VIE: Power Transmission Investment Program, Tranche 3

Transcription

1 Social Monitoring Report 1st Semi-annual Report July 2017 VIE: Power Transmission Investment Program, Tranche 3 Prepared by Le Duc Huy 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 MFF POWER TRANSMISSION INVESTMENT PROGRAM TRANCHE 3 First draft July 2017 SEMI-ANNUAL RESETTLEMENT MONITORING REPORT COVERING THE FOLLOWING SUBPROJECTS: (i) (ii) (iii) (iv) (v) (vi) (vii) 500kV Duc Hoa substation and connections, 500kV My Tho Duc Hoa transmission line, 220kV Duc Hoa substation (upgrade), 220kV Tra Vinh substation (upgrade), 220kV Uyen Hung substation (upgrade), 220kV Vung Tau substation (upgrade), 500kV Cau Bong substation (upgrade). PREPARED BY LE DUC HUY Xuan Tao ward, Bac Tu Liem district, Ha Noi Mob National external independent monitoring specialist for resettlement: LE DUC HUY Page 3

4 National external independent monitoring specialist for resettlement: LE DUC HUY Page 4

5 CONTENTS CONTENTS... 5 LIST OF TABLES... 6 ANNEXES... 6 ACRONYMS AND ABBREVIATIONS INTRODUCTION General introduction on project MFF Power Transmission Investment Program Tranche 03 Overview Briefly subproject description and impact External monitoring of RP/DDR Objective of external monitoring Tasks of the consultant Indicator of external monitoring Monitoring methodology MONITORING RESULT Project implementation progress Overview of implementation progress of RP/DDR Indoor work Information disclosure and public consultation DMS Compensation plan Payment of compensation Relocation and site clearance Income and livelihood restoration program Grievance settlement Compliance with civil works plan CONCLUSIONS AND RECOMMENDATIONS Conclusions Recommendation PLAN FOR THE NEXT MONITORING MISSION ANNEX...30 National external independent monitoring specialist for resettlement: LE DUC HUY Page 5

6 LIST OF TABLES Table 1. Summary of permanently acquired land area in subprojects Table 2: Indicators for Verification by External Experts Table 3. Progress of contract award and construction of packages Table 4. The implementation status of RP in three subprojects Table 5. The implementation status of CAP under DDRs in four subprojects Table 6. Remaining issues and recommendation by IMC for each subproject Table 7. Corrective Action Plan ANNEXES Annex 1: List of affected households received advance payment by the contractors and the client Annex 2: The form of advance payment minutes and commitment of households Annex 3: List of relocated households Annex 4: Approval decision of replacement cost National external independent monitoring specialist for resettlement: LE DUC HUY Page 6

7 ACRONYMS AND ABBREVIATIONS ADB Asian Development Bank AHs Affected households APs Affected persons CPC Commune People s Committee DCARC District Compensation, Assistance and Resettlement Committee DDR Due Diligence Report DMS Detailed measurement survey DPC District Peoples Committee DPs Displaced persons EA Executing agency EMC External monitoring consultant GOV Government of Viet Nam HHs Households IA Implementing agency IOL Inventory of losses Km Kilometer kv Kilovolt LFDC Land Foundation Development Centre LURC Land use right certificate MOC Ministry of Construction MOLISA Ministry of Labor, Invalid and Social Affairs MONRE Ministry of Natural Resources and Environment m² Square meter MFF Multi-Tranche Financing Facility NPT National Power Transmission Corporation PECC3 Power Engineering Consulting Joint Stock Company 3 PIB Public Information Booklet PICs Project Implementation Consultants PMU Project management unit PPC Provincial People s Committee RCS Replacement cost study REMDP Resettlement Ethnic Minority Development Plan ROW Right Of Way RP Resettlement Plan SPPMB Southern Vietnam Power Project Management Board SES Socio Economic Survey SPS Safeguard Policy Statements SR2 Safeguard Requirements 2 (in SPS) TA Technical assistance TL Transmission line VND Vietnam Dong (Vietnamese Currency) National external independent monitoring specialist for resettlement: LE DUC HUY Page 7

8 ELECTRICAL TERMINOLOGY kv (kilovolt) MW (Megawatt) MVA (Megavolt-ampere) Transmission System Medium Voltage Distribution substations (MV) Low Voltage Distribution (LV) 1,000 volts 1,000 kw 1,000 kva 500 kv, 220 kv, 110 kv lines 35 kv, 22 kv or 10 kv lines supplying distribution 400/230 V distribution and service lines Load Factor Electrical Losses Ratio of average power demand to maximum power demand Difference between energy delivered and energy sent out REMARKS In this report, "$" refers to US dollars. National external independent monitoring specialist for resettlement: LE DUC HUY Page 8

9 1. INTRODUCTION 1.1. General introduction on project MFF Power Transmission Investment Program 1. Electricity Viet Nam (EVN) is developing transmission networks and substations in Viet Nam to support economic growth and ensure access to a reliable supply of electricity throughout the country. The Government of the Socialist Republic of Viet Nam hopes to connect 90% of the population to electricity by 2020, and provide 100% coverage by The Master Plan for Power Development of Viet Nam No. VII for the period includes a program for development of transmission lines and substations, provision of meters, and rehabilitation of urban and rural low voltage distribution networks. 2. The Asian Development Bank (ADB) is co-financing the Power Transmission Investment Program (PTIP) through a Multi-Tranche Financing Facility (MFF). The PTIP will enhance the capacity of the transmission network to balance power loads in northern, central, and southern Viet Nam. It will (i) expand the electricity transmission infrastructure by constructing and upgrading 500 kilovolt (kv) and 220 kv transmission lines (TLs) and associated substations; (ii) improve the operational effectiveness and efficiency of the NPT; and (iii) support the implementation of the investment program. The expected total number of MFF tranches is The NPT is the PTIP Executing Agency (EA). The Northern Power Project Management Board (NPMB) is the Implementing Agency (IA) for the subprojects in northern Viet Nam; the Central Power Project Management Board (CPMB) is the IA for the subproject in central Viet Nam; and the Southern Power Project Management Board (SPMB) is the IA for subprojects in southern Viet Nam Tranche 03 Overview 4. Tranche 03 consists of 09 subprojects as following: (i) (ii) 500kV My Tho Duc Hoa transmission line 500kV Duc Hoa substation and connections (iii) 220kV Duc Hoa substation (upgrade) (iv) 500kV Cau Bong substation (upgrade). (v) 220kV Binh Long Tay Ninh transmission line, (vi) 220kV Tra Vinh substation (upgrade), (vii) 220kV Uyen Hung substation (upgrade), (viii) 500 kv Chon Thanh substation, (ix) 220kV Vung Tau substation (upgrade), 5. Owner of project: The National Power Transmission Corporation (NPT) is the executive agency for the 09 subprojects. The Central Power Project Management Board (CPMB) is the implementing agency for the two subprojects of 220kV Binh Long Tay Ninh TL and 500kV Chon Thanh substation and the remaining 07 subprojects will be implemented by The South Power Project Management Board (SPMB). Within the report, it is only mentioned to seven subprojects implemented by SPMB Briefly subproject description and impact 6. SPMB implements seven subprojects under the Tranche 3 with eight safeguard policy documents approved by ADB in 2015 during the stage of preparing FS. The documents include four resettlement plans under three subprojects [(500KV Duc Hoa substation and its connection line; installation of second transformer in 220 kv Vung Tau substation; 500kV My Tho - Duc Hoa Transmission Line (section passing Long An Province)]; 500kV My Tho - Duc Hoa Transmission Line (section passing Tien Giang Province) and five DDRs under four National external independent monitoring specialist for resettlement: LE DUC HUY Page 9

10 subprojects (220kV Tra Vinh substation, installation of second transformer in 220 kv Uyen Hung substation, installation of second transformer in 500 kv Cau Bong substation and installation of second transformer in 220kV Duc Hoa substation). 7. According to Resettlement Plans (RPs) and Due Diligence Reports (DDRs) established for subprojects and approved by ADB in March and May 2015 the scope impact of the subprojects is on the territory of six provinces/cities (including Ho Chi Minh, Long An, Tra Vinh, Binh Duong, Tien Giang and Ba Ria Vung Tau) with 11 districts and 30 communes/wards/towns. The Summary of impacts in subprojects are described in the table below: National external independent monitoring specialist for resettlement: LE DUC HUY Page 10

11 Table 1. Summary of permanently acquired land area in subprojects (Based on draft RP/DDRs) Project/Subproject Location Type of safeguard document Permanently Affected Area (m2) Affected Households (HH) Organization/I nstitution No. Province District Commune/Ward I 500kV Duc Hoa Substation & connecting line RP 233, * - Long An province 233, Duc Hoa 200, Hoa Khanh Dong 145, Hoa Khanh Nam 4, Hoa Khanh Tay 1, Duc Hoa township 2, Duc Hoa Thuong 8, My Hanh Nam 17, Tan Phu 4, Hau Nghia township 1, Tan My 10, Huu Thanh 5, Ben Luc 32, Thanh Loi 11, Thanh Hoa 4, Binh Duc 11, Thanh Duc 4, II Second Transformer Bank for 500kV Cau Bong Substation DDR 239, Ho Chi Minh City 239, Cu Chi 239, Tan Phu Trung 239, III 500kV My Tho - Duc Hoa Transmission line 2 RPs 56, Tien Giang Province RP 22, Chau Thanh 5, Diem Hy 4,239 8 Nhi Binh 1,713 3 Tan Phuoc 16, Phuoc Lap 4,784 9 My Phuoc 3,648 5 Hung Thanh 3,200 6 Tan Hoa Dong 4,556 7 Long An province RP 34,

12 1 Thanh Hoa 6, Tan Tay 6, Thu Thua 12, Long Thuan 9, Tan Lap 3, Ben Luc 10, Thanh Loi 10, Duc Hoa 4, Huu Thanh 4, Hoa Khanh Dong IV Second Transformer Bank for 220kV Duc Hoa Substation DDR 31, Long An province 31, Duc Hoa 31, Tan My 31, V Second Transformer Bank for 220kV Tra Vinh Substation DDR 33, Tra Vinh province 33, Chau Thanh 33, Luong Hoa 33, VI Second Transformer Bank for 220kV Uyen Hung Substation DDR 29, Binh Duong province 29, Tan Uyen 29, Uyen Hung town 29, VII Second Transformer Bank for 220kV Vung Tau Substation RP + DDR 8, Ba Ria - Vung Tau province 8, Ba Ria 3, Long Huong ward 1, Phuoc Trung ward 1, Vung Tau 5, Ward 11 1, Ward 12 3, Total 632, (*) Two households in Hoa Khanh Dong Commune, namely Nguyen Thi Hung and Huynh Hoai Thuong, are affected by both TL connections, which are 220 kv TL No. 2 and 500 kv TL No. 1 National external independent monitoring specialist for resettlement: LE DUC HUY Page 12

13 8. According to the summary in Table 1, there are 596 households and 15 organizations being affected by land acquisition (not including households being affected by ROW, these households will be updated in monitoring reports when the DMS result is available). The project will affect 632, m² of various types of land and assets on land. The affected quantity will be updated in detail in the monitoring report basing on the implementation progress of the project and compensation and site clearance progress External monitoring of RP/DDR Objective of external monitoring 9. The main objective of external monitoring is to provide an independent periodic review and assessment of the subproject s: (i) achievement of resettlement objectives; (ii) changes in living standards and livelihoods of affected persons (APs); (iii) restoration and/or improvement of the economic and social conditions of the APs; (iv) effectiveness and sustainability of entitlements; and (v) the need for further mitigation measures. 10. In the first monitoring, the consultant has focused on discussion with SPMB on the overall progress of the project, progress of implementing compensation, site clearance and bid award. Simultaneously, the consultant also focused on monitoring of subprojects which have been conducted award of construction contract, being implemented compensation and construction such as subproject of 500kV My Tho - Duc Hoa Transmission line and Second Transformer Bank for 220kV Vung Tau Substation Tasks of the consultant 11. The external monitoring expert has undertaken the following specific tasks as outlined below: (i) Review the internal monitoring result on the implementation of RP/DDR (ii) Review the implementation of RP/DDR, especially proposed CAP which has been approved by ADB. (iii) Verify the process of the detailed measurement survey and determine whether activities are carried out in a participatory and transparent manner. (iv) Determine the level of participation of affected people in the updating and implementation of RPs/DDR. (v) Determine whether payment of compensation and allowances are provided at full replacement cost in a timely manner to all affected people as approved in the RPs/DDRs. (vi) Determine whether public consultations and awareness programs have been conducted as approved in the RPs/DDRs. (vii) Verify whether the implementation of resettlement activities is well coordinated with the civil works schedule of each subproject. (viii) Verify the land acquisition and land transfer procedures. (ix) Verify the level of satisfaction of affected people with the provisions and implementation of the RPs/DDRs. (x) Assess the adequacy of the Grievance Redress Mechanism (documentation, process, and resolution). (xi) Determine the effectiveness, impact, and sustainability of entitlements and income restoration programs and the need for further improvement and mitigation measures. (xii) Assess the capacity of affected people to restore livelihoods and living standards with special attention to be given to severely affected people and vulnerable groups including female headed households and ethnic minorities.

14 (xiii) Assess whether there are any impacts on the host communities with regards to gender, HIV/AIDS and other infectious diseases, and human trafficking. (xiv) Assess whether any resettlement impacts are incurred during construction activities. (xv) Assess the institutional capacity of NPT and SPMB with regards to the implementation, internal monitoring and reporting resettlement and compensation activities and recommend appropriate measures to enhance identified capacity gaps. (xvi) Prepare and submit detailed monitoring reports on a semiannual basis. The reports will describe in detail the findings, including (a) progress of RPs/DDRs implementation, including any deviations from the provisions in the RPs/DDRs; (b) identification of issues and recommended solutions for improvement and resolving issues; (c) identification of specific issues related to gender, and other vulnerable groups; (d) reporting on progress of resolving issues and problems identified in previous reports; (e) reporting on good practices on the implementation of RP/DDR. (xvii) Preparation and submission of a detailed resettlement monitoring completion monitoring report within 6 months from the time of completing resettlement activities for each subproject Indicator of external monitoring 12. The monitoring indicators are presented in the table below: Monitoring Indicator Basic information on displaced persons households (Gender disaggregated data essential for all aspects) Restoration of living standards Table 2: Indicators for Verification by External Experts Basis for Indicator Location of the project Composition and structure, ages, educational, and skill levels Gender of household head Access to health, education, utilities, and other social services Housing type Land and other resource-owning and resource-using patterns Occupations and employment patterns Income sources and levels Agricultural production data (for rural households) Participation in neighborhood or community groups Access to cultural sites and events Valuation of all assets Were house compensation payments made free of depreciation, fees, or transfer costs to the displaced persons? Have displaced persons adopted the housing options developed? Have perceptions of community been restored? Have displaced persons achieved replacement of key social and cultural Fist monitoring Information has not yet been collected on this indicator. It will be included in the next monitoring reports. Information has not yet been collected on this indicator. It will be included in the next monitoring reports. National external independent monitoring specialist for resettlement: LE DUC HUY Page 14

15 Restoration of livelihoods (Disaggregate data for displaced persons moving to group resettlement sites, selfrelocating displaced persons, displaced persons with enterprises affected) Levels of displaced persons satisfaction Effectiveness of resettlement planning elements? Were compensation payments free of deductions for depreciations, fees, or transfer costs to the displaced persons? Were compensation payments sufficient to replace lost assets? Was sufficient replacement land available of suitable standard? Did income substitution allow for reestablishment of enterprises and production? Have affected enterprises received sufficient assistance to reestablish themselves? Have vulnerable groups been provided income-earning opportunities? Are these opportunities effective and sustainable? Do jobs provided restore pre-project income levels and living standards? How much do the displaced persons know about resettlement procedures and entitlements? Do the displaced persons know their entitlements? Do they know whether these have been met? How do the displaced persons assess the extent to which their own living standards and livelihoods have been restored? How much do the displaced persons know about grievance procedures and conflict resolution procedures? Were the displaced persons and their assets correctly enumerated? Was the time frame and budget sufficient to meet objectives, were there institutional constraints? Were entitlements too generous? Were vulnerable groups identified and assisted? How did resettlement implementers deal with unforeseen problems? Information has not yet been collected on this indicator. It will be included in the next monitoring reports. Information has not yet been collected on this indicator. It will be included in the next monitoring reports. Information has not yet been collected on this indicator. It will be included in the next monitoring reports Monitoring methodology 13. The consultancy unit has used the following methods to monitor and evaluate: - Collection of reports on the project implementation progress, compensation and site clearance progress, status of award of contract; - Review of internal reports on the implementation of RP/DDR, review of compensation dossier/document and data kept at SPMB. National external independent monitoring specialist for resettlement: LE DUC HUY Page 15

16 - Discussion with SPMB on: (i) Arrangement of staffs for implementation; (ii) overall progress of the project; (iii) progress of award of bid and progress of compensation and site clearance; - Discussion with DCARBs on: (i) Arrangement of staffs for implementation; (ii) process of implementing compensation and site clearance; (iii) implementation progress, advantage and disadvantage during the implementation process; (iv) checking of compensation dossier/document and collection of document. - Field survey, discussion with the stakeholders and interview with some affected households. 2. MONITORING RESULT 2.1. Project implementation progress 14. The implementation progress of seven subprojects under management of SPMB as of the first monitoring is summarized in table below: Table 3. Progress of contract award and construction of packages # Name of packages MTDH-W08 Lot 1: Construction of transmission line 500kV My Tho-Duc Hoa MTDH-W08 Lot 2: Construction of transmission line 500kV My Tho-Duc Hoa ST-W01: Construction for extention of 500kV Cau Bong substation Contract information Contractor/Supplier Name Date - Joint Venture between Song Da No 11 Joint Stock Company - Installation and Electric Construction Joint Stock Company and Installation Joint Stock Company - Joint Venture Power Construction Joint Stock Company No 1 - Viet Nam Electricity Construction Joint Stock Corporation - Pacific Joint Stock Company (Joint Venture PCC1- VNECO-Thai Binh Duong) - PCC1- Power construction joint stock company No.1 (Leader) - Anphanam E&C joint stock company 17 Feb Jan Feb 2017 Completio n (months) Physical Progress (%) 18 N/A % Status Digged foundation: 06/56 positions. Casted foundation: 02/56 positions. (Same problems with MTDH-W08 lot 2) Digged foundation: 25/56 positions. Casted foundation: 16/56 positions. (Problems: the contractor negotiated with the Affected Households for constructing, the compensation plans have not been approved) The first phase - minimum schematic- has been completed on Mar 30th, Phase 2: the pile foundation work was completed, expected to completed in QIV/2017 (depends on the progress of equipment package ST-G01) National external independent monitoring specialist for resettlement: LE DUC HUY Page 16

17 # 4 Name of packages ST-W02: Construction for extension of Vung Tau, Tra Vinh, Duc Hoa, Uyen Hung 220kV substations Contract information Contractor/Supplier Name Date - Electricity LICOGI 16 Joint Stock Company and LICOGI 16 Joint Stock Company 28 Dec 2016 Completio n (months) Physical Progress (%) 12 N/A Status All the construction work that don t related to equipment have been completed. Now waiting for equipment to continuing construction (Problems: depend on the progress of equipment packages) 2.2. Overview of implementation progress of RP/DDR 15. The implementation progress of RP/DDR as of 30/6/2017 is summarized as follows: National external independent monitoring specialist for resettlement: LE DUC HUY Page 17

18 Table 4. The implementation status of RP in three subprojects No. Subproject ADB Approv al Information disclosure DMS SES RCS Implementation Prepare Compensation plan Disclosure compensation plan Compensation/ assistance payment Handover of land Remarks kV Duc Hoa substation and connection s 500kV My Tho Duc Hoa transmissio n line 6/2015 Not yet Not yet 6/2015 Implemented for 26 households which have received advance payment (compensation plan has been not fully established and policy of the project has been not fully complied) and affected by locations of constructing electric pole foundation. It needs to continue to implement for the remaining households. Not yet done, and just Implemented for 26 households which have received advance payment Not yet Not yet Not yet Not yet Not yet Not yet Not yet Not yet Not yet done, just prepare and calculated for 26 HHs which have received advance payment as affected by locations of constructing electric pole foundation. Not yet done, Just negotiated with 26 households which have received advance payment affected by locations of constructing electric pole foundation. Not yet fully payment, just paid an advance payment for 26 HHs affected by locations of constructing electric pole foundation. It needs to prepare fully compensation plan accordingly project policy and pay back to 26 HH if found difference and continue to implement for the remaining households. Implemented for 26 households which have received advance payment (compensati on plan has been not fully established and policy of the project has been not fully complied) affected by locations of constructing electric pole foundation. It needs to continue to implement for the remaining Construction activities of this subproject have not taken place yet. So far, the contractor paid advances for 26 AH with amount of 522,750,500 VND to build 31 foundations.

19 households kV Vung Tau substation (upgrade) 6/2015 Done Done Done Done Ongoing Completed for 79 households at positions of substation in accordance with regulations of Vietnam. Not yet completed for the remaining households under the tranmission line. Completed for 79 households at positions of substation in accordance with regulations of Vietnam. Therefore, it need to compare with project policy for additonl payment if any. Not yet completed for the remaining households under the tranmission line. Completed for 79 households at positions of substation in accordance with regulations of Vietnam. Not yet completed for the remaining households under the tranmission line. National external independent monitoring specialist for resettlement: LE DUC HUY Page 19

20 Table 5. The implementation status of CAP under DDRs in four subprojects Areas of Concerns Gaps in the 2013 implementation of land acquisition vis-à-vis PTIP resettlement policy Corrective actions Implementation status Conformance I. INSTALLATION OF A SECOND TRANSFORMER BANK FOR 220 Kv 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. - By comparison, it stated that the number of DMS assets which has been taken into calculation are adequate. Complete and compliant (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 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 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 Complete and compliant Payment for 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 (i) Review all DMs forms to find out which among the remaining 11 AHs lost 10%- 29% of their total agricultural (productive) land. National external independent monitoring specialist for resettlement: LE DUC HUY Page 20 Among 11 households, 6 households are losing more than 10% total of productive land area and not yet received the life stabilization Partial complete and Partial compliant

21 Areas of Concerns Gaps in the 2013 implementation of land acquisition vis-à-vis PTIP resettlement policy life stabilization assistance Corrective actions Implementation status Conformance (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 assistance 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., 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 No vulnerable affected households found Complete compliant and 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. There are 32 household losing more than 10% total of productive land area but not yet received life stabilization assistance Partial complete and Partial compliant (iii) Pay life stabilization assistance to the eligible AHs National external independent monitoring specialist for resettlement: LE DUC HUY Page 21

22 Areas of Concerns Gaps in the 2013 implementation of land acquisition vis-à-vis PTIP resettlement policy Corrective actions Implementation status Conformance 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 Partial complete and Partial compliant 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 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 - 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 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 2012 Partial complete and Partial compliant - On 17 th December 2012, SPMB has National external independent monitoring specialist for resettlement: LE DUC HUY Page 22

23 Areas of Concerns Gaps in the 2013 implementation of land acquisition vis-à-vis PTIP resettlement policy Corrective actions Implementation status Conformance 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 National external independent monitoring specialist for resettlement: LE DUC HUY Page 23

24 Indoor work 16. The resettlement consultant has assisted SPMB in conducting quarterly internal monitoring. The 3 quarterly internal monitoring reports have been submitted to ADB for reviewing after being reviewed by external monitoring consultant. These internal monitoring reports have been prepared using all of the prescribed forms and with detailed information. These reports were prepared mainly in table format, so it is easy to fill in information, and a lot of detailed data were provided. The reports provided SPMB and ADB with much information on the status of RP/DDR implementation. The internal monitoring reports could be used to support efforts by the Project for management and coordination Compensation and assistance dossiers/document have been being collected/gathered and put into management/archiving by SPMB and DCARC. 18. Checking of compensation dossier at Vung Tau CARC by the first monitoring time shows that the implementation of compensation has complied with regulations of the Government of Vietnam, but not complied with policy of the project, for example of Vung Tau Substation. In addition, construction of the transmission line connecting with Vung Tau Substation and 500kV My Tho Duc Hoa transmission line has been started after advance payment to affected households in the tower foundations Information disclosure and public consultation 19. Meeting to disseminate project information has been conducted by SPMB and consultants establishing RP/DDR for all of the subprojects during the project preparation stage. Information disseminated to affected persons include, the project benefits; land acquisition needs and the compensation and resettlement policy; grievance redress mechanisms, as well as monitoring of the RP/DDR implementation, etc. 20. During the process of implementing RP/DDR, affected households under Vung Tau Substation and 26 AHs under 500kV My Tho Duc Hoa transmission line have been disseminated information about the project (the project benefits; land acquisition needs and the compensation and resettlement policy; grievance redress mechanisms), consulted and participated in the DMS process, consulted about the DMS result and detailed compensation plan. 21. Items from to below only mention to two subprojects which have been being implemented RP, including, (i) 220kV Vung Tau substation (upgrade) and (ii) 500kV My Tho Duc Hoa transmission line DMS 22. Out of 4 RPs of three subprojects, (i) only the subproject of 220kV Vung Tau substation (upgrade) has been implemented DMS, however; the DMS has been not completed because six households within the ROW of transmission line have been not determined the name of owners and it needs more time for local authority to determine the land owners; (ii) For new subprojects of 500kV My Tho Duc Hoa transmission line, only cadastral survey has been implemented to determine the number of households, the permanent acquired land area for foundations and affected land area within the 32 m ROW of the subproject. Number of affected households will be determined after completing DMS. It is expected to be carried out DMS in August, 2017; and (iii) 500kV Duc Hoa substation and connections has been completed measurement of cadastral map for the substation and the cadastral map has been appraised by Long An DONRE. It has been handed over landmark of land acquisition to Duc Hoa District s LFDC (Long An). And the LFDC is implementing replacement cost

25 survey which is being submitted to Duc Hoa DPC to issue official announcement on acquiring land. The transmission line to 500kV Duc Hoa substation is only completed cadastral map measurement. Long An PPC has submitted to the Government for accepting the change of land use purpose from rice land to land for constructing 500kV Duc Hoa substation and it is expected to conduct DMS from 7/ Compensation plan 23. Out of 4 RPs of three subprojects, only the subproject of 220kV Vung Tau substation (upgrade) has been implemented DMS and it is data input and data processing to draft compensation, assistance and resettlement plan (CARP). 24. The draft of CARP is being established for affected households in accordance with RP approved by ADB in June 2015 and in compliance with regulation of the Government as well as decisions issued by Ba Ria Vung Tau province. 25. It is conducted replacement cost survey for compensation price in June Methods of determining replacement cost are applied in accordance with Decree No. 44/2014/NĐ-CP and Circular No. 36/2014/TT-BTC. Unit prices will be publicly posted at headquarter of CPC and community areas in order to consult with affected households before approving the compensation plan. Please see annex 4 of Approval decision of replacement cost. 26. Resettlement plan needs to be updated after being approved in order for ADB to approve before conducting compensation and assistance payment to affected households. 27. Some contents assessed in table 6, which have been not complied with CAPs under DDR, need to be followed to implement Payment of compensation 28. From the time of RP being approved by ADB to 30/6/2017, there has been no compensation and assistance plan being approved and no compensation payment being conducted to affected households. However, there have been 32 affected households (26 HHs in Tay Tay commune and Long Thuan commune under 500kV My Tho Duc Hoa transmission line and 06 households in Ward 11, Vung Tau City under 220kV Ba Ria- Vung Tau transmission line) being conducted advance payment by contractor and SPMB under monitoring and confirmation of local authority (representatives of hamlet and CPC) on the base that households agree to receive the advance payment and voluntarily hand over the site to the contractor to construct electric pole foundation. Affected households (six households) under 220kV Ba Ria-Vung Tau transmission line has received advance payment from 8/2016 to 12/2016. Affected households (26 households) under 500kV My Tho Duc Hoa transmission line has received advance payment from 02/2017 to 05/2017. Total advance payment amount paid to 32 affected households under two subprojects by the contractors is VND 1,173,465,720. See Annex 1 with details name and number of households of advance payment amount in 500kV My Tho Duc Hoa transmission line and 220kV Vung Tau substation (upgrade) subproject. See Annex 2 for the attached sample of document as receipt of advance payment. 29. Procedures for advance payment is simple and favorable for affected households and compensation price is temporarily calculated in accordance with regulation of project provinces at the time of conducting advance payment to households. The householders together with representatives of CPC and the stakeholders sign confirmation minutes when the households receive advance payment amount. Consultant has surveyed the site and checked advance payment minutes of households for land and assets on land. See Annex 2 for the attached sample of documents Relocation and site clearance National external independent monitoring specialist for resettlement: LE DUC HUY Page 25

26 30. According to DMS data, in subproject of 220kV Vung Tau substation (upgrade), 15 relocated households under the locations of constructing the 220kV substation have been compensated from 2014 to All of the 15 households have been handed over resettlement land and relocated in New resettlement site is in Ward 10, Vung Tau city and the old place is in Ward 11, Vung Tau city. Through site survey and interview with household of Mrs. Pham Thi Ton which is handed over land in resettlement site B1, Hill 2, Ward 10, it shows that location of resettlement land is near residential area and next to road with sufficient technical infrastructure and social services See Annex 3 for detailed information Income and livelihood restoration program 31. All severely affected households (defined in RP/DDR) in accordance with RP/DDR are being reviewed and determined by DCARC to support for life stabilization and job change if required. Total number of severely affected households as of 30/6/2017 is 40 under DDRs. However, these HHs have been not provided additional assistance by the project in accordance with CAP. Other subprojects (500kV My Tho Duc Hoa transmission line and 500kV Duc Hoa substation and connections) have been not implemented DMS and classified types of affected households in accordance with RP). IMC will continue to follow and monitor this issue during the next monitoring Grievance settlement 32. As of the end of 6/2017, no grievance and complaint of affected households on the implementation of resettlement has been recorded. However, some affected households have had queries related to the disclosed DMS results. The DCARB has checked and explained to these AHs that there were mistakes during the DMS data inputting process; therefore, the mistakes have been corrected to reflect the actual DMS results of these households. As of now, the AHs do not have any complaint and/or query. The status of grievance and grievance redress (if any) will be continued to be monitored during the next monitoring by IMC Compliance with civil works plan 33. As of the monitoring time, all civil work packages have been awarded. The implementation of compensation and site clearance activities for some locations of tower foundation of two subprojects has been completed prior to commencement of civil works. Regarding this, the advance payment has been provided for 26 AHs as mentioned above. Thus, it can say that the site clearance of tower foundation positions is in line with the construction progress of the electric pole.. For the conducted compensation and resettlement activities, they will be reviewed and monitored to ensure compliance with the policy framework and approved updated resettlement plans. 3. CONCLUSIONS AND RECOMMENDATIONS 3.1. Conclusions 34. Policies of Vietnam in accordance with Land law 2013 are basically harmonized with SPS 2009 of ADB and the project s policy. The implementation progress of RP/DDR of subprojects is at the beginning stage and the implementation of RP/DDR is being complied with the project s policy Recommendation 35. Recommend the SPMB and Compensation, assistance and resettlement board at district level under subprojects to speed up the implementation progress of RP. 36. All the findings and recommendations by IMC per subproject are provided in the in Table below. Table 6. Remaining issues and recommendation by IMC for each subproject National external independent monitoring specialist for resettlement: LE DUC HUY Page 26

27 # Subproject Findings in the first monitoring Installation of a second transformer bank for 220 KB Duc Hoa substation Installation of a second transformer bank for 500 KB Cau Bong substation Installation of a second transformer bank for 220 KB Tra Vinh substation Installation of a second transformer bank for 220 KB Duc Hoa substation 220 kv Vung Tau substation (upgrade)/transmission line There are six households losing more than 10% total of productive land area and not yet received the life stabilization assistance. There are 32 household losing more than 10% total of productive land area but not yet received life stabilization assistance. There are 2 AHs losing more than 10% total of productive land area but not yet received life stabilization assistance - 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 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 of the State Treasury of Uyen Hung district. Not yet completed the review and classification of affected households in accordance with RP. Some advance payment minutes and commitment for affected households are still lacked signatures of the stakeholders. Not yet completed establishment and approval of compensation plan to update RP and conduct payment to affected households. Opinion and recommendation by IMC Recommend SPMB/Duc Hoa DCARC to establish additional assistance option to conduct payment to affected households soon. Recommend SPMB/ DCARC to establish additional assistance option to conduct payment to affected households soon. Recommend SPMB/ DCARC to establish additional assistance option to conduct payment to affected households soon. Recommend SPMB/Uyen Hung DCARC to continue to follow up the grievance of household of Mr. Tri and guide/refer the AH to raise his grievance to a higher level now in line with the Project GRM for a thorough resolution because it has been prolonged for a long time, but not resolved. - Recommend SPMB/DCARC to complete the review and classification of affected households soon (severely affected households and vulnerable households) in accordance with the project s policy. - Supplement signature of the stakeholders into National external independent monitoring specialist for resettlement: LE DUC HUY Page 27

28 # Subproject Findings in the first monitoring Opinion and recommendation by IMC some minutes and advance payment commitment for six households under locations of constructing electric pole foundation. - Establish and approve compensation plan soon to update and conduct compensation payment to affected households because it has been only conducted advance payment in accordance with the agreement with households to have site for construction. Compensation and assistance payments will be only carried out once the updated RP has been agreed by government and ADB. 37. All the findings and recommendations by IMC per subproject are provided in the Corrective Action Plan found in Table below. 2 3 Table 7. Corrective Action Plan # Subproject Activities 1 Installation of a second transformer bank for 220 KB Duc Hoa substation Installation of a second transformer bank for 500 KB Cau Bong substation Installation of a second transformer bank for 220 KB Tra Vinh substation Establish additional assistance plan for six adversely affected households, losing from 10% to less than 30% of their production landholding to conduct payment to the households soon. Establish additional assistance plan for 32 adversely affected households, losing from 10% to less than 30% of their production land holding to conduct payment to the households soon. Establish additional assistance plan for two adversely affected households, losing from 10% to less than 30% of their production landholding to conduct payment to the households soon. Responsible Parties Duc Hoa DCARC and CPC DCARC and CPC DCARC and CPC Completed Time Before 30/9/2017 Before 30/10/2017 Before 30/9/2017 National external independent monitoring specialist for resettlement: LE DUC HUY Page 28

29 # Subproject Activities Responsible Parties Completed Time 4 5 Installation of a second transformer bank for 220 KB Duc Hoa substation 220 kv Vung Tau substation Recommend SPMB/Uyen Hung DCARC to continue to follow up the grievance of household of Mr. Tri and propose the resolution because it has been prolonged for a long time, but not resolved. Complete the review and classification of affected households soon (severely affected households and vulnerable households) in accordance with the project s policy. Supplement signature of the stakeholders into some minutes and advance payment commitment for six households in the locations of constructing electric pole foundation. Establish and approve compensation plan soon to update and conduct compensation payment to affected households because it has been only conducted advance payment in accordance with the agreement with households to have site for construction. Compensation and assistance payments will be only carried out once the updated RP has been agreed by government and ADB. Duc Hoa DCARC and CPC Duc Hoa DCARC, CPC and SPMB Before 30/10/2017 Before 30/10/ PLAN FOR THE NEXT MONITORING MISSION Review the progress of resolving all the shortcomings and findings will be monitor in the next monitoring report. Update the project implementation progress and the implementation progress of RP/DDR. The second periodical monitoring is expected to be conducted in 12/2017. Preparation of the draft of second periodical monitoring report is expected to be in 1/2018. National external independent monitoring specialist for resettlement: LE DUC HUY Page 29