Da Nang - Quang Ngai Expressway Development Project

Transcription

1 Public Disclosure Authorized Public Disclosure Authorized DA NANG-QUANG NGAI EXPRESSWAY PROJECT Due Dilligence report, Phu Ninh district, Quang Nam province MINISTRY OF TRANSPORT VIETNAM EXPRESSWAY CORPORATION Da Nang - Quang Ngai Expressway Development Project SUBRAP FOR PHU NINH DISTRICT, QUANG NAM PROVINCE (Final version) CONSULTING SERVICE: UPDATING RESETTLEMENT ACTION PLANS FOR REMAINING SUBPROJECTS (SUBRAP) UNDER CONTRACT CS1 CONSTRUCTION SUPERVISION CONSULTANT BỘ GIAO THÔNG VẬN TẢI Public Disclosure Authorized Public Disclosure Authorized Prepared by VEC Dated October, 2016 Page 1

2 MINISTRY OF TRANSPORT VIETNAM EXPRESSWAY CORPORATION Da Nang- Quang Ngai Expressway Development Project SUBRAP FOR PHU NINH DISTRICT, QUANG NAM PROVINCE (Final version) CONSULTING SERVICE: UPDATING RESETTLEMENT ACTION PLANS FOR REMAINING SUBPROJECTS (SUBRAP) UNDER CONTRACT CS1 - CONSTRUCTION SUPERVISION CONSULTANT REPRESENTATIVE OF CLIENT CONSULTANT

3 TABLE OF CONTENTS PART I. INTRODUCTION... 1 A. Project overview... 1 B. Summary of Impact... 3 C. Current status... 5 D. Objectives of this report... 5 PART II.DUE DILLIGENCE... 7 A. Detailed Measurement Survey (DMS)... 7 B. Socio- economic profile of surveyed HHs C. Overall assessment of land acquisition, compensation payment, assistance and resettlement D. Payment of Compensation and allowances E. Description of RCS implementation F. Development of resettlement sites G. Income restoration program H. Grievance I. Public consultation Information disclosure and public consultation in the process of RAP preparation E. Monitoring F. Supervision by World Bank G. Compliance matrix H. Suggested corrective actions & Implementation schedule PART III. ANNEXES Annex 1: Questionnaire Template for Socio-economic Survey Annex 2: The Minutes of Public Consultation Meetings Annex 3:Relevant legal documents61 Page i

4 LIST OF TABLES Table 1: Main specifications of Expressway... 1 Table 2: Impact scope of Expressway... 2 Table 3: Summary of Scope of impacts... 3 Table 4: Summary of project impacts by affected communes... 4 Table 5: Quantity of implemented compensation by communes... 5 Table 6: Information about types of affected land by communes... 8 Table 7: Total cost paid for compensation payment and assistance... 9 Table 8: Socio-economic information of surveyed households in Phu Ninh district Table 9: Characteristics of surveyed households Table 10: Education level of surveyed households Table 11: Main occupation of affected surveyed households by communes Table 12: Syntheses of decisions on replacement cost in Phu Ninh Table 13: Level of satisfaction with compensation rate Table 14: Summary of resettlement sites in Phu Ninh district Table 15: Information about resettlement sites Table 16: Satisfaction levels of households for resettlement sites Table 17: Times, locations and number of participants in consultation meetings Table 18: Summary of discussions and comments in public consultation meetings Table 19: Compliance matrix Table 20 Recommended Corrective Action Plan Page ii

5 ABBREVIATIONS CPC DPC DARD DOC DOF DONRE DPI DOT DMS DP EMA FS GOV IDA IOL LURC MOLISA MOT NGOs PIB Commune People s Committee District People s Committee Department of Agriculture and Rural Development Department of Construction Department of Finance Department of Natural Resources and Environment Department of Planning and Investment Department of Transport Detailed Measurement Survey Displace Person External Monitoring Agency Feasibility Study Government of Viet Nam International Development Association of the World Bank Inventory of Losses Land Use Rights Certificate Ministry of Labor, Invalids and Social Affairs Ministry of Transport Non-governmental Organizations Project Information Booklet PMU85 Project Management Unit 85 PPC Provincial Peoples Committee Page iii

6 RCS RAP (or RP) SES TOR USD VND WB WU Replacement Cost Survey Resettlement Plan Socio-Economic Survey Terms Of Reference US Dollar Vietnam dong World Bank Women s Union Page iv

7 DEFINITIONS Affected Person(s) (APs) Involuntary resettlement Resettlement Assistance Cut-off date Affected Person(s) (APs) are the persons who are affected by involuntary taking of land, resulting in: a. Relocation or loss of residence; b. Loss of assets or ability to access such assets; c. Loss of income sources or means of livelihood, regardless of relocation; and d. The involuntary restriction of access to legally designated parks or protected areas causing adverse impacts on their livelihoods Unavoidable resettlement losses resulted by a development project in which affected people have no option but to rebuild their lives, incomes and asset bases elsewhere. Additional support provided to APs who are losing assets (particularly productive assets), incomes, employment or sources of living, to supplement the compensation payment for acquired assets to achieve, at a minimum, the full restoration of living standards and quality of life same as their pre-project condition. The date after the project is approved when the project boundaries are marked on the ground and announced to APs and local people. Affected persons and local communities will be informed of the cut-off date for each Project component, and any persons moving into the project area after that date will not be entitled to compensation and assistance under the Project Detailed Measurement Survey (DMS) Compensation Entitlements The finalization and/or validation of the results of the inventory of asset losses (IOL), severity of impacts, and list of APs done during the preparation of the final resettlement plan Payment in cash or in other forms for impacts on land, houses, income and other affected assets due to land acquisition for the project implementation. The range of measures comprising compensation, assistance, income restoration support, transfer assistance, income substitution, relocation and resettlement support, which are owed to the APs to restore their economic and social base depending on the type and severity of their losses. Host community The community is living at the project area, in the proposed resettlement sites. Income restoration/livelihood improvement Land Acquisition The restoration and/or improvement of income sources and livelihoods of relevant APs. The process by which the State issued administrative decisions to acquire the land-use rights or land allocated to users as regulated Page v

8 Relocation/ Resettlement Site Replacement Cost Survey Replacement Cost Survey Vulnerable Groups Relocation means APs movement away from their old residence and resettlement site means a new residence of APs. The amount of money, which is needed to replace an affected asset and cover the transferring costs for such assets, including costs of materials and labor forces as follows: a. Replacement cost definition is used to calculate the compensation payment for an b. Affected asset based on the market prices plus transferring costs including taxes, costs of transportation and labor force, etc. (OP 4.12, note 11). Market prices are determined by the PMU with the confirmation of the local authorities and consultation with the affected persons. The methods of determining current market prices should be updated from time to time. c. Houses and other related structures based on current market prices of materials and labor without depreciation or deductions for salvaged building materials plus fees for obtaining the ownership papers; d. Standing crops based on the current market value of the crop at the time of compensation; e. Perennial crops and fruit trees will be compensated by cash equivalent to the current market value given for the type, age and productive value of such trees (future production) at the time of compensation. The process involved in determining the replacement cost of land, houses and other affected assets based on market surveys. Distinct individuals or groups of people who might suffer disproportionately from the risk of land and property acquisition or building resettlement sites specifically including: (i) households falling under the MOLISA s poverty line, (ii) households with of martyrs, wounded and sick soldiers, heroes of the people s armed forces and labor, and families who sacrificed to the Revolutions; and households suffering from Agent Orange; (iii) Any additional group determined by meaningful socio-economic surveys and public consultations. Page vi

9 Introduction EXECUTIVE SUMMARY 1. On 10/9/2010, Ministry of Transport issued Decision No / QD on approval of Da Nang - Quang Ngai Expressway Development Project with a total investment of US $ billion (equivalent to VND 28,000 billion) from loans of World Bank (WB), Japan International Cooperation Agency (JICA) and counterpart fund of the Government of Vietnam, with a total route length of 139,2km and construction of 4 lanes in the phase 1 and expansion of 6 lanes in the phase The Construction of Da Nang - Quang Ngai Expressway Development Project affected 13 districts/towns of three (3) provinces/cities including Da Nang, Quang Nam and Quang Ngai. Impact scope by project 3. For this report, it mentions only impacts of the project in 05 communes in Phu Ninh, Quang Nam province. The result of Detailed Measurement Survey (DMS) was implemented by the Land Fund Development Center of Phu Ninh district. They confirmed that a total 1,149,866 m2 area of land is acquired including residential land, agricultural land, cemetery land and so on those are used and managed by 1,236 households and 05 Commune People s Committee (CPCs) in district those are affected by loss of property and livelihood due to construction of expressway. A large number of affected households will lose more than 1 type of property such as land, buildings, and annual trees and crops. There are 206 HH (in 318 plots) totally affected on residential land and houses and have to be relocated. Of these 160 hh (250 plots) are to be relocated on 7 RS and the remaining 46 hh (68 plots) who have opted for self-relocation are to settled on another location. There are 2,602 graves to be to be removed. 4. Resettlement Action Plans (RAPs) for 3 provinces of Da Nang city, Quang Nam and Quang Ngai were cleared by WB and the Government of Vietnam in June, 2010 and amended in June, RAPs have been developed on preliminary design and initial inventory of loss (IOL), and could be updated according to detailed technical design and DMS before implementing compensation payment, site clearance and construction. As per Vietnam s regulations, implementation of compensation, assistance, resettlement and site clearance for Da Nang- Quang Ngai Expressway Development Project has been decentralized to district level. Updated RAPs (SURAPs) are required to be prepared for corresponding districts/city, accordingly. 5. DDR for Phu Ninh is prepared for the sections crossing three communes with a total length of km. As per Project Policy Framework and Resettlement Action Plan for Quang Nam province, World Bank (WB) Mission at the Memorandum of Understanding (MOU) dated October 2015 requested for preparation of a due diligence report on compensation, assistance and resettlement and updating RAPs for the remaining subprojects (for households who have not been paid compensation and assistance). Currently, compensation payment in Phu Ninh has been Page vii

10 basically completed. By September 2016, actual progress of compensation, assistance and resettlement in Phu Ninh has completed at 99.38%, so that this Due Diligence Report 6. Due Diligence Report is aimed to (i) summarize actual impacts of the project s work items in all communes of the whole district; (ii) Assess the project s compliance in compensation and assistance payment with the provisions mentioned in RAP related to compensation payment advance parts as proposed by VEC and identify the differences (if any) and suggest corrective actions and implementation schedule. Assessment of land acquisition, compensation and resettlement 7. At the time of preparation of this updated report, out of 1,149,866 m 2 of affected land, 1,142,881 m 2 (accounting for 99.38%) belonging to 1,225 households, 5 CPCs and 2,602 affected graves were paid compensation and assistance with a total cost paid for completed volumes of VND 177,679,485,524. The remaining 11 households have not been paid compensation in Tam Thai commune resettlement sites with 250 plots have been developed with basic infrastructure for relocation of 160 hh. Project authorities are preparing another site for the remaining 46 hh, with 68 plots, who have opted for self-relocation. 9. By September, 2016 the issues in regard to development of RS and allocation of plots have been fully resolved and payment of compensation and allowances have completed except for the remaining 11 households, which is in the process of completion. The major pending noncompliance issues include: (i) complaint in Tam Thai commune for payment of compensation for affected business, assistance for relocation of business and allocation of plots in RS, (ii) payment of full compensation for structures on agriculture land built after July 2007, and (iii) job change allowance for additional 2 months to hhs affected by loss of 20-30% of agricultural land. Available data on vulnerable hh does not include women headed households Resettlement Action Plan for unpaid households 10. Up to date, total 11 households affected with residential land and with structures, have not been paid compensation and assistance yet. A resettlement action plan is prepared incorporated in this report to ensure entitlements for AHs and compliance with project RAP. 11. During the preparation of RAP, many consultation meetings, disclosure of information and indepth interviews with AHs were carried out. A socio-economic survey was conducted in March, 2016 for 25% total of affected households in Phu Ninh district. Total cost for compensation and assistance for unpaid households is estimated at VND 10,079,994,261. In addition, an additional fund will be submitted in December, 2016, after stakeholders of the project implements a review according to contents of resettlement action plan. Implementation arrangements Page viii

11 12. Consultants are responsible for preparing and submitting this report to EPMU for review. Then, EPMU will send the report to VEC to review and submit to WB. After receiving no objection from WB, subproject PMU will complete compensation payment, assistance, and resettlement for affected people and implement site clearance for construction. 13. Regarding the implementation of corrective action plan VEC directed EPMU to coordinate with local stakeholders to review and prepare plan of additional assistance and make payments for affected households, and submit the report to the World Bank by 15 December Page ix

12 A. Project overview PART I. INTRODUCTION 1. Danang - Quang Ngai Expressway Development Project, which is a part of North-South Expressway, is set up to improve traffic system through creation of a safe road for vehicles with heavy transport and high speed and management of institutional strengthening for expressway system. In long term, this route also serves a variety of strategic objectives as contribution to improve environment, reducing congestion and traffic accidents on National Highway 1A, shortening travel time between localities and complement of international transport connections of economic triangle (Laos - Cambodia - Vietnam) via East-West economic corridor to ports in Central area of Vietnam. Thus, Vietnam will have many investment opportunities and promote development of key economic regions in Central, contributing to improving people's lives in the country in general and 3 provinces / cities of Da Nang, Quang Nam and Quang Ngai in particular. Besides, the route also is significant to emergency aid for the Central People who have frequently suffered from floods and have been affected severely. 2. On 10/9/2010, Ministry of Transport issued Decision No 2656/QD-BGTVT on approval of investment Project with the following main contents: Total project investment fund is US $1.472 billion (equivalent to VND 28,000 billion) from loan of WB, Japan International Cooperation Agency (JICA) and counterpart fund of Government of Vietnam. Time of implementation in Phase 1 (4 lanes) is from 2011 to Client is Vietnam Expressway Corporation (VEC). Project Management Unit: - Project Management Unit 85 (PMU85): section from KM0 - KM65; - Project Management Unit 1 (PMU1): section from KM65 - KM131. Technical design unit, bid assistance is Joint Venture of Nippon Koei Consultancy Company, Nippon Engineering Consultants, Chodai and Thai Engineering Consultants. Table 1: Main specifications of Expressway Route length km (Expressway: km, Connecting road: 8.02 km), the starting point at Tuy Loan interchange in Hoa Vang district, Da Nang city, the ending point at Tu Nghia district, Quang Ngai province Type/ Level Expressway: Type A, Grade 120 Connecting road: Level III, Plain Page 1

13 Design speed Expressway: 120km/h (Tunnel: 100km/h) Connecting road: 80km/h Width Expressway, Road and Bridge: 25.5m Tunnel: Connecting road: 12.0m Number of lanes Traffic operation and equipment system 4 lanes in the 1 st stage (6 lanes in the final stage) 01 Traffic Management Center, 01 Expressway Operation Office, 09 Toll Plaza Offices, 02 Service areas, 04 Parking areas Table 2: Impact scope of Expressway Province Section Length (m) Package District Da Nang KM KM PKG1 Hoa Vang. Dien Ban KM KM PKG2 Dien Ban KM Km PKG3A Dien Ban KM KM PKG3B Dien Ban, Duy Xuyen Quang Nam KM KM PKG4 Duy Xuyen, Que Son KM KM PKG5 Que Son, Thang Binh KM KM PKG6 Thang Binh KM KM PKG7 Thang Binh, Phu Ninh KM KM PKG A1 Phu Ninh, Tam Ky city, Nui Thanh KM KM PKG A2 Nui Thanh, Binh Son Quang Ngai KM KM PKG A3 Binh Son KM KM PKG A4 Binh Son, Son Tinh KM KM PKG A5 Son Tinh, Tu Nghia Page 2

14 B. Summary of Impact 3. Da Nang- Quang Ngai Expressway Development Project goes through 05 communes of Phu Ninh district with total km in length (about Km to Km ). While mitigation measures for minimizing the permanently affected land area were studied and evaluated in consideration to selection of optimal measures of the Project; however, land acquisition for the project construction is unavoidable. In addition, during the project construction, another land area will be temporarily affected by construction activities of contractors. The temporarily affected area will be updated in detail in the implementation stage. Table 3: Summary of Scope of impacts Items Unit Scope of impacts 1. Affected Households (AHs): HH : 1,236 Household members People : 5,191 Of which 1 : + Households impacted with residential land HH : 368 Partial loss of structures HH 162 Wholly affected main housing HH (relocated HH) Households impacted with agricultural land HH : Households impacted with forestry land 37 + Households impacted with tree and crop Households impacted with other land (managed by the ward/commune People s Committee) HH : 5 2. Affected Area M 2 : 1,149,866 Of which: : + Residential Land m 2 : 276,098 + Garden land m 2 : 34,224 + Agricultural Land m 2 : 657,637 + Forestry Land m2 : 100,510 1 Several households might have more than one type of land; therefore, total number per land type may be greater than total actual number of AHs. Page 3

15 Items Unit Scope of impacts + Other Land (public land) 81, Physical Relocated households HH : Households losing 30% 2 or more of total landholding (10% or more for vulnerable households). HH : Households losing less than 30% total landholding Affected business households HH : Vulnerable HH 3 HH : 64 Note: Several households might have more than one type of land, therefore, total number per land type may be greater than total actual number of AHs. (Source: DMS, September, 2016) 4. The below table summarizes impacts caused by The project in Phu Ninh district No Commune Table 4: Summary of project impacts by affected communes Total length passing commune (km) Total length handed over (km) Total of affected land area (m2) Total number of AHs Total number of AHs to be relocated Total number of graves to be removed Tam Dai , Tam Phuoc , Tam Thai , Tam Dan , Tam Thanh , Total (Source : DMS, September, 2016) ,149,866 1, ,602 2 Quang Nam PPC provides the subsistence allowance to HHs losing 20% or more of total landholding accordingly to approved RAP, however the thresholds for subsistence allowance rates were set at 30%, 70% therefore the data for HHs losing more than 20% landholding area cannot be sorted from DMS. 3 Accordingly to DMS provided by Phu Ninh LFDC, vulnerable groups include poor HH and the social policy HH, number of woman headed HH is not identified. Page 4

16 C. Current status 1. Status of works with completed compensation and assistance 1.1. Affected land and non-land assets 5. For Phu Ninh district, total land area acquired for construction of Da Nang - Quang Ngai Expressway Development Project is 1,149,866 m 2. Up to September 2016, a total number of 1,225/1,236 households (99.38%) received compensation payment and assistance by loss of 1,142,881 m 2 of land. In addition, 5 CPCs impacted by loss of 81,400 m 2 of public land were also provided with assistance. Table 5: Quantity of implemented compensation by communes No Commune Unit 1 Tam Dai 2 Tam Phuoc 3 Tam Thai 4 Tam Dan 5 Tam Thanh Residential land Garden land Agricultural land Forest land Public land TOTAL m 2 6,516 4,762 20,670 12,300 8,264 52,511 HHs m 2 55,033 9, ,173 10,560 17, ,354 HHs m 2 67,724 7, ,058 29,150 18, ,870 HHs m 2 88,194 6, ,799 21,500 12, ,726 HHs m 2 51,645 6, ,937 27,000 24, ,420 HHs m 2 269,112 34, , ,510 81,400 1,142,881 Total HHs CPCs 1,225 HHs/ 5 CPCs (Source : DMS, September, 2016) D. Objectives of this report 6. Resettlement Action Plans for 3 provinces/cities including Da Nang, Quang Nam and Quang Ngai were cleared by the World Bank and the Government of Vietnam in March However, the RAP was prepared based on preliminary design and initial inventory of loss (IOL), and baseline was unclearly identified and it should be updated according to detailed design and DMS before compensation payment, site clearance and commencement of construction. In which, DMS is implemented separately in each different district, thus, updated RAP is implemented according to corresponding district (SUBRAP). Page 5

17 7. For affected communes in district, on 13/9/2013 VEC wrote a proposal to World Bank for approval on the advance compensation payment by PPCs. On 05/10/2013 WB issued a written approval allowing the implementation of compensation and site clearance for impacts / influences that do not cause relocation. Up to date, implementation of compensation payment in the district has been basically completed. Thus, to ensure compliance with the policies on compensation, assistance and resettlement as specified in DQEP s resettlement policy framework and RAP prepared and approved for Quang Nam province, the Mission of World Bank requested in the Aide Memoire dated November 2015 on preparation of Due Diligence Report for the sections where the compensation, assistance and resettlement activities had been completed and preparation of updated resettlement action plans for remaining sections where affected households have not been paid compensation and assistance. 8. However, at the moment of field trip (March, 2016), compensation payment was basically completed (accounting for 99.38% of total volume). Phu Ninh LFDC made compensation plan for remaining AHs and estimated to make compensation and assistance payment by April, Thus, it is not necessary to prepare SUBRAP, Consultant will prepare a Due Diligence Report for Phu Ninh district. The objective of DDR is aimed to (i) summarize actual impacts of the project s work items in all affected communes of Phu Ninh district (ii) Assess policy s compliance with provisions specified in RAP for advance compensation payment as proposed by VEC and clarify the differences (if any) and propose solutions, and (iii) prepare a suggested corrective actions and implementation schedule. Page 6

18 PART II. DUE DILLIGENCE A. Detailed Measurement Survey (DMS) 9. DMS activities in Phu Ninh carried out from 2012 to 2016 and there were 101 compensation options made by relevant agencies. Currently, there is any complaint related to DMS activities here. 10. The process of detailed measurement survey (DMS) has been well done in all affected communes. The affected households were informed of the time of DMS and they were involved in all steps of DMS and sign DMS minutes. Land measurement was conducted through machines by companies and cadastral mapping of localities. The survey results showed that 100% of surveyed households confirmed to be involved in the DMS for their properties and homeowners signed DMS minutes. 95% of surveyed households confirmed that DMS figures for their affected assets are correct. The surveyed households said that DMS results have been informed publicly for households. Some cases such as insufficient DMS, incorrect identification of land origin, incorrect determination of the age of trees and etc. were reflected directly with CPC or DMS officials for verifying, re-inventorying and complementing timely for affected people. 1. Impact on land and assets 11. The subproject will acquire 1,149,866 m 2 of land belonging to 1,236 households and 05 CPCs. a) Land 12. A total 1,236 households were affected due to permanent land acquisition, in which: Residential land. 368 households are affected due to loss of 276,098 m 2 residential land. Of these 206 HH will be affected severely by entire loss of land and structures and will need to be relocated. Garden land. 530 households are affected on 34,224 m 2 of garden land. Agricultural land. 987 households are affected on 657,637 m 2 of agriculture land, in which 377 households are severely affected by losing 30% or more of their productive landholdings and 610 HH is marginal impact ; Forestry land. 37 households are affected on 100,510 m 2 of forestry land; Public land. 05 CPCs are affected on 81,400 m 2. This includes special used land, river and streams, special used water surface and cemetery land. b) Structures 206 HH will be affected severely by entire loss of structures. 162 HH will be affected by partial loss of structures. 302 HH affected by loss of secondary structures. c) Crops and trees Page 7

19 13,834 affected trees (7,333 fruit tree, 2,934 shade trees and 3,565 timber tree) and 657,637 m 2 affected crops. d) Loss of business 16 HH are affected by loss of business. e) Vulnerable households 64 out of 1,236 households are identified as vulnerable households, including those poor households, households with the disable, and social policy beneficiary households. Available data on vulnerable hh does not include women headed households. All of the affected people belong to the Kinh group; 13. Details of impacts on land by communes is shown in the Table 6 below: Table 6: Information about types of affected land by communes No Commune Unit Residential land Garden land Agricultural land Forest land Public land TOTAL 1 Tam Dai m2 6,516 4,762 20,670 12,300 8,264 52,511 HHs Tam Phuoc m2 55,033 9, ,173 10,560 17, ,354 HHs Tam Thai 4 Tam Dan m2 74,709 7, ,058 29,150 18, ,855 HHs m2 88,194 6, ,799 21,500 12, ,726 HHs Tam Thanh m2 51,645 6, ,937 27,000 24, ,420 HHs Total m2 276, , , ,510 81,401 1,149,866 HHs CPCs 1,236 HHs/ 5 CPCs Note: Several households might have more than one type of land, therefore, total number per land type may be greater than total actual number of AHs. (Source : DMS, September, 2016) 2. Impacts on public works Page 8

20 14. As the results of the Detailed Measurement Survey (DMS), various public works are identified to be affected by Da Nang - Quang Ngai Expressway Development Project, namely two medium voltage electricity towers, two domestic water supply pipelines, many local electric transmission lines, irrigation canal system and infield irrigation systems and relocation of 2 cemeteries in villages 5 and 6 of Tam Thanh commune. Relocation and reconstruction of public works have been carried out during the construction phase. 3. Affected graves 15. Total of 2,602 affected graves which have to be relocated in 5 communes were paid compensation and provided with assistance. The project has built 02 new cemeteries (Go Xu in Tam Thai commune and Vuon Mon in Tam Dan) for relocation of graves affected by the project. In other communes, with available large land area, relocation of graves is implemented alternatively in local resident s cemeteries within the communes. 4. Total paid cost for compensation payment and assistance 16. At the time of site visit, total 1,142,881 m 2 owned by 1,225 HHs (99.38%) and 5 CPCs were paid compensation and assistance. Total cost paid for completed volume was VND 177,679,485,524. Table 7 below describes in detail of total cost for compensation in each commune. No Commune Table 7: Total cost paid for compensation payment and assistance Total affected land area (m2) Total affected households Total relocated households Total displaced graves Total fund paid for compensation and assistance 1 Tam Dai 52, ,984,053,660 2 Tam Phuoc 268, ,943,289,753 3 Tam Thai 353, ,895,843,660 4 Tam Dan 249, ,891,454,952 5 Tam Thanh 198, ,964,844,086 Total 1,142,881 1, , ,679,485,524 (Source : DMS, September, 2016) 5. Pending cases of HH 17. Up to September, 2016 Phu Ninh LFDC completed compensation plans for 1,236 AHs. However, there are 11 pending cases in Tam Thai commune. They have not yet received compensation payment and had complaint to Phu Ninh DPC for requesting for allocation of resettlement land corresponding to their residential land area acquired by the project. Page 9

21 18. A total of 11 households in Tam Thai commune have not been paid compensation and assistance. Total residential land acquired is 6,985 m2 and total compensation amount is VND 10,079,994, The affected auxiliary works include kitchen; toilets; yards; sheds; wells, fence walls owned by 11 households. These auxiliary works will be compensated at replacement cost. 20. A total of 150 fruit (perennial) trees were affected. These trees will be compensated at replacement cost. 21. Results of DMS identified that 01 household was impacted due to interruption of business activities. They received allowance for stop business activities. 22. None of households is identified as vulnerable household out of 11 affected households. B. Socio- economic profile of surveyed HHs households were covered by SES. The selection of the survey sample based on the households type and level of impact caused by the project, at the same time, selection sample is based on the principle of stratified random sampling method in order to ensure the most objective assessment, namely. In total of 393 surveyed households, 103 households have lost less than 30% of production land area, 101 households lost 30% or more of productive land, 125 households lost partially residential land, 49 households have to resettle, 15 households are vulnerable households (including 9 are the poor; and 6 of disable people). The following sections describe in detail of socio-economic information for surveyed households. Table 8: Socio-economic information of surveyed households in Phu Ninh district No Affected form and level of impact Tam Dai Tam Phuoc Tam Thai Tam Thanh Tam Dan Total AHs SHs AHs SHs AHs SHs AHs SHs AHs SHs AHs SHs 1 2 Loss of production land Number of HHs lost < 30% Number of HHs lost > 30% Loss of partial residential land Relocated HHs Vulnerable HHs Page 10

22 No Affected form and level of impact Tam Dai Tam Phuoc Tam Thai Tam Thanh Tam Dan Total AHs SHs AHs SHs AHs SHs AHs SHs AHs SHs AHs SHs (Source : SES, 2015) Total , Out of 393 surveyed households, none ethnic minority household is found. Average household size remains 4.5persons/household. Average number of main employees of households reaches 3.3 persons. Table below describes in detail the characteristics of surveyed households affected by commune. Table 9: Characteristics of surveyed households Commune Total number of HHs HHs members Ethnic minorities (%) Average total number of HHs member/hhs Average number of employed/ HHs Tam Dai Tam Phuoc Tam Thai Tam Dan Tam Thanh Total 393 1, (Source : SES, 2015) 25. According to survey data, the majority of affected households graduated from primary school (accounting for 9% or equivalent to 37 households), 34% (134 households) graduated from secondary school; 42% (165 HHs) graduated from high school and only a small number of households graduated from universities/ colleges (55 households or 14,5%). There also are a few households (2 households, equivalent to 0,5% of households) identified as illiterate. Table 10: Education level of surveyed households Commune Illiterate Primary school Secondary school High school College/ University Total Tam Dai Page 11

23 Tam Phuoc Tam Thai Tam Dan Tam Thanh Total Rate (%) (Source : SES, 2015) The survey results showed that occupation and major source of income of affected households are mainly based on agricultural production activities, with a rate from 49% in Tam Thanh commune to 65% in Tam Dai commune. For 5 affected communes, households engaged in agricultural production accounted for 56% (201 households). Households who are civil servants or they were hired employees accounted for 23.7% (93 households). To further enhance source of incomes, some households have developed some additional sectors, occupations, however, this rate is not high. Namely, 57 households have members as civil servants (accounting for 14.5%), 20 households have members retired or as housewives (accounting for 2.8%), and 11 households do business and provide services (accounting for 2.8%). Table 11: Main occupation of affected surveyed households by communes 100 Commune Tam Dai Tam Phuoc Tam Thai Tam Thanh Tam Dan Total Main occupation of households heads Agriculture Trade/ Service Hired employees No. of HHs Rate 65% 60.8% 51.1% 49% 51.1% 56% No. of HHs Rate 5% 2.9% 3.2% 3.7% 1% 2.8% No. of HHs Rate % 39.5% 26% 23.7% Civil No. of Page 12

24 Commune Tam Dai Tam Phuoc Tam Thai Tam Thanh Tam Dan Total servants HHs Rate 25% 23.5% 0% 13.6% 17.7% 14.5% Retired, housewife No. of HHs Rate 5% 2.9% 3.2% 3.7% 1% 2.8% Total (Source : SES, 2015) No. of HHs Rate 100% 100% 100% 100% 100% 100% 27. In addition to the surveys by questionnaires, many consultation meetings, and focus group discussions with affected persons, local authorities and stakeholders were carried out in the process of socio-economic survey for households affected by the project. The survey results are described as follows: C. Overall assessment of land acquisition, compensation payment, assistance and resettlement 28. At the time of preparation of this report (end of September, 2016), out of 1,149,866 m 2 of affected land, 1,142,881 m 2 (99.38%) belonging to 1,225 households, 5 CPCs and 2,602 affected graves have been paid compensation payment and assistance. In Phu Ninh district, all seven resettlement sites have been completed with basic infrastructure to arrange residence for 160 relocated households affected by the project. Out of 206 relocated households, 11 remaining households have not yet received compensation and they requested for allocation of resettlement land corresponding to their residential land area acquired by the project. As the result, these cases are now being resolved by local authorities and expected to be completed end of D. Payment of Compensation and allowances 29. At the time of site visit, total 1,142,881 m 2 owned by 1,225 HHs (99.38%) and 5 CPCs were paid compensation and assistance. Total cost paid for completed volume was VND 177,679,485,524, in which 124,375,639,867 VND for compensation and 53,303,845,657 VND for allowances and other assistances. Page 13

25 E. Description of RCS implementation 30. In accordance with the objectives and principles of the Project s RPF, like Danang and Quang Ngai, Quang Nam PPC issued a number of decisions to implement the main objectives and principles of the project resettlement policy in the context of the applicable national and provincial laws and provisions. The entitlements set forth in the resettlement action plan in 2011 and entitlements approved by the People's Committee of Quang Nam Province are not entirely the same. In some aspects, some entitlements regulated by the PPC are more preeminent than some in the resettlement action plan in 2011 whereas some under the project provisions have not been applied correctly and sufficiently. Specially, the local decisions are listed in the table bellowed - Compensation decisions in Phu Ninh district. Table 12: Syntheses of decisions on replacement cost in Phu Ninh No Item Decision No.34/2012/QD -UBND dated December 20, Decision No.2132/2013 /QD-UBND dated July 10, 2013 Decision No. 488/2014/QD- UBND dated April 16, Decision No.2165/20 15/QD- UBND dated June 18, 2015 Decision No.785/2016/ QD-UBND dated 02/03/2016 RCS Residential land Updated Accepted & Updated & Accepted (coefficient = 1.35) Agr-land Updated & Accepted Structures Updated & Accepted Updated & Accepted Updated & Accepted (coefficient = 1.4) Crops trees & Updated Accepted & Compensation plans made under this decision No. of AHs 4 listed in the Compensation , Total number of households included in the compensation plan may be higher than the real number of AHs because one HH might be named in various compensation plans. Page 14

26 plans under each decision (Source : DMS, September 2016) 31. The results of survey carried out by the Consultant showed that in Phu Ninh district, there are few transactions of land, therefore, in five recent years, prices of land have almost no fluctuation. For residential land and architectural facilities, to ensure price s closeness to market price, the PPC issued decisions on co-efficient for residential land and architectural facilities or increased prices for ensuring compensation rates close to reality. 32. Based on revised rates, the assessment of payment for compensation and allowances is as followed: a) Payment of compensation for land. Compensation for lands (residential and agricultural) is assessed equivalent to replacement cost and hence in compliance with provisions of policies. b) Compensation for Structures. Compensation payment for partial loss of structures on residential land (162 hh), and for entire loss of structure on residential land (206 hh) was assessed in compliance with the policies in the RAP. However, 5 hh in Tam Thai commune affected by loss of structures on agricultural land only received 60% of compensation as against the requirements of 100% of compensation. And hence this is not in compliance with the policies. c) Trees and crops. Compensation for trees and crops is assessed equivalent to market rates and hence in compliance with provisions of policies. d) Allowances. Job change allowances for 6 months to the hhs affected by 30% or more of loss of agricultural land have been paid. 650 hhs affected by loss of less than 30% of agricultural land have received allowance for 4 months. HHs within the range of 20-30% of loss of agricultural land are entitled for 6 months allowance. Therefore, to comply with the policy they need to be paid additional allowance for 2 months. The payment of all other allowances (Allowance for moving, House renting allowance, Subsistence allowance, Vocational training and job creation allowance) was assessed in compliance with the policies. Vulnerable hh identified by the project authorities have received allowances as per the policy defined in the RAP. However, the data base on vulnerable households is incomplete and does not include women headed hh. 33. According to SES results, regarding price of land, out of 393 surveyed affected households, there are 39 households (9.9%) satisfied with compensation rates for land, architectural structures and trees and crops, 258 households (72.5%) said that compensation rate of the project remains at an acceptable level and 69 households (17.6%) believed that compensation rate is lower than Page 15

27 market price, however, the additional assistances in the whole compensation package was acceptable. Table 13: Level of satisfaction with compensation rate Satisfaction with compensation rate Communes Satisfied Acceptable Unsatisfied Total Tam Dai No of HHs Tam Phuoc No of HHs Tam Thai No of HHs Tam Thanh No of HHs Tam Dan No of HHs Total (Source : SES, 2015) F. Development of resettlement sites No of HHs Rate 9.9 % 72.5 % 17.6 % 100% 34. There are 7 resettlement sites developed for the purpose of relocating displaced households in the district, which are available with infrastructure such as electricity, portable water, access roads, internal roads and drainage system. There are 02 options for relocated households: a) Allocation of plots in RSs. Households have to pay for the allocated plots out of the compensation they received for affected land. The price of the plots is based on actual development costs. According to the policy for allocation of plots the total area of all the plots allocated to a household cannot exceed 450m2. b) Self-relocation. For those who opted for self-relocation received infrastructure investment allowance in cash equivalent to 124,500,000 VND for primary plot and 99,600,000 VND for secondary plots. 35. The detail provision of resettlement plots in the RSs and status of issuance of LURCs is shown in the table below: Table 14: Summary of resettlement sites in Phu Ninh district Commun e Relocated HH Name of resettlement site Resettled in RS Self-relocation Rate of arrival of No. of Resettlement No. of relocation Portions HH plots HH HH/ LURC Tam Dai % Page 16

28 Commun e Tam Phuoc Tam Thai Relocated HH 35 Name of resettlement site Resettled in RS Self-relocation Rate of arrival of No. of Resettlement No. of relocation Portions HH plots HH HH/ LURC Thanh My % Phu My % Cho Lo % Hoa Binh % Tam Dan commune % residential area Trung Dinh hamlet residential % Tam Dan area Tam 6 hamlet 38 Thanh residential area % TOTAL (Source : DMS, September 2016) 36. Out of total 49 surveyed resettlement households, 47 households (95.9%) said that they were exactly informed of the location of resettlement sites meanwhile 2 households (4.1%) answered that they were not informed exactly of the location of resettlement sites where they are moving to, they only know that the project is building 7 resettlement sites in the district. Results of the survey showed that most of households said that the locations of the resettlement sites are suitable or very suitable (about 93,90%), 3 households (6,1%) said that locations of resettlement sites are not suitable. Table 15: Information about resettlement sites Commune Information about locations of resettlement sites Yes No Total Tam Dai Tam Phuoc No. of HHs Rate 75% 25% 100% No. of HHs Rate 100% 0% 0% Page 17

29 Commune Information about locations of resettlement sites Yes No Total Tam Thai Tam Thanh Tam Dan No. of HHs Rate 92.9% 7.1% 100% No of HHs Rate 100% 0% 100% No. of HHs Rate 92.3% 7.7% 100% No. of HHs Total Rate 93.9% 6.1% 100% (Source : SES, 2015) 37. Regarding infrastructure conditions and the area of land plots in the resettlement sites, households said that infrastructure is inadequate, lacking public facilities such as cultural houses, kindergartens and that area of land plots varies from 200m 2 ; 250 m 2 to 300m 2, which is not suitable for agricultural production needs of families. However, according to overall assessment from field survey results, most of households are satisfied with resettlement sites built by the project, Namely, out of total 49 surveyed relocated households, 41 households (83.7%) said they are satisfied with resettlement sites, 3 households (6.1%) are not satisfied and 5 households (10.2%) are very satisfied. Table 16: Satisfaction levels of households for resettlement sites Commune Satisfaction levels of households for resettlement sites Extremely satisfied Satisfied Unsatisfied Total Tam Dai Tam Phuoc No. of HHs Rate 0% 75% 25% 100% No. of HHs Rate 0% 100% 0% 100% Page 18

30 Commune Satisfaction levels of households for resettlement sites Extremely satisfied Satisfied Unsatisfied Total Tam Thai Tam Thanh Tam Dan No of HHs Rate 7.1% 85.8% 7.1% 100% No. of HHs Rate 25% 75% 0% 100% No. of HHs Rate 15% 77% 8% 100% Total (Source : SES, 2015) No. of HHs Rate 10.2% 83.7% 6.1% 100% G. Income restoration program 38. According to data of actual compensation payment, there are 583 severely affected households by the project, including: (i) 206 relocated households, (ii) 377 affected households losing 30% or more of total productive land area. According to opinions of surveyed households, these households, particularly severely affected households have been paid compensation payment insufficient to restore affected property. However, in the case of combination with additional assistances, this amount is sufficient to recover the affected assets. Moreover, due to level of impacts is not serious while the project brings huge benefits to households and the communities, in spite of being severely affected, none of households has to change their jobs because remaining land is still viable for continued production and generating income for households. For household whose remaining land for those affected by >30% of land loss, local authority in coordination with the Farmers Union to provide modernly agricultural technical supports in order to increase productivity. In addition, the youth have trend of job change into workers in the local industrial parks (i.e two textile industrial complexes of Kim Anh Phu My and Hoang Ngan Co., Ltd. in Tam Phuoc commune; the industrial complex in Tam Dan commune) or free labors. Therefore, households income does not change before project implementation. 39. Therefore, such households whose the remaining land cannot be considered economically viable requested Phu Ninh DLFDC to verify and acquire whole remaining land area. This acquisition of such remaining land has been completed. Page 19

31 40. An income restoration program was developed under the updated RAP (2011) in order to pilot in households losing more than 30% of agricultural land area. However, the site survey results showed that such income restoration program was not implemented, seriously HHs only received allowanced in cash. In reality, the affected households received compensation payment in cash and assistance and participated in training courses themselves or changed their jobs suitably to their own living conditions 41. According to the surveyed hhs about living standards after land acquisition, the majority (74% or 291 households) said they still maintain the standard of living equal to pre-land acquisition level. 81 households (20.7%) have living standards improved. Only about 5.3% (21 households) said that their income is not as high as the pre-project level. H. Grievance 42. The grievance redress mechanism is carried out in compliance with procedures specified in the RAP. 43. In Phu Ninh, all grievances are addressed by staffs of LFDC which includes 2 females and 6 males. Grievances of complainants are summarized by the Commune People s Committee (CPC) and sent to the LFDC for consideration and resolution. Main complaints by the households include deficiencies in inventory and low compensation for affected assets. As of September, 2016, there are 11 pending cases in Tam Thai commune. Pending complaints include request for allocation of plots at RS. Phu Ninh DLFC in consultation with complainants is trying to resolve the issue. I. Public consultation 44. The disclosure of information and public consultation were conducted correspondingly during the project implementation phase in order to disclose and introduce the Project for AHs, community in the project communes. AHs are informed in detail of implementation plan of resettlement activities, including RAP, the minutes of DMS and approved compensation plan. All documents are publicly disclosed for AHs. 45. Public consultation was carried out as requested in RAP to provide project data and entitlements of AHs. According to evaluation survey results during the field trip of the Consultant Team in March/2016, 90% of households responded that they were well-informed and understood about the project as well as the plan of resettlement activities in the district and were fully satisfied with disclosure of information about the project. 1. Information disclosure and public consultation in the process of RAP preparation 46. The information disclosure and public consultation have been conducted correspondingly throughout the project implementation phase in order to disclose and introduce the Project for AHs Page 20

32 and communities in the project communes. AHs are informed in detail of implementation plan of resettlement activities, including: (i) public consultation contents in relation to works, implementation plan, site clearance plan and construction plan, (ii) detailed measurement survey (DMS), (iii) official and legal list of affected persons and their entitlements, (iv) compensation volume and rate, (v) compensation payment plan and other allowances, and (vi) other issues such as income restoration program for AHs, grievance redress mechanism, monitoring and evaluation. Related information and documents must be made available at PC offices of affected communes/community houses, or posted in easily visible places. Project Information Brochure (PIB) is given to AHs and made available at communal PC, villages, community houses. 47. For Da Nang - Quang Ngai Expressway Development Project, the information disclosure and public consultations have been carried out throughout the preparatory phase (RAP preparation phase - January/2011) to the implementation phase of compensation and resettlement to ensure that affected households and stakeholders are timely informed of land acquisition, compensation and resettlement as well as opportunities to participate and express their wishes and concerns related to resettlement activities. According to evaluation survey results during the field trip of the Consultant Team in March/2016, most households responded that they are well-informed and understand about the project as well as the plan of resettlement activities in the district and are fully satisfied with the disclosure of information about the project. 2. Information disclosure and public consultation in the process of DDR preparation 48. In the process of preparing this updated resettlement plan, many consultation meetings with the unpaid households and communities were hold in March/2016 in order to discuss and evaluate impacts and ensure that feedbacks from local community will be reflected in the Report. 49. As stated previously, at the time of preparing this updated resettlement action plan, most affected households have been paid compensation and assistance. Results of discussions with stakeholders in the process of information disclosure and public consultation carried out in March/2016 showed that VEC, Phu Ninh LFDC and the stakeholders implemented fully steps such as disclosure of information about the project, compensation and assistance policies, consultation with affected households about activities related to land acquisition, construction and mitigation measures. However, in order to further strengthen information about the project as well as additional policies according to agreed provisions of the Project. These households will continue to be involved, consulted and disclosed of information in the process of preparing this SURAP in March/2016. Table 17 below describes information about consultation meetings (Minutes of meeting and the list of participants and photos of consultation meetings are shown in Annex 2). Page 21

33 Consultation activities Table 17: Times, locations and number of participants in consultation meetings Locations Date of consultation Female Male Main issues of consultation meetings Meeting with stakeholders Consultation meetings LFDC Tam Dai Tam Phuoc Tam Thai Tam Dan Tam Thanh March 2, 2016 March 7, 2016 March 7, 2016 March 9, 2016 March 9, 2016 March 10, Overview on implementation status site clearance of Da Nang - Quang Ngai Expressway Development Project Compensation policy and entitlements of AHs. Plan of solving limitations in site clearance and land acquisition. Status of construction of resettlement sites. Grievance and grievance redress mechanism. Inquiries and proposals from community for livelihood restoration program. (Source : SES, 2015) 50. The methods used in public consultation include meetings, interviews with individuals and focus group discussions. Local people in affected villages are willing to discuss and share information. The women and the youth are invited and encouraged to contribute their ideas. 51. During the public consultation, the Consultant always makes best efforts to ensure gender issues in consultation meetings to ensure women s participation in the project implementation. 55% of respondents are at the age of Below is summary of recommendations of local people in the public consultations at the project communes. 53. Firstly, impacts during the construction have been directly affecting the life of local people here. In the fact, the Contractors delayed returning the site for local people s continued cultivation. The local authorities should remind these Contractors to limit negative impacts on households. In addition, the construction of the expressway affected the irrigation system of people, which caused difficulties in agricultural production. Some frontage roads have been arranged inappropriately to Page 22

34 meet people s demands. These comments were summarized by the local authorities and recorded to send to the DPC for official reporting to the Client. Table 18: Summary of discussions and comments in public consultation meetings No. Communes Feedback from community Comments 1 Tam Dai (i) The construction of the expressway should be associated with building of suitable access roads, frontage roads and underground culverts to ensure the convenient movement of people. Commune authorities summarized and reported households opinions for each unsuitable position of culvert to the DPC for suggestion to the Client. (ii) Many households, after their agricultural land is acquired, no longer have facilities for production and no income, so they requested the subsistence assistance from the Project. 2 Tam Phuoc (i) Propose building 2 more concrete roads of 2m width close to the bridge abutment (Km ) and the road elevation is 1m higher than the designed underpass elevation to facilitate motorcycles in flood season. Note to arrange underground guardrails under the bridge ramps to ensure safety for people and to increase the horizontal curve radius for frontage road on the left in the section where the site clearance was completed; Commune authorities summarized and reported households opinions from to the DPC for suggestion to the Client. (ii) Complement side-ditches along the right (Km ) which divert water to culverts (2.5 x 2.5)m at Km Tam Thai - Many agricultural areas affected by the road construction are flooded in the upstream but drought in the downstream and suffer soilstone erosion, which becomes obstacle for cultivation, so the Project must acquire or compensate or take measures so that people can continue their farming. 4 Tam Dan (i) Recommend leveling Km14B section (nearly 500m long on the west side in Dong Mieu field, Trung Dinh village), where there are frontage roads on the east and the west. This section is currently high, which prevents people s movement). Commune authorities worked with the Construction Unit to request him to return the site for people s continued cultivation. Commune authorities summarized and reported households opinions to the DPC for suggestion to the Client. Page 23

35 No. Communes Feedback from community Comments (ii) Complement the construction of Trung Dinh village ditch which was backfilled in the construction process, so that people can continue their farming. 5 Tam Thanh (i) Complement the frontage road on the left from Km (Canal N12) to Km (Road DH5), which passes the flyover of Canal N12; Commune authorities summarized and reported households opinions to the DPC for suggestion to the Client. (ii) Complement the water inlet from Canal N12 and repair the concrete irrigation ditch on the left (about 100m); (iii) Complement the water inlet from Canal N12 and concrete irrigation ditch on the right of Road DH5 (Km Km ); (iv) Complement the regulating gate of the culvert downstream (Km ); combining with renovating the Canal on the left (Km Km ); (v) Survey to recalculate the drainage aperture of culvert (Km ) on RAMPC1 - Tam Ky intersection; (vi) As the construction of the underground culvert (Km ) has not been started yet, we request to change the minimum aperture of 9m (navigation clearance of 4.5m) or 2-gate underground x (4.5 x 4.5)m to match the orientation planning of coastal linking road and intersection with National Highway 1 and underpass of highway to connect to Phu Ninh center. Source : SES, 2015 Secondly, at the resettlement sites of the Project, 92% households received ground land plots and have been building their houses. However, the progress of issuing LURCs is still slow. Currently, only households in Hamlet 6 residential area in Tam Thanh commune have been issued with over 80% of LURCs. The progress of issuing LURCs in the remaining resettlement sites is relatively slow. Page 24

36 Thirdly, the construction of infrastructure in the resettlement sites is relatively slow due to delayed ground leveling in rainy season (Cho Lo and Thanh My). 54. Grievances those cannot be resolved by the LFDC will be summarized and sent to the District People s Committee for face-to-face dialogue with complainants. Chairman or Deputy Chairman of the District People s Committee will preside over the meeting with the participation of the LFDC s representatives to explain to complainants so that they can understand and cooperate with the LFDC for handing over the site for the project. E. Monitoring 55. The implementation of compensation activities are monitored regularly to ensure that it is implemented as planned and that mitigating measures designed to address the project s adverse social impacts are adequate and effective. 56. The EPMU/VEC are responsible for internal monitoring, overseeing the formation, function, and activities of resettlement. The EPMU/VEC regularly submits monthly progress reports to the WB. 57. VEC selected DOWHA consultant for external monitoring of resettlement implementation. The Consultant was mobilized in 2013 and as of September, 2016 prepared 03 monitoring reports. F. Supervision by World Bank 58. In addition to internal and external resettlement monitoring, WB have also conducted supervision of resettlement implementation. The supervision mission of October/ 2015; April/2016 and September/ 2016 identified the key issues and problems: - Pending cases for payment of compensation and allowances. - Slow development of RS - Incomplete relocation of household on RS - Pending complaint by HH (Mr Nguyen Minh Tuan in Tam Thai commune) for payment of compensation for affected business, assistance for relocation of business and allocation of plots in RS; - No record of loss of employment of employee in the business of affected households; - Structures on agriculture land built after July 2007 received assistance at 60% of compensation value; - Inadequate identification of vulnerable hh; and Page 25

37 - Several cases of blocked irrigation/drainage canals and increased flooding due to civil works. However, these impacts due to construction need to be identified by supervision consultant and addressed in coordination with local authorities by contractors. 59. Current status of identified issues: By September, 2016 the issues in regard to development of RS and allocation of plots have been fully resolved and payment of compensation and allowances have completed except for the remaining 11 households, which is in the process of completion. The major pending non-compliance issues include: (i) complaint in Tam Thai commune for payment of compensation for affected business, assistance for relocation of business and allocation of plots in RS, (ii) payment of full compensation for structures on agriculture land built after July 2007, and (iii) job change allowance for additional 2 months to hhs affected by loss of 20-30% of agricultural land. Available data on vulnerable hh does not include women headed households. G. Compliance matrix 60. Based on the assessment of implementation of compensation, allowances and assistance and resettlement, the compliance matrix is shown below: Page 26

38 Table 19: Compliance matrix No. Type of impact Eligibility Project policy/ Entitlements as regulated in RAP Actual implementation Evaluation 1 Agricultural production land (987 HH) User owns longterm, legal and recognized LURC Compensation AP will be compensated by land-forland with similar use purpose or will receive cash compensation at full replacement cost for the affected land area. If the remaining land is unviable for production, entire land will be acquired and fully compensated at the request of AP. Compensation: Compensation rate is replacement cost and surveyed by an independent consultancy company, implemented in consultation with stakeholders and issued separate price unit approved by Quang Nam Provincial People's Committee according to Decision No /2013 dated on 10/07/2013. Complied - Assistance for changing job by cash equal to 3 times of compensation rate for agricultural land; or providing one plot of residential land or one plot of non-agricultural production and business land equal to the residential land allocation limit as stipulated by PPC. - Subsistence assistance in cash equivalent to 30 kg of rice/person/month at local market price; duration of allowance corresponding to the rate of lost agricultural land, Especially: Below 20% land loss will be accumulated until loss of 20% to get Assistance for changing job Assistance level is from 1.5 times for perennial tree planting land; 2 times for annual tree planting land and 3 times for rice land. Subsistence assistance in cash equivalent to 30 kg of rice/person/month at local market price; duration of allowance corresponding to equivalent agricultural land losing percentage and forms of affected as below: Below 30% acquisition will be assisted 300,000 dong x Rate of losing land x 4 months x 1 HH member Complied Non-compliant (Subsistence allowance to HHs losing 20-30% need to be paid additional allowance for 2 Page 27

39 No. Type of impact Eligibility Project policy/ Entitlements as regulated in RAP Actual implementation Evaluation allowance. 20% 70% land loss and: o o No relocation: 6 months Relocation: 12 months o Moving to difficult areas: 24 months More than 70% land loss and: o o No relocation: 12 months Relocation: 24 months o Moving to difficult areas: 36 months - Participate in the Income Restoration Program of the project - Vocational training and job creation allowance for HHs who lose more than 20% of total agricultural land area or lose less than 20% but the remaining land is unviable for continued production: AP will be assisted with tuition fee for short-term vocational training course with amount of 3,000,000 VND/person/course in maximum, meal allowance of 15,000 VND/person/attending day; transportation allowance of 200,000 VND/person/course in maximum for Acquisition from 30% to 70% will be assisted within 6 months. Over 70% acquisition will be assisted 12 months No relocation: 6 months Vocational training and job creation allowance for HHs who lose agricultural land and will be assisted with tuition fee for vocational training course with amount of 3,000,000 VND/person/course in maximum 12 months, meal allowance of 20,000 VND/person/attending day; transportation allowance of 200,000 VND/person/course in maximum for one who has to travel with a distance equal to or more than 15 km far from training place months ) Complied Page 28

40 No. Type of impact Eligibility Project policy/ Entitlements as regulated in RAP Actual implementation Evaluation those who have to travel with a distance equal to or more than 15 km far from training place. Users with temporary LUR or leased rights - Will be refunded rental for the affected land corresponding to the remaining land lease period. If the remaining land is unviable for continued production, the project will acquire entire land and refund the full payment at the request of AP. Will be compensated remaining land investment cost or compensated 30% of replacement cost for affected land in the case of no evident profiles, papers. Complied - Will be compensated for any investment they have made on the affected land or 30% of the replacement cost of the affected land, whichever is higher. Land users without recognized LUR - Not be compensated for land but remaining land investment costs. In case, AHs are cultivating on public land, they will be compensated for 100% of crops and trees at market price. Compensated remaining land investment cost at 50% of replacement cost for affected land in case of no evidence dossiers or certificates. In case, AHs are cultivating on public land, they will be compensated for 100% of crops and trees at market price. Complied Page 29

41 No. Type of impact Eligibility Project policy/ Entitlements as regulated in RAP Actual implementation Evaluation 2 Residential land (368 HHs) Users with legal, long-term and recognized LUR Compensation: In case the remaining land is viable for continued use without causing relocation, AP will be compensated by cash at the replacement cost for the affected land. In case of relocation, AP will be compensated by either: Cash at full replacement cost for entire land plus additional allowance for self-relocation equivalent to unit cost of investment per household at the resettlement site, or If the price of plot in resettlement site is higher than one of affected plots: AP will be assisted the difference. If the price of plots in resettlement site is lower than one of affected lots: AP can receive resettlement land and the difference in cash. Compensation: Compensation rate is replacement cost and surveyed by an independent consultancy company, implemented in consultation with stakeholders and issued separate price unit approved by Quang Nam Provincial People's Committee according to Decision No /2013 dated on 10/07/2013. Self-relocation households are supported equivalent to infrastructure investment portion in centralized resettlement site, namely, 120,000,000 VND/lot. Households are supported difference cost to ensure price for resettlement land equal to compensation rate for affected land Subsistence allowance in cash equivalent to 30kg of rice/person/month at local market price for HHs whose residences are affected but productive land is not lost: Moving within the remaining land: 3 months Relocation: 6 months Complied Complied Free from taxes and transaction costs. Subsistence allowance in cash equivalent to 30kg of rice/person/month at local market price for HHs whose Allowance for moving: Moving in district: 3,000,000 VND/HH House renting allowance Complied Complied Page 30

42 No. Type of impact Eligibility Project policy/ Entitlements as regulated in RAP Actual implementation Evaluation residences are affected but productive land is not lost: For cases, who were provided with resettlement land: House area is narrowed: 3 months Relocation: 6 months Moving to the areas with difficult socio-economic conditions: 12 months - Allowance for moving: Moving within the remaining land: 2,400,000 VND/HH; Moving within province: 5,000,000 VND/HH; Moving outside province: 7,500,000 VND/HH, Allowance: 500,000 VND/HH/ month x 12 months For cases whose land is acquired but not being provided with resettlement land yet, the additional allowance will be provided: Assistance for relocation: Well 965,250VND/ m3, Electric meter: 350,000 VND/HHs for type of single phase, 600,000VND for type of 3 phases, telephone: 100,000 VND/HHs, TV cable: 600,000 VND/HHs, Internet: 600,000 VND/HHs Complied - House renting allowance For cases, who were provided with resettlement land: HH with 5 household members or less: 9,000,000 VND/HH/6 months HH with 6 household members or more will get additional allowance of 900,000 VND/6 months for each additional person For cases whose land is acquired Page 31

43 No. Type of impact Eligibility Project policy/ Entitlements as regulated in RAP Actual implementation Evaluation but not being provided with resettlement land yet, the additional allowance is as follows: HH with 5 members or less: 1,500,000 VND/HH/month HH with 6 members or more will get additional allowance of 150,000 VND/month for each additional person Allowance for moving of water meter, electric meter and fixed telephone: 650,000-2,000,000 VND/ HH to be paid for installation cost of electric system, water system and telephone at new residence. Land users have temporary LUR or land lease certificates - Compensation rate shall be either equivalent to the remaining land investment costs or 30% of price of replacement land, depending on which one is higher. Will be compensated remaining land investment cost or compensated 30% of replacement cost for affected land in the case of without evident profiles, papers. Complied User with unrecognized LUR - Not compensated by land, but compensated for remaining land investment cost. - For the cases without LURC due to the illegal conversion of land using purposes from the other types of land to residential land, compensation shall be Not compensated for land, but be compensated remaining land investment cost or compensated 30% of replacement cost for affected land in the case of no evident profiles, papers. For the cases without LURC due to the illegal conversion of land using purposes Complied Page 32

44 No. Type of impact Eligibility Project policy/ Entitlements as regulated in RAP Actual implementation Evaluation based on the value of original land. from the other types of land to residential land, compensation shall be based on the value of original land. 3 Architectural structures (368 HHs) Owner with/without LURC, with/without Construction Permit. - Houses: to be compensated in cash at replacement cost for the affected part. In case the remaining part is unviable for continued use, it will be acquired at the request of the affected people. Compensation payment is sufficient to rebuild houses as the same with previous ones at current market price. - Other structures: to be compensated in cash using the market price of materials and manpower. - For system of machinery and production lines, which can be disassembled and movable, costs and damages (if any) in dismantlement, transportation and installation shall be compensated. - For slightly affected buildings and structures: supported reparation costs in cash to restore situation or better than initial conditions. Compensation rate is replacement cost and surveyed by an independent consultancy company, implemented in consultation with stakeholders and issued separate rate approved by Quang Nam Provincial People's Committee according to Decision No /2013 dated on 10/07/2013. On 6/6/2014, PC approved updated prices for houses and architectural structures according to Decision 25/2014/QĐ-UBND Houses and structures on land which is ineligible for compensation as residential land, will be assisted as follow: Construction before 1/7/2004 and not violate planning, households will be supported 100% of value of house, structures (in the case of violation, households will be supported 50%) Construction before 01/07/2004 until before 01/07/2014, not violate planning, will be assisted 60% of value of house and structure (in the case of violation, households will be assisted amount equivalent to 20% of value), construction after 01/07/2014, households will not be supported. Non-compliant for 05 households in Tam Thai affected by loss of structures of agricultural land built before 1/7/2004. These hhs should be given additional compensation for 40% of structure values. Page 33

45 No. Type of impact Eligibility Project policy/ Entitlements as regulated in RAP Actual implementation Evaluation Houses and structures built on occupied or encroached land, will be supported as follow: Construction before 1/7/2004 and not violate planning, households will be supported 80% of value of houses and structures (in the case of violation, households will be supported 40%), construction after 1/7/2004 households will not be supported. 4 Trees and crops (987 HHs) Owner regardless tenure status of Crops: to be compensated 100% at market price. Perennial trees (timber trees and fruit trees): to be compensated at replacement cost. Compensation rate is replacement cost surveyed by an independent consultancy company, implemented in consultation with stakeholders and issued compensation rate approved by Quang Nam Provincial People's Committee according to Decision No /2013 dated on 10/07/2013. Complied 5 Public assets and culture facilities Owner or assets management agency Costs for reparation of works shall be compensated in cash or follow the agreement between Client and District Compensation, Assistance and Resettlement Board (CARB) Cash compensation for cost of reparation, rehabilitation Complied 6 Graves (162 HH with tombs) Households affected group households affected or of To be compensated in cash for cost of land, exhumation, relocation, reburial and other related expenses consistent with local customs and traditions. Relocation allowance: To be compensated in cash for cost of land, exhumation, relocation, reburial and other related expenses consistent with local customs and traditions Relocation allowance: Complied 2,400,000 VND for graves buried 1,400,000-1,800,000 VND for Page 34

46 No. Type of impact Eligibility Project policy/ Entitlements as regulated in RAP Actual implementation Evaluation less than 1 year built graves 1,700,000 VND for graves buried from 1-2 years 350, ,000 VND for backfilled graves 1,200,000 VND for graves buried from 2-3 years 600,000 VND for graves buried more than 3 years In the case graves are owned by ethnic minority people, in addition to compensation payment as regulations, an additional allowance of 5,000,000 VND will be also provided for each village to implement according to local customs and traditions. 7 Temporary loss of land Owner affected land of For the land part which is temporarily acquired for construction: (i) Land rental shall be paid in cash at least equal to net income which is obtained from affected assets during interruptive stage due to land acquisition; and (ii) land shall be restored within 3 months after being used; the Project shall pay compensation rates at replacement cost or compensate by land for land if affected land is not restored within 3 months by Contractor after being used (agreement among parties shall be monitored by external monitoring agency). For the land part which is temporarily acquired for construction: (i) Land rental shall be paid in cash at least equal to net income which is obtained from affected assets during interruptive stage due to land acquisition; and (ii) land shall be restored within 3 months after being used; The Project shall make compensation payments at replacement cost or compensate by land for land if affected land is not restored within 3 months by Contractor after being used (agreement among parties shall be monitored by external monitoring agency). Complied 8 Loss of agricultural Owner with legal land using - Compensation in cash, equivalent to 50% of compensation rate for garden For land and pond area in residential area not recognized as residential land, in addition to Complied Page 35

47 No. Type of impact Eligibility Project policy/ Entitlements as regulated in RAP Actual implementation Evaluation land adjacent residential area, garden land, ponds which are not recognized as residential land right and be legally recognized land, pond land; 40% for agricultural land. compensation, households will be supported by 50% of the value of compensation. 9 Impacts on business, production (16 HHs) Owner of business losses income and/or business and is affected on manufacture activities due to land acquisition Workers in business or production establishments - Allowance for ceasing business in cash equivalent to 30% actual annual income - Relocation assistance - Workers in production and business units and state agencies affected by land acquisition will receive allowance equivalent to the minimum salary according to provincial regulations within the maximum conversion time of 6 months and will be assisted to find out the replacement jobs. The support level of creating production and business by 30% of after tax income one year, according to the average income of the preceding 3 years. Workers in production and business units and state agencies affected by land acquisition will receive allowance equivalent to the minimum salary according to provincial regulations within the maximum conversion time of 6 months and will be assisted to find out the replacement jobs. Non-compliant for 1 hh in Tam Thai commune. The assistance for relocation of affected business and compensation for loss of business need to be compensated. 10 Loss of land and non-land assets Vulnerable HHs (64 HHs) - To be assisted a sum of money: Preferential HHs (Social Policy Heroic Mother, war veterans, wounded and sick soldiers or martyr s families: 1,000,000 4,000,000 VND/HH Poor HHs: 3,000,000 5,000,000 Households have to relocate and they are preferential HHs (Social Policy Heroic Mother, war veterans, wounded and sick soldiers or martyr s families: 1,000,000 4,000,000 VND/HH; Poor households who have to be relocated or lose over 30% of agricultural land which are being used, will be supported 5,000,000 Not fully Complied. However, the data on women headed hh is not available. Page 36

48 No. Type of impact Eligibility Project policy/ Entitlements as regulated in RAP Actual implementation Evaluation VND/persons; VND/HH Other vulnerable households (households with household heads with dependents, households heads are disable and elderly persons, ethnic minorities households) are assisted from 1,000,000 VND 3,000,000 VND - Have rights to join in the IRP. - To be assisted on vocational training and employment creation. - HHs without productive land will be considered to be allocated land following the commune s allocation limit. 11 Leased houses Households for renting houses (0 HHs ) - Those who have lease contract of house owned by State and ineligible for compensation, however if households have separate household registration books at residential area, households will be supported in cash to find residence by 60% of land value and 60% of house value. - Relocation allowance with amount of 3,500,000 VND/HH for households leasing houses not owned by State before the time of planning and have Those who have lease contract of house owned by State and ineligible for compensation, however if households have separate household registration books at residential area, households will be supported in cash to find new residence by 60% of land value and 60% of house value. Relocation allowance with amount of 3,500,000 VND/HH for households leasing houses not owned by State before the time of planning and have legal house leasing contract. Complied Page 37

49 No. Type of impact Eligibility Project policy/ Entitlements as regulated in RAP Actual implementation Evaluation legal house leasing contract - Moving allowance for identification of replacement residential area 12 Incentive bonus HHs those hand over site timely (1.225 HHs) 3,000,000 5,000,000 VND/HHs. Bonus for dismantling houses, architectural structures and handing over the site on schedule as proposed by the investor for individual households who have to be relocated and whose house is mutilated, at 5% of the compensation value but a maximum of 5,000,000 VND / HH Complied Page 38

50 H. Suggested corrective actions & Implementation schedule 61. Based on the above assessment, there are three issues which are pending or non-compliant. These are shown in the table below together with recommended corrective action plans. Page 39

51 Table 20 Recommended Corrective Action Plan No. Issues Action Responsible agencies Time framework 1 For house and structure: Constructed before 1/7/2004 on agricultural land received compensation at 60% of value of house, structures. The number of affected hhs needs to be identified in DMS form and paid additional compensation equivalent to 40% of compensation amount. Quang Nam PPC and Phu Ninh DPC. Completed by 31 December, (05 hhs in Tam Thai commune) 2 Payment of job change allowance for households losing 20-30% of agricultural land. DRC should review the DMS form to identify the number of hhs affected by 20-30% loss of agricultural land. Quang Nam PPC and Phu Ninh DPC. Completed by 31 December, Payment of job change allowance for 2 months to the identified hhs. 3 Outstanding complaint in Tam Thai commune should be addressed involving assistance for relocation of affected business and compensation for loss of business. Payment for compensation for loss of business, assistance for relocation of business and/or allocation of additional plots on RS. Quang Nam PPC and Phu Ninh DPC. Completed by 31 December, Page 40

52 Cost of recommended corrective action plan and implementation schedule 62. At time of preparation of this report, there is no data/information available for calculating implementation cost for the corrective action plan. Hence, the calculation will be prepared by Quang Nam PPC and Phu Ninh DPC and submit the report to VEC, EPMU and the World Bank for review before implementation by 15 December 2016, and implemented by 31 December The cost of the corrective action plan will be borne by the Quang Nam PPC. Page 41

53 PART III. ANNEXES Annex 1: Template of Questionnaire for Socio-economic survey Annex 2: Minutes of public consultation Annex 3: Related legal documents Page 42

54 Annex 1: Questionnaire Template for Socio-economic Survey Page 43

55 Page 44

56 Page 45

57 Page 46

58 Annex 2: The Minutes of Public Consultation Meetings 1. Tam Dai Page 47

59 Page 48

60 Page 49

61 Page 50

62 Page 51

63 2. Tam Phuoc Page 52

64 Page 53

65 Page 54

66 Page 55

67 Page 56

68 Page 57

69 3. Tam Thai Page 58

70 Page 59

71 Page 60

72 Annex 3: Relevant legal documents Page 61

73 Page 62

74 Page 63

75 Page 64