Internal Resettlement Monitoring Report

Transcription

1 Internal Resettlement Monitoring Report Stage of document: Quarterly (Q4 2015) Project/Loan number: Loan 2789 Date: March 2016 VIE: TRANSPORT CONNECTIONS IN NORTHERN MOUNTAINOUSPROVINCES PROJECT Prepared by the Project Coordination Consultant for the Joint Coordination Committee for the Asian Development Bank

2 CURRENCY EQUIVALENTS (as of 8 March 2016) Currency unit VND $1.00 = VND22350 ABBREVIATIONS ADB - Asian Development Bank CARB - Compensation, Assistance and Resettlement Board CPC - Commune People s Committee DMS - Detailed Measurement Survey DP - Displaced Person DONRE - Department of Natural Resources and Environment DPC - District People s Committee GOV - Government of Viet Nam HH - Household IOL - Inventory of Losses LURC - Land Use Rights Certificate MOLISA - Ministry of Labor, Invalids and Social Affairs NGO - Non-governmental Organization PDOT - Provincial Department of Transport PIB - Public Information Booklet PPC - Provincial People s Committee PPMU - Provincial Project Management Unit RCS - Replacement Cost Study ROW - Right of Way RP - Resettlement Plan SC - Steering Committee SES - Socio-Economic Survey TCNMPP - Transport Connections in Northern Mountainous Provinces Project Notes: This Quarterly Resettlement Plan 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. 2

3 DEFINITION OF TERMS Affected person (AP) / Affected household (AH) - Means any person, household, firm or private institution who, on account of changes resulting from the Project, or any of its phases or subprojects, will have its (i) standard of living adversely affected; (ii) right, title or interest in any house, land (including residential, commercial, agricultural, forest, salt mining and/or grazing land), water resources or any other moveable or fixed assets acquired, possessed, restricted or otherwise adversely affected, in full or in part, permanently or temporarily; and/or (iii) business, occupation, place of work or residence or habitat adversely affected, with or without displacement. In the case of affected household, it includes all members residing under one roof and operating as a single economic unit, who are adversely affected by a project or any of its components, who are adversely affected by the sub-project or any of its components. Detailed Measurement Survey (DMS) - With the aid of the approved detailed engineering design, this activity involves the finalization and/or validation of the results of the inventory of losses (IOL), severity of impacts, and list of AP earlier done during RP preparation. The final cost of resettlement can be determined following completion of the DMS. Compensation - Means payment in cash or in kind to replace losses of land, housing, income and other assets caused by the Project. All compensation is based on the principle of replacement costs, this is asset valuation method can compensate at the current market costs, plus any transaction costs such as administrative charges, taxes, registration and titling costs. Cut-off date - Means the date of completing DMS for which land and/or assets affected by the Project are measured. The AP will be informed of the cut-off date for each subproject component, and any people or assets that settle in the subproject area after the cut-off date will not be entitled to compensation and assistance under the subproject. Ethnic minority - People with a group status having a social or cultural identity - Distinct from that of the dominant or mainstream society. Entitlement - Refers to a range of measures comprising compensation, income restoration support, transfer assistance, income substitution, relocation support, etc. which are due to the AP, depending on the type and severity of their losses, to restore their economic and social base. Host community - Means the community already in residence at a proposed 3

4 resettlement or relocation site. Income restoration - This is the re-establishment of sources of income and livelihood of the affected households. Income restoration program Inventory of Losses (IOL) - A program designed with various activities that aim to support AP to recover their income / livelihood to pre-project levels. The program is designed to address the specific needs of the AP based on the socioeconomic survey and consultations - This is the process where all fixed assets (i.e., lands used for residence, commerce, agriculture, including ponds; dwelling units; stalls and shops; secondary structures, such as fences, tombs, wells; trees with commercial value; etc.) and sources of income and livelihood inside the Project right-of-way (PROJECT AREA) are identified, measured, their owners identified, their exact location pinpointed, and their replacement costs calculated. Additionally, the severity of impact to the affected assets and the severity of impact to the livelihood and productive capacity of AP will be determined. Land acquisition - Refers to the process whereby an individual, household, firm or private institution is compelled by a public agency to alienate all or part of the land it owns or possesses to the ownership and possession of that agency for public purposes in return for compensation at replacement costs. Rehabilitation - This refers to additional support provided to AP losing productive assets, incomes, employment or sources of living, to supplement payment of compensation for acquired assets, in order to achieve, at a minimum, full restoration of living standards and quality of life. Relocation - This is the physical relocation of an AP from her/his preproject place of residence and/or business. Resettlement and Ethnic Minorities Development Plan - A plan for resettlement of an ethnic minority population, combining the resettlement plan with specific ethnic minority concerns and cultural sensitivity for the specific needs of the ethnic minority groups. Replacement cost - The amount needed to replace an affected asset net of transaction costs such as administrative charges, taxes, registration and titling costs. 4

5 Replacement Cost Study - This refers to the process involved in determining replacement costs of affected assets based on empirical data. Resettlement - This includes all measures taken to mitigate any and all adverse impacts of a project on AP property and/or livelihoods, including compensation, relocation (where relevant), and rehabilitation as needed. Resettlement Plan - This is a time-bound action plan with budget setting out compensation and resettlement strategies, objectives, entitlement, actions, responsibilities, monitoring and evaluation. Severely affected households - This refers to affected households who will (i) lose 10% or more of their total productive land and/or assets (generating income), (ii) have to relocate; Stakeholders - Individuals, groups, or institutions that have an interest or stake in the outcome of a project. The term also applies to those potentially affected by a project. Stakeholders include land users, country, regional and local governments, implementing agencies, project executing agencies, groups contracted to conduct project activities at various stages of the project, and other groups in the civil society which may have an interest in the project. Vulnerable groups - These are distinct groups of people who might suffer disproportionately or face the risk of being further marginalized by the effects of resettlement and specifically include: (i) female headed households with dependents, (ii) disabled household heads, (iii) households falling under the generally accepted indicator for poverty, (iv) children and the elderly households who are landless and with no other means of support, and (v) landless households and (vi) ethnic minority people. 5

6 EXECUTIVE SUMMARY Project Description: The Asian Development Bank (ADB) is funding the Transport Connections in Northern Mountainous Provinces Project (TCNMPP) to assist the Government of Viet Nam to implement its poverty reduction and road improvement programs. The project zone includes 6 provinces in the North of Viet Nam, namely: Bac Kan, Cao Bang, Ha Giang, Tuyen Quang, Lao Cai and Yen Bai Resettlement Policy Framework: The overall objective of the compensation and entitlements policy of the Project is to ensure that all households affected by the subproject shall maintain, or improve their living conditions and income generation capacities at equal or better levels or conditions than before the project, by compensating their losses, either physical or non-physical, as well as providing other assistance or rehabilitation measures. The Resettlement Policy Framework of the project is developed and approved by the Government and ADB based on the current laws and regulations of the Government of Vietnam on land acquisition, compensation, resettlement and assistance, and ADB SPS 2009 on Involuntary Resettlement with the principle of ensuring fairness and maximizing the benefit of affected people irrespective of their land use rights; support special assistance for the poor and vulnerable so they can improve their lives after the compensation and resettlement. The entitlements of affected persons (AP) are presented in the Entitlement Matrix in the Resettlement Plan corresponding to the impacts identified during the processes of DMS and socio-economic survey (SES). The entitlements have been updated during project implementation to ensure that losses will be restored or improved. Public consultation and dissemination: Public meetings and consultations have been organized in each affected commune during subproject preparation and implementation. These meetings were aimed at disseminating the compensation policy, rehabilitation and assistance measures; consulting opinions of AHs about compensation unit prices for affected assets, project implementation schedule; announcement of the application results of compensation unit prices, entitlements and explaining the complaint and grievance redress mechanism. The Project Information Booklet (PIB) was also delivered to AHs and their communities. Grievance redress mechanism: A clear 4-stage grievance redress mechanism is established in order to resolve the complaints and grievances of AHs related to the land acquisition, resettlement and compensation, in a timely and satisfactory manner. AHs have rights to lodge their complaints related to any aspects in the requirements of land acquisition and resettlement, compensation policy, entitlements, rate and compensation payment, strategies and procedures for resettlement and other rehabilitation assistance programs. In the grievance redress process, CPC and social organizations play a role in reconciliation at the commune level while DPC and PPC shall be responsible for redress of grievance at the district level, and PPC at the provincial level. The Court is the final level to resolve grievance of APs. The grievance redress mechanism was disclosed to APs during public meetings and consultations. Monitoring of RP Implementation: An appropriate monitoring program and mechanism is established for close monitoring of RP implementation in order to ensure that 6

7 the project resettlement implementation complies to policies of resettlement regulated in this RP and that the project key resettlement objectives are achieved. The PPMU is the routine internal monitoring unit of the subproject under support of social safeguards consultants. Quarterly monitoring report prepared by PCC: This report is prepared by the Project Coordination Consultant for JCC with the progress updated by the end of December 2015, including project introduction, scope of impacts, status and schedule of resettlement activities and results of monitoring on RP implementation. 7

8 I. INTRODUCTION Project 1. The Asian Development Bank (ADB) is funding the Transport Connections in Northern Mountainous Provinces Project to help the Government of Viet Nam implement its poverty reduction and road improvement programs. The project zone includes 6 provinces in the North of Viet Nam, namely: BacKan, Cao Bang, Ha Giang, TuyenQuang, Lao Cai and Yen Bai. 2. These provinces have high rates of poverty and ethnic minority population in comparison to other areas in the country. The road network consists predominantly of unpaved, narrow roads, with many sections that are impassable during the rainy season. With the project, travel time and cost in the mountainous remote areas in order to access social infrastructure, will be reduced, and the economic activities along the roads will be enhanced. 3. Twelve high priority provincial road sections have been selected for improvement under the Project. These roads are summarized in the Table 1. Organization 4. The overall project coordination and monitoring is assigned to the Joint Coordination Committee (JCC) comprising the Vice-Chairpersons of the six Provincial People s Committees (PPCs) of BacKan, Cao Bang, Ha Giang, Lao Cai, TuyenQuang and Yen Bai provinces with the Vice-Chairman of BacKan PPC as Chairman. 5. The activities of the Provincial Project Management Units (PPMUs) will be coordinated and monitored by the JCC with the support of the Project Coordination Consultant (PCC), which works directly for the JCC. The JCC has appointed a Project Director who will coordinate and monitor the project activities with the support of the PCC Team Leader on a day-to-day basis. The Project Coordination Consultant (PCC) 6. A contract to carry out the Project Coordination Consultant consulting services of the Transport Connections in Northern Mountainous Provinces Project (the Project) was signed between the Bac Kan Provincial Project Management Unit (the Client) and CDM-Smith Inc. in association with Phu Thai Consultancy Joint Stock Company and Southern Environmental Protection and Technology J.S.C (the Consultant) on 29 May The Consultant mobilized on 14 June The time period of the consultants services is 52 months. 7. The office of the JCC and the main office of the PCC are located in BacKan town. In addition, site offices of the PCC have been established in the towns: BacKan, Yen Bai and TuyenQuang. 8. During RPs implementation stage, the PCC has worked closely with PPMU in implementation and monitoring of approved Updated RPsto ensure the implementation is in compliance with the requirements in the approved Updated RPsand assist in the preparation of corrective action plans, if necessary. Table 1.List of Project Roads Province Road Length (km) Road Class Starting point Ending point Bac Kan PR IV PR 254 Provincial border Province Subtotal Cao Bang PR V Ca Thanh Commune HuyGiap Commune * Province Subtotal 30.2 Ha Giang PR 176A 29.2 VI Du Gia Commune (World Bank Project) PR 176 Ha Giang PR IV 700m from NH2 Xuan Giang Commune * 8

9 Province Subtotal 64.8 TuyenQuang PR V PR 190 Provincial border TuyenQuang PR V PR 176 Yen Thuan Commune* Province Subtotal Yen Bai PR IV Nam Cuong Commune Trai Hut Ferry Province Subtotal Lao Cai PR V NH 4E Hop Thanh Commune Lao Cai PR V NH 4D Nam Chay Commune Lao Cai PR 151B V PR 151 NH 279 Lao Cai PR V NH 279 Provincial border Lao Cai PR V NH 279 (at Pho Rang Bridge ) Province Subtotal Project Xuan Hoa Commune 9

10 II. A. Impacts on households SCOPE OF PROJECT IMPACT 9. Results of the Detailed Measurement Survey (DMS) show that 6,418 households wereaffected by the original project, of which, 159 households were reorganized or re-builttheir houses on the remaining land;no households have to resettle in other places;63 household lost 10% or more of their productive land holding. For the additional works, 53 households will be affected by projects. Detailed impact on the households is summarized in Appendix 1. B. Impacts on land 10. The total area of affected land is 1,610,815.3m2, of which residential land is 41,729.9 m2(2.59 %); perennial land is 327,039 m2 (20.30%); arable land is 11,242m2 (0.70%); agricultural land is 416,249.1m2 (25.84%); forest land is m2 (33.27%); annual crops land 100,339.3 m2 (6.23%) and disposal site 30,083 m2 (1.87%) Detailed impact on land is presented in Appendix 2. C. Impacts on houses and structures household houses were affected with the total affected area of 9,284m2. Detailed data of area of affected houses is shown in Appendix Detailed area and types of structure affected is shown in Appendix 4. D. Impacts on crops and trees 13. Affected crops and trees are presented in Appendix 5 E. Impacts on public properties 14. The Project impacts on technical infrastructure or public properties are presented in Appendix 6 F. Impacts on cultural vestige/heritage and preserved area 15. The project has no effect on historical monuments, cultural heritage, nature reserve, biosphere reserve, watershed forest. 16. Summary of cost estimates for RPs updated as of 31/12/2015 Table 2: Cost estimates for implementing Resettlement Plan No. PR Cost Estimates [VND] I Original Project 178,826,268, B 4,137,795, ,141,419, ,918,812, ,312,458, ,401,221, ,760,680, ,218,554,042, ,294,674, ,610,397, A 12,200,256, ,828,925, ,938,748, ,062,324,096.0 Remarks 10

11 II Additional item 4,271,426, Bac Kan 1,221,159, Cao Bang 3,050,231, ,097,695,381.0 Exchange to USD 8,689, (Ex. Rate: ) G. Additionally approved civil work items 17. In August 2014, JCC issued a letter submitting to ADB to suggest anadditional work item list, accordingly the toal length of the road to be improved by the project will increase from 284km to 298km and 02 bridges will be added in sub-project in BacKan and Yen Bai for constructing. On 18 November 2014, the State Bank issued Letter No. 8570/NHNN-HTQT regarding the use of unallocated fund of the TCNMPP, ADB Loan. Thereby, Bac Kan PPC was kindly requested by the State Bank to discuss and agree with ADB regarding the use of this balance. On 09 December 2014, ADB issued a letter approving Loan reallocation proposal, list of items is as follows: Table3 Additional civil items No. Province Proposal Expected output I ADB Loan components 1 Bac Kan 2 Cao Bang 3 Lao Cai 4 Yen Bai II Re-recommend Ban Cau Bridge (Km18+120) on PR 255 Re-recommend road section Km KM on PR202 Reduce 4.2Km road from Km Km15+00 due to coincidence with the Suoi Chan Hydropower Project. Add 3Km section from Km Km7+00, under sub-project PR151B Re-recommend 3.6Km, including: Km5+500; Km6-Km7+660; Km8 - Km8+500, under sub-project PR151 Re-recomend 2km from Km13-Km15, under sub-project PR154 Re-recommend Quach Bridge from Km Km , under sub-project PR163 Construct 4 Km more from Km Km , under sub-project PR163 Re-recommend Ngoi Hop Bridge, section form Km ,85 under sub-project PR163 Replacing the existing bridge, improving safety and sustainability of the road Upgrading 4.2Km road more, increasing the connectivity of transport Reducing 4.2Km and adding 3Km Upgrading 3,6Km more, increasing the connectivity of transport Upgrading 3,6Km more, increasing the connectivity of transport Constructing new bridge, increasing the connectivity of transport Upgrading 4Km road more, increasing the connectivity of transport Replacing the existing bridge and upgrading 0.79 Km project road, improving safety and sustainability of the road Upgrading 13.6Km road more and replacing 2 existing bridges, improving connectivity, safety and sustainability of the road Climate change adaptation component 1 Bac Kan Invest some items: retaining walls, side ditches along the project road PR255 11

12 No. Province Proposal Expected output 2 Cao Bang Invest some items: retaining walls, side ditches along the project road PR202 3 Ha Giang Invest some items: retaining walls along the project road PR183 4 Lao Cai 5 TuyenQuang Invest some items: retaining walls, side ditches along the project roads PR151B and PR 154 Invest some items: side ditches, slope protection and retaining walls along the project road PR187 and PR189 6 Yen Bai Invest some items: side ditches along the project PR 163 Applying climate change study for all the project road sections 18. In 4 provinces have additional fund, only BacKan and Cao Bang have additional land acquisition and resettlement. Lao Cai and Yen Bai implemented compensation and resettlement before.therefore, BacKan and Cao Bang have to keep update resettlement plan for additional items. Both provinces have completed DMS and Socio-Economic Survey (SES) for the households affected by additional works.updatedresettlement Plans in both provinces were approved by ADB (BacKan dated 14 April 2015, Cao Bang dated 7 August 2015) 19. Compensation plans for affected households of re-allocated funds in two provinces: BacKan and Cao Bang have been approved by the competent authorities(in BacKan dated 11 November 2015, in Cao Bang dated 18 September 2015) 20. At present, the compensation payment for affected households in BacKan (Ban Cau Bridge) has been carried out. Among 10 affected households, 9 households have received the compensation, only 01 household (Mr Ha SyThang, Ban Cau village) has not received the compensation. The reason Mr.Thang is not receiving the compensation is he has a piece of land being flooded by the original project implementation and he requests that he will only receive the compensation for the impacts of the reinclusion work under additional fund if he gets support. 21. In Cao Bang, the compensation plan for supplementing 4.2Km road sectionof Cao Bang Province was approved on 18 September 2015, however PPMU Cao Bang is waiting for the approval ofadb s additional fund. 22. For the re-allocated fund of Lao Cai province (section Km Km 7+000, PR 151B)the RP with the original project has been prepared and implemented. The compensation payment for this road section was carried out in June In December 2015, the resettlement specialist carried out the supervision and prepared the Report of confirmation the resettlement completion. Accordingly, 24 households in the affected areas has received the compensation, handover without any claims. 12

13 III. RP IMPLEMENTATION PROGRESS Appendix 04: Status and schedule of resettlement activities as of31 December 2015 Appendix 04: Status and schedule of resettlement activities as of 31 December 2015 Resettlement Activities Preparation and Approval of updated RP Date of PCC JCC ADB UBND No. Roads DMS (Date form at dd/mm/yyy) RCS (Date form at dd/mm/yyy) SES (Date form at dd/mm/yyy) Consultatio n compensat ion Complete updated RP submit updated submit updated approve updated approve updated payment RPto JCC RPto ADB RP RP Start Result End Start Result End Start End Cao Bang 1 PR 202 1/10/2012 Completed 15/5/ /01/2013 Completed 15/4/2013 8/10/ /5/ /6/ /11/ /7/ /8/ /8/2013 4/9/ /9/2013 HaGiang 2 PR 176A 15/5/2013 Completed 8/2013 7/2013 Completed 15/9/ /6/ /8/ /9/ /05/2014 7/10/2013 7/10/ /10/ /11/ /01/2014 PR /6/2013 Completed 8/2013 7/2013 Completed 15/9/ /6/ /8/2013 5/9/ /05/ /9/ /9/2013 4/10/ /10/ /11/ Bac Kan PR 255 6/09/20112 Completed 10/5/ /09/2012 Completed 15/3/2013 6/9/ /4/2013 Hoànthành 15/09/ /8/ /8/ /8/ /8/ /8/2013 TuyenQuang 4 PR /08/2012 Completed 31/5/ /1/ /5/ /8/ /5/ /7/ /12/ /07/ /07/2013 2/08/2013 8/08/ /08/2013 Completed 5 PR /09/2012 Completed 15/6/ /1/ /5/ /09/ /6/2013 5/8/ /05/ /08/ /08/ /08/ /9/ /10/2013 Lao Cai PR 154 4/ /2012 8/ /1/2013 4/2012 8/ / /5/ /3/2013 5/04/ /4/ /04/ /5/2013 PR 156 4/ /11/2012 8/ /1/2013 4/ /10/ /7/ /5/ /08/ /8/ /08/ /08/2013 9/09/2013 PR 151 4/2012 Completed 30/11/2012 8/2012 Completed 17/1/2013 4/ /10/2012 Hoànthành 15/8/ /7/ /7/ /7/ /7/ /08/2013 PR 151B 4/ /11/2012 8/ /1/2013 4/ /10/2012 Hoànthành 31/8/ /7/ /7/ /7/ /7/ /08/2013 PR 160 4/ /11/2012 8/ /1/2013 4/ /10/2012 Hoànthành 30/9/2013 2/7/2013 2/7/2013 3/7/2013 9/7/ /8/ Yen Bai PR 163 1/10/2012 Completed 31/12/ /2012 Completed 8/5/2013 1/10/ /12/ /1/ /5/ /4/ /4/ /4/ /5/ /5/2013 Note: 1. Socio-economic is included in DMS form. 2. SES will be conducted by PPMU for project that impacts on more than 200 relocated persons and that clarifies as category A. If the project is clarified as category B, SES is not required, but socio economic information is required. 13

14 23. RP implementation in each province has been monitored and reported by PCC. Table below shows status of resettlement monitoring report as of 31December Dec-15 RP Monitoring Report No. Province/Package Submitted to Bac Kan PPMU Approved by ADB I Original Project I.1 Bac Kan 1 BK-R /12/2013 3/1/ BK-R /9/2013 8/10/ BK-R /12/ /12/ BK-R /9/ /9/2013 I.2 Cao Bang 5 CB-R CB-R /10/ CB-R I.3 HaGiang 8 HG-R176A-01 18/3/ /3/ HG-R176A-02 28/4/ /Sep/ HG-R HG-R /Jul/2014 I.4 TuyenQuang 12 TQ-R /1/ /1/ TQ-R /1/ /1/ TQ-R /3/ /3/ TQ-R /3/ /3/2014 I.5 Yen Bai 16 YB-R YB-R /5/ /5/ YB-R I.6 Lao Cai 19 LC-R /10/ /10/ LC-R /8/ /8/ LC-R151B-01 23/8/ /8/ LC-R /8/ /8/ LC-R /8/ /8/2013 II Re-inclusion 1 Bac Kan 27/3/ /4/ Cao Bang 21/5/2015 7/8/

15 IV. RP IMPLEMENTATION MONITORING RESULTS Project Roads PR 255 BK BK ADB s requirements in letter of no-objection on commencing construction For 5 AHs who have not received compensation because of absence at the time of payment and disagreement with the compensation rate, we (ADB) recommend that the amount of money should be deposited in an escrow account until all pending issues are resolved successfully and they agree to receive the compensation. Resettlement Specialists will monitor those issues and report to ADB in the next Mission. Resolving status as of 30/9/2015 Resolving status as of 31/12/2015 BAC KAN PROVINCE - Not solve definitively the case of Mr. Nguyen Van Hiep (Ngoc Phai Commune) has not received compensation. Completed land acquisition - Not solve definitively the case of Mr. Nguyen Van Hiep (Ngoc Phai Commune) has not received compensation. The reason Mr. Hiep is not receiving the compensation is he requests to be supported for land grading that according to him, it did before, however, through many inspections, no bases have been found for support. Compensation plan has ensured affected people s benefits as in RP. In this case, CARB of Cho Don District as well as Bac Kan PPMU have resolved many times, but Mr. Hiep has not agreed. Completed land acquisition BK Completed land acquisition Completed land acquisition BK Climate change adaptation Please ensure that the organization which has not received compensation will be fully paid as soon as possible and verified by Resettlement Specialists, and reported to ADB in next monitoring mission. Completed land acquisition Items under adaptation to climate change component have no land acquisition or affect households. Completed land acquisition Items under adaptation to climate change component have no land acquisition or affect households. Re-inclusion compensation In the process of approving the compensation Compensation plan have been approved on 11 15

16 Project Roads PR-202-CB Arising effects Climate change adaptation ADB s requirements in letter of no-objection on commencing construction Request PCC to monitor compensation payment for the remaining affected households and report to ADB in the next Mission Resolving status as of 30/9/2015 Resolving status as of 31/12/2015 plan November Compensation was paid in December Among 10 affected households, 9 households has received the compensation, only 1 household (Mr Ha SyThang, Ban Cau Village, Yen Thinh Commune) has not received the compensation and proposed a plan to support the affected area (the land flooded) during the project implementation. Reason for not receiving the compensation is Mr. Thang has a piece of land being flooded by the original project and he requests that he will only receive the compensation for the impacts caused by the Re-inclusion work under additional fund if he can get this support. CAO BANG PROVINCE Completed land acquisition The 7 th compensation option for landslide effects along PR has been prepared. No Land Acquisition Re-inclusion - urp was approved by ADB on 7 August 2015 and was approved by Cao Bang PPC on 21 August Compensationoption has been approved by Bao Lac District People's Committee dated 18 September 2015, the compensation have not been paid yet. PR 163-YB Please ensure that the following pending issues are completed by June 2013 and verified by the LIC resettlement specialists: - Compensation of the remaining 50 AHs who have not been compensated due to absence at the time of payment or discrepancies in the YEN BAI PROVINCE Completed land acquisition Completed land acquisition Completed land acquisition.cao Bang PMU and DPCare waiting for the approval of reallocation ofadditional funds from ADB, then the compensation will be paid to Ahs. Completed land acquisition 16

17 Project Roads Climate change adaptation Re-inclusion PR 154-LC ADB s requirements in letter of no-objection on commencing construction accounting of affected assets; - Payment of the balance in compensation for AHs to the replacement cost of their affected assets. Please ensure that three (03) AHs who were absent at the time of compensation payment will be fully paid no later than 31 August 2013 and verified by Resettlement Specialist. Resolving status as of 30/9/2015 Resolving status as of 31/12/2015 No Land acquisition Have been compensated with the original project. LAO CAI PROVINCE Completed land acquisition Completed land acquisition PR 151-LC Please ensure that 23 unpaid AHs (1 household Completed Land Acquisition. Completed Land Acquisition. PR 151B-LC of PR151, 7 households of 151B and 15 Completed land acquisition Completed land acquisition households of PR160) will be fully paid no later PR 160-LC than 15 September 2013 and verified by LIC Completed land acquisition Completed land acquisition Resettlement Specialist and reported to ADB. TL 156-LC Climate change Please ensure that 11 unpaid AHs due to absence at payment time will be fully paid no later than 31 November 2013 and verified by LIC Resettlement Specialists. Otherwise, their compensation will be sent to an escrow until they receive money. 03 households have not received compensation for required additional compensation.the authorities continue advocating these households for receiving compensation. In fact, the house s position coincides with Resettlement area for TaPhoi s copper mining project. To avoid overlapping and squandering, Lao CaiPPMUhaveaagreement with Land Development Center of Lao CaiCitytoPR 156 has been only constructed the asphalted pavement and and reinforced roadside. The above items which have not been constructed will be completely implemented by the project Construction of Resettlement area for Ta Phoi s copper mining project. Currently, in these positions, the construction was completed on the basis ofexisting site. No land acquisition Completed land acquisition 17

18 Project Roads adaptation ADB s requirements in letter of no-objection on commencing construction PR 187-TQ For 19 AHs who have not received compensation due to absence from local area and did not agree with amount of compensation, we (ADB) recommend that their compensation amounts be deposited in an escrow account until all pending issues were resolved successfully and they agree to receive compensation. LIC resettlement specialists will follow up this issue and report ADB in the next monitoring mission. PR 189-TQ For 25 AHs who have not received compensation due to absent from local area and did not agree with amount of compensation, we (ADB) recommend that their compensation amounts be deposited in an escrow account until all pending issues were resolved successfully and they agree to receive compensation. LIC resettlement specialists will follow up this issue and report ADB in the next monitoring mission. (21 March 2014) For 07 AHs who have not received compensation due to absent from local area and did not agree with amount of compensation, we (ADB) recommend that their compensation amounts be deposited in an escrow account until all pending issues were resolved successfully and they agree to receive compensation. LIC resettlement specialists will follow up this issue and report ADB in the next monitoring mission. Climate change PR 176A-HG Ha Giang PPC is requested to provide timely sufficient counterpart fund for payment of compensation. According to the EMA, about VND 5,250,000,000 (USD 250,000) is required Resolving status as of 30/9/2015 Resolving status as of 31/12/2015 TUYEN QUANG PROVINCE Completed land acquisition Completed land acquisition No Land acquisition. HA GIANG PROVINCE - 16 households have not received the compensation, which is VND 144 million. Reason: wrong information of land users (firstname, surename, address ) so Ha Giang Completed land acquisition Completed land acquisition PR176, Ha Giang, Compensation Council of Yen Minh districtapproved 11 additional households with amount of VND130,770,964and has fully paid,in particular, 09 households who are additionally land acquiredand 02 18

19 Project Roads ADB s requirements in letter of no-objection on commencing construction for compensation to 199 AHs for package 176A- 02, of which the compensation plan has been approved by Ha Giang PPC. Resolving status as of 30/9/2015 Resolving status as of 31/12/2015 PPMU has not paid yet. - Recently, Compensation Council of Yen Minh district cooperate with DPCs to correct the wrong information of affected people and implement payment on July. PR 183-HG - 03 households have not received the compensation with the amount of 26 million, Reason: did not agree with the compensation rate; - Speed up DPCs of QuangBinh district and Bac Quang district to approve the suppot amount plan for vulnerable household group. - Ha Giang PPMU has not paid the support amount for vulnerable household group. Recently, Compensation Councils of districts are submitting the support plan for this group. households are among 16 households with wrong information mentioned in last month's report. 14 households have not received compensation due to the wrong information of affected peoplein the process of preparing the compensation plan. Recently, Compensation Council of Yen Minh district cooperates with DPCs toverify and correct the wrong information of affected people.ha Giang PPMU commits that these problems will be addressed in the 1 st Quarterly households already received the compensation. - Ha Giang PPMU andcompensation Council of Districts have paid the support amount for vulnerable household group. The total number of 138 households received assistance, with the amount ofvnd 166,050,000 (each member in the family received VND 150,000, for 3 months) Climate change adaptation No Land acquisition 19

20 1. CONCLUSIONS V. CONCLUSIONS AND RECOMMENDATIONS 24. In all six provinces, RPswere implemented and complied strictly. At present, for the original project, the implementation of RP has substentiallycompleted. 4 out of 6 provinces have completed including Yen Bai, Lao Cai, TuyenQuang and Cao Bang, only 2 provinces: Ha Giang and BacKan still have some shortcomings, which focused in Ha Giang.Among 15households who have not received compensation, 14 households under PR176A, Ha Giang Province and 01 household under PR255, BacKan Province. 25. PR183, Ha Giang, in Quarter 3/2015, Ha Giang PPMU and Compensation Council of Districts have resolved the shortcomings, including payment for 3 households not receiving compensation and 138 households belonging to vulnerable groups. 26. About additional fund, in Quarter 3, 2015both Bac Kan and Cao Bang provinces have prepared and approved compensation plans. In particular, Bac Kanprovince has made compensation payment and Cao Bang has not paid compensation yet although compensation plan was approved because of waiting for approval of additional fund from ADB. For Bac Kan province, among 10 affected households, 9 households have received the compensation, only 01 household has not received the compensationand is asking for support amount for the land jointly affected by the project implementation (the land flooded). 27. The impacts occuredduring the construction process at all road sections have been timely compensated by PPMU and DCCs,as well as supervised, monitoredthe implementation of compensation of contractors for the affected people if these impacts are caused by Contractors - faulty 28. Thus, in both original project and reallocated fund, only 16 householdshave not receivedethecompensation. 2. RECOMMENDATIONS 29. The PPMUs should speed upprogress of compensation payment to AHs, particularly attention should be drawn to Ha Giang Province; 30. Bac Kan PPMU concern solve two cases have not received compensation (01 household of the original projectand 01 household of additional fund). For Mr Hiep household (the original project), it should be taken measures to solve thoroughly, avoiding to existing status so long; For Mr Ha SyThang household (additional fund),dcc and PPMU should carry out actual surveys and work with him to solve the issue. 20

21 APPENDIX 1: SUMMARY OF IMPACTS ON HOUSEHOLDS No. Provincial Road Unit Impacts on households A Original project HH 6,365 I Lao Cai Province HH B HH HH HH HH HH 244 II Yen Bai Province HH 1, HH III Cao Bang Province HH HH 218 IV Bac Kan Province HH V Ha Giang Province HH HH 254 HH A HH 441 Remarks No households have to resettle to other places and no households are affected 10% or more of their production landholdings or income source 06 households with their houses were affected and have to re-organize on the remaining land, no households have to resettle, no households lost 10% and more of their production landholdings or income source 13 households with their houses will be affected, 05 households have to remove; no households lost 10% and more of their production landholdings or income source. 06 HHs have to reorganize their houses on the remaining land. No HH is acquired 10% of productive land or income sources 20 households with their houses were affected and have to re-organize on the remaining land. No households have to resettle to other places, no households lost 10% and more of their production landholdings or income source 23 households with their houses were affected and have to re-organize on the remaining land, no households have to remove, no households lost 10% and more of their production landholdings or income source. Of 25 households were affected houses,05 severely affected households and have to re-build houses on the remaining land; no household has to resettle in other places. The remaining land of these households is large enough for re-building houses and they wish to re-arrange the houses themselves on the remaining land. There is no household where 10% or more of productive land is lost. 17 households with their houses affected and 4 households have to re-organize, 13 households need to be relocated; 28 households lose over 10% of productive land and need to be supported 9 households with their houses affected, 6 households have to re-organize, 3 households need to be relocated. 35 households lose over 10% of productive land and need to be supported No households have affected houses, only one organization has affected house, that is Na Lien preschool, Du Gia commune, no households lost 10% or more of their production landholdings or income source 21

22 No. Provincial Road Unit Impacts on households Remarks HH 1, households with their houses were affected and have to re-organize on the remaining land, no households have to resettle to other places, no households lost 10% or more of their production landholdings or income source VI TuyenQuang Province HH HH HH 1,818 B Re-inclusion HH 53 I Bac Kan HH 10 II Cao Bang HH 43 (A+B) 6, households with their houses were affected and have to re-organize on the remaining land, no households have to resettle, no households lost 10% and more of their production landholdings or income source There are 25 houses affected, including 4 houses of organizations and 21 houses of households to be affected; no households lost 10% and more of their production landholdings or income source There are 02 affected households, in which 01 household have to re-organize on the remaining land and 01 household have to resettle. There is 01 affected household and have to re-organize on the remaining land 22

23 PR Type of land Quantity Residenti al land APPENDIX 2: SUMMARY OF IMPACTS ON LAND Perennial land Paddy land Forest land Aquaculture Annual crops land Specializ e land Garden land Others Unit: m2 Disposal site A Original project 1,569, , , , , , , , , ,083.0 I Lao Cai Province 268, , , , , , ,392.0 I.1 TL 151B 83, , , , , , , Residential land 1, , Perennial land 5, , Paddy land 7, , Forest land 64, , Aquaculture 1, , Annual crops land 3, , I.2 TL , , , , , , Residential land 1, , Perennial land Paddy land 7, , Forest land 10, , Aquaculture 1, , Annual crops land 14, , I.3 TL , , , , , Residential land 5, , Perennial land 10, , Paddy land Forest land 11, , Aquaculture

24 6 Annual crops land 2, ,212.0 I.4 TL , , , , , Residential land Annual crops land 43, , Paddy land 3, , Aquaculture Forest land 10, , Perennial land 1, ,265.0 I.5 TL , , , , , , Residential land 3, , Perennial land 23, , Paddy land 4, , Aquaculture Annual crops land 13, , Forest land 13, , II Yen Bai Province 250, , , , , , , Residential land 11, , Perennial land 32, , Paddy land 44, , Forest land 34, , Aquaculture 4, , Specialize land 123, ,387.0 III Cao Bang Province 1 Residential land 1, , , , , , , ,

25 2 Garden land 2, , Paddy land 99, , Forest land 40, , Disposal site 30, ,083.0 IV Bac Kan Province 272, , , , , , IV , , , , , , Residential land 3, , Perennial land 6, , Paddy land 20, , Forest land 166, , Aquaculture 5, ,119.0 IV , , , , , Residential land 1, , Perennial land 7, , Paddy land 27, , Forest land 32, , Aquaculture V Ha Giang Province 312, , , , , , V.1 TL 176A 211, , , , Residential land 2, , Perennial land Paddy land 150, , Forest land 57, , Aquaculture

26 V.2 TL , , , , , , Residential land 6, , Perennial land 28, , Paddy land 17, , Forest land 46, , Aquaculture 2, ,237.0 VI TuyenQuang Province 292, , , , , , , VI.1 TL , , , , Residential land Perennial land 9, , Paddy land 1, , Forest land 8, , Aquaculture VI.2 TL , , , , , , Residential land Paddy land 29, , Perennial land 191, , Forest land 33, , Aquaculture 7, , Garden land 8, ,837.0 B Re-inclusion 41, , , , , I Bac Kan Province 1, Residential land Paddy land

27 3 Perennial land - 4 Forest land - 5 Aquaculture Others II Cao Bang Province 1 Residential land , , , , , Paddy land 1, , Annual crops land 23, , Perennial land 9, , Forest land 4, ,323.0 for the whole project (A+B) 1,610, , , , , , , , , ,083.0 Rate (%) 100,

28 APPENDIX 3: SUMMARY OF IMPACT ON HOUSES A Original Project I Lao Cai Province PR No District/Commune Unit Class of houses Wooden Temporary Class 3 Class 4 1 Vo Lao m HH B 2 Nam Rang m HH 7 7 m HH Tan An m HH 3 3 m HH Pho Rang m HH m HH Nam Chay m HH MuongKhuong m HH 2 m HH 6 m Bac Cuong 156 HH Ta Phoi m

29 II HH 9 4 m2 586,45 35,29 638,58 HH Yen Bai Province No District/Commune Unit Class of houses Class 3 Class 4 Temporary 1 Yen Bai City 1.1 Nguyen Phuc m HH 1 2 Tran Yen District 2.1 Bao Dap m HH Dao Thinh m HH 2 3 Van Yen District 3.1 An Binh m HH Dong Cuong m HH Mau A m HH Yen Hung m HH 1 4 m HH H. Cao Bang Province No District/Commune Unit Wooden m Nguyen Binh 1 HH 7 29

30 IV V 176A 183 VI Bao Lac m HH 18 m HH 25 Bac Kan Province No District/Commune Unit Temporary Wooden Stilt house Tenement house m Yen Thuong 1 HH m Ngoc Phai 2 HH m HH Yen Thinh m HH 1 8 m HH 1 8 Ha Giang Province No District/Commune Unit Wooden 1 Du Gia m HH 1 m HH 1 1 Bac Quang m QuangBinh m m TuyenQuang Province No District/Commune Unit Temporary Class 4 Class 4 1 Yen Lap m HH 10 30

31 m HH 10 1 Tan Thanh m HH PhuLuu m HH Minh Dan m HH Minh Khuong m HH Bach Xa m HH Yen Thuan m HH 7 0 m 2 1,132 64,0 HH 24 1 B Re-inclusion PR District/Commune Unit Temporary Class 4 I TỉnhBắcKạn 255 Yen Thinh m HH 0 2 m HH 0 2 II Tỉnh Cao Bằng 202 HuyGiap m HH 1 0 m HH

32 A I Original project APPENDIX 4: IMPACTS ON STRUCTURES Lao Cai Province I.1 TL 151B Commun/ town Vo Lao Nam Dang Unit Kitchen Toilet Breeding cages (Nb) Fence Yard Pools (m3) HH HH HH I.2 TL 151 Commune/ Town Tan An Unit Kitchen Toilet Breeding cages Roof added Yard Concrete HH HH I.3 TL 160 Commune/ Town Pho Rang Xuan Thuong Unit Kitchen Toilet Fence Gate Yard Concrete , HH , HH Xuan Hoa

33 HH , , HH I.4 TL 154 Commune/ Town Nam Chay Commune MuongKhuong Town Unit Kitchen Temporary housing Breeding facilities Courtyard HH HH HH I.5 TL 156 Commune/ Town Bac Cuong Nam Cuong Ta Phoi II Unit Toilet Temporary housing Breeding cages (Nb) Fence Yard Water tank (m3) Sewer (m) Grave(Nb) m , HH (m ,44 82,3 48,1-4,0 - - HH m HH m , HH Yen Bai Province II.1 TL 163 District Unit Kitchen Toilet Fence Gate Yard Yen Bai City ,97 Well 33