), the host agency and the Central Project Office (CPO) will coordinate for the smooth implementation of this RAP. MARD will coordinate with Nghe An PC and directing the Department of Agriculture and Rural Development (DARD) of Nghe An province to ensure that the compensation and assistance be made as to the provisions of this RAP. CARB of Nghe An province and sub-project districts along with representatives of AHs will be organized to supervise the compensation process. During the implementation, external monitoring agency will monitor to ensure the compensation and assistance in accordance with the approved RAP.

Compensation and resettlement strategies

This dike system is built mainly on the old dike apart from the residential area; therefore there is no relocation.



Summary Cost of Compensation and Assistance

Total estimated cost will be of 4.514.279.449 VND equivalent to 229.208,75 US$. Of which, compensation cost will be of 530.794.500 VND, equivalent to $ 25.892,41, the remaining will be for assistance costs, administrative costs, and contingencies for price arising. Total cost for compensation and assistance will be updated at the time of compensation payments.



I. INTRODUCTION

1.1 Introduction of the project and sub-project

1.1.1 Vietnam Natural Hazard Management Project (WB5)

Vietnam is one of 10 countries in the world that usually suffer severe consequences of natural disasters. The common disasters include typhoons, tropical storms, floods, landslides, and droughts, of which typhoons and floods are by far the most frequent and severe. Every year, natural disasters cause significant economic, social, and environmental damages, directly hindering the country from sustainable socio-economic development. Particularly, the Central Region, which is a narrow land strip along the coastlines on the eastern side of Truong Son mountain range and has a complex terrain sloping towards the East Sea, suffers the most frequent influence of typhoons, tropical storms, and floods (counting for 65%). Storms often happen repeatedly in a short time, even two or three storms of high intensity occur in one month, and floods appears quickly and strong, resulting in serious damages.

Natural disasters are factors that directly impede sustainable socio-economic development and booster poverty. With profound awareness of human casualties and material losses caused by natural disasters, the Government of Vietnam has considered natural disaster management and mitigation as one of important activity of the sustainable development process. In 2007, the Government developed “National Strategies for Natural Disaster Prevention and Mitigation to 2020" which include tasks of ensuring safety for dyke systems and improving anti-storm capacity of embankment system in all provinces of the Northern region and the Central coastal region, reinforcing and enhancing sea dykes in the whole country, ensuring safety of reservoirs, particular those near dense population areas and sensitive areas in economic, politic, and cultural terms, as well as near important works relating to national security and defense.

Vietnam Natural Hazard Management Project (WB5) is one of the projects invested by the Government to support the implementation of the aforesaid national Strategy. The project is partially funded by the World Bank's loan and carried out in 10 provinces in the central region, including Thanh Hoa, Nghe An, Ha Tinh, Quang Binh, Quang Tri, Da Nang, Quang Nam, Quang Ngai, Binh Dinh, and Ninh Thuan .

The general objective of the project

Enhance prevention, response and mitigation posibilities at all levels. Strengthen institutional capacity and management for disaster to respond to disaster risk; improve weather forecasting and early warning capabilities to mitigate the negative impact of natural disasters for selected provinces in Vietnam.

Detail objectives of project:

Short-term objectives of the Project are (i) strengthening capacity of natural disaster risk management agencies at the national, provincial, and district levels to improve plan preparation and risk mitigation; (ii) enhancing early natural disaster forecast and warning systems; (iii) building capacity at communal and village levels to support development of “Plans of safe



villages and safe communes”; (iv) mitigating natural disaster risks at highly prioritized areas through arrangement of effective structural measures and investments in construction of small and medium-scale infrastructure; (v) improving capacity of project management and implementation, environmental and social management in integrated management of natural disasters.

Long-term objectives of the Project are (i) increasing the capacity of natural disasters prevention, response, and mitigation at the national, provincial, district, and communal levels in Vietnam; reinforcing the preparedness for community-based disaster management; improving weather forecast and early warning capacity; and mitigating negative disaster impacts on selected provinces in Vietnam; (ii) improving the Natural Disaster Management system in Vietnam in accordance with the national strategy, providing disaster mitigation measures and climate change solutions for Vietnam. Reinforcing natural disaster management capacity and institution to better meet short-term and long-term demands of the most vulnerable areas to mitigate human, economic, and financial losses when natural disasters happen. Besides, the project will focus on strengthening capacity at the national, regional, and provincial levels in early prediction and warning.

Project Components:

The project is designed with five main components to achieve following outcomes:

- Improved instructional management of natural disasters at all levels. - Improved early forecast and warning systems.- Upgraded prevention and mitigation infrastructure for natural disaster damages in the

project provinces. - Promoted the community-based natural disaster management program of Vietnam. - Enhanced project organization, management, and implementation skills.

Component 1: Institutional Strengthening

This component will strengthen institutional capacities for Disaster Risk Mitigation (DRM) planning at national and provincial levels. It will help prepare a national DRM database to track the progress of actions taken, strengthen the capacity of the newly formed Central of Disaster Prevention and Mitigation (CDPM); improve/extend provincial level integrated disaster risk management planning, support provincial disaster mapping and zoning, support dam safety database management, support further work on disaster-resilient building code design based on different geographical regions; strengthen disaster management communications; and build co-operation mechanisms among national/ regional/ provincial/ district/ communal Disaster Management Centers to provide effective and consistent disaster prevention and response activities.

Component 2: Strengthening Weather Forecast and Hydro-meterological-Originated Early Warning Systems



Main activities of this component are to provide modern hydro-meteorological observation equipment and communication facilities, develop databases, and strengthen systems for the dissemination of forecasts and early warnings to different stakeholders.

Component 3: Community-Based Disaster Risk Management

This component will mainly support the Community-Based Disaster Risk Management Program (CBDRM). Provincial level Centers of Disaster Prevention and Mitigation (CDPM) will be established (or strengthened where already exist) and will provide support for district- and commune-level disaster prevention and mitigation activities, encompassing planning and mitigation strategy development. Support will be provided for disaster prevention and mitigation training at community levels as well as for small-scale priority investments, especially for flood and drought mitigation. Training will be provided for communities for disaster prevention and response measures through training activities on campaigns and dissemination of knowledge about storm/ flood prevention and disaster mitigation; capabilities of on-site disaster response will also be enhanced for local organizations and individuals in hazard-prone areas.

Component 4: Support for Priority Disaster Risk Mitigation Investment

The project will be implemented in 10 coastal provinces of the central region. Main activities of this component are to support the Government in implementing significant structural measures proposed in the Implementation Plan of the National Strategy for Natural Disaster Prevention, Response, and Mitigation to 2020. A river basin approach was used to identify and prioritize investment subprojects within the selected basins in the Central Region. The structural measures will mitigate risks posed by floods, landslides, and major storms.

The project provinces have proposed investment items to be implemented in the project, including reinforcing, improving, and upgrading degraded dikes, embankments, dams, and rescue paths in order to enhance the ability of preventing natural disasters, ensuring safety for production, assets, and lives of the local people in the river basins in 10 provinces of the Central Region.

Component 5: Project Management

This component would provide support for project management activities including preparation, implementation and monitoring of social and environmental safeguard policies, fiduciary and financial management, etc. It also will support the development of an M&E system for the project.

Project Impacts

Positive Impacts

Through the proposed investment items such as improving and upgrading reservoirs, reinforcing dams, river embankments and dikes, the project will bring about pragmatic benefits for the country and communities. Specifically: (i) strengthening disaster management and response capacity for levels, sectors, and communities; (ii) mitigating risks caused by loose safety of reservoirs and dikes; (iii) protecting approximately 900,000 people (more than 210,000



households) and nearly 50 thousand of hectares of productive land will not be exposed to annual floods and droughts; (iv) dealing with the lack of irrigative water, domestic water, and improving living standards for local people in the project areas; and (v) improving the ecoenvironment and local transportation, contributing to socio-economic development and creating landscapes for the project areas.

Negative Impacts

To upgrade and improve existing works such as dykes, revetments, reservoirs, dams and rescue roads which were constructed long time ago and being deteriorated seriously, land acquisition and negative impacts on production of the local households in the works sites are unavoidable. However, these impacts are marginal because selection of works and alternative technical design comply with the project requirements, aiming at minimizing land acquisition and assets of the local people. According to the preliminary assessment (conducted by the Project Preparation Team of the Ministry of Agricultural and Rural Development), approximately 3,000 rural households (equivalent to about 12,900 people) are to be affected as a result of all sub-projects to be implemented throughout the project life. Most impacts are related to loss of agricultural land, with limited physical relocation required and loss of businesses given the nature of subprojects (rehabilitation of existing structures). According to the census surveys done for six first-year subprojects, approximately 1,294 households (with about 5,525 persons) would be affected by six subprojects, of which about 3.2% of these households are severely affected as a result of loss of more than 20% (10% for poor and vulnerable households) of their agricultural land, 3 relocated HHs, 8 business HHs, and 81 female headed households. The total area of land permanently affected at these six subprojects is 26.12 ha, of which residential land is 1.8ha, agricultural land - 19.23ha, aquaculture land – 3.56 ha, forest land – 0.0 ha and garden land – 1.44ha; total temporarily affected land area is 55.89 ha, including possibly some borrow pit, quarries, disposal sites. The number of grave affected is 22, concentrated in Binh Dinh province (18 graves). There are no ethnic minority households are affected as a result of the six first-year subprojects. The exact number of PAPs and assets affected by subprojects will be identified after completion of DMS of each subproject.

1.1.2 Introduction of the sub-project

Sub-project “Upgrade dike site of Luong Yen Khai from K3+262.66 to K6+133.1” is part of Component 4 “Support for Priority Disaster Risk Mitigation Investment “ and is one of 06 sub-projects to be implemented in the first year.



Table 1: Summary table on six priority subprojects to be done in the first year, 2011

No Name of Sub-project District/ Province Note AHs PAPs Relocated

AhsRelocation of graves VAHs Severely

AHs

1. Maintain, upgrade and treat the key parts of the left dyke of Cau Chay river

Yen Dinh/ Thanh Hoa RAP

697 permanent + 84 and 07

CPCs temporary

3114 0 3 43 20

2. Upgrade dike site of Luong Yen Khai Thanh Chuong/ Nghe An RAP 83 permanent

+ 0 temporary 466 0 0 38 0

3. Bridge combining with overflow connecting rescue roads

Nghi Loc and Vinh/ Nghe An A-RAP 0 permanent +

5 temporary 24 0 0 0 0

4. Upgrade dike site Phuc – Long – Nhuong

Cam Xuyen/ Ha Tinh RAP 335 permanent

+ 0 temporary 1570 3 1 83 21

5. Repair, upgrade Thach Ban reservoir Duy Xuyen/ Quang Nam A-RAP 0 permanent +

7 temporary 32 0 0 0 0

6. Upgrade anti–erosion embankment of Kone river for safety

An Nhon and Tuy Phuoc/ Binh Dinh

RAP73 permanent (include 10 temporary)

319 0 18 9 0

TOTAL 08 District + 5 Province

04 RAP + 02 A-

RAP

1188 permanent +

106 temporary5525 3 22 173 41


CONSTRUCTION ROUTE 2870.44 m

Map of sub-project area

STARTING POINT

END POINT


Figure 1: Map of sub-project area

General objectives of sub-project:

- Protect human and property during rainy season, from flooding and storm, especially for the riverside areas.

- Build and improve irrigation systems, prevent natural disaster to maintain production stability.

Specific objectives of sub-project:

- To prevent from flood, inundation and minimize the negative effects of natural disasters in order to protect life and property for 10.756 inhabitants and maintain production stability for 651.8 ha of agricultural land, forest land in the communes within sub-project area.

- To stabilize of dike system, creating the route to improve circulation and facilitate dike system inspection when flood occurs, to ensure socio-economic development of sub-project area. Simultaneously, the implementation of this sub-project will generate a beautiful landscape and pure environment without any contamination due to flooding.

Scale of sub-project:

The sub-project will be implemented in Thanh Khai and Thanh Yen communes, Thanh Chuong



district, Nghe An province.

Technical and economic characteristics of sub-project:

- Construction grade: grade III- Designed frequency of water level: P=2%- Crest level at starting point: +13.08m (National elevation system).- Crest level at ending point: +12.61m (National elevation system).

Construction route: from survey landmark TD28 to survey landmark DC with the length of L = 2.87 km.

The main items of the sub-project are:

- Fill to elevate the old dike alignment with compacted soil with volumetric weight = 1.65 T/m3 to the flood preventive altitude, flood frequency P = 2%.

- Repair and newly build 4 under-dike culverts to ensure the irrigation for agricultural production.

- Dike surface hardening by concrete brand M250 to ensure the traffic circulation inside and outside the sub-project area.

Location of project implementation

The project is located on the right bank of Ca River, Thanh Yen and Thanh Khai communes with its length of about 2870.44m.

The dike alignment is built in Thanh Yen and Thanh Khai communes, Thanh Chuong district, Nghe An province.

Geographic location has the following coordinates:

105o 25’56,38” to 105o26’48,09” East longitude

18o41’19,46” to 18o42’21,19” North latitude

Luong Yen Khai Dike alignment has its starting point contiguous to Thanh Luong commune, Thanh Chuong district through Thanh Yen and Thanh Khai communes, connecting with National Road 46 at Rao Gang River with total length of 2.87km and parallel to Ca River.

1.2 Mitigation measures of adverse impacts

With the aim of mitigating the impacts of land acquisition and resettlement, many efforts have been conducted in the periods of sub-project proposal and basic design. The work item “Repair and rebuild 4 culverts under the dike” of the sub-project which requires land acquisition had been carefully studied and the construction measures to minimize the effects of land area and assets on land had been proposed:

+ Apply technical solutions such as building the wall aside to dike roof to reduce the loss of affected land area.



+ Adjust the materials gathering place and the construction site to consistent with the construction measures; minimize the impact to agriculture and aquaculture.

+ Ensure the dike stabilization: Calculate and check the stabilization of the work, select building materials and propose technical measures to ensure the dike stabilization. Utilize excavated soil in order to reduce construction waste and landfill area.

+ The land clearance work will only have minor impact to 3 HHs, therefore Land clearance committee will coordinate with the PC of communes in sub-project area to negotiate with affected HHs about implementation progress.

1.3 Purposes of Resettlement Action Plan (RAP)

The main objective of RAP is to ensure proper procedures are adhered to in the mitigation of the adverse impacts that might occur during the sub-project implementation in order to ensure that the AHs along the construction site will not be affected by the adverse impacts of the sub-project. The RAP is prepared to ensure that the losses of AHs that will be incurred along the construction site will be addressed and that they are assisted to develop their social and economic potential. This will enable them to restore their living standards and income. RAP ensures that the AHs are not worse off than they were before the project came to place and this will be put in place where consideration will be put on women, vulnerable groups, disabled and children who are usually the most affected in such situations.

The RAP is developed based on the RPF to meet the policy of involuntary resettlement of the WB and the management policy of the province and State. RAP determines the number of AHs, the level and quality of their influence, measures to minimize impacts and policies on compensation and assistance.

RAP includes:

- Guideline policy and procedures of land acquisition, compensation and strategy to ensure the rehabilitation of live and the career of the AHs;

- Identify the AHs who will be affected by the negative impacts of this sub-project, they will be compensated at full replacement cost and will be assisted for livelihood restoration;

- Disclose the project information and potential impacts to local communities in sub-project areas, and explain the Resettlement Policy of WB and the Government of Vietnam to local communities.

- Acknowledge the opinions and expectations of AHs and report to the Project owner.

- A plan in which the AHs can engage to all phases of the sub-project, consisting of grievance redress mechanism.

- Budget for the implementation of compensation and assistance allowance for livelihood restoration and administration levies.



The RAP will be updated following the completion of detailed design and DMS, at that time it will identify exactly the scale and level of this sub-project impacts.

II. SUB-PROJECT IMPACTS

2.1 Procedures and methods of Estimation of Loss

Estimation of Loss (EOL) had been conducted based on preliminary technique design, work scale integrated with field trip in order to identify permanently and temporarily acquired areas of the sub-project. The procedures of EOL implementation as per the following:

All the procedures regarding EOL had been commenced from August 2011. Representatives of Thanh Yen and Thanh Khai communes, Thanh Chuong district, Nghe An Province and design consultant had identified the temporary boundary for the sub-project work items and the AHs for the sub-project implementation.

Starting from August 2011, EOL team consists of RAP’s Consultants in coordination with local authorities of 2 affected communes in the sub-project area who were 1 vice chairman of commune, 1 cadastral officer of commune, 1 judicial officer of commune, 1 agriculture officer of commune, water resources officer and heads of villages/hamlets had conducted EOL of affected land and assets on acquired land areas.

2.2 Summary of sub-project impacts

2.2.1. Summary of sub-project impacts

The impact presented in this RAP is an estimation based on preliminary engineering design. Detailed impacts will be assessed and updated properly and sufficiently in RAP when Detailed Measurement Survey is completed (when the project is implemented and exact scale of impact become clearly known). It is also noted that Replacement Cost Survey (RCS) had been done to ensure compensation and assistance allowance to AHs will be done at replacement costs as per RPF. The RT will work closely with provincial PMUs and their consultants to support them in doing RCS and updating/preparing RAP properly.

Based on EOL results, the sub-project work items will affect on total 83 affected HHs, of which 53 HHs in Thanh Khai commune and 27 HHs in Thanh Yen commune will have permanent loss of agricultural land; 3 HHs in Thanh Yen commune will have permanent loss of garden land.

Amongst the AHs, there are 29 poor HHs and 12 FHHs, and they are classified as vulnerable group.

There is no HH who will loss 10% or more of their total productive land.

Total area of permanent land acquisition will be 13.300 m2 including garden land and agricultural land.

For the non-poor HHs, the permanent loss of land which is less than 10% will not cause any significant impacts to their total income.



The implementation of the sub-project will not require any relocation and will not affect to any architectural structures. The survey results indicate that 100% of AHs are Kinh person; there is no ethnic minority in the sub-project communes as well as adjacent communes. In the upstream and downstream area, there is also no presence of ethnic minority.

The repairing and upgrading Luong Yen Khai dike will not cause any changes to the river flow; it will not bring the negative impacts to the local residents from both upstream and downstream toward.

Table 2: Summary of Loss

No Type of assets UnitThanh Chuong district

Total Thanh Khai commune

ThanhYen commune

A Total AHs HH 83 53 30B Land

1 Garden land m2 200 0 200HH 03 0 03

2 Agricultural land m2 13100 7750 5350HH 80 53 27

C Planted trees1 Fruit trees tree 203 0 203

2.2.2 Effects on Households

The implementation of this sub-project will affect to a total of 83 HHs, equivalent to 466 PAPs. Thanh Khai commune will have 53 AHs and Thanh Yen commune will have 30 AHs. Number of PAPs in Thanh Khai and Thanh Yen commune is 292 and 174 respectively.

2.2.3 Effects on houses and auxiliary structures

The permanent and temporary land acquisition, including possibly some borrow pit, quarries, disposal sites for the sub-project implementation will not affect any secondary structure such as kitchens, toilets, wells, livestock houses and the others.

2.2.4 Effects on land

Acquired land for the implementation of the sub-project will include garden land and agricultural land. Total area of permanent land acquisition will be 13.300 m2 including:

+ Garden land: 200 m2 (0.47%), with 03 affected HHs in Thanh Yen commune.

+ Agricultural land: 13.100 m2 (31.19%) with 80 affected HHs.

The implementation of the sub-project will not require any relocation and apart from any impact to minor ethnics, it only causes insignificant impacts to the residents of Thanh Yen and Thanh Khai communes, Thanh Chuong district due to the land acquisition of agricultural land (less than 10%).

During the construction period, temporary occupation land, including possibly some borrow pit,



quarries, disposal sites will be mainly used for building site hut for the workers, gathering building materials and machineries, storage of construction tools and materials. Some places will be available to accommodate waste land and waste construction materials temporarily before being transported to the approved landfill.

After a construction contract has been awarded, the area of temporary occupation land, including possibly some borrow pit, quarries, disposal sites will be addressed and the compensation price will be negotiated between the construction contractor and AHs. The construction contractor will take all responsibilities for temporary land acquisition which will be used for backfill materials. The construction contractor will work with PMU about the cost for compensation, restoration and other expenses, and will negotiate with AHs who have temporary acquired land area.

Temporary occupation land, including possibly some borrow pit, quarries, disposal sites will not be compensated at the compensation cost for permanent acquisition land; however an assistance fund will be available to:

i. Recovering the original conditions of temporary land occupation (as the price for leveling, clean up the discharged grease oil and washing) and return the original condition to land which is temporarily affected land area.

ii. Compensation for loss of production (for agricultural production land with annual crops) because this land area has not been used for the production during the time of temporary occupation. The compensation cost will be equivalent to the average yield of annual crops (this average yield is considered and decided by the authority competent) multiplied by the average number of harvest season (during the temporary time of land occupation, this land area is still be cultivated) and the market price of the output products.

2.2.5 Effects on crops and trees

Trees on temporarily and permanently acquired land will be removed for the implementation of upgrading and repairing Luong Yen Khai dike. Affected trees include perennial trees which will be 24 jack-fruit trees, 45 bamboos, 16 apple trees, 61 pamelos and 57 papaws.

2.2.6 Effects of relocation and resettlement

Relocation on the remaining residential land: the remaining of residential land is enough to build houses and secondary structures. In this case, HHs will receive the compensation to rebuild the entire houses and equivalent structures on the remaining residential land, and they will be partly supported at relocation and renovation the flooring and other expenses to restore their houses following the policies of each province/city and WB policies. In this sub-project, there will be no HH of this case.

Relocation on the remaining of agricultural land: residential land and houses with secondary structures had been acquired, but the remaining of agricultural land is still enough to build



houses and secondary structures. In this case, the agricultural land will be converted to residential land and HHs will resettle on such converted land. In addition to the compensation for the acquired residential land and building houses on the converted land, the HHs will be free charged of converting land (or being supported the converting expenses). In this sub-project, there will be no HH of this case.

Relocation to the new resettlement area: in the case when the remaining of residential land and houses with secondary structures is not enough for the relocation in place, the affected HHs will be compensated to be able to buy the new land in elsewhere and build houses or relocate to resettlement areas of sub-project constructions, and they will receive the income restoration and lives stabilization assistance. In this sub-project, there will be no HH of this case.

2.2.7 Effects on business and income

The implementation of this sub-project will possibly affect livelihoods and business activities of local residents such as shops to be lost or closed due to the inconvenience caused by the appearance of sub-project items; working activities will block the transportation and transaction circulation. This is a potential risk to the production and business as well as income of local people. If the clearance of shop affects on business activities, the PAPs will receive compensation for moving shops (regulated by the compensation policy) and assistance allowance for business interruption, this assistance will be equivalent to income from the shop during interruption or based on the regulation agreed by the Government of Vietnam and WB.

In the scale of this sub-project, there will be no shop or business activity might be affected.

2.2.8 Grave relocation

During the implementation of the sub-project, there will be no affect on any grave of local residents in the sub-project area, in Thanh Khai and Thanh Yen commune, Thanh Chuong district, Nghe An province.

2.2.9 Effects on historical/cultural heritage

In the sub-project area, there will be no historical/cultural heritage to be affected by the implementation of the sub-project.

2.2.10 Severely AHs due to the acquisition of land and assets

According to the Resettlement Policy Framework (RPF) of the project, severely affected households by land and asset acquisition are those who will lose 20% or more (10% for the poor and vulnerable households) of total area of productive land holding, and/or their total income sources due to the Project; and/or have to relocate.

Based on the results of socio-economic survey, by the scale of this sub-project there is no severely AH.



III. RESULTS OF SOCIO-ECONOMIC SURVEY

3.1 Socio-economic survey in the affected sub-project area

The socio-economic survey was carried out at the total of 83 affected HHs. This survey is aimed for bringing together the database of affected HHs to assess the impacts of the sub-project and ensure the proposed entitlements are appropriate and will be used for resettlement monitoring. The scale of data collection includes:

Household head: name, sex, age, livelihood or occupation, income, education and ethnicity;

Household members: number, livelihood or occupation, school age children and school attendance, and literacy, disaggregated by gender;

Living conditions: access to water, sanitation and energy for cooking and lighting; ownership of durable goods; and

Access to basic services and facilities.

3.2 Demographic characteristics of AHs

Total AHs in the sub-project affected will be 83 with 466 people in Thanh Khai and Thanh Yen commune. Most HHs have the family size of 5-7 persons, accounts for 68.67%. (See the Table 14 in the Appendix for more detail).

Amongst 83 affected HHs, there are 71 HHs headed by males and 12 HHs headed by female, of which 3 are classified as single, widows, or divorced, but living together with their .parents and brothers and sisters. 56.53% of HHs heads are at the age from 31-55 (The table 13 in the Appendix tells about the ages of HH heads by gender). This level of age is specially considered as, for their families, they have generated the main income source and acted as decision makers on production and business activities. Their ages are found rather high for attending training courses on income restoration and economic development activities.

The major occupation, also the primary income sources of all AHs (100%) is agriculture. The livelihood of AHs totally depends on agricultural production; they do not have the secondary source of income.

Based on the results of socio-economic surveys, the annual average income of AHs ranges from 12-24 million VND, equivalent to 1-2 million VND/month. The number of AHs who have the monthly average income over 2 million VND, accounts for a very small percentage The income in details is shown in the table below



Table 3: Income of AHs

Monthly income

(1.000 VND)Total Percentage

(%)

Thanh Chuong district, Nghe An province

Thanh Khai commune Thanh Yen commune

< 1.000 37 44.58 26 111.000 - 2.000 39 46.99 24 152.000 - 3.000 2 2.41 0 23.000 - 5.000 3 3.61 2 15.000 - 10.000 2 2.41 1 1

> 10.000 0 0 0 0Total 83 100 53 30

The socio-economic survey indicates that 100% of HH heads are literate, of which 30.12% of HH heads are qualified at Primary level, 65.06% qualified at Secondary level and 4.82% qualified at higher education level. Primary schools and junior high schools are all in communes. On average, each commune has 1 primary school and 1 secondary school, and 100% of school age enrol to school (see the Table 15 in the Appendix for more detail)

With regard to healthcare, each commune has one healthcare station which also hold propaganda on community health protection, environmental sanitation, maternity and children protection, healthcare and family planning.

Water resources for daily use and drinking of PAPs are mainly from well water, rainwater. 100% PAPs use electricity from the national grid.

Almost the affected HHs have the legal LURC. Among 83 HHs, there are only 02 HHs without LURC and 1 HH who is in the process of acquiring LURC. There are many reasons why 02 HHs do not have LURC up to date, for example transaction of land without changing name in LURC, lack of condition for LURC issuance.

Vulnerable group

Total of vulnerable HHs will be 38, of which there are 29 poor HHs and 12 FHHs. 3 HHs are both poor HHs and FHHs. There is no ethnic HHs.

This group of AHs enjoys many preferential policies of the province such as loans for production, free-of-charge health examination and treatment.

Exceptionally, they are entitled to allowance for people of the vulnerable group and eligible to participate in income restoration programs.

Expectation of compensation, resettlement and subsistence assistance

All the AHs were interviewed during the socio-economic surveys about the compensation options, only 2.41% equivalents to 02 AHs gave ideas that they want to have land for land compensation instead of cash compensation, most of them have small resource of productive land and affected area, several AHs of which only have temporarily loss.



78 AHs had chosen the second option of cash compensation payment, accounting for 93.98%. Their statement of choosing this option as of their affected area is small and no affect generated on their production and business, therefore in-cash compensation option is the most businesslike. Moreover, the AHs can utilise their compensation payment for many purposes such as income generation and subsistence stabilization.

There were 03 AHs accounting for 3.61% haven't yet decided the compensation options by “land for land” or cash. However, the surveys in the sub-project area showed that there is no availability of land resources to compensate for the AHs.

The AHs were not only interviewed about the compensation options but also about options for income restoration, many AHs (45%) chose the in-time compensation, meaning that the compensation and assistance are immediately given to the AHs before the land clearance, so that the AHs will have worthy amount of money for income restoration planning. The next options chosen by the AHs were providing credit loans for production development (20 %), vocational training (10%), extension assistance (10%), and assistance with breeding, samplings, in-cash assistance.

Based on the rate of income restoration options chosen by the AHs and the community consultation results, the plan of income restoration will be developed to facilitate the implementation of the sub-project.

During socio-economic survey, the AHs were interviewed about their plan of spending compensation payment. Their plans mainly concentrate on purchasing valuable assets and house instruments, such as motorbikes, colour television, electric fans and so on (33%). Due to the difficult living conditions of local residents, the upgrading of their lives will be the most priority, and the next priority will be saving money or investment in healthcare or education.

Some AHs want to spend compensation money on investing in small business/trade (11%), only 1 AH will spend compensation money for buying a new land. The implementation of this sub-project will not cause any affect on residential land, therefore no AHs will plan to spend their compensation payment on house construction and repairing.

The AHs heads were not only interviewed about their options of spending compensation money but also their options of income replacement. Differs to their options of spending compensation money, almost the AHs chose other options (but not yet decide specific option) with the highest rate of 49%, the following was handcraft career (20%). The AHs had not paid attention on buying land for spending their compensation payment, but in options of income replacement, 03% of AHs selected this option as so far. Agricultural production has traditionally been their main income sources, the following options with small portions of selection were small business, opening new shop.



IV. POLICY FRAMEWORK AND ENTITLEMENTS

4.1 Legal documents on land acquisition and resettlement

RPF was adopted to guide the formulation and implementation of resettlement plans for all sub-projects requiring land acquisition. The overall objectives of the project is to ensure that all PAPs are able to maintain and, preferably, improve their pre sub-project living standards and income-earning capacity through compensation and assistance, to restore life to all types of assets and their affected land (permanent and temporary land loss and the property on land).

The RPF is designed based on the laws and regulations of the Government of Vietnam and policies for involuntary resettlement of the WB.

4.1.1 Laws and principle policies of the Government of Vietnam

The Constitution of the Socialist Republic of Viet Nam (1992) confirms the right of citizens to own and protect the ownership of a house. In addition, the Government has enacted a number of laws, decrees and regulations that constitute the legal framework for land acquisition, compensation and resettlement. The principal documents include:

(i) Land law passed by the National Assembly on 26 November 2003.

(ii) Decree 181/2004/ND-CP of the Government, dated 29 October 2004, on executing Land law.

(iii) Decree 197/2004/ND-CP of the Governement, dated 03 December 2004, on compensation, assistance and resettlement when the State acquires the land. This is arguably the key piece of legislation which replaces Decree 22/CP dated 24 April 1998 which previously provided the primary basis for compensation and resettlement activities.

(iv) Decree 198/2004/ND-CP of the Government, dated 03 December 2004, on charging fees on land use.

(v) Decree 188/2004/ND-CP of the Government, dated 16 November 2004, on methods to identify tariffs and the tariff frames for different types of land.

(vi) Decree 17/2006/ND-CP, dated 27 January 2006, relating to amendment and additions to Decrees 181/2004/ND-CP and 197/2004/ND-CP above.

(vii) Decree 84/2007/ND-CP, on 25th May 2007 on supplementary regulations on granting land use certificate, orders and procedures for compensation, assistance and resettlement when the State acquires land and settling complaints on land.

(viii) Circular 06/2007/TT-BTNMT, dated 15 June 2007, of the Ministry of Natural Resources and Environment guidelines to executing Decree 84 of the Government.

(ix) Decree 123/2007/ND-CP, dated 27 July 2007, relating to amendment and additions to Decree 188/2004/ND-CP above.

(x) Circular 145/2007/TT-BTC, dated 6 December 2007, of the Ministry of Finance guidelines to executing Decree 123/2007/ND-CP of the Government above and



replacing Circular 144/2004/TT-BTC, dated 26 November 2004, of the Ministry of Finance providing guidelines to executing Decree 188 above.

(xi) Decree 69/2009/ND-CP, dated 13 August 2009, regulating additional planning of land use, land prices, land acquisition, compensation, assistance and resettlement.

(xii) Circular 14/2009/TT-TNMT, dated 16 November 2009, of the Ministry of Natural Resources and Environment providing guidelines on executing Decree 69/2009/ND-CP of the Government and replacing Circular 116/2004/TT-BTC, of the Ministry of Finance guiding on executing Decree 197/2004 of the Government.

(xiii) Ordinance 34/2007/PL-UBTVQH11 of the National Assembly, dated 20 April 2007 on implementation of democracy in communes, wards, and townships, regulating issues for public announcement, which including public announcement of “investment projects and works and priority, implementation progress, compensation plans, assistance for land clearance and resettlement relating to project and works in communes”.

Other laws, decrees and regulations relevant to land management, land acquisition and resettlement include the Construction Law 16/2003/QH11, dated on 26 November 2003, on construction activities, rights and obligations of organization and individual investing in civil works construction and construction activities; Decree 105/2009/ND-CP of the Government, dated 11 November 2009 on the sanctioning for administrative violations in land issues; Decree No. 12/2009/NĐ-CP dated 12/2/2009 on the management of construction investment projects and replacing Decree 16/2005/ND-CP and Decree 112/2006/ND-CP on management of construction investment projects; Decree 131/2006/ND-CP, on the management and use of Official Development Assistance (ODA), and Decree 70/2001/ND-CP, on detailed regulations of marriage and family Law implementation, stipulates that all documents registering family assets and land use rights must be in the names of both husband and wife; Decisions of project provinces relating to compensation and resettlement in provincial territory will be also applied for each relevant sub-project.

Laws, decrees and decisions relevant to public disclosure of information include Land Law No. 13/2003/QH11, Article 39, requiring disclosure of information to affected people prior to recovery of agricultural and non-agricultural lands of a minimum of 90 and 180 days, respectively.

Decrees relevant to protection and preservation of cultural property include Decree No. 186/2004/ND-CP requiring that sites currently recognized for cultural and historical preservation and that are situated within the boundaries of waterway safety corridors, should be kept intact according to current legal regulations.

The Central Project Office of MARD is responsible for ensuring effective implementation of the RPF in close consultation with other line agencies and the PPCs and DPCs in the project provinces and districts.



Further to the general policy framework of the Government of Vietnam, Nghe An province also issues the legislation for the application of the Governmental Decrees and the guideline circulars of the agencies and departments about land acquisition and clearance. The following Decision issued the regulations on compensation and assistance for land acquisition in Nghe An province:

Decision No 04/2010/QĐ-UBND issued on January, 19th 2010 by Nghe An PPC, regulation on compensation, assistance and resettlement when the Government of Vietnam acquired land in the territory of Nghe An province.

Decision No 68/2008/QD-UBND issued on October, 27th 2008 by Nghe An PPC on Compensation cost for crops, trees and graves transportation within the province.

Decision No 107/2010/QĐ-UBND issued on December, 23th 2010 by Nghe An PPC on compensation tariff for building new houses and structures when the Government of Vietnam acquired land in the territory of Nghe An province.

Decision No 118/2010/ QĐ-UBND issued on December, 29th 2010 by Nghe An PPC on compensation tariff for land types in Thanh Chuong district.

4.1.2 World Bank Policy on Involuntary Resettlement

The WB's Operational Policy 4.12: Involuntary Resettlement and OP 4.10: Indigenous Peoples are triggered for this Project. The policies describe objectives and guidelines to be followed in situations involving involuntary taking of land and involuntary restrictions of access to legally designated parks and protected areas and when indigenous peoples or ethnic minority are involved (For this sub-project, as mentioned above, there is no presence of ethnic minorities therefore OP 4.10 will not be taken into consideration). The OP 4.12 aims to avoid involuntary resettlement to the extent feasible, or to minimize and mitigate its adverse social and economic impacts. It promotes participation of displaced people in resettlement planning and implementation, and its key economic objective is to assist displaced persons in their efforts to improve or at least restore their incomes and standards of living after displacement. The policy prescribes compensation and other resettlement measures to achieve its objectives and requires that borrowers prepare adequate resettlement planning instruments prior to Bank appraisal of proposed projects.

For the preparation and implementation of project activities involving land acquisition, compensation and resettlement, the WB’s policy requires close consultation with the affected population to define the appropriate mitigation of the potential negative impacts addressing gender, and other vulnerable group issues. The policy also specifies the need for information disclosure to the PAPs, monitoring and evaluation of compensation and resettlement implementation.

4.1.3 Key differences between the Government and WB’s Policy

In recent years, the Government of Vietnam has issued various circulars and decrees relating to compensation and resettlement to ensure the PAPs’ rights and entitlements and to narrow gaps between the resettlement policy of Vietnam and social safeguard policies of donors such as WB and ADB. However, it is required to identify any existing gaps between Vietnam’s policy and



WB’s policy and recommend solutions for resolving them during project implementation. Table 3 provides some differences between the resettlement policy of Vietnam and social safeguard policies of the WB.

Table 4: Basic differences between Vietnam resettlement policy and the WB’s involuntary resettlement policy (OP 4.12)

Viet Nam policy on resettlement

World Bank Policy on Involuntary

resettlement

Policy applied for the Project

Compensation prices: 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 for at the time of land acquisition. If land compensation price is lower than actual transfer price at normal market conditions in locality, PPC is responsible for determining the land compensation price which is suitable to the actual price.

Land compensation should be based on full replacement cost at current market values. A replacement cost survey should be conducted at the time of land acquisition.

At the time of land acquisition implementation, District Resettlement Committees carry out replacement cost survey to ensure that compensation rates for all categories of loss will be equivalent to replacement cost at current market values.

Compensation for house/ structure on ineligible land:Houses and other structures on land that are not eligible for compensation as regulation of law but at the construction time, not violating planning, land use plans announced by the authorities or constructing in line with planning or land use plans and not violating the right of way will be not compensated but assisted at maximum 100% of compesantion norms.

All affected houses and structures, irrespective of land tenure status, should be compensated at the full replacement cost.

Houses and structures on affected land that is non-eligible for compensation but at the construction time, not violating the land use planning announced by the local authorities or not violating the right of way will be compensated at 100% of replacement cost of new houses and structures without any deductions for depreciation of salvageable materials.

Only registered businesses are eligible for assistance.

All affected businesses are eligible for assistance regardless they are registered or not.

All affected businesses are eligible for assistance, whether they are registered or not.

AP’s losing more than 30 percent of productive land (outside resident area) will be entitled to assistance in living stabilization and vocational training/job creation.

To households that have land-based livelihoods, when they have 20% or more of their total productive land area/ income-generated assets acquired, they are

PAPs losing 20% (10% for the poor and vulnerable households) or more of their total productive land area will be entitled to “land-for-land” compensation or cash compensation at replacement



Viet Nam policy on resettlement

World Bank Policy on Involuntary

resettlement

Policy applied for the Project

considered as being severely affected and entitled to restoration assistance.

costs, whichever the PAPs prefer and available land fund of the commune. Apart from compensation for acquired land, assistance for subsistence and vocational training/job creation will also be provided.

No provision for external monitoring.

External monitoring of the resettlement process by an independent and qualified institution is required.

An independent monitoring agency should be recruited to monitor the resettlement and income restoration process.

4.2 Compensation and resettlement policy

4.2.1 General principles

In general, the Land Law 2003 and Decree 197/2004/ND-CP, Decree 17/2006/ND-CP amending and supplementing some articles of Decree 181/2004/ND-CP and Decree 197/2004/ND-CP, Decree 84/2007/ND-CP orders and procedures of compensation implementation, and Decree 69/2009/ND-CP providing additional guidelines on land use, compensation, support and resettlement satisfy most of principles and objectives of the World Bank’s Policy on Involuntary resettlement. To ensure a fair compensation and adequate relocation, rehabilitation of the PAPs, the Government of Vietnam will approve and disclose the RPF for the project before project appraisal by the WB and will prepare RAPs for the next project cycle following the RPF guidance. The project resettlement policy needs to comply with following principles and objectives:

a. Acquisition of land and other assets will be minimized as much as possible.

b. A full RAP will be prepared for subproject with more than 200 PAPs and losing than 20% (10% for the poor and vulnerable households) of the total productive land holding/ income-generated assets or having to relocate based on technical guidelines in this RPF. On the contray, an abbreviated RAP will be prepared in line with technical guidelines in this RPF.

c. All affected people and assets are identified in the project impacted areas as of the cut-off date will be entiled to compensation and restoration measures, those claimed after the cut-off date will not be entitled to compensation. Lack of legal rights to the assets lost will not bar the PAP from entitlement and rehabilitation measures.

d. Compensation and rehabilitation measures to be provided are: (1) cash compensation at replacements costs for lost assets; (2) agricultural land for land of equal productive capacity with full title and acceptable to the PAPs. In case of no land fund available, cash compensation at replacement costs will be provided; (3) replacement of residential and commercial land of equal size with full title and acceptable to the PAPs. In case of



no land available, cash compensation at replacement costs will be provided; and (4) subsistence and livelihood restoration allowances.

e. Plans for acquisition of land and other assets and provision of rehabilitation measures will be carried out in consultation with the PAPs to meet their demands.

f. The compensation and rehabilitation activities will be satisfactorily completed before awarding of contract of civil works under each sub-project.

g. Compensation with “land for land“ will be implemented in places where public land funds are available, if not, compensation will be made with cash at replacement costs. Sources of funds for compenastion and restoration of the PAPs‘ lives will be covered by the project counterpart fund.

h. RAP implementation will be monitored by the project executing agencies on going basis and periodically by the independent monitoring agency to ensure that design work, planning, consultation, and compensation are implemented effectively.

i. Land acquisition, compensation and relocation of PAPs cannot commence until the RAP has been reviewed and approved by the World Bank. All resettlement activities will be coordinated with the civil works schedule.

j. Compensation and rehabilitation asisstance must be provided to each PAPs at least 30 days prior to the taking of assets for those who are not to be relocated and 60 days for those who will be relocated. Exceptions should be made in the case of vulnerable groups who may need more time.

k. Strategies will be adopted to engage women’s active participation in the planning and implementation of the resettlement program as well as other programs. The resettlement committees, resettlement specialists will be directly involved in all aspects of the development and implementation of the gender strategy, to ensure that these measures are adequately implemented.

4.2.2 Rights and Entitlements to Compensation

a) Rights

All PAPs who are identified in the project-impacted areas on the cut-off date of the Project will be entitled to compensation for their affected assets, and rehabilitation measures sufficient to enhance, or at least restore, living standards, incomes and production capacity relative to pre-project levels. The cut-off date will be the final day of the detailed measurement survey (DMS) in each subprojects/investments. Those who encroach into the investment area after the cut-off date will not be entitled to compensation or any other assistance, if being affected.

b) Entitlements

Based on types of impacts, category of the PAPs and their entitlements, the RPF sets up specific entitlements to each type of PAPs satisfactorily in the entitlement matrix below. The Matrix will be applied for all subprojects under the VN-Haz project and for all PAPs, including households affected by land acquisition for construction of resettlement sites. DMS and social impact assessment will identify actual impacts and replacement cost surveys will be conducted to



determine compensation rates to form the basis for preparing compensation plans for the PAPs.4.2.3 Entitlement to compensation and resettlement

Table 5: Entitlement matrix

Type of Loss

Entitled Person Entitlement Implementatio

n IssueNumber of AHs

Entitlement to compensation

Permanent loss of productive Land

Users with Land User Rights Certificate (LURC), users eligible to acquire LURC

Losing less than 20% (10% for the poor and vulnerable households) of total landholding: Cash compensation at replacement cost which is equivalent to the current market value of land within the village, of similar type, category and productive capacity, free from transaction costs (taxes, administration fees)

DRCs inform the PAPs at least 3 months prior to land acquisition.

80 AHs

Users without LURC or ineligible users

Compensation for land at replacement cost if there are no disputes, and no violation with announced planning.

If not meet conditions for compensation, PPC considers for support by specific cases.

DRCs should work with CPCs and affected communities to identify origins of affected land and the starting point of land use to determine compensation or not.

3 AHs

Temporary loss of land

Legal users or occupants

For agricultural land: (i) cash compensation at market prices for trees and crops on land affected and net incomes lost during the period of temporary use of land by the project; and (ii) restoration of the temporarily used land to its original status within one month after completion of construction. For residential land: (i) cash compensation at replacement costs for fixed assets affected by the project (e.g. works, structures); and (ii) restoration of the temporarily used land to its original status before handing back to the land owners. If the project could not restore the temporarily used land, DRCs

The construction supervision consultant and IMO will be responsible for monitoring reinstatement.

After a construction contract has been awarded, the number of AHs who have temporary loss of land will be identified.



Type of Loss



would negotiate to PAPs and pay for costs for themselves restoring.

In case of contractors use temporary land for camping or putting materials, they should negotiate to PAPs about compensation and restoration after use.

illegal users or occupants

For agricultural land: compensation at market price for current affected crops.

For residential land: compensation for assets on the affected land and provision of transportation allowance.

Crops and trees

Owner of crops and trees whether or not land is owned

If standing annual crops are ripening, cash compensation at market price equivalent to the highest production of crop over the last three years.

For perennial crops and trees, cash compensation at current market value based on type, age, and productive capacity.

For timber trees, cash compensation at current market value based on type, age and diameter at breast height (DBH) of trees.

DRCs should inform to PAPs at least 3 months before land acquisition.

3 AHs in Thanh Yen commune.

203 perennial trees.

Entitlements to allowances

Allowance for affected gardens/ ponds that are not considered as residential land

PAPs having their garden/ pond acquired in the same land plot where there are residential land, yet garden/ ponds are not considered

Apart from compensation for acquired land at replacement costs, PAPs will be provided with cash allowance, equivalent to from 30% to 70% of prices of nearby residential land.

PPCs decide the reasonable percentage of allowances.

Paying one time for PAPs at the compensation payment time.

3 AHs who will lose garden land in Thanh Yen commune



Type of Loss



as residential land

Allowance for job changing/job creation

Legal PAPs with direct production activities on acquired land areas

Apart from compensation for acquired agricultural land at replacement costs, PAPs will also be provided with allowances with one of the two following options:

(i) allowance for vocational training/ job creation in cash, equivalent to from 1.5 to 5 times of compensation amounts for all areas of acquired land yet not exceeding the norms of agricultural land assignment in the localities; OR

(ii) allocating one residential land plot or an apartment or a commercial land plot, if the local land funds are available.

PPCs decide the allowance amounts for application in the provinces.

If PAPs’ members in the working age have demands of vocational training, they will be provided with one free course of vocational training.

Paying one time for PAPs at the compensation payment time.

83 AHs

Allowance for people of the vulnerable group

People of the affected vulnerable group, e.g. the poor (according to the MOLISA criteria), or households headed by women, the elderly, or disabled, people without land or ethnic groups

Apart from the aforesaid allowances, PAPs are entitled to:

An allowance of 30kg of rice per person per month for 3 months for the non-poor household.

An allowance of 30kg of rice per person per month for the poor household for not less than 3 years. PPCs decide reasonable numbers of years.

Entitlement to participation in agriculture extension programs, credit.

The contractors will make all reasonable efforts to recruit

The poor households will be those meeting the poverty criteria as set by MOLISA and identified at the DMS time.

The support should be provided at the time of compensation.

29 poor AHs and 9 FHHs



Type of Loss



severely affected and vulnerable PAPs as laborers for suitable jobs in the project.

4.3 Compensation and resettlement strategies

4.3.1 Procedures for Payment of Compensation and Allowances

The CARB is responsible for payment of compensation and allowances to AHs. This will be done with assistance from commune and hamlet authorities. The procedures to be followed include:

(i) Following PPC approval of Compensation Plan, PPMU transfers funds to district treasury; the CARB withdraws funds for payment of compensation and allowances.

(ii) The CARB and local authorities notify AHs about the date, time and place as well as documentation required, for payment of compensation and allowances; compensation is paid in each commune. At least one week notice is given to AHs; notification is made by posting an announcement at commune and hamlet offices.

(iii) At the time of payment, the head of AHs signs a compensation document to acknowledge the amount and receipt of payment. Representatives of the PPMU, CARB and commune witness the payment.

(iv) In case PAPs are without/limit juridical actions, it is required a legal assistance and support from their representatives (family, relatives, social political organizations..) and/or judicial organs in receiving compensation amounts and their most effective management and operation guidance. For PAPs without juridical actions or PAPs in vulnerable groups, CARB will coordinate with CPC and other social organizations, such as Youth Communist League, Women’s Union and Farmer Association etc. in order to support relocation activities to ensure land clearance progress.4.3.2 Vulnerable AHs

Total of vulnerable AHs is 38, of which there are 29 poor HHs and 12 FHHs. 3 HHs are both poor HHs and FHHs. There is no ethnic HHs.

Recognizing that certain vulnerable groups may be less able to restore their living conditions, subsistence and income levels, the sub-project has taken these concerns into the preparation and implementation through a participatory planning and decision making process. Women in the rural villages contribute to household economy and community livelihood development. They will be empowered to actively involved in community activities and projects and their endeavour would be highly appreciated during the project implementation and monitoring.

The vulnerable HHs to socio-economic are the very poor HHs for instance the HHs who have to receive social subsidy from the Government; the FHHs, war-valid HHs, elderly and



disable HHs. In this sub-project, the vulnerable HHs are poor HHs and FHHs. They will be assisted for improving economic conditions and income restoration based on their specific conditions. The aim of WB is to continuously assist the affected HHs until they can recover their pre-project living standard and the income restoration has been fully met.

The allowance includes:

Allowance for the people of the vulnerable group, including the poor HHs and FHHs; there are 29 poor HHs, 12 FHHs of which 3 HHs are both poor and female-headed.

For the FHH who is non-poor HH: 9 FHHs will receive an additional allowance of 30 kg of rice per person per month for 3 months.

For the poor HH: 29 poor HHs will receive an additional allowance of 30 kg of rice per person per month for not less than 3 years for the poor households. Because the loss of their total productive land is less than 10% therefore the proposed reasonable number of years is 4.

Allowance for job transfer/ creation in cash, equivalent to 2 times of compensation amounts for all areas of acquired land yet not exceeding the norms of agricultural land assignment in the localities.

Eligible to participate in income restoration programs.

The Contractors carrying out construction works will be requested to mobilize local labours of vulnerable groups to involve in simple working activities.

4.3.3 Gender strategy

The Project has integrated these issues in project preparation and implementation activities through application of PAPs-participated planning and decision making. Women will be empowered to become active members in community activities as well as in supporting project implementation and monitoring.

During the implementation process, the Project will pay special attention to the women and female-headed HH group. In addition to special allowances as listed in the Entitlement Matrix for these groups, women will participate equally in the whole process of project implementation to enhance the project sustainability. Active participation of women will ensure that design of restoration measures meet their specific needs or concerns.

Affected people strategy will implement gender sensitive problems following by:

(i) Consult women to determine criterions for replaced land or improving current land, especially in planning for current lands and maintain the family as well as set up the relationship with services and public facilities such as school, health organization, market and economic activities.



(ii) AHs consultation about proprietary arrangement will ensure that women (including women who own their family or members of family) know thoroughly about their selections and obligation; and women’s opinions are reviewed for decision making.

(iii) The payment of compensation will be signed by both wife and husband or woman who owns their family.

(iv) Project construction contract includes gender equal commitment: i) ensure not to use child and illegal labour as labour force; ii) not distinguish, against woman labour; and iii) not pay differently between woman and man.

(v) Resettlement information system of project will ensure that all documentation and supervisor won’t have gender discrimination. Women who own AHs or members of sub-project community will be encouraged and supported in participation fully in sub-project resettlement implementation and planning by promoting their knowledge, skills and interest. These activities and the resettlement policy framework aim at creating good conditions for participation, including:

(i) Women will be involved in resettlement planning and implementation. Women who are household heads or members of AHs will be encouraged to participate in Vietnam women’s union.

(ii) The women who are members of District/Commune resettlement committee will be supported to enhance their role through exchange experiences with other districts/communes.

(iii) The affected women and other women of local community will propose their opinion to identify the social and environmental impacts of sub-project.

V. LIVELIHOOD RESTORATION PROGRAMS

5.1 Objectives

Livelihood restoration program mean programs to assist them to improve or at least maintain their pre-project living standards, income earning capacity, and production levels

The overall objective of the policy is to ensure that all people affected by the subproject are able to maintain and, preferably, improve their pre sub-project living standards and income-earning capacity through compensation for the loss of physical and non-physical assets and, as required, other assistance and rehabilitation measures.

5.2 Principles

According to RPF of this sub-project and Decisions of compensation, assistant and resettlement when Government of Vietnam acquire land in the territory of Nghe An province, livelihood restoration measures will be provided for AHs who lose 20% or more of productive land (10% for vulnerable group). The suitable livelihood restoration programs will be designed and implemented with the AHs consultation during project implementation.

5.3 Proposed livelihood restoration program

In the sub-project area, no HHs will be severely affected therefore livelihood restoration program will not be provided. However, after DMS and during sub-project implementation, if severely



AHs are recognised then they will be provided with the livelihood restoration programs as the following:

Restoration programs

According to the survey and public consultation, all AHs would like to be supported by vocational training, increased productivity on remaining land and create jobs for children of labor age.

All severely affected HHs will receive an assistance allowance as per Entitlement Matrix Table in Resettlement Policy Framework.

Moreover, the severely affected HHs will be supported to livelihood restoration and transition allowance by management units and organizations such as:

Project Management Unit: Based on actual need of HHs, the PPMU in cooporation with project’s assistance consultants, independent monitoring consultants of resettlement will conduct a detailed survey of each household's vocational training demands, then contact the vocational training centre to organise training courses.

The PMU will create a list of people with demands and transfer expenditures to the training organizations.

Vocational Training Centre: Organises training courses for recruits and coordinates with the PPMU to arrange/introduce jobs for trainees

Agricultural extension agencies: conduct guidance and provide information about farming techniques, new varieties, measures to improve productivity and crop protection.

Construction Contractor: link with local communities and households to make list and arranged and simple, suitable tasks which people can participate in the construction area.

Households: Participate in surveys, training courses and follow the instructions of the PPMU and vocational training centre.

To implement the next steps of the RP, the PMU will coordinate with local authorities at all levels and social organisations such as the Women's Union to support job training and other activities to promote the restoration of the PAP's' income.

VI. RESETTLEMENT ARRANGEMENT

Households that have to relocate will participate in identifying and selecting options to relocate on their existing plots (if possible for residence as per local regulations), or to move to plots provided by the district or to receive cash compensation and to make their own arrangements for relocation. In the case that any businesses have to relocate, they will be assisted to find viable new sites. Severely AHs that lose 20% or more (10% for the poor and vulnerable households) of total productive landholding will be provided with replacement land or cash compensation,



depending on their preference. Also, severely AHs will be provided with allowances for life and production stabilization. Appropriate livelihood restoration programs will be designed and implemented during project implementation in consultation with PAPs during the project implementation process. AHs will not be displaced until they are allocated land/ houses in resettlement sites.

This dike system is built mainly on the old dike apart from the residential area; therefore there is no required relocation and resettlement.

VII. INFORMATION DISCLOSURE AND PUBLIC CONSULTATION

7.1. The WB’s Information Disclosure Policy (OP 17.50)

The World Bank’s Public Consultation and Information Disclosure Policy (OP 17.50) defines the requirements for giving public access to project information and documentation. It requires that during the planning and preparatory process, project beneficiaries and affected groups and local NGOs shall be consulted and the environment and social aspects of the project should be presented. This is critical for successful planning and implementation of the Project. The consultation throughout the design and implementation of investments must also be compliant with all other applicable safeguard policies of the Government of Vietnam and the World Bank. The policy also requires that relevant documents such as Environmental Studies, Social Assessment, Resettlement Policy Framework, and Resettlement Action Plans must be disclosed to PAPs and kept in places where interested people can access to easily.

7.2. Information disclosure

7.2.1 Information disclosure during RAP preparation

Information disclosure and public consultation were carried out during the preparation and implementation of the project to ensure all the AHs and stakeholders were informed promptly about the land acquisition, compensation and resettlement. This was also an opportunity for PAPs to engage and express their expectation regarding the sub-project implementation programs. Resettlement Consultants cooperated with representatives of district and commune PC of the sub-project area, leader of the village / hamlet organized meetings and public consultation, providing information and guidance to the next steps to ensure that AHs were provided with timely information.

In addition, the organizations and individuals involved in the acquisition of land and assets on land including representatives of social organizations such as the Peasants, Women Association and the Fatherland Front of affected communes in the sub-project area, participated in the meetings of information disclosure and public consultation about land acquisition, compensation and assistance of the sub-project.

The main contents of public consultant meetings were to:



(i) Disclose the general information and WB policies of Vietnam Natural Hazard Management

project (WB5) and sub-project “Upgrade dike site of Luong Yen Khai from K3+262.66 to

K6+133.1, Thanh Chuong district, Nghe An province"

(ii) Inform the project information and WB policies on resettlement, environment, policy of

gender through village loudspeaker, project information leaflet;

(iii) Collect the information and opinions of local residents about the project implementation;

(iv) During the public consultant meeting, it was necessary to re-present all the information

relating to project introduction and WB safeguard policy, to ask for opinions and feedback from

local people about design, resettlement issues, desire and expectations of the people;

(v) Reply the answerable questions of local people about the project and safeguard policy;

(vi) Request CPCs and representatives of CPO, PMU to answer specific questions of local

people about the project detail or local policies;

(vii) Record the opinions of people as well as representatives of CPCs and stakeholders into the

Minutes of Meeting.

7.2.2 Information disclosure during RAP implementation

The purpose of information disclosure is to inform about affected issues, compensation and assistance to the affected HHs and community. There is an undeniable fact of limited social relations and communication with local authorities of the peasants; the concerning issues related policies are not frequently and directly discussed by the peasants.

The plan of information disclosure program was to:

(i) Ensure that the competent authorities as well as local representatives of those affected, were involved in planning and decision making. Project Management Unit worked closely with the Province People's Committee, district and communes/town in the project implementation process. The participation of the affected people during implementation were continued by requesting the district to invite representatives of the affected people to be themembers of district Compensation and resettlement Council/Board and to participate in resettlement activities (property evaluation, compensation, resettlement, and monitoring).

(ii) Share information on all items and activities expected of the project affected persons.

(iii) Collect information on needs and priority of those affected, as well as receive information about their reaction on policies and activities planned.

(iv) Ensure that those affected can be fully informed decisions directly affect the incomes and living standards, and they had the opportunity to participate in the activities and decisions about issues directly affecting them.



(v) Achieve coordination and participation of affected people and communities in activities necessary for planning and implementing resettlement.

(vi) Ensure transparency in all activities related to land acquisition, compensation, resettlement and restoration.

Calculation result of compensation, assistance and resettlement (based on entitlement matrix) was calculated for each AHs and delivered to the AHs. This result was be also held at the office of commune / ward / town PCs and was given to the head, deputy head of village / hamlet to disclose in the next meetings.

7.3 Public consultation

7.3.1 Consultation during RAP preparation

The first consultation was carried out in August 2011 with the main contents:

Inform to local authorities and the PAPs of the sub-project “Upgrade dike site of Luong Yen Khai from K3+262.66 to K6+133.1” in a democratic manner, completely and freedom.

Send the notice about the RAP implementation to local authorities at district and commune/ward/town level:

Investigate the information sheets at every AHs, including:

(i) Their opinions on sub-project “Upgrade dike site of Luong Yen Khai from K3+262.66 to K6+133.1”.

(ii) The consequent influences to the people life in the sub-project area, the advantages and difficulties of resettlement, their idea of compensation and RP.

(iii) Investigate general information of officers and local authorities in the sub-project area.

(iv) The consequent influences to the people life in the sub-project area, infrastructure, the advantages and difficulties of resettlement.

Opinion on compensation, expected Resettlement Plan

The public consultation meetings were held in the communes of sub-project area in August, 2011.

The head of AHs participated in these meetings. There was a total of 80 participatory people, including more than 20% of female from Thanh Khai and Thanh Yen communes, Thanh Chuong district. In addition, the representatives of commune PC and local organizations for example the Peasants, the Fatherland Front, Women, and Youth also involved. The meetings discussed about the sub-project to propose alternative designs and collect public opinion on these. A number of different design plans was brought out to consider and discuss. The communities with head of villages, representatives of social organizations, local authorities in sub-project area were informed about the objectives, purposes and results of the proposed sub-project, as well as



key issues of compensation, land clearance, environmental impact, the construction route, etc.

Information disseminated in the meetings consists of (i) the scope and objectives of the sub-project based on regulation of the Project "Vietnam Natural Hazard Management"; (ii) the policies, principles, and procedures for land acquisition, compensation and resettlement; and (iii) resettlement impacts.

Main problems and opinions of the participants: All the participants agree with the sub-project implementation, the sub-project policy, and they look for the start of sub-project implementation that will create favourable conditions for local people in production and transportation development with goods circulation, cultural and economic exchange within and outside the area.

7.3.2. Consultation during RAP implementation

The purpose of the consultation meeting during RAP implementation was to provide information and consult the AHs and other concerned organizations and individuals about:

(i) The results of EOL, expected cost of compensation and benefits.(ii) The procedures for paying compensation and assistance allowance.(iii) Collected adequate and exact comments of local AHs, created opportunities for PAPs to

participate fully in RAP preparation to ensure the democracy in development.

VIII. INSTITUTIONAL ARRANGEMENT

8.1. Responsibility of Project owner

The Ministry of Agriculture and Rural Development (MARD), on behalf of the Government, is the project owner, has overall responsibility for the whole project. The Ministry of Natural Resources and Environment (MONRE) and the PPCs of the project provinces are the Employers of the sub-projects, has responsibility for investment decisions under sub-projects managed by the Ministry and the provinces. A Project Steering Committee (PSC) will be established, including representatives of the MARD, the MONRE, relevant Ministries and sectors, the PPCs of the project provinces, to be responsible for frequent monitoring and managing the Project during its implementation process

The Central Project Office (CPO) in the MARD that is assigned by the Ministry to be the Project Owner will has overall responsibility for resettlement and land acquisition within the project, including:

Co-operating with the PPCs to direct implementation of compensation and land clearance in compliance with the RPF requirements and in line with the construction progress.

Training and strengthening capacity of the project executing agencies (the Provincial Project Management Units (PPMUs) and the District Resettlement Committees (DRCs)) on RPF and RAP implementation procedures.

Co-operating with the PPMUs to carry out internal monitoring of compensation and resettlement within the whole project.



Recruiting and co-ordinating the independent resettlement monitoring agency for the whole project.

Reporting periodically on resettlement issues to the MARD and the WB.

8.2. Responsibility of People Committee

At provincial level:

Nghe An PPC:Nghe An PPC bears overall responsibility for compensation and land clearance within the province. The PPC is responsible for:

Approving RAP of their respective sub-project

Assigning Thanh Chuong DPC to approve compensation plans for works located in the district. In special cases where the PPC‘s approval is needed for compensation plans, PPC directs relevant Departments and sectors such as the Department of Natural Resources and Environment, the Department of Planning and Investment, and the Department of Finance to together appraise compensation plans submitted by the DRCs so that advice will be provided for the PPCs‘s approval of such plans in accordance with the Government’s regulations on compensation, allowances, and the WB’s involuntary resettlement policy (OP 4.12).

Approving overall plan of land acquisition.

Directing DPCs to implement compensation and land clearance.

Providing adaquate funds for compensation in a timely manner.

Settling complaints and grievances of the PAPs timely and satisfactorily.

At Thanh Chuong district level:

Thanh Chuong District People’s Committees (DPCs) is responsible for:

Establishing DRC and nominating one vice-chairman of the DPC to be the head of the DRC. Members of the DRC consist of representatives of specialized departments such as Department of Agriculture, Department of Economy and Planning, Department of Industry and Commerce, Department of Finance, and Department of Natural Resources and Environment.

DPC directly guides DRC and CPCs of affected communes to implement compensation, and land clearance.

Approving compensation plans submitted by DRC as per assignment by the PPC.

Settling complaints and grievances of the PAPs

At commune level of Thanh Khai and Thanh Yen communes :

Commune People’s Committees (CPCs) in Thanh Khai and Thanh Yen communes are responsible for:

Providing cadastral maps for Resettlement Committees and mobilizing their staff to be members of DMS teams.

Co-operating with DRC in deliverying information and organizing community consultation.

Verifying origins of affected land and assets of PAPs.



Settling PAPs‘ queries relating to inventory of their assets.

Assisting PAPs in restoring their livelihoods, incomes, and stabilizing their lives.

8.3. Responsibility of resettlement committees

Nghe An Provincial Resettlement Committee: Since the scope and level of the project impacts are insignificant, establishment of provincial resettlement committee is not needed.

Nghe An Provincial Project Management Units (PPMU) is responsible for implementing civil works components of the project: PPMU will manage compensation and land clearance of their respective sub-projects, encompassing:

Signing contracts with DRC to carry out compensation and land clearance.

Co-operating closely with Departments, agencies, sectors, and the project DPC in implementing resettlement and land clearance to ensure that the implementation of resettlement and land clearance is in line with the construction schedules.

Monitoring internally implemenation of compensation of the sub-project, preparing quarterly reports on implementation progress of compensation of the sub-project to CPO.

Thanh Chuong District Resettlement Committee (DRC) bears responsibility for implementation of compensation and land clearance for works located in their respective districts, including:

Conducting replacement cost surveys in their districts.

Co-operating with the CPCs to disseminate information and consult affected communities.

Inventorying affected assets, preparing compensation plans to submit to DPC/ PPC for approval.

Co-operating with PPMU and CPCs of affected communes to implement compensation and land clearance.

Responding to PAPs‘ queries and advise DPC in settling PAPs‘ grievances.

IX. GRIEVANCE REDRESS MECHANISM

9.1. World Bank’s Requirements

The WB’s involuntary resettlement policy requires each project to establish a mechanism for grievance settlement and determines responsibilities of the stakeholders for handling grievances raised by PAPs about compensation, allowances, and resettlement. This mechanism aims to ensure that all PAPs’ grievances are received and tackled with satisfactorily. Key principles of the grievance mechanism must ensure that:

(i) The basic rights and interests of PAPs are protected

(ii) PAPs have the rights to lodge grievances and get their grievances settled for free of charge.

(iii)The grievance procedure will be an important part of the conflict resolution mechanism that is community-based, involving representatives of other vulnerable groups.

At the beginning of the project implementation, Resettlement Committees need to popularize the grievance redress mechanism to AHs for their information and introduce grievance procedures to



them. The grievance mechanism will be applied to persons or groups that are directly or indirectly affected by a project, as well as those that may have interests in a project and/or have the ability to influence its outcome either positively or negatively. The PAPs, if not satisfied about the project implementation and compensation, may raise their complaints orally or in writing to responsible people/ agencies as regulated in this mechanism.

All PAPs’ complaints and grievances will be documented and stored at commune/ district/ provincial people’s committees where they are lodged to. Grievance documents and reports will be made public accessible. All costs associated with grievance handing process incurred by the claimant and /her/his representatives are to be free of charge.

9.2. Grievance redress mechanism

Grievances related to any aspect of the Project will be handled through negotiation aimed at achieving consensus. Complaints will pass through 3 stages before they could be elevated to a court of law as a last resort. PPMUs will shoulder all administrative and legal fees that might be incurred in the resolution of grievances and complaints.

First stage, at Thanh Khai/Thanh Yen Commune People’s Committee: An aggrieved affected household may bring his/her complaint before the receiving department of the Commune People’s Committee to be received and guided for necessary procedures. The CPC will meet personally with the aggrieved affected household and will have 5 days following the lodging of the complaint to resolve it (Note: in remote and mountainous areas, the complaint should be resolved within 15 days. The CPC secretariat is responsible for documenting and keeping file of all complaints that it handles.

Upon issuance of decision of CPC, the complainants can make an appeal within 30 days. If the second decision has been issued and the household is still not satisfied with the decision, the household can elevate his/her complaint to the DPC.

Second stage, at Thanh Chuong district level: Upon receipt of complaint from the household, the DPC will have 15 days following the lodging of the complaint to resolve the case. The DPC is responsible for documenting and keeping file of all complaints that it handles.

Upon issuance of decision of DPC, the complainants can make an appeal within 30 days. If the second decision has been issued and the household is still not satisfied with the decision, the household can elevate his/her complaint to the PPC.

Third Stage, at Nghe An province level: Upon receipt of complaint from the household, the PPC will have 30 days (or 45 days in remote and mountainous areas) following the lodging of the complaint to resolve the case. The PPC is responsible for documenting and keeping file of all complaints.

Upon issuance of decision of PPC, the household can make an appeal within 45 days. If the second decision has been issued and the household is still not satisfied with the decision, the



household can elevate his/her complaint to the court within 45 days.

Fourth stage, Nghe An Court of Law Arbitrates: Should the complainant file his/her case to the court and the court rule in favor of the complainant, then Provincial government agency will have to increase the compensation at a level to be decided by the court. In case the court will rule in favor of PPC, the complainant will have to receive compensation as described in the approved compensation plan and obey all requirements of land clearance.

To assure that the mechanism described above is pragmatic and acceptable to PAPs, consultation with local authorities and affected communities about this mechanism is needed, particularly consultation with vulnerable groups.

X. MONITORING AND EVALUATION

10.1 Internal Monitoring

Implementation of the RAPs will be regularly supervised and monitored by the CPO and PPMUs. The findings and recommendations will be recorded by the PPMUs in quarterly reports on implementation progress of compensation and resettlement to submit to the CPO and the WB for review. Internal monitoring aims to:

a. ensure payment of compensation to project affected people are provided based on DMS results and replacement costs of affected assets at the market prices at the compensation time.

b. Ensure resettlement activities are conducted according to the compensation policies as per agreed RPF and RAP for each sub-project.

c. Determine if the required transition and income restoration measures are provided on time.

d. Assess if income and livelihood restoration measures have been provided properly for income restoration by PAPs and propose remedial measures if objectives of restoring income of households have not been met.

e. Implementation of information disclosure and community consultation

f. Determine if complaint procedures are followed and propose solutions if there are pending issues.

g. Give priority to displaced persons' concerns and needs, specially the poor and vulnerable households.

h. Conformity between relocation and land clearance and construction commencement to ensures that PAPs have been provided with compensation, allowance, and relocation satisfactorily before construction commencement.

Detail indicator of internal monitoring in below table.

Table 6: Internal monitoring indicatorsType of monitoring Basis for indicators



Budget and time

Have the personnel for compensation implementation been arranged sufficiently as per plans?

Has compensation been paid as per RAP? Has the social preparation stage been implemented as per plans? Has land been acquired and handed over timely for construction?

Delivery of PAPs’ entitlements

Have all PAPs received their entitlements fully for quantities and types of damages as stipulated in the matrix of entitlements?

Have the PAPs received their payments on time? Have the PAPs with temporary lose of land been compensated for? Have all PAPs been provided with livelihood and income restoration

allowances as per plans? Can PAPs access to schools, medical care services, socio-cultural places

and activities? Have livelihood and income restoration activities been implemented as per

agreed the RPF and RAPs? For example, numbers of PAPs that have been provided with vocational training and jobs, small-scale credits, income-supporting activities?

Consultation, Grievance, and Special Issues

Has community consultation been carried out as plans? Have brochures of project information and entitlements of compensation been delivered?

How many PAPs know about their entitlements? How many PAPs receive such entitlements?

Do PAPs know about and use grievance mechanism as set up in the RPF? What are the outcomes?

Numbers of grievances and types of grievances (by genders, vulnerable groups)?

Numbers of settled grievances (by genders, vulnerable groups)? Levels of awareness on entitlements Levels of satisfaction on entitlements Levels of awareness on grievance mechanism Levels of satisfaction on grievance mechanism

10.2 External Monitoring

The independent monitoring on compensation and resettlement implementation for the whole project will be conducted by an independent qualified consultant organization selected by CPO. Independent monitoring will be required for full RAP and will not be applied for abbreviated RAPs in which internal monitoring is maintained. The independent monitoring consultant should be recruited under regulations of recruiting the Consultant by the WB with a terms of reference that specify frequency of monitoring, methods of monitoring, monitoring indicators, and reporting requirements. Monitoring reports will be submitted to the CPO, the MARD and the WB after finishing site monitoring.

Independent monitoring of RAP implementation will be based on desk review and field visits, meetings with relevant agencies, local officials, and PAPs. Separate meetings with women and vulnerable households will be held. 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.

The external monitoring will address specific issues as follows:

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

b. DMS of affected assets and compensation payment as per policies in approved RAPs;

c. Coordination of resettlement activities with construction schedules;

d. Land acquisition and transfer procedures;

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

f. Level of satisfaction of PAPs with the provisions and implementation of the RAPs;

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

h. Effectiveness and sustainability of entitlements and income rehabilitation measures for PAPs;

i. Gender impacts and strategy;

j. Capacity of PAPs to restore/re-establish livelihoods and living standards. Special attention provided or to be provided to severely affected and vulnerable households;

k. Resettlement impacts caused during construction activities;

l. Participation of PAPs in RAP planning, updating and implementation;

m. Institutional capacity, internal monitoring and reporting; and

n. Channelling of government funds for compensation payment and allowances for severely PAPs or displaced PAPs.

Detail indicator of internal monitoring in below table

Table 7. External monitoring indicatorsType of monitoring Basis for indicatorsSome basic information of PAPs

Locations The average size of households, the average age range, the

average education attainment Genders of the PAPs’ heads Levels of access to health and education services, utilities, and

other social services. Types of houses Types of land and legal status of land use Types of occupations and jobs Sources and levels of incomes

Restoration of living standards

Have depreciation, fees or transaction fees been included in compensation amounts for houses for PAPs?

Have main environmental, cultural, and social conditions of PAPs been restored?

Have lives of PAPs, particularly the vulnerable group, been stable?

Livelihood restoration Have compensation amounts been sufficient for replacement of lost assets?



Has compensation land been enough according to suitable standards?

Have vulnerable groups are provided with chances of incomes? Are such chances been effective and sustainable?

Do new jobs restore pre-project income levels and living standards?

Levels of PAPs’ Satisfaction

Have PAPs agreed with compensation prices? To what extent do PAPs know about their rights and

entitlements? Do they know whether their entitlements are provided or not? To what extent do PAPs self-evaluate their restored living

standards and livelihoods? To what extent do PAPs know about grievance and grievance

redress procedures? Have their grievances been received, settled timely and

satisfactorily as per the mechanism in the RPF?Efficiency of resettlement planning

Have PAPs and their assets been measured precisely? Have illegal or non-legalizable land user been assisted? Have implementation time and compensation budgets been

sufficient to meet resettlement objectives? Have entitlements been satisfactory? Have vulnerably groups been assisted for?

Other impacts Are there any unexpected environmental impacts? Are there any unexpected impacts on jobs or incomes? If any, how have such issues been resolved?

XI. BUDGET AND COST ESTIMATE

11.1 Financial sources for all resettlement activities

All land acquisition, compensation and resettlement costs of the sub-project “Upgrade dike site of Luong Yen Khai from K3+262.66 to K6+133.1 from K3+262.66 to K6+133.1” will be taken from provincial counterpart funds of Nghe An province.

11.2 Compensation and allowance cost estimate

11.2.1. Compensation with replacement costs

Compensation rates will be established in each commune of the sub-project in accordance with replacement cost based on market prices taken at the time of RAP formulation. The rates are set up based on replacement cost survey to update replacement costs and methods to update rates as required when market prices change. Compensation rates will be approved by the PPCs for the project.

Updated replacement Cost Survey (RCS) will be done immediately after the results of Detailed Measurement Survey are completed. This aims to enable a comparison between proposed compensation tariffs (based on Provincial People's Committee's compensation regulations) and replacement costs (identified through the survey). The comparison aims to identify the differences in compensation tariff (between provincial rates and replacement cost survey results) and allow adjustment (to reflect replacement cost) and facilitate



consultation and consensus among affected population. Prices will be updated to take into account price increase, especially if resettlement implementation is delayed.

Resettlement Consultant conducted replacement unit prices survey in the area of communes/towns affected by the sub-project, the survey was conducted in August, 2011. Replacement cost study and survey was conducted based on the following basic principles: (i) productive land (agricultural land, fish ponds, gardens, forests) is based on market prices reflecting the last sales in the locality and surrounding area; (ii) crops is valued equivalent to market value at the time of compensation, and (iii) perennial trees and fruit trees are compensated in cash according to market prices by tree kinds, tree diameter, or a value of output at the time of compensation;

Replacement Cost Survey was conducted through (i) study of the average revenue for agricultural industries (income generated from land) in the locality, (ii) interviews and surveys of project affected households and non-project affected households and (iii) observations and surveys in residential areas. Thereby, replacement unit price is proposed sub-project.

Currently, regulations on compensation unit price and allowances for land, trees, crops as well as architectural structures which were issued by Nghe An People's Committee are updated and published annually by Department of Finance, Department of Natural Resources and Environment, Department of Construction, and local authorities, . Base on results of market price survey, Resettlement Consultant compared the market prices and regulated compensation unit prices in 2011 which are presented in the table below:

Replacement cost is the amount calculated before displacement of affected assets without deduction for taxes, costs of transaction as follows:

(i) Productive land: based on actual current market prices that reflect recent land sales in the area, and in the absence of such recent sales, based on productive value;

(ii) Residential land: based on actual current market prices that reflect recent land sales in the area, and in the absence of such recent sales, based on prices of recent sales in comparable locations with comparable attributes;

(iii) Houses and other related structures: based on actual current market prices of materials and labor without depreciation nor deduction for salvaged building materials;

(iv) Annual crops: equivalent to highest yield in the recent 3 years multiplied by actual current price at the time of compensation;

(v) Perennial crops: cash compensation at replacement cost which is equivalent to current market value given the type, age and productive value at the time of compensation.

(vi) Timber trees: cash compensation at replacement cost which is equivalent to current market value for each DBH, height and age at the time of compensation.



PPC of Nghe An province issued the prices for valuation of affected land, works, structures, trees and crops. Evaluation of replacement price is implemented to compare with prices in the Decisions.

The RCS report will be shown in detail in the Appendix 1.

11.2.2 Compensation costs

Based on the report of replacement cost survey, prices issued by the PPC for agricultural land are proposed to apply for this sub-project as replacement cost.

Based on Decision No 118/2010/QĐ-UBND issued on December, 29th 2010 by Nghe An PPC on compensation tariff for land types in Thanh Chuong district, the price for agricultural land in Thanh Khai and Thanh Yen commune is 40.000 VND/m2 and 37.000 VND/m2 respectively. The price for garden land in Thanh Yen commune is 37.000 VND/m2.

The compensation cost of the sub-project is presented in these tables below:

Table 8: Summary of compensation cost for the agricultural land

Thanh Khai commune

Thanh Yen commune Total (VND)

Agricultural land

m2 7750 5350Unit (VND) 40.000 37.000

Sub-total 310.000.000 197.950.000 507.950.000

Garden landm2 0 200

Unit (VND) - 37.000Sub-total 0 7.400.000 7.400.000

TOTAL 515.350.000

See Table 18 and 19 in Appendix for the detail of acquired land area per AHs in Thanh Khai and Thanh Yen communes.

Land acquisition will cause permanent losses of perennial trees and as mentioned above, there is an available Decision No 68/2008/QD-UBND issued on October, 27th 2008 by Nghe An PPC on Compensation cost for crops, trees and graves transportation within the province. However this Decision was issued in 2008, nearly 4 years ago so it can not reflect the actual current market price of perennial trees; therefore based on the results of RCS, the proposed price for perennial trees will be different from the price regulated by Nghe An PPC. The detail will be shown in the table below.

The affected trees are 24 jack-fruit trees, 45 bamboos, 16 apple trees, and 61 pamelo trees and 57 papaw trees. Of which, there are 35 pamelo trees and 23 papaw trees which were already harvested. The remaining pamelo trees and papaw trees were not yet harvested but unable to remove. Here is the table of compensation cost summary for perennial trees.

Table 9: Summary of compensation cost for perennial trees

Perennial trees in Thanh Yen commune



Type of perennial trees No Unit (VND)Sub-total (VND)

Total

Jack-fruit 24 255.000 6.120.000

15.444.500

Apple 16 153.000 2.448.000Bamboo 45 11.900 535.500

Harvested pamelo trees 35 85.000 2.975.000Not yet harvested

pamelo trees 23 51.000 1.173.000

Harvested papaw trees 26 51.000 1.326.000Not yet harvested

papaw trees 34 25.500 867.000

Total compensation costs for land, crops and trees affected by land acquisition for project implementation in the 2 communes in Nghe An province is of 530.794.500 VND, equivalent to $ 25.892,41.

11.2.3 Assistant and administrative costs

Assistance costs based on the Decisions of the Government of Vietnam and Decision No 04/2010/QĐ-UBND of Nghe An province together with WB policies.

Assistance costs include:

(1) Allowance for the people of the vulnerable group, including the poor HHs and FHHs; there are 29 poor HHs, 12 FHHs of which 3 HHs are both poor and female-headed.

- For the FHH who is non-poor HH: 9 FHHs will receive an additional allowance of 30 kg of rice per person per month for 3 months.

- For the poor HH: 29 poor HHs will receive an additional allowance of 30 kg of rice per person per month for not less than 3 years for the poor households. Because the loss of their total productive land is less than 10% therefore the proposed reasonable number of years is 4.

Based on the SES, most HHs have the family size of 5-7 persons, accounts for 68.67%. Therefore, the family members of each HH which are chosen to calculate the assistance allowance is 5. By this way, the allowance of 30 kg of rice per person per month is equivalent to 150 kg of rice per HH per month.

Based on the RCS, the price of rice per kilogram is 11.000 VND.

(2) Allowance for HHs who lose garden land in residential areas, apart from compensation at replacement costs for the acquired land, cash allowance will be provided, equivalent to from 30% to 70% of the average residential land price in the areas. With the small area of acquired garden land, the proposed cash allowance will be equivalent to 30% of the average residential



land price. The average residential land price in Thanh Yen commune is 200.000 VND/m2, so this allowance is 60.000 VND/m2.

(3) Allowance for career change for HHs who lose agricultural land; at the price twice of the compensation cost for acquired agricultural land.

(4) Administrative costs for implementation including management fee (2%);

This table below presents the assistance cost in detail:

Table 10: Assistance and administrative costs

No Assistance and administrative costs Unit Quant. Unit price

(VND)Amount (VND)

I Assistance costs

1 Allowance for the people of vulnerable group

Allowance for FHHs HH 9 4.950.000 44.550.000

Allowance for poor HHs HH 29 79.200.000 2.296.800.000

2 Allowance for HHs who lose garden land in residential areas m2 200 60.000 12.000.000

3 Allowance for career change and job creation HH 83

2 times of acquired

agricultural land1.030.700.000

II Administrative cost

4 Administration fee (2%) % 2 5.307.945 10.615.890

Total 3.394.665.890

11.3 Contingencies for prise arising and unexpected expenditures

Contingencies for arising price and construction work is decided by 15% of total costs of compensation, all-type assistance for income restoration, administration (management cost) and stated in the table below:

Table 11: Contingencies for arising price

Cost Quantity Compensation andassistance (VND)

Contingencies for arising price (VND)

Thanh Chuong district 15%

Compensation cost 530.794.500 79.619.175

Assistance and administrative costs

3.394.665.890 509.199.884

Total 3.925.460.390 588.819.059

Estimated contingencies for changeable in price and for implementation of the sub-project



is of 588.819.059 VND.

11.4 Total budget of estimated costs

Total expenditures are detailed in the table below including the following costs: (1) Compensation cost, (2) All-type assistances and administrative costs, and (3) Contingencies for price arising:

Table 12: Summary of costs

Unit: VND

N0 Cost Thanh Chuong district, Nghe An province

1 Compensation cost 530.794.5002 Assistance and administrative costs 3.394.665.8903 Contingencies for arising price 588.819.059 Total 4.514.279.449

Total estimated costs are rounded of 4.514.279.449 VND (four billion, five hundred and fourteen million, two hundred seventy-nine thousand and four hundred forty-nine Vietnam Dong) equivalent to 229.208,75 US$. Of which, compensation cost is of 530.794.500 VND, equivalent to $ 25.892,41, the remaining are for assistance costs, administrative costs, and contingencies for price arising.

The price might be variable in the future; this price of compensation and allowance will be updated at the time of compensation payments.

XII. IMPLEMENTATION SCHEDULE

12.1 Implementation activities

The steps of the project’s implementation are as follows:

Order and procedures for compensation and resettlement is based on the Decree No. 197/2004/ND-CP dated 03/12/2004, Decree No. 69/2009/ND-CP on 13/8/2009 of Government's Circular No. 14/2009/TT-BTNMT 01/10/2009 of Ministry of Natural Resources and Environment, and

Decision No 118/2010/QĐ-UBND issued on December, 29th 2010 by Nghe An PPC on compensation tariff for land types in Thanh Chuong district.

Decision No 04/2010/QĐ-UBND issued on January, 19th 2010 by Nghe An PPC, regulation on compensation, assistance and resettlement when the Government of Vietnam acquired land in the territory of Nghe An province.

Decision No 68/2008/QD-UBND issued on October, 27th 2008 by Nghe An PPC on Compensation cost for crops, trees and graves transportation within the province.

Decision No 107/2010/QĐ-UBND issued on December, 23th 2010 by Nghe An PPC on compensation tariff for building new houses and structures when the Government of Vietnam acquired land in the territory of Nghe An province.



With the above legal bases and organizational structure, coordinating concerning sides as described above, the basic operation of the compensation and resettlement is carried out in the following steps:

Step 1: Location Introduction and land acquisition notice

The identification and land acquisition notice is based on the written evaluation letters of land use needs of the Department of Natural Resources and Environment submitted to Nghe An People's Committee for approving and issuing land acquisition notices (including reasons land acquisition, area and location of land recovery on the basis of the existing cadastral or detailed approved construction planning; to assign the district’s people committees for land acquisition notification to the public, to guide compensation and assistance in the district level to perform inventory tasks, establish compensation plans). District’s people Committees is responsible for directing the widespread policy of land confiscation, the regulations on land acquisition, compensation assistance when recover of used land for national defense purposes, security, national interests, public interests and economic development.

Commune’s People's Committee responsible to post up a public notice about land acquisition policies in the commune’s People's Committee headquarters and in the points of living and residential areas where land is recovered, widely reported on radio system level (in places having radio system).

Step 2: Prepare cadastral for land acquisition site:

Based on documents on land acquisition of the municipal People's Committee, Department of Natural Resources and Environment shall direct the registration office for land use rights in same level to make the preparation of cadastral files.

Revision of the cadastral map to suit the current situation and make extracts of the cadastral map for places which have formal cadastral maps or conduct cadastral measurements for places with no formal cadastral maps;

Complete and make extract from cadastral (land register) to send to the DRC;

Make a list of parcels of land to be recovered with the following contents: number of maps, land parcel numbers, names, land use area of the parcel of land has the same purpose, the purpose of land use.

Step 3: Planning, evaluating and approving the general plan on compensation, assistance and resettlement

The Owner guide the consultant unit to create overall compensation and resettlement assistance plans (hereinafter called the general plan) based on survey data, field surveys, existing document issued by the Natural Resources and Environment, which had been assessed and approved along with approved investment projects. Comprehensive plan shall contain the following:

The basis for the plan creation;



General data on the types of land area and grade land for agriculture, the number of maps, parcel number, estimated value of existing assets on the land;

General data on the number of households, number of household members, number of employees in the area of land recovery, clearly stating the number of employees in switched careers, resettlement of households;

Expected level of compensation and support ;

Plan measures to help jobs creation and training plan of job conversion;

Cost estimate to implement the plan;

Funding sources to implement the plan;

Progress of implementation plans.

Step 4: Making the landmarks clearance

After projects are approved by competent authorities, the project owner base on the basic design to conduct the clearance boundary markers, handed over to the organization in charge of compensation management and implementation the next steps of site clearance work. In stage of formulation, approval of technical design (or design of construction drawings) if any adjustment on the scope of site clearance, project investors coordinate with organizations in charge of compensation promptly, accurately and immediately notify the local authority the content adjusted.

Step 5: Prepare The Compensation, Assistance And Resettlement Plan.

1. Field inspection and enumeration.

Based on the land acquisition policy and the site clearance landmarks of the project, the Organization in charge of compensation prepares the detailed enumeration report for each land acquisition case (called the compensation quantity enumerating report, for short). The report has to present specific contents, including names, places of permanent address registration, places of temporary address registration, current addresses of acquired land owners, the number of household members, the number of labourers and social policy beneficiaries (if any); the area and the location of the acquired land lot; the quantity of crop plants and domestic animals; the shape, the dimension, the quantity, the structure and basic features of assets currently on that land; emerging and underground works associated to the acquired land.

2. Identification of the origin of each acquired land lot.

The organization in charge of compensation co-operates with the Land Use Rights Registration Office and Ward People’s Committees to identify the origin of each acquired land lot and the legal owner of the land lot based on documents related to the land use, cadastral documents, cadastral maps, inventory documents, cadastral books, statistics registration books, monitoring books of land use right certificates granting and tax registers of the acquired land.



3. Preparation of the compensation and assistance plan.

Pursuant to the compensation quantity enumerating report, the origin of each acquired land lot, unit prices and compensation policies as stipulated, the Organization in charge of compensation implements the preparation of the compensation and assistance plan with following contents:

- Name and address of the owner of the acquired land;

- Area, type, location and origin of the acquired land;

- Calculation bases for the money amount of compensation and assistance such as the compensated land price, the house price, the compensated works, the number of household members, the number of labourers in the working age, and the number of social benefits beneficiaries;

- Amount of compensation and assistance money;

4. Collection of comments on the compensation and assistance:

- The compensation and assistance is openly posted at ward PC headquarters and at residential activities places where land is acquired so that the land users and relevant people can give comments;

- The posting must be made in written form confirmed by representatives of ward PCs, Ward Committees of Fatherland Front and acquired land owners;

- The period of posting and receiving comments lasts at least twenty (20) days as from the date of posting.

5. Finalization of the compensation and assistance :

- At the end of the plan posting and comments receiving period, the DRC in charge of compensation and site clearance will be responsible for written synthesis of comments, including a clear statement of agreement, disagreement and other opinions towards the compensation and assistance. DRC is also responsible for finalizing the plan and sending the finalized plan and the collection of contributed comments to the Natural Resources and Environment agency for appraisal.

In case there are a lot of disagreement opinions towards the compensation, assistance and resettlement plan, the DRC in charge of compensation and site clearance will need to clarify or review and adjust the plan before it is sent to the Natural Resources and Environment agency for appraisal.

Step 6: Evaluation and approval of the compensation and supporting plan:

- Division of Natural Resources and Environment shall assume the prime responsibility and coordinate with related departments at district level for evaluation of compensation, assistance plan, in accordance with regulation; submission to DPC for approval of the compensation, supporting plan by regulations.



Step 7: Decision on land acquisition and redress grievances against decision on land acquisition.

- Based on report of land acquisition, compensation and support prepared and approved by competent agencies, the extracts or the cadastral measurements of land plots. District People's Committee makes decisions of land acquisition for affected households, individuals and communities.

- During the implementation of land acquisition, if there is any question or complaint from citizens, the CPC will gather comments and complaints and send to the competent authorities’ to consider.

While a decision of grievance redress is pending, decisions on land recovery must be continued. Where State agencies have jurisdiction over complaints concluded the land acquisition is contrary to law, must stop land acquisition, state agencies have issued decision to withdraw the land must make new decision on cancelling the decision issued on land acquisition and must compensate damages from recovery decisions (if any). Where State agencies have jurisdiction over complaints concluded the land acquisition is lawful, the person whose land is recovered to abide by the decision of land recovery.

Step 8: Compensation, assistance and resettlement plan approval and disclosure.- District People's Committees approve the compensation, assistance and resettlement plan according to regulations.

- Within a period not exceeding three (03) days from the date of receipt of the approved compensation and assistance, DRC coordinates with CPCs disseminate publicly approval of the compensation, assistance and resettlement plan in CPC headquarters and at communal activities places in residential areas where land is recovered; send the decision on compensation and assistance to people whose land is recovered, which clearly states the level of compensation, assistance, on land allocation and resettlement (if any), time and place of payment of compensation, assistance time and hand over the land recovered to DRC.

Step 9: Payment of compensation and assistance

Compensation and assistance will be paid after the approving decision of compensation and assistance.

Step 10: Hand over and enforcement of land acquisition

- Within twenty (20) days from the date of organization in charge of compensation and site clearance complete payment for compensation and support for land acquisition under the approved plan, the person whose land is recovered, is responsible to hand over land to the organization in charge of compensation and site clearance.

- In cases where the people, who land is recovered, is not implement the decision of land acquisition, the competent level people's committee will issue coercive decision for land



acquisition. The forcible land acquisition shall comply with the provisions of Article 32 of Decree No. 69/2009, ND-CP dated 13/8/2009 by the Government

12.2 RAP updating procedure

Currently the accurate data number of permanent and temporary affected households is not yet identified; therefore precise data of affected people and assets of the sub-project will be updated in the RAP of the sub-project after completion of detailed measurement survey (DMS). The Entitlement Matrix Table will be updated accordingly.

The updating RAP is carried out in the following steps:

- Update the new information or any changes relating to the RAP.

- Submit to CPO and WB for prior review before compensation payment.

- Approved by WB.

- Implement the compensation payment.

12.3 Implementation plan

The implementation schedule for resettlement activities for the sub-project is presented in the following table including (i) Community consultation activities, (ii) activities that have been completed to prepare the RAP; and (iii) external monitoring activities.

Table 13: Implementation Schedule



Activity Responsible party Implementation plan

Preparation for implementationApproving safeguard policy frameworks (RPF and EMPF) and RAPs of 4 sub-projects that are implemented in the first year.

The WB and the GOVQuarter 1/2012

Publishing the Safeguard Policy Framework and RAPs on the GOV and the WB’s websites

CPO Quarter 1/2012

Training on safeguard policy frameworks for the project officers and the DRCs

CPO and Resettlement Consultant Quarter1/2012

Recruiting the independent monitoring agency CPO Quarter 2/2012Updating RAPs(*) of the 4 sub-projects implemented in the first year

CPO and Resettlement Consultant Quarter 3/2012

PPMUs sign contracts with DRCs for RAPs implementation

PPMUs and DRCs Quarter 3/2012

Implementation of RAPs of 4 sub-projects in the first yearDisseminating project information to PAPs DRCs and CPCs Quarter 3/2012Inventorying affected assets and preparing compensation plans

DRCs and CPCs Quarter 3/2012

Paying compensation and clearing sites PPMUs, DRCs, and CPCs Quarter 4/2012

Monitoring resettlement internally every month and preparing quarterly reports

PPMUs Quarter 2/2012

Monitoring resettlement externally every six months and preparing monitoring reports

Independent monitoring agency Quarter 3/2012

RAPs preparation for the remaining sub-projectsProcedures of RAP preparation for the remaining sub-projects should comply with guidelines stated in Annex 1 and resettlement policies described in this RPF.

CPO and RAP preparation consultant Quarter 1/2013

Approval of RAPs for the remaining sub-projects.

PPCs and the WB Quarter 2/2013


Vietnam Natural Hazard Management Project – (VN-Haz) Sub - project “Repairing and Upgrading Luong Yen Khai dike from K3+262.66 to K6+133.1, Thanh Chuong district, Nghe An province”.

APPENDIX

APPENDIX 1: REFERENCE TABLES

Table 14: Characteristics of affected HHs

AgesMale headed

(HHs)Female headed (HHs)

Total (HHs)

Percentage (%)

From 18 - 30 0 0 0 0From 31 - 55 39 8 47 56.63From 56 -70 29 3 32 38.55

Over 71 3 1 4 4.82Total 71 12 83 100

Table 15: Number of HHs and household demographics (%)

Family size

Total LE. 4 persons 5 - 7 persons More than 7 persons

Number of HHs % Number

of HHs % Number of HHs % Number

of HHs %

Total 83 100 12 14.46 57 68.67 14 16.87Thanh Khai commune 53 63.86 6 11.32 37 69.81 10 18.87

Thanh Yen commune 30 36.14 6 20 20 66.67 4 13.33

Table 16: Education level of HH heads

Level of education Illiteracy Primary school

Secondary school

High school

Intermediate level

No % No % No % No % No %

Total 0 0 2530.1

2 54 65.06 04 4.82 0 0Thanh Khai commune 0 0 15

28.30 36 67.93 02 3.77 0 0

Thanh Yen commune 0 0 10

33.33 18 60.0 02 6.67 0 0

Table 17: Owner status of affected land area

Unit: HH

Thanh Chuong district, Nghe An

province

Type of owner statusTotalDo not have

LURC Have LURC In the process of acquiring LURC

Total 2 80 1 83Thanh Khai commune 1 51 1 53Thanh Yen commune 1 29 0 30



APPENDIX 2: REPORT ON REPLACEMENT COST SURVEY

1. Objective of survey

The objective of this survey about the replaced price is to identify the compensation price for all kinds of land, assets, trees and crops of affected households by sub-project. The replaced price is similar and higher than popular price in the market to ensure that no affected households will have worse situation than before sub-project. On the contrary, at least all affected households will maintain or improve living standard compared to before sub-project. The survey is conducted in August, 2011.

2. Methodology

2.1. Approach.

Rapid assessment methods will be introduced to study the replacement costs. Information collected from both desk research and direct interviews with people in affected area, both those persons who are affected and those not affected, is analyzed to establish replacement costs.

Desk research will focus on relevant publications, materials of Government authorities, both at central and local levels. However, these materials will play the supporting role only.

As the work is aimed at obtaining reasonable replacement costs for different types of affected assets, market evidences are the factors which most strongly base the formulation of these costs. Direct interviews with people in the affected area, both those, whose assets are affected by the Project and those, whose assets are not, will produce reliable data for establishment.

The study team consists of experienced resettlement specialist, economics, and plan-makers.

2.2. Methodology.

a. Replacement costs for Lands

The most effective way to obtain the replacement costs for land – actually, market value for lands- is to gather data of some sales of land, which have just taken place. However, the transfer of land use right does not always go along with such sales, which makes details of such sales not recorded. So, the sale evidences to support the verification of provincial prices will be collected. In addition, information to base the establishment will be gathered from direct interviews with owners of land in the area along the road. The interviews will cover the following issues:- The recent land use rights transfer in the area;- The price, at which owners (affected and not affected persons) are willing to sell their land.

Apart from determining the rates for various types of land, the transaction costs involved such as administrative charges, taxes, registration and titling costs, etc. will be determined. The replacement cost for each type of assets will be specified with the transaction costs.



b. Market Prices for trees

The basis of the establishment the market prices for trees is to determine the average market price for each type of tree. The information to base the establishment will be collected from:

a) Secondary sources:

- Publications of National Statistical Office

- Publications of Price Committee

b) Primary sources:

- Interviews with people who own the same trees in the locality. The interviews will cover price, at which owners are willing to sell each type of trees. The prices for perennial trees will be differentiated by the age of the trees.

- Team will investigate the sales price of outputs of different type of trees in the market.

c. Establishment of Replacement Cost.

Replacement Cost = Current Market Value + Transaction Cost

Apart from determining the rates for land and non-land assets indicated above. The study team will determine the transaction costs involved such as administrative charges, taxes, registration and building permit costs.

The replacement costs for lands and assets will be presented by districts, with detailed information by communes of the districts.

3. Sample selection for the survey

Affected households are prioritised for the selection of sample for the survey. Through this, their demands about compensation unit price are reflected. However, to have objective results, unaffected households who have similar characteristics about geographic location, kinds of assets... are also selected for the survey. For the households not having transferred land, their expected price which they want to transfer for the other or they could buy is investigated. During the survey, the households who have just transferred land, trees and crops and just constructed works are prioritised because they are clear evidence for existing price.

The scope of selected samples depends on the number of affected households in communes and affection level of their assets.

4. Information treatment

Information collected through survey are noted and kept carefully by each area; then they are synthesized and analysed. From that, the price level approximate with the market price of each asset in each area is identified.

5. Investigation results



The sub-project is in rural area where the market economy especially land market has not developed and there is a fact that all the PAPs in Thanh Khai and Thanh Yen commune live on agricultural sector, making up 100%, therefore they rarely sell their productive land. As a consequence, the replacement price for agricultural land is the same as the price regulated by Nghe An PPC, as per Decision No 118/2010/ QĐ-UBND issued on December, 29 th 2010 by Nghe An PPC on compensation tarrif for land types in Thanh Chuong district.

Following is the results of price investigation for the sub-project:

No Investigated items Units Provincial

price (VND)Investigated price (VND)

Applied price (VND)

I Land

Agricultural land in Thanh Khai commune

40,000 40,000 40,000

Agricultural land in Thanh Yen commune

37,000 37,000 37,000

II Tree and crops

1 Jack-fruit Tree 150,000 255,000 255,0002 Apple Tree 90,000 153,000 153,0003 Bamboo Tree 7000 11,900 11,900

4 Harvested pamelo trees Tree 50,000 85,000 85,000

5Not yet

harvested pamelo trees

Tree 30,000 51,000 51,000

6 Harvested papaw trees Tree 30,000 51,000 51,000

7Not yet

harvested papaw trees

Tree 15,000 25,500 25,500


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