VIE: Power Transmission Investment Program Tranche 3

Transcription

1 Social Monitoring Report 2 nd Quarterly Report June 2017 VIE: Power Transmission Investment Program Tranche 3 Installation of a second transformer bank for 220 kv Duc Hoa substation Installation of a second transformer bank for 220 kv Tra Vinh substation Installation of a second transformer bank for 220 kv Uyen Hung substation Installation of a second transformer bank for 500 kv Cau Bong substation Prepared by the Southern Power Projects Management Board for the National Power Transmission Corporation and the Asian Development Bank.

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

3 Project Number: Period: March - June, 2017 POWER TRANSMISSION INVESTMENT PROGRAM, TRANCHE 3 Loan: 3374-VIE CORRECTIVE ACTION PLAN PERFORMANCE MONITORING REPORT Subprojects: 1. Installation of a second transformer bank for 220 kv Duc Hoa substation 2. Installation of a second transformer bank for 220 kv Tra Vinh substation 3. Installation of a second transformer bank for 220 kv Uyen Hung substation 4. Installation of a second transformer bank for 500 kv Cau Bong substation JUNE 2017

4 POWER TRANSMISSION INVESTMENT PROGRAM TRANCHE 3 National Safeguard Specialist for Resettlement CORRECTIVE ACTION PLAN PERFORMANCE MONITORING REPORT Subprojects: 1. Installation of a second transformer bank for 220 kv Duc Hoa substation 2. Installation of a second transformer bank for 220 kv Tra Vinh substation 3. Installation of a second transformer bank for 220 kv Uyen Hung substation 4. Installation of a second transformer bank for 500 kv Cau Bong substation Full name Designation Signature Prepared by Nguyễn Công Hiệp National safeguard specialist for resettlement JUNE 2017

5 LIST OF ABBREVIATIONS ADB : Asian Development Bank CARB : Compensation, Assistance and Resettlement Board DDR : Due diligence report DMS : Detailed Measurement Survey LURC : Land use rights certificate TB : Transformer bank NPT : National Power Transmission Corporation PTIP : Power Transmission Investment Program RP : Resettlement plan SPMB : Southern Viet Nam Power Projects Management Board TOR : Term of Reference UBND : Provincial People's Committee Power Transmission Investment Program Tranche 3 i

6 LIST OF TABLES Table 1. Summary of Shortcomings and Proposed Corrective Actions... 5 Table 2. HH losing more than 10% of total productive land area and the assistance allowance is not yet received... 9 Table 3. Complaints and grievance redress status Table 4. Summary of shortcomings and corrective action implementation status Table 5. Summary of shortcomings and recommendations Power Transmission Investment Program Tranche 3 ii

7 LIST OF ABBREVIATIONS LIST OF TABLES TABLE OF CONTENTS TABLE OF CONTENTS I. INTRODUCTION Power transmission investment program, Tranche Subprojects under Power Transmission Investment Program, Tranche 3 managed by SPMB Corrective action plan performance monitoring report... 8 II. METHODOLOGY 8 III. MAIN FINDINGS Identification of vulnerable affected households Identification of households losing more than 10% of productive land but not yet received the life stabilization assistance Complaint and grievance redress status Summary of shortcomings and corrective action implementation status IV. RECOMMENDATION 20 V. ANNEXES Decision issued by PC of Long An Province for land rental of National Power Transmission Corporation Decision issued by PC of HCMC for land rental of National Power Transmission Corporation LURC issued by PC of Tra Vinh Province to the National Power Transmission Corporation List of households who are acquired agricultural land by 220 kv Ba Ria Vung Tau transmission line List of households who received compensation payment late by 220 kv Ba Ria Vung Tau transmission line i ii iii Power Transmission Investment Program Tranche 3 iii

8 I. INTRODUCTION 1.1 Power transmission investment program, Tranche 3 1. The Asian Development Bank (ADB) on 16 December 2011 approved a multi-tranche financing facility (MFF) in the amount of $730 million for the Power Transmission Investment Program (PTIP). The Vietnam Electricity National Power Transmission Corporation (NPT) is the executing agency (EA), while the Southern Viet Nam Power Projects Management Board (SPMB) is the implementing agency (IA). ADB approved Tranche 1 in December 2011, Tranche 2 in November 2012 and Tranche 3 in October Nine subprojects are proposed for inclusion in Tranche 3, namely, the installation of a second transformer bank each for the (i) 220 kv Duc Hoa substation (SS), (ii) 500 kv Cau Bong SS, (iii) 220 kv Tra Vinh SS, (iv) 220 kv Uyen Hung SS, and (v) 220 kv Vung Tau SS; construction of new transmission lines that include the 220 kv Binh Long - Tay Ninh Transmission Line (TL) and the 500 kv My Tho - Duc Hoa TL; and construction of new substations that include the 500 kv Chon Thanh SS and the 500 kv Duc Hoa SS and Connections 1.2 Subprojects under Power Transmission Investment Program, Tranche 3 managed by SPMB 2. SPMB is managing seven subprojects, namely, the installation of a second transformer bank each for the (i) 220 kv Duc Hoa substation (SS), (ii) 500 kv Cau Bong SS, (iii) 220 kv Tra Vinh SS, (iv) 220 kv Uyen Hung SS, and (v) 220 kv Vung Tau SS; new constructions of 500 kv My Tho - Duc Hoa TL; and the 500 kv Duc Hoa SS and Connection 3. Of these 7 subprojects there are 4 subprojects, namely, the installation of second transformer bank for: (i) 220 kv Duc Hoa substation (SS), (ii) 500 kv Cau Bong SS, (iii) 220 kv Tra Vinh SS, (iv) 220 kv Uyen Hung (SS). The second transformer bank shall be installed in the existing compound of the substation. No land acquisition will occur; therefore, a resettlement plan (RP) is not required. Notwithstanding, ADB safeguards policy considers the existing substations as an associated facility of the proposed subproject. Thus, a due diligence report (DDR) is required. Due diligence report for these subprojects had been prepared in March In addition to this requirement, a due diligence review of how land acquisition was carried out in during the construction of the 220 kv Ba Ria - Vung Tau TL is required. Per ADB safeguards policy, the 220 kv Ba Ria - Vung Tau TL is an associated facility of the Second Transformer Bank for the 220 kv Vung Tàu SS because the main reason for the transmission line is to connect the substation to the Ba Ria Gas-Power-Fertilizer Plant. DDR for 220 kv Ba Ria Vung Tau TL was also prepared in March

9 5. According to the DDR, there are some corrective actions as followings: Table 1. Summary of Shortcomings and Proposed Corrective Actions Areas of Concerns Gaps in the 2013 implementation of land acquisition vis-à-vis PTIP resettlement policy Corrective actions Responsible Entities Timeline I. INSTALLATION OF A SECOND TRANSFORMER BANK FOR THE 220KV DUC HOA SUBSTATION Missing signatures in the DMS The DMS records lacked the signature of the DMS group leader (4 forms), representative of the AHs (2 forms) and representative of Duc Hoa District DONRE (11 forms). (i) Review the cited DMS forms to ensure that details of affected assets and entitlements in said forms are consistent with the approved compensation plans and compensation payment vouchers. SPMB CARB and Prior to the implementation of PTIP3 (ii)ensure that the compensation plans and compensation payment vouchers of the 2 AHs that did not sign the DMS forms included the signatures of the household heads Identification of vulnerable AHs The DMS did not determine who among the AHs belonged to one or more of the following vulnerable groups (i.e., womenheaded AH with dependents, landless and poor AH, AH headed by a disabled person or by an elderly, ethnic minority AH). Per PTIP resettlement policy, a vulnerable AH is entitled to additional assistance to help improve the social and economic condition of the household (i) Determine who among the 12 AHs were vulnerable (ii) Prepare supplementary payment vouchers or plans for the vulnerable AH for approval by the PPC (iii) Pay supplementary allowance to the vulnerable AHs SPMB, CARB and PPC Prior to the implementation of PTIP3 Payment of life stabilization assistance Losing 30% of one s total agricultural (productive) land was used in determining who were severely affected. Only 1 AH was deemed severely affected and for which it was provided life stabilization assistance (i) Review all DMs forms to find out which among the remaining 11 AHs lost 10%-29% of their total agricultural (productive) land (ii) Prepare payment vouchers or plans for AHs that lost 10%-29% of their total agricultural (productive) land for approval by the PPC. SPMB, CARB & PPC Prior to the implementation of PTIP3 (iii) Pay life stabilization assistance to the eligible 5

10 AHs. II. INSTALLATION OF A SECOND TRANSFORMER BANK FOR THE 500 KV CAU BONG SUBSTATION Identification of vulnerable affected households The DMS did not determine who among the AHs belonged to one or more of the following vulnerable groups (i.e., womenheaded AH with dependents, landless and poor AH, AH headed by a disabled person or by an elderly, ethnic minority AH). Per PTIP resettlement policy, a vulnerable AH is entitled to additional assistance to help improve the social and economic condition of the household (i)determine who among the 158 AHs (i.e., 120 permanent loss of land, and 38 affected by land use restrictions) were vulnerable (ii) Prepare supplementary payment vouchers or plans for the vulnerable AH for approval by HCMCPC (iii) Provide supplementary assistance to the vulnerable AHs SPMB, CARB &HCMC PC Prior to the implementation of PTIP3 Payment for life stabilization assistance Losing 30% or more of one s total agricultural (productive) land was used for determining who were severely affected. 33 AHs (i.e., 13 lost 30% - 70%, and 20 lost more than 70% of productive lands) were deemed severely affected and for which they were provided life stabilization assistance. (i) Review all DMS forms to find out which among the remaining 87 AHs lost 10%-29% of their total agricultural (productive) land (ii) Prepare payment vouchers or plans for AHs that lost 10%-29% of their total agricultural (productive) land for approval by HCMCPC SPMB, CARB & HCMC PC Prior to the implementation of PTIP3 (iii) Pay life stabilization assistance to the eligible AHs III. INSTALLATION OF A SECOND TRANSFORMER BANK FOR THE 220 KV TRA VINH SUBSTATION Payment for life stabilization assistance Losing 30% or more of one s total agricultural (productive) land was used for determining who were severely impacted and thus eligible to get life stabilization assistance. Six AHs (i.e., lost 30% or more of productive lands) were deemed severely affected. PTIP resettlement policy sets the benchmark for determining who are severely impacted at 10% loss of an AH s total productive assets (i)review the DMS forms of the remaining 5 AHs to find out who among them lost 10%-29% of their total agricultural (productive) land. (ii) Prepare payment vouchers or plans for AHs that lost 10%-29% of their total agricultural (productive) landholdings for approval by the PPC. (iii) Pay life stabilization assistance to the eligible AHs SPMB, CARB & PPC Prior to the implementation of PTIP3 IV. INSTALLATION OF A SECOND TRANSFORMER BANK FOR THE 220 KV UYEN HUNG SUBSTATION 6

11 Un-resolved complaint of the AH The extended delay in the resolution of the complaint of the AP is not consistent with the intent and spirit of the grievance redress process that calls for the speedy resolution of complaints (i) Elevate the complaint of the AP to the PPC for resolution. (ii) If the complaint is not resolved at the PPC level, bring the matter to the People s Court for adjudication SPMB, CARB Prior to the implementation of PTIP3 V. 220 KV BA RIA VUNG TAU TRANSMISSION LINE Identification of vulnerable AHs The DMS did not determine who among the AHs belonged to one or more of the vulnerable groups (i.e., women-headed AH with dependents, landless and poor AH, AH headed by a disabled person or by an elderly, ethnic minority AH). Per PTIP resettlement policy, a vulnerable AH is entitled to additional assistance to help improve the social and economic condition of the household. (i) Determine who among the 140 AHs were vulnerable. (ii) Prepare supplementary payment vouchers or plans for the vulnerable AH for approval by the PPC. (iii) Pay supplementary allowance to the vulnerable AHs. SPPMB, LFDC, DCARB, and PPC Prior to the implementation of PTIP3 Payment of life stabilization assistance Losing 30% or more of one s total agricultural (productive) land was used for determining who were severely affected. Eight AHs (i.e., lost 30% or more of productive lands) were deemed severely affected and for which they were provided life stabilization assistance. (i) Review all DMs forms to find out which among the other 132 AHs lost 10%-29% of their total agricultural (productive) land. (ii) Prepare payment vouchers or plans for AHs that lost 10%-29% of their total agricultural (productive) land for approval by the PPC. SPPMB, LFDC, DCARB, and PPC Prior to the implementation of PTIP3 (iii) Pay life stabilization assistance to the eligible AHs. Compensation given to AHs The DMS was completed in 2008, but preparation of compensation plans and payment of compensation was carried out over an extended period of time, from 2009 to 2014, depending on the availability of government funds. The CPs of AHs might not have been updated to reflect changes in fixed assets found on the affected lands (subsequent to the 2008 DMS) and the unit rates used to calculate compensation for affected assets might not have been adjusted to reflect prevailing (i) Review each CP of the 140 AHs and find when it was approved and when was compensation actually paid. (ii) Regarding the matter of accuracy of affected assets found on the recovered land, check if the AH signed the CP in agreement (ii) Regarding the unit rates used, if the period of approval of the CP and actual payment of compensation was more SPPMB, LFDC, DCARB, and PPC Prior to the implementation of PTIP3 7

12 market rates at the time of payment of compensation. than 1 year, compute compensation deficits for project-acquired assets (i.e., land, trees, crops, structures) due to inflation using consumer price index (CPI) at the time compensation was actually paid. (iii) Prepare payment vouchers for approval by the PPC. (iii) Pay compensation deficits to eligible AHs. Incomplete land acquisition process 7 AHs with agricultural lands in the TL ROW were belatedly located in The DMS forms of these AHs have since been forwarded to authorities in their respective wards for the preparation of their CPs. (i) Finalize the CPs of the 7 AHs for approval by the PPC (ii) Pay compensation (assistance) to the 7 AHs. SPPMB, LFDC, DCARB, and PPC Prior to the implementation of PTIP3 Incomplete DMS forms The DMS forms of 6 AHs lacked the signatures of the affected households. (i) Compare the amounts indicated in the respective DMS forms of the 6 AHs vis-à-vis the amounts indicated in their respective CPs and payment vouchers. SPPMB, DCARB Prior to the implementation of PTIP3 (ii) If there was a deficit in the amounts paid to the AHs vis-à-vis what were paid the AHs, confirm that the AHs were aware of and agree to the shortfall. 1.3 Corrective action plan performance monitoring report 6. According to ToR, the safeguard policy stated clearly the tasks and responsibility of Consultant, including: prepare due diligence report and corrective action plan as required by ADB 7. Hence this report is prepared to monitor the status of corrective action plan implementation for subprojects named the installation of a second transformer bank for: (1) 220 kv Duc Hoa SS; (ii) 550 kv Cau Bong SS; (iii) 220 kv Tra Vinh SS and 220 kv Uyen Hung SS. II. METHODOLOGY 8. In order to prepare the corrective action plan performance monitoring report, the Consultant has carried out following activities: Work with SPMB, CARB to disseminate the non-compliance issues ; 8

13 Review all documents regarding preparation of compensation plan including: DMS record, breakdown sheet for compensation cost, certificate of land loss rate, certificate of household member, complaints and responses... The purpose of this review is to: (i) identify whether houshold belongs to vunerable affected housholds or not and if yes check for the assistance policy has been applied or not ; (ii) check the percentage of acquired land area and whether the life stabilization assistance policy has been applied as per project policy framework or not; (iii) adequacy of signature of HH in compensation documents; (iv) what is the complaint for and whether grievance redress process is applied as per the project grievance mechanism or notm III. MAIN FINDINGS 3.1 Identification of vulnerable affected households 9. According to review of compensation documents, particularly in certificate of household member, there is no household who belongs to vulnerable household (women=headed AH with dependents, AH headed by a disabled person or by an elderly, landles and poor AH, ethnic minority AH). 3.2 Identification of households losing more than 10% of productive land but not yet received the life stabilization assistance 10. Based on review of documents, Consultant identified the following households 1 losing more than 10% total of productive land area and the life stabilization assistance has not been applied. TT Table 2. HH losing more than 10% of total productive land area and the assistance allowance is not yet received Full name Total area of productive land (m 2 ) Acquired land area (m 2 ) I INSTALLATION OF A SECOND TRANSFORMER BANK FOR 220KV DUC HOA SS Land acquisition rate 1 [This information has been 11,396 2,849 25% 2 removed as it falls within exceptions to disclosure 15,999 2, % 3 specified in paragraph 97, 34, , % 4 (exception (x) Information that, if disclosed, would or would be 11, , % 5 likely to endanger the life, 12,568 2, % health, safety, or security of any individual, or safety or 16.5% 6 security of ADB assets, or to prejudice the defense or national security of a member) 10,214 1,683 1 For further confirmation. 9

14 TT Full name of ADB s Public Communications Policy (2011). Total area of productive land (m 2 ) Acquired land area (m 2 ) Land acquisition rate II INSTALLATION OF A SECOND TRANSFORMER BANK FOR 500KV CAU BONG SS 1 8, , % 2 6, % 3 2, % 4 1, % 5 12,790 2, % 6 4, % 7 3, % 8 3, % 9 11,289 1, % 10 3, % 11 5, % [This information has been removed as it falls within exceptions to disclosure specified in paragraph 97, 4, , , , % 12% 12.5% 15 (exception (x) Information that, 7, % if disclosed, would or would be 16 likely to endanger the life, 10, , % 17 health, safety, or security of 4, % any individual, or safety or 18 security of ADB assets, or to 3, % prejudice the defense or national security of a member) of ADB s Public Communications Policy (2011). 3, ,678 5, , , % 18% 27% 22 3, % 23 2, % 24 8,146 1, % 25 25,428 3, % 26 3, % 27 4, % 28 5,330 1, % 29 7, % 30 4, % 31 2, % 32 8,340 1, % III INSTALLATION OF A SECOND TRANSFORMER BANK FOR 220KV TRA VINH SS 1 [This information has been 14,242 2, % 10

15 TT 2 Full name removed as it falls within exceptions to disclosure specified in paragraph 97, (exception (x) Information that, if disclosed, would or would be likely to endanger the life, health, safety, or security of any individual, or safety or security of ADB assets, or to prejudice the defense or national security of a member) of ADB s Public Communications Policy (2011). Total area of productive land (m 2 ) Acquired land area (m 2 ) 9,570 1,780 Land acquisition rate 18.6% 3.3 Complaint and grievance redress status 11. Among subprojects said above, there is only complaint case, specified as below: 11

16 Table 3. Complaints and grievance redress status No. Full name Complaint Grievance redress status Remark I INSTALLATION OF A SECOND TRANSFORMER BANK FOR 220KV UYEN HUNG SS 1 Household [This information has been removed as it falls within exceptions to disclosure specified in paragraph 97, (exception (x) Information that, if disclosed, would or would be likely to endanger the life, health, safety, or security of any individual, or safety or security of ADB assets, or to prejudice the defense or national security of a member) of ADB s Public Communications Policy (2011). Compensation rate for tree and land attached assets are required to be adjusted Compensation for affected land including: agricultural land; assistance allowance for interrupted business and production, assistance allowance for life stabilization. The meeting for review of compensation rate has been organized by CARB and accordingly finalized that the compensation rate shall be updated and applied based on the newest unit rate issued by PPC at the compensation time (Decision No. 58/2011/QĐ-UBND dated 29/12/2011 by Binh Duong PPC regarding issuance of unit rate for compensation and housing assistance, structure works, fruit tree and crops where the State acquires land in Binh Duong Province). Accordingly the CARB has advised Tan Uyen District PC to issue the Decision no. 9222/QĐ-UBND dated 07 th September 2012 for approving the supplementary assistance and compensation cost as VND. After this decision has been issued the households has greed and satisfied with compensation received and no any relevant doubts found. In 1998, Mr. [This information has been removed as it falls within exceptions to disclosure specified in paragraph 97, (exception (x) Information that, if disclosed, would or would be likely to endanger the life, health, safety, or security of any individual, or safety or security of ADB assets, or to prejudice the defense or national security of a member) of ADB s Public Communications Policy (2011). along with some people (where [This information has been removed as it falls within exceptions to disclosure specified in paragraph 97, (exception (x) Information that, if disclosed, would or would be likely to endanger the life, health, safety, or security of any individual, or safety or security of ADB assets, or to prejudice the defense or national security of a member) of ADB s Public Communications Policy (2011). acted as representative) bought the land plot with area of m 2 owned by [This information has been removed as it falls within exceptions to disclosure specified in paragraph 97, (exception (x) Information that, if disclosed, would or would be likely to Solved Currently the compensation cost has been transferred to the Bank account However the household has not yet received. SPMB has not received any information stated that the household bring the complaints to PPC or to the Court. 12

17 No. Full name Complaint Grievance redress status Remark endanger the life, health, safety, or security of any individual, or safety or security of ADB assets, or to prejudice the defense or national security of a member) of ADB s Public Communications Policy (2011). (which white book is issued by Tan Uyen PPC). On 01 st April 1999 and 29 th June 1999, the Tan Uyen District People s commune has issued the Decion no. 235/QĐ-UB and 484/QĐ-UB relating withdrawal of the issued land certificate with reason of mistake (the land issued the land use right certificate is productive land). On 22th October 2001, the representative of Tan Uyen Forest Management Division has signed the lump sum contract with the household. Accordingly the land area of 8,03 hectare has been fully transferred to the household with land use period of 50 years; and the household was entitled to cultivate agricultural and industrial crops in the planned area and rotation with short term crops in the forestry land site. When estimation of the assistance and compensation cost CARB has calculated based on regulation of Binh Duong PPC stated For land belongs to forest part, land based on lump sum contract with the State shall be supported with site clearance, conservation and its assistance cost is VND as per m 2. The household has not agreed with this assistance cost and requested that the compensation cost shall be calculated as agricultural land and entitlement of suspended production as well as life stabilization assistance allowance. The CARB has organized many discussion meetings with the household along with attendance of concerned agencies: Tan Uyen Town People committee, Forest Management County, DONRE, Justice Department. During the meetings, the representatives from concerned agencies have explained and confirmed clearly that the land portion cultivated by the houseohld is the forest land. Hence the compensation and assistance policy applied for this said household is consistent with regulation of PPC. However currently the household still 13

18 No. Full name Complaint Grievance redress status Remark requests for compensation for acquired land as agricultural land with unit rate of VND /m Summary of shortcomings and corrective action implementation status Table 4. Summary of shortcomings and corrective action implementation status Areas of Concerns Gaps in the 2013 implementation of land acquisition vis-à-vis PTIP resettlement policy Corrective actions Implementation status Remark I. INSTALLATION OF A SECOND TRANSFORMER BANK FOR 220 KB DUC HOA SUBSTATION Missing signatures in the DMS records The DMS records lacked the signature of the DMS group leader (4 forms), representative of the AHs (2 forms) and representative of Duc Hoa District DONRE (11 forms) (i) Review the cited DMS forms to ensure that details of affected assets and entitlements in said forms are consistent with the approved compensation plans and compensation payment vouchers. (ii) Ensure that the compensation plans and compensation payment vouchers of the 2 AHs that did not sign the DMS forms included the signatures of the household heads - By comparison, it stated that the number of DMS assets which has been taken into calculation are adequate. - The signature of affected households are available in DMS records Identification of vulnerable households The DMS did not determine who among the AHs belonged to one or more of the following vulnerable groups (i.e., women-headed AH with dependents, landless and poor AH, AH headed by a disabled person or by an elderly, ethnic minority AH). Per PTIP resettlement policy, a vulnerable AH is entitled to additional assistance to help improve the social and economic condition of the household i) Determine who among the 12 AHs were vulnerable. (ii) Prepare supplementary payment vouchers or plans for the vulnerable AH for approval by the PPC. (iii) Pay supplementary allowance to the vulnerable AHs No vulnerable households found Payment for life stabilization assistance Losing 30% of one s total agricultural (productive) land was used in determining who (i) Review all DMs forms to find out which among the remaining 11 AHs lost 10%-29% of their total agricultural (productive) Among 11 households, 6 households are losing more than 10% total of productive land On 18 th November 2016, Long An PPC has issued the Decision No. 4906/QD- 14

19 Areas of Concerns Gaps in the 2013 implementation of land acquisition vis-à-vis PTIP resettlement policy Corrective actions Implementation status Remark were severely affected. Only 1 AH was deemed severely affected and for which it was provided life stabilization assistance land. (ii) Prepare payment vouchers or plans for AHs that lost 10%- 29% of their total agricultural (productive) land for approval by the PPC. (iii) Pay life stabilization assistance to the eligible AHs area and not yet received the life stabilization assistance UBND approval for land rental of National Power Transmission Corporation (see decision attached in appendix) It means that compensation, resettlement for this subproject have been completed prior to implementation of PTIP3; all households has agreed and satisfied with compensation received. Till now, there is no doubt or complaints from households informed. II. INSTALLATION OF A SECOND TRANSFORMER BANK FOR 500 KB CAU BONG SUBSTATION Identification of vulnerable affected households The DMS did not determine who among the AHs belonged to one or more of the following vulnerable groups (i.e., women-headed AH with dependents, landless and poor AH, AH headed by a disabled person or by an elderly, ethnic minority AH). Per PTIP resettlement policy, a vulnerable AH is entitled to additional assistance to help improve the social and economic condition of the household. (i) Determine who among the 158 AHs (i.e., 120 permanent loss of land, and 38 affected by land use restrictions) were vulnerable. (ii) Prepare supplementary payment vouchers or plans for the vulnerable AH for approval by HCMCPC. (iii) Provide supplementary assistance to the vulnerable AHs No vulnerable affected households found Payment for life stabilization assistance Losing 30% or more of one s total agricultural (productive) land was used for determining who were severely affected. 33 AHs (i.e., 13 lost 30% - 70%, and 20 lost more than 70% of productive lands) were (i) Review all DMS forms to find out which among the remaining 87 AHs lost 10%-29% of their total agricultural (productive) land. (ii) Prepare payment vouchers or plans for AHs that lost 10%- 29% of their total agricultural (productive) land for approval by There are 32 household losing more than 10% total of productive land area but not yet received life stabilization assistance On 26 th August 2014, HCMC PP has issued Decision no. 4254/QD- UBND for renting land located Cu Chi district for construction investment of power works (transformer stations and 15

20 Areas of Concerns Gaps in the 2013 implementation of land acquisition vis-à-vis PTIP resettlement policy Corrective actions Implementation status Remark deemed severely affected and for which they were provided life stabilization assistance HCMCPC. (iii) Pay life stabilization assistance to the eligible AHs connections). (refer to decision attached in appendix) It means that compensation, resettlement for this subproject have been completed prior to implementation of PTIP3; all households has agreed and satisfied with compensation received. Till now there is no doubts or complaints of AHs informed III. INSTALLATION OF A SECOND TRANSFORMER BANK FOR 220 KV TRA VINH SUBSTATION Payment for life stabilization assistance Losing 30% or more of one s total agricultural (productive) land was used for determining who were severely impacted and thus eligible to get life stabilization assistance. Six AHs (i.e., lost 30% or more of productive lands) were deemed severely affected. PTIP resettlement policy sets the benchmark for determining who are severely impacted at 10% loss of an AH s total productive assets (i) Review the DMS forms of the remaining 5 AHs to find out who among them lost 10%-29% of their total agricultural (productive) land. (ii) Prepare payment vouchers or plans for AHs that lost 10%- 29% of their total agricultural (productive) landholdings for approval by the PPC. (iii) Pay life stabilization assistance to the eligible AHs There are 2 AHs losing more than 10% total of productive land area but not yet received life stabilization assistance On 30 th October 2012, Tra Vinh PPC has issued land use right certificate No. BI for the National power transmission Corporation. It means that compensation and resettlement activities have been conducted and completed prior to PTIP 3 commenced; all HH have agreed and satisfied with compensation received. Till now, no doubts or complaints from AH informed IV. INSTALLATION OF A SECOND TRANSFORMER BANK FOR 220 KV UYEN HUNG SUBSTATION Un-resolved complaint of the AH The extended delay in the resolution of the complaint of the AP is not consistent with the intent and spirit of the grievance redress process that calls for the speedy resolution of (i) Elevate the complaint of the AP to the PPC for resolution. (ii) If the complaint is not resolved at the PPC level, bring the matter to the People s Court for adjudication - Consultation meetings with HH have been organized on 12/09/2012, 15/11/2012; 21/11/2012 but they were absent - On 29 th November Till now, the SPMB has not yet received any information stated that Mr Nguyen Chau submits complaint to PPC or brings the matter the Court for adjudication 16

21 Areas of Concerns Gaps in the 2013 implementation of land acquisition vis-à-vis PTIP resettlement policy Corrective actions Implementation status complaints 2012, HH has submitted complaints to the SPMB, the compliant stated If our land in use acquired is still the perennial agricultural land, it is kindly requested to conduct compensation as per unit rate of agricultural land and reproductive assistance as well as life stabilization allowance based on new decision of PPC in On 17 th December 2012, SPMB has issued official letter no. 7548/AMN-DB to response to complaints of Mr Nguyen Chau Tri HH - On 26 th March 2013, direct discussion meeting with mr Nguyen Chau Tri has been conducted at headquarter of Tan Uyen District People s Committee. Currently compensation cost has been transferred to the Bank account Remark V. 220 KV BA RIA VUNG TAU TRANSMISSION LINE Identification of vulnerable AHs The DMS did not determine who among the AHs belonged to one or more of the vulnerable groups (i.e., womenheaded AH with dependents, landless and poor AH, AH headed by a disabled person or by an elderly, ethnic minority AH). Per PTIP resettlement policy, a vulnerable AH is (i) Determine who among the 140 AHs were vulnerable. (ii) Prepare supplementary payment vouchers or plans for the vulnerable AH for approval by the PPC. (iii) Pay supplementary allowance to the vulnerable AHs. No vulnerable affected households found 17

22 Areas of Concerns Gaps in the 2013 implementation of land acquisition vis-à-vis PTIP resettlement policy Corrective actions Implementation status Remark entitled to additional assistance to help improve the social and economic condition of the household. Payment of life stabilization assistance Losing 30% or more of one s total agricultural (productive) land was used for determining who were severely affected. Eight AHs (i.e., lost 30% or more of productive lands) were deemed severely affected and for which they were provided life stabilization assistance. (i) Review all DMs forms to find out which among the other 132 AHs lost 10%-29% of their total agricultural (productive) land. (ii) Prepare payment vouchers or plans for AHs that lost 10%- 29% of their total agricultural (productive) land for approval by the PPC. (iii) Pay life stabilization assistance to the eligible AHs. There are not any households who acquired more than 10% of total agricultural land (see the annex) Compensation given to AHs The DMS was completed in 2008, but preparation of compensation plans and payment of compensation was carried out over an extended period of time, from 2009 to 2014, depending on the availability of government funds. The CPs of AHs might not have been updated to reflect changes in fixed assets found on the affected lands (subsequent to the 2008 DMS) and the unit rates used to calculate compensation for affected assets might not have been adjusted to reflect prevailing market rates at the time of payment of compensation. (i) Review each CP of the 140 AHs and find when it was approved and when was compensation actually paid. (ii) Regarding the matter of accuracy of affected assets found on the recovered land, check if the AH signed the CP in agreement (ii) Regarding the unit rates used, if the period of approval of the CP and actual payment of compensation was more than 1 year, compute compensation deficits for project-acquired assets (i.e., land, trees, crops, structures) due to inflation using consumer price index (CPI) at the time compensation was actually paid. (iii) Prepare payment vouchers for approval by the PPC. (iii) Pay compensation deficits to eligible AHs. (i) 140 AHs were fully received compensation; (ii) Checking compensation documents, it was known that all AHs signed the CP. (iii) 11 households were compensated more than one year after the compensation plan was approved (see the annex). However, this is not the fault of the employer but rather the households. Therefore, there is no need to consider additional prices for these households. The reasons for late payment are: - Waiting to receive payment for affected ROW: 4 AHs (AHs are affected by both foundation and ROW. The compensation plan was prepared for the foundation first; then 18

23 Areas of Concerns Gaps in the 2013 implementation of land acquisition vis-à-vis PTIP resettlement policy Corrective actions Implementation status Remark prepared for ROW); - Provide legal document late (LURC mortgaged in the bank): 4 AHs; - compensation is not a big amount so the households are slow to receive: 2 AHs; - Waiting to adjust the compensation plan, due to wrong information initially provided 1 AHs. All AHs signed in the compensation documents (DMS, compensation plan, payment slip. Incomplete land acquisition process 7 AHs with agricultural lands in the TL ROW were belatedly located in The DMS forms of these AHs have since been forwarded to authorities in their respective wards for the preparation of their CPs. (i) Finalize the CPs of the 7 AHs for approval by the PPC (ii) Pay compensation (assistance) to the 7 AHs. The compensation plan was prepared and paid to 1 AH. The compensation plans for 6 AHs are under preparation because CARB is collecting legal documents (land was sold many owners) Follow-up status of preparing the compensation plans for 6 AHs Incomplete DMS forms The DMS forms of 6 AHs lacked the signatures of the affected households. (i) Compare the amounts indicated in the respective DMS forms of the 6 AHs vis-à-vis the amounts indicated in their respective CPs and payment vouchers. The signature of affected households are available in DMS records. (ii) If there was a deficit in the amounts paid to the AHs vis-àvis what were paid the AHs, confirm that the AHs were aware of and agree to the shortfall. 19

24 IV. RECOMMENDATION 12. Based on examination, review the status of corrective action plan implementation, the following recommendations are provided by consultant: Table 5. Summary of shortcomings and recommendations No. Content Recommendation Timeline Responsible agency 1 Life stabilization assistance policy for households losing more than 10% of total productive land (table 2). Although the delayed application of life stabilization assistance policy for households losing more than 10% of total productive land is indicated as non-compliance with the project policy framework, the Consultant has not recommended to consider retroactive amount for assistance allowance due to following reasons: - The rate of land loss is only calculated on the affected land plots and households also have many other agricultural land plots. Therefore, the land loss rate of households will be less than 10% on the total area of agricultural land owned by the household. The consultant will work with the local authorities to check the total area of agricultural land owned by the household. - Addition to compensation for land loss, HH have also received vocational change assistance and job creation. These assistance allowance is relatively high and hence HHs can purchase new productive land area to restore living standard. - The compensation has been completed, all HH has received compensation without any complaints. - The Local authority has provided Minutes of land handover for Power corporation. Currently the CARB for these subprojects has dissolved and it will meet difficulties in implementation of retroactive approach if raised. September SPMB; - Local authorities; - Consultant 2 Prepare the - The CARB will prepare and pay July CARB; 20

25 compensation plans and pay for 6 AHs by 220 kv Ba Ria Vung Tau transmission line for the households soon; - Consultant will monitor the implementation status. - SPMB; - Consultant. 21

26 V. ANNEXES 5.1 Decision issued by PC of Long An Province for land rental of National Power Transmission Corporation 22

27 23

28 24

29 5.2 Decision issued by PC of HCMC for land rental of National Power Transmission Corporation 25

30 26

31 5.3 LURC issued by PC of Tra Vinh Province to the National Power Transmission Corporation 27

32 28

33 5.4 List of households who are acquired agricultural land by 220 kv Ba Ria Vung Tau transmission line [This information has been removed as it falls within exceptions to disclosure specified in paragraph 97, (exception (x) Information that, if disclosed, would or would be likely to endanger the life, health, safety, or security of any individual, or safety or security of ADB assets, or to prejudice the defense or national security of a member) of ADB s Public Communications Policy (2011). 29

34 5.5 List of households who received compensation payment late by 220 kv Ba Ria Vung Tau transmission line [This information has been removed as it falls within exceptions to disclosure specified in paragraph 97, (exception (x) Information that, if disclosed, would or would be likely to endanger the life, health, safety, or security of any individual, or safety or security of ADB assets, or to prejudice the defense or national security of a member) of ADB s Public Communications Policy (2011). 30

35 31