VIE: Power Transmission Investment Program, Tranche 2 220kV Cau Bong-Hoc Mon-Binh Tan Transmission Line

Social Monitoring Report 3 rd Independent Monitoring Report June 2016 VIE: Power Transmission Investment Program, Tranche 2 220kV Cau Bong-Hoc Mon-Binh Tan Transmission Line Prepared by the Southern Vietnam Power Projects Management Board for the National Power Transmission Corporation and the Asian Development Bank. 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.

POWER TRANSMISSION INVESTMENT PROGRAM TRANCHE 2 THIRD MONITORING REPORT Independent Monitoring for Resettlement 220kV Cau Bong Hoc Mon Binh Tan Transmission Line

Abbreviations ADB AP AH CARB CARC CPC DDR DMS DP DPC EMC EMA EVN GoV HH IOL LDFC LURC NPT PPC REMDF ROW RP SES SPMB SPS USD VND Asian Development Bank (project) Affected Person (project) Affected Household Compensation, Assistance and Resettlement Board Compensation, Assistance and Resettlement Council Commune People s Committee Due Diligence Report Detailed Measurement Survey Displaced Persons District People s Committee External Monitoring Consultant External Monitoring Agency Vietnam Electricity Government Household Inventory of Losses Land Development Fund Centre Land Use Rights Certificate National Power Transmission Corporation Provincial Peoples Committee Resettlement and Ethnic Minority Development Framework Right of Way Resettlement Plan Socio-Economic Survey Southern Power Project Management Board Safeguard Policy Statement United States Dollars Viet Nam Dong Third Monitoring Report Page 1

TABLE OF CONTENTS PART A GENERAL INFORMATION... 5 I. OVERVIEWS... 6 1.1. Project Description... 6 1.2. Summary of Resettlement Plan... 8 II. OBJECTIVES AND INDICATORS OF MONITORING... 9 2.1. Objectives of independent monitoring for resettlement... 9 2.2. Foundations for activities of resettlement monitoring... 9 2.3. Monitoring indicators...10 III. APPROACHES AND IMPLEMENTATION OF THE THIRD MONITORING STAGE. 11 1.1. Approaches...11 1.2. Monitoring Methods...11 1.3. Organization for implementation of the third monitoring stage...12 1.4. Advantages and difficulties during the first monitoring stage...13 PART B RESULTS OF MONITORING... 14 1.1. Evaluation of implementing recommendations in the second monitoring report....15 1.2. Update the number of PAHs and scale of land acquisition...15 1.3. Public consultation and information disclosure...18 1.4. Detailed Measurement Surveys (DMS)...22 1.5. Replacement Cost Surveys (RCS)...23 1.6. Progress of compensation, assistance and resettlement activities...25 1.7. Progress of site clearance and deployment the construction activities...28 1.8. Implementation procedures for Compensation...29 1.9. Compensation records...30 1.10. Grievance Redress...31 1.11. Institutional Capacity of Implementing Agencies....32 PART C CONCLUSIONS AND RECOMMENDATIONS... 33 I. CONCLUSIONS... 34 II. RECOMMENDATIONS... 35 PART D APPENDICES... 36 Appendix 1 Information on the third monitoring actities...37 Appendix 2 - List of person who the Consultant met...39 Appendix 3 Forms of information collection and assessment...42 Appendix 4 Questionair to collect information on site...43 Third Monitoring Report Page 2

LIST OF TABLES Table 1- Components of 220kV Cau Bong Hoc Mon Binh Tan TL... 7 Table 2 Technical Specifications... 7 Table 3 The scale of land acquisition of the 220kV Cau Bong Hoc Mon Binh Tan Branches TL... 8 Table 4 Number of AHs and Scale of survey form... 13 Table 5 - Update the project s impacts at the monitoring... 16 Table 6- Changes of No. of PAHs and scale of land acquisition... 16 Table 7 Detailed changes of scale of land acquisition for the foundations and ROWs... 17 Table 8 additional consultation activities during posting up the draft of compensation plan.. 20 Table 9 - Forms for publishing information of the project... 21 Table 10 Result relating to progress of DMS... 22 Third Monitoring Report Page 3

SUMMARY Pursuant to the requirements specified in the terms of reference (TOR) for Consulting Service for Independent Monitoring for Resettlement for the 220kV Cau Bong - Hoc Mon Binh Tan, The Independent Monitoring Consultant (hereinafter referred to as the Consultant) launched a third monitoring in the project area (Duc Hoa District, Long An province and Cu Chi - TP. HCM) from 20/06/2016. During the monitoring, the Consultant worked with SPMB, Compensation, Assistance and Resettlement Board of districts to collect the relevant information on the implementation of compensation, support and resettlements for AHs following the monitoring and evaluation indicators that develop in the inception report. As mentioned in detail in the first monitoring report (August 2015) and second monitoring report (December, 2016), due to some problems on procedures during determination of compensation prices for AHs in project area, Ho Chi Minh People s Committee did not issue the decision No. 6762/QĐ-UBND on approving plans for land price adjustment coefficient to calculate compensation payment and allowances for affected land for this project until 10 th December 2015. At the third monitoring, the implementation progress of compensation at locals as follows: (i) Cu Chi district: payment compensation for affected households in Tan Thanh Dong commune, Tan Phu Trung and Binh My commune in Cu Chi district has been basically completed. SPMB and CARB of Cu Chi District Board has paid the compensation and support for 177 of 195 affected households, accounted for 90.76%; (ii) Hoc Mon District: Hoc Mon People's Committee has approved compensation plan on 27 th May 2016 and issued decision on compensation for total 190/414 households (45.9%) and will pay in June 2016 households, 224 remaining households (54.1%) will be completed and paid in July 2016; and (iii) District 12: Completed to post up draft of the compensation plan. It is expected that the compensation for 359 affected households will be approved and paid in June 2016. For Hoc Mon and District 12, construction activities are implemented simultaneously with the compensation. SPMB and local authorities mobilized the Ahs to receive an advance payment and hand over. Up to 20 th June 2016, SPMB and local authorities have paid an advance for 223 AHs in Hoc Mon district and District 12 with the total payment of 57.989.223.000 VND inwhich Hoc Mon district: 184HHs (44.4%), 25.849.000.000 VND and District 12: 39HHs, 22.140.223.000 VND. During the 3 rd monitoring, the Consulting also conducted site surveys and interviews with questionnaires to 32 affected households (the households have received compensation or advance) to collect quantitative information as required by TOR. The results showed that PAPs are provided full information on the implementation of projects and policies and rights on compensation, support for the land and the affected assets. The affected households are also engaged in the DMS, to be consulted on matters relating to the operation of compensation, support and resettlement The monitoring results also showed that SPMB and the implementing agencies at the local have been fully complied with processes in implementing activities of land acquisition, compensation and resettlement. The activities of public consultation and information disclosure, survey replacement costs, resolve complaints and inquiries of affected households... have done well and fully compliance with the regulation of the Government of Vietnam and requirements for safeguard policy statements of the Asian Development Bank (ADB). Although compensation plan was approved by HCM PC for 6 months ago (December 2015), however, the progress of compensation in Hoc Mon and District 12 have been slow and extended. Third Monitoring Report Page 4

PART A GENERAL INFORMATION Third Monitoring Report Page 5

I. OVERVIEWS The Consultant of Independent Monitoring for Resettlement for the 220kV Cau Bong Hoc Mon Binh Tan Transmission Lines (hereafter called the Consultant ), was selected for 220kV Cau Bong Hoc Mon Binh Tan Transmission Line (TL) Project (hereafter called the Project ) under contract No.08/2015/HDTV dated on 27/07/2015 between SPMB and Asia Pacific Consultant JSC, Pursuant to the requirement of the contract, the Consultant will conduct 3 periodic monitoring with every 6 months during the RP implementation, starting from August 2015 Based on progress of implementation of the compensation, land clearance of the project and approved monitoring plan in Inception report by SPMB, implemented third monitoring activities by the Consultant in June, 2016 in all districts in project, including: (i) Cu Chi district; (ii) Hoc Mon district; and (iii) district 12 Ho Chi Minh City starting from 20 th June 2016. Monitoring report will include 4 main parts: (i) Part A General information; (ii) Part B Results of Monitoring; (iii) Part C Conclusions and recommendations; and Part D - Appendix 1.1. Project Description 1.1.1. Power Transmission Investment Program The Social Republic of Vietnam has received a loan (VIE 42039) from the Asian Development Bank (ADB) towards the cost of the Power Transmission Investment Program. The Project shall be financed through the Multi-Financing Facility (MFF) of ADB. The National Power Transmission Corporation (NPT) is the Project executing agency (EA) while the Southern Vietnam Power Projects Management Board (SPPMB) is the implementing agency (IA). Tranche 1 implemented in 2012 including 4 project: (i) 220/500kV Pho Noi Substation; (ii) 220/500kV Pho Noi Bac Ninh 2 Transmission Line; (iii) 220kV Phu My 2 Substation and (iv) 220kv Song May Uyen Hung Transmission Line. Tranche 2 of the program will include 3 projects: (i) 550kV double circuit Pleiku My Phuoc Cau Bong transmission line with the length of 437 km in 5 provinces and 01 city: Gia Lai, Dak Lak, Dak Nong, Binh Phuoc, Binh Duong and Ho Chi Minh City; (ii) 220 kv Cau Bong Hoc Mon Binh Tan Transmission Line (TL) Project has a total length of 15.94 km in Cu Chi, Hoc Mon district and District 12 of Ho Chi Minh City and (iii) 220kV Cau Bong Duc Hoa TL project with the total length of 13,4 km in Cu Chi district in Ho Chi Minh and Duc Hoa district, Long An province. The purposes of project will: (i) (ii) Improve system stability and security, and improve the reliability of power supply in in southern Viet Nam to be able to import power from Cambodia. Enable evacuation of electricity to load centres from the both the planned public sector and private sector financed thermal power plants in southern Viet Nam; 1.1.2. The As mentioned above, the 220kV Cau Bong Hoc Mon Binh Tan TL Project is under Tranche 2 of Power Transmission Investment Program with length of 15.94 km. It will start in Cau Bong Substation at Tan Phu Trung Commune in Cu Chi District, Ho Chi Minh City and terminate at the proposed Hoc Mon Substation in Tan Thoi Hiep ward in District 12, Ho Chi Minh. A double circuit connection will be created between the Cau Bong 220/500kV Substation, which the Third Monitoring Report Page 6

World Bank will partly finance, and the new substations at District 12 that shall be financed by Ho Chi Minh Electricity Supply Company. The corresponding TL will partly use the ROW of the existing 110kV Hoc Mon - Ben Cat and partly the towers of the 220kV Phu Lam - Hoc Mon TL. The detail of components and main technical specifications of the project will be showed as Table 1 and table 2 as below: Table 1- Components of 220kV Cau Bong Hoc Mon Binh Tan TL No Transmission Line Components Length (km) 1 Improving existing TL inkling 110kV Hoc Mon Ben Cat and 220kV Phu Lam Hoc Mon 7.641 2 Constructing new 220kV TLs 7.147 3 Connecting 220kV TLs 0.314 4 Connecting 110KV TLs 0.619 5 Connecting 110/220kV TLs in Hoc Mon substation 0.219 Total 15.94 Transmission Line Components Table 2 Technical Specifications Technical Specifications Length of transmission line (in km) 15.94 - Starting point 500/220kV Cau Bong Substation - Ending point 220/110kV Hoc Mon Substation Width of Right-of-way 11.25 m on both sides of the centreline Width of Earth Grounding Zone 19 m from 11th m of the centreline Voltage level 220 kv and 110kV Number of circuits 02&06 Conductor Steel-cored aluminium conductor, splitted phase 2xACSR795MCM - Code name Cuckoo (equivalent to 4xAC400/52), 3xACSR666.6MCM - Code name Flamingo and ACSR795MCM Cuckoo Earth wire 01 Steel-cored aluminium alloy conductor Pastel 147.1 + 01 optical ground wire OPGW120 Number of Optical 36 fibres Number of Suspension Towers 38 - Height of Suspension Towers 69 m (average) but highest is 75 - Area required/suspension tower 450.46 m² Number of Tension Towers 21 - Height of Tension Towers 66.5 m (average) but highest is 70.5 - Area required/tension tower 485.47 m² Third Monitoring Report Page 7

1.2. Summary of Resettlement Plan To ensure the implementation of the project activities will comply with the requirements of the safeguard policies of the Asian Development Bank, a Resettlement and Ethnic Minority Development Framework (REMDF) was prepared for Power Transmission Investment Program and it was approved by ADB and the Ministry of Industry and Trade under Decision No. 6103 / QD-BCT dated 23/11/2011. According to the ADB s social safeguard requirements, an updated Resettlement Plan (urp) was prepared for the project. This is the safeguard social policy was required during project implementation. The content of urp is in accordance with the requirements of the SPS 2009 of the ADB, the provisions of the REMDF, and the relevant legal provisions are implemented by the GoV, and the safeguard social policy of the ADB as well. The additional surveys to update the urp were implemented by National Resettlement Safeguard Policy Specialist, hired by SPMB. In June, 2014, the specialist combined with professional officer of SPMB and local authorities (Compensation, Assistance and Resettlement Board at district level, Commune People Committees in project area) to conduct surveys, public consultation and update information of land clearance scale of the project. Updated RP of the 220kV Cau Bong Hoc Mon Binh Tan Branches TL had submitted to ADB for considering and approved in October, 2014. The project implementation will be affected to 919 households, in which 912 households and 07 organizations. The project will acquire permanently 25,546.4 m² land of 112 affected households to construct towers and restrict the land use of 327,381,4 m 2 affected by ROW. Besides, the project will also recover (no compensation, support) with 394 m 2 of state land for construction towers in Hoc Mon and Cu Chi district. The impacts of land acquisition of the project following data of updated resettlement plan (urp) as table 3 below: No Table 3 The scale of land acquisition of the 220kV Cau Bong Hoc Mon Binh Tan Branches TL 1 District and commune Number of AH AH area (m 2 ) Tower ROW Total I Cu Chi District 190 16,929 164,423.1 123,912.5 1 Tan Phu Trung 54 6,280.3 51,159.3 57,439.6 2 Tan Thanh Dong 49 5,012.5 55,133.7 60,326.2 3 Binh My 87 5,636.2 57,950.1 63,658.3 II Hoc Mon District 400 4.498,5 92.044,3 96.812,5 1 Dong Thanh 241 3,470.4 64,302.5 68,042.6 2 Thoi Tam Thon 159 1,028.1 27,741.8 28,796.9 III District 12 322 3,725 70,914 74,039 1 Tan Chanh Hiep 218 1,997.5 46,896 48,893.5 2 Tan Thoi Hiep 104 1,127.5 24,018 25,145.5 Total (I+II+III) 912 25,152.5 327,381.4 352,203.6 1 Resource: updated RP 10/2014 Third Monitoring Report Page 8

There are 350 houses of 350 households which are located under ROW without displacing. Some structures, 10,885 trees and 10,777 m 2 of annual crops under ROW of the project. The updated RP also show that there is not any severely AH (displaced households, HHs with more than 10% livelihood and income lost) and no HHs under vulnerable group following regulations of REMDF. The updated RP also estimate cost for compensation payment, costs for RP implementation and contingency for the project that is 113 billion VND, equivalent to 5,321 million USD. At the third monitoring, these official data of number of affected households, land acquisition scale are identified in compensation and support plan, the Consultant will compare and evaluate data in urp and actual data will be showed in table 5, 6 and 7 below. II. OBJECTIVES AND INDICATORS OF MONITORING 2.1. Objectives of independent monitoring for resettlement General objectives The objectives of independent monitoring for resettlement and compensation are to: (i) (ii) (iii) (iv) Verify result of internal monitoring; Check implementation of compensation and resettlement whethere it comply with policies under REMDP and RP and recover the life of AHs whethere this is to ensure at least the same or better than before implementing the Project. Evaluate effectiveness, impacts and subtainable of land acquisition/ compensation/ allowance and resettlement of the Project; Propose necessary adjustments in implemention of compensation activities, allowance and resettlement for next items. Detail objectives of the third monitoring During the third monitoring (June 2016), the Consultant implemented activities to strictly follow general objectives as above, in detailed: (i) (ii) Evaluation of aspects of compliance with resettlement policies for compensation/ support and resettlement activities of the project from 12/2015 to 6/2016 following monitoring targets proposed by the Consultant in inception report and approved by SPMB and ADB; Evaluation of solving problems, shortcomings raised in the second monitoring. 2.2. Foundations for activities of resettlement monitoring The following documents will be the basic for implementing activities of resettlement monitoring: - REMDF for the projects under the Power Transmission Investment Program that approved by Ministry of Industry and Trade under Decision No. 6103 / QD-BCT dated 23/11/2011. - Updated RP for was approved by ADB in October, 2014 - Technical and financial proposal of the Consultant for independent monitoring for resettlement of the 220kV Cau Bong Hoc Mon Binh Tan Transmission Line Project. Third Monitoring Report Page 9

- The contract No.08/2015/HDTV dated on 27/07/2015 between SPMB and Asia Pacific Consultant JSC on Independent Monitoring for Resettlement for 220kV Cau Bong Hoc Mon Binh Tan Transmission Line Project - Documents of compensation implementation in SPMB and CARB of Cu Chi, Hoc Mon District and District 12 HCMC as IOL, compensation and other relevant documents. 2.3. Monitoring indicators The independent monitoring includes: (i) (ii) Review internal monitoring reports, appraise compensation mannet and documents related to the Project to check implementation of compensation activitites, allowance and resettlement whether it comply with purposes, requirement and assigments stated in urp. Check the field by meeting people and interview the affected households. Number of households should be monitored to ensure that 100% of the severely affected households and about 20% of the remaining households. In the third monitoring, the Consultant will monitor and evaluate activities of compensation, support and resettlement from implementation to management following indicators showed as below 2 : a) Assessment of Compensation Payment b) Public Consultation and information disclosure c) Satisfaction Level of AHs on resettlement d) Awareness of Compensation Policy e) Management of compensation, allowance and resettlement activities. The Consulant will review and report assignments as below: a. Review existing baseline date resources and collect more quantitative information through interviewing at site with some AHs who paid compensation and hand over land. b. Monitor the implementation of compensation policy, allowance and resettlement and consultation activities and propagate information as stated in approved REMDP and urp. c. Make clear the difference between polices in urp and the fact; find out the cause of the problem claims (if any). d. Propose solutions for solving potential problems or shortcomings of SPMB, CARB of districts and the stakeholder in implementation of compensation, allowance, and resettlement activities. 2 Details of monitoring indicators were described in the Inception Report, July 2015. Due to the approval for compensation plan and payment for affected HH have not yet finished at Hoc Mon district and District 12, therefore some indicators will be not evaluated in this monitoring including: (i) Evaluating providing the support for restoring income and livelihood( training, creating jobs, suitable credit support, if any); (ii) Evaluating living standards of affected HHs after receiving compensation, support and (iii) Evaluating impacts after resettlement. These indicator will be considered and evaluated in final report by the Consultant. Third Monitoring Report Page 10

The collected data and information from site survey and recording in resettlement database to as a basis to consider, compare with the monitoring and next evaluation. The Consultant will prepare a full report on the results of monitoring of compensation and resettlement along with proposed solutions to overcome existing problems. III. APPROACHES AND IMPLEMENTATION OF THE THIRD MONITORING STAGE 1.1. Approaches Participatory approach is used in monitoring the implementation of the compensation, assistance and resettlement activities of the Project. According to the approach, the PAHs shall participate in the monitoring through interview, questionnaires, in-dept interview, focus group discussion and other socio-economic surveys. The staff-in-charge of the SPMB and district CARBs shall also participate in the monitoring process through semi-structured interviews. 1.2. Monitoring Methods As monitoring methods described in the Inception Report which was prepared by the Consultant and approved by the SPMB, the Consultant conducted the third monitoring activities through a combination of methods to collect quantitative information and qualitative information. In detail: Collection of quantitative information The Consultant used quantitative method in this monitoring including: (i) Survey by questionnaire about 10% of AHs who received advance payment and handover land, inwhich form of survey will concentrate into househoulds who have permanent land acquisition (affected households by foundation) and (ii) Collect and use existing statistic data at SPMB, CARBs of districts of the project. Collection of qualitative information Method of collection of qualitative information in the third monitoring including: (i) Study existing data relating to compensation, support and resettlement of the Project as REMPF, urp October 2014, Safeguard Policy Statement of ADB (SPS 2006) and legal documents relevant to compensation, support and resettlement when land acquisition of the Goverment and Ho Chi Minh city Peple s Committee. (ii) Organize the intensive meetings with Compensation Division of the SPMB, district CARBs to collect the necessary information on the implementation of compensation, assistance and resettlement activities, including compensation progress, compensation prices, implementation procedures of land acquisition Simultaneously, the Consultant also reviewed and studied the internal monitoring reports on compensation, assistance and resettlement of the Project. (iii) Deep interview some staffs of SPMB, local CARBs and some AHs at site. (iv) Site surveys: The Consultant conducted site surveys, took photos and interview households, maked clear the results in deep interview to add into the result of evaluation. Site surveys The Consultant conducted the field surveys at 03 communes of Cu Chi, 02 communes of Hoc Third Monitoring Report Page 11

Mon district and 02 wards of District 12, Ho Chi Minh City and interview at site by questionnaire with 32 AHs. List of AHs was interviewed in the third monitoring showed in appendix. Additionally, the Consultant also conducted activities field surveys in some locations where are deploying the construction activities of tower and lay a wire at Hoc Mon district and District 12 - HCMC. 1.3. Organization for implementation of the third monitoring stage 3.3.1. Monitoring team Based on the work s contents stated in the ToR for the consulting service and working plan for the 3 rd monitoring stage which was proposed by the Consultant and approved by the SPMB, the Consultant dispatched a monitoring team with participation of the specialists and supporting staff as proposed in the bidding document to carry out the tasks as mentioned above. The responsibilities of the monitoring team is to gather information related to the compensation activities of the 220kV Cau Bong Hoc Mon Branches to Binh Tan Transmission Lines Project; organize of the field monitoring activities, process and analyze the data gathered and prepare the reports in English and Vietnamese. Detailed information on the members of the monitoring team and their specific tasks are presented in appendice 1. 3.3.2. Monitoring Duration The monitoring activities of the second monitoring stage were implemented by the Consultant on 20 th June 2016. The preparatory works were carried before deploying the monitoring activities at filed. At the Consultant s office, the members of the monitoring team were trained in the monitoring methods and monitoring contents, preparation of the monitoring tools including questionnaires, guidances for organizing the group discussion and in-depth interviews; and research the documents related to the Project implementation. 3.3.3. Main activities deployed The monitoring activities were implemented in the first monitoring stage include: a. Working at the office The Consultant organized the meeting with stakeholders (Compensation Division under SPMB, CARBs of Cu Chi, Hoc Mon and 12 districts Ho Chi Minh City) to discuss and gather information on the implementation of the compensation activities of the project. b. Conducting field surveys The Consultant conducted field surveys and interview by questionnaire with 32 Ahs in Tan Phu Trung, Tan Thanh Dong and Binh My comunes - Cu Chi district; Dong Thanh and Tam Thoi Thon communes Hoc Mon district and Tan Chanh Hiep, Tan Thoi Hiep wards District 12 Ho Chi Minh City. Scale of survey form for the third monitoring will be detailted in table 4 below: Third Monitoring Report Page 12

Table 4 Number of AHs and Scale of survey form No Location Number of Ahs Number of HH receiving compensation or advance Number of interviewed HHs I Cu Chi District 195 177 18 1.1 Tan Phu Trungcommune 50 47 5 1.2 Tan Thanh Dong commune 53 45 5 1.3 Binh My commune 92 85 8 II Hoc Mon District 414 3 184 6 2.1 Dong Thanh commune 218 178 5 2.2 Tam Thoi Thon commune 196 6 1 III District 12 359 4 39 8 3.1 Tan Chanh Hiep ward 236 18 5 3.2 Tan Thoi Hiep ward 123 21 3 TOTAL 968 400 32 Additionally, the Consultant conducted the field surveys at some locations where are deploying the construction activities of tower and lay a wire at Hoc Mon district and District 12 - HCMC. 1.4. Advantages and difficulties during the first monitoring stage During monitoring stage, the Consultant was provided adequately information, documents from the SPMB and local implementing agencies. SPMB and local implementing agencies also dispatched the staff-in-charge to support the Consultant during deploying the monitoring activities both in the office and surveys at field. All issues relevant to the compensation process what were concerned by the Consultant, the staff-in-charge of SPMB and local implementing agencies were willing to discuss and explain straightly and open-mindedly. 3 In fact, CARD of Hoc Mon had made separate compensation document for permanent land acquisition of tower and affected land by ROW. Therefore, total of compensated HHs is 443 HHs, in which 29HHs are affected both tower and ROW, so in fact, number of AHs are 414 HHs. 4 Same to Hoc Mon district, these are compensation document, inwhich 32 are affected both tower and ROW. so in fact, number of AHs are 327 HHs. The Consultant will update officially number of affected HHs after approving of the compensation plan. Third Monitoring Report Page 13

PART B RESULTS OF MONITORING Third Monitoring Report Page 14

The following contents will provide the information on the implementation results of the compensation, assistance and resettlement activities of the 220kV Cau Bong Hoc Mon Binh Tan Transmission Line with the comments and evaluations of the Consultant for each of the specific content. 1.1. Evaluation of implementing recommendations in the second monitoring report. The recommendations of the second monitoring report concentrated on pushing progress of approving compensation plan and compensation payment for AHs. After HCMC People s Committee issued Decision No. 6762/QĐ-UBND on approval of the plan of coefficient of land price adjustment to calculate compensation and support to damaged land for the 220kV Cau Bong Hoc Mon Binh Tan project on 12/12/2015, the local authorities had tried their best to make draft of compensation plan, post in public collect the opinions of the PAHs, completed and approved compensation plan, issued a decision on compensation and payment for PAHs.. At the end of April, 2016, the compensation payment has completed basically in 3 communes in Cu Chi district. Up to 26/6/2016, CARB of Cu Chi district paid directly compensations, supports to 177/195 PAHs ( 90.8%) with the total of 55.135.918.689 VND/ 60.990.733.889 VND was approved (90.4%). For Hoc Mon district and District 12, due to potential problems during identifying the origin of land in planning compensation, therefore the progress of implementation was slow. As scheduled, compensation payment for PAHs in Hoc Mon district and District 12 will be completed basically in July, 2016. For ensuring construction progresses of the project, the Implementing Agencies paid the advance and persuaded PAHs in Hoc Mon district and District 12 to hand over site clearance to implement construction activities. Up to 20/6/2016, SPMB and CARBs of Hoc Mon District and District 12 paid the advance to 223 HHs with total of 57.9 billion VND. 1.2. Update the number of PAHs and scale of land acquisition As mentioned above, the 220V Cau Bong Hoc Mon Binh Tan Branches Transmission Line project affected to the land and assests on land of the PAHs at the Tan Phu Trung, Tan Thanh Dong and Binh My communes of Cu Chi district; Dong Thanh and Tam Thoi Thon communes of Hoc Mon district and Tan Chanh Hiep and Tan Thoi Hiep wards of district 12 Ho Chi Minh City. Up to the third monitoring, the data on the number of PAHs and scale of land acquisition identified exactly in compensation plans of districts. 5 Therefore in table 6 and 7 will show the change of number of PAHs and scale of land acquisition following the data of urp ( 10/2014) and the final data. 5 Compensation plan of Cu Chi and Hoc Mon district was approved and District 12 is waiting for approval but they have final data. Third Monitoring Report Page 15

No. District/communes Table 5 Update the project s impacts at the monitoring 6 No. of PAHs Affected Area (m 2 ) Foundation ROW Total I Cu Chi district 195 17,274.60 164,423.1 181,697.70 1 Tan Phu Trung 50 6,292.70 51,159.3 57,452.00 2 Tan Thanh Dong 53 5,165.80 55,313.7 60,479.50 3 Binh My 92 5,816.1 57,950.1 63,766.20 II Hoc Mon district 414 4,546.9 92,044.30 96,591.20 1 Dong Thanh 244 3,470.40 64,302.50 67,772.90 2 Tam Thoi Thon 170 1,076.50 27,741.80 28,818.30 III District 12 359 3,661.2 70,914.9 74,639.10 1 Tan Chanh Hiep 236 1,997.0 46,896.60 48,893.60 2 Tan Thoi Hiep 123 1,664.2 24,018.30 25,745.50 Grand-Total (I+II+III) 967 968 25,482.70 327,382.30 Due to, CARBs identified the final data of number of the PAHs and scale of land acquisition, therefore in Tables 6&7 will show the changes in the numbers of the PAHs and scale of land acquisition following data of the urp (10/2014) and the final data of compensation plan. Table 6- Changes of No. of PAHs and scale of land acquisition N o District/commun es urp No. of PAHs Total of land acquisition Area (m 2 ) Compensation plan (+/-) urp Compensation plan I Cu Chi district 190 195 5 181,697.70 181,697.70-1. 1 1. 2 1. 3 Tan Phu Trung Tan Thanh Dong Binh My 54 50 (4.0 ) 57,452.00 57,452.0-49 53 4 60,479.50 60,479.5-87 92 5.0 63,766.20 63,766.2 - II Hoc Mon district 400 414 14 96,591.20 96,591.20-2. 1 2. 2 Dong Thanh 241 244 3 67,772.90 67,772.90 - Tam Thoi Thon 159 170 11 28,818.30 28,818.30 - III District 12 322 359 37 74,639.10 74,576.10 (63.00) 3. 1 3. 2 Tan Chanh Hiep Tan Thoi Hiep Grand-Total (I+II+III) 218 236 18 48,893.60 48,893.60 - (+/-) 104 123 19 25,745.50 25,682.50 (63.00) 912 968 56 352,928.00 352,865.00 (63.00) Source:uRP -10/2014 and compensation plan of Cu Chi district (3/2016), Hoc Mon (5/2016) and draft of final compensation plan of Distric 12 (6/2016) 6 The actual figures are updated according to the implementation reports of the SPMB and district CARBs of Cu Chi, Hoc Mon and 12 districts up to 31 Aug. 2015. Third Monitoring Report Page 16

N o I Table 7 Detailed changes of scale of land acquisition for the foundations and ROWs 7 Location Cu Chi district urp 17,274.6 0 Foundations Compensatio n plan Total of land acquisition Area (m 2 ) (+/-) urp ROWs Compensation plan (+/-) 17,274.60-164,423.1 164,423.1-1 Tan Phu Trung 6,292.70 6,292.70-51,159.3 51,159.3-2 Tan Thanh Dong 5,165.80 5,165.80-55,313.7 55,313.7-3 Binh My 5,816.10 5,816.1-57,950.1 57,950.1 - II Hoc Mon district 4,546.9 4,546.9-92,044.3 92,044.30-1 Dong Thanh 3,470.40 3,470.40-64,302.5 64,302.50-2 Tam Thoi Thon 1,076.50 1,076.50-27,741.8 27,741.80 - III District 12 3,725.0 3,661.2 (63.8) 70,914.1 70,914.9 0.80 1 Tan Chanh Hiep 1,997.50 1,997.0 (0.50) 46,896.1 46,896.60 0.50 2 Tan Thoi Hiep 1,727.50 1,664.2 (63.30) 24,018.0 24,018.30 0.30 Total (I+II+III) 25,547 25,482.70 (63.8) 327,381.5 327,382.30 0.8 The DMS results has also determined that, the project implementation will also affect the houses, the works/structures within the safety corridor of the 421 affected households, but there is no household which need to be displaced (increasing 71 households, equivalent to the growth rate of 20% compared with the data of urp), including: Cu Chi district: 20 households, Hoc Mon district: 151 households and district 12: 250 households. DMS results has also identified that there is no affected households which belong to vulnerable group or severely affected households (displaced, losing over 10% of productive land or livelihood land) under the provisions of the policy framework. The total cost of compensation under the compensation plans approved by People s Committee of Cu Chi district (93/2016) and People's Committee of Hoc Mon District (27/05/2016) and the draft compensation plan (the final) of People s Committee of district 12 is VND382,805,832,438 (equivalent to USD15,664,000 following the exchange rate in 06/2016), in which the payment of compensation and support for affected households is VND341,495,284,808. The balance of VND41,310,547,630 is the cost for the implementing agency and contingency. Thus, the actual compensation costs increases more than 3 times higher than the estimated cost in the urp (113 billion dongs, equivalent to USD 5.321 million as at 10/2014). Comments and evaluation of the Consultant The data in Table 5 and Table 6 shows that there has been a significant increase in the number of households affected by the project (increasing 56 households, equivalent to the increasing rate of 6.14%) compared with the number of affected households which was identified in the urp, in which the increasing affected households are mainly in Hoc Mon district (an increase of 14 households) and in district 12 (an increase of 37 households). The 7 Source urp 10/2014 and compensation plan of Cu Chi district (3/2016), Hoc Mon (5/2016) and the draft of compensation plan of District 12 (6/2016) Third Monitoring Report Page 17

main cause of the increase is the household separation and the fact that the transactions of purchasing and sale of land are by handwritten papers. In the process of surveying and collecting data for the urp, the local authorities only determined the number of affected households following the cadastral records system managed by local authorities. Number of affected households incur due to fluctuations by households separation and the transactions of purchasing and sale of land are updated during DMS and the relevant legal documents were collected to carry out the supported compensation activities.the data in table 7 shows that, there is almost no change in scale of land acquisition for both the foundation and the corridor section. Actual compensation costs increases 3.4 times (382,8 billion dongs, equivalent to 15,664 million USD) in comparison with the estimated cost of of the urp (113 billion dongs, equivalent to 5,321 million USD at the time of 10/2014). The main cause of the increasing of compensation cost and support cost of the project is due to: (i) increasing the number of affected households (56 households); and (ii) the compensation price approved by the People's Committee of Ho Chi Minh City is the unit price which has been recommended by the evaluation consultant and it is several times higher than the provisional unit price in the updated resettlement plan in 2014 8 1.3. Public consultation and information disclosure Implementation results After the updated RPs approved by ADB in October 2014, the updated RPs have been provided to relevant stakeholders and posted in public in order to ensure involving stakeholders such as the Cu Chi, Hoc Mon and 12 District CARBs, CPCs in the project area, mass organizations, non-pahs and the PAHs be fully informed and understood clearly regulations on compensation, support and resettlement. The Project PIB was also provided to the PAHs in which the following information included (i) a brief background of the Project, especially the main works to be undertaken and the scale of land acquisition; (ii) impacts on land and on-land assets; (iii) the entitlements due to affected land and assets; (iv) detailed plan of implementation of compensation, assistance and resettlement payments; (v) grievance redress mechanism; and (vi); contact list of persons of EA and local authorities to ensure the grievances to be resolved timely and efficiently. The activities of public consultation and information disclosure were implemented at all communes/wards (05 communes and 02 wards) in the project area (07) in December 2014. The intensive consultations with relevant stakeholders (District CARBs, CPCs, PAHs) to disclose and consult the stakeholders, information disclosure are including were carried out by the SPMB and the Project Implementing Consultants (PICs). The published information consists of: 8 An estimated compensation cost of urp 2014 calculated base on compensation price following regulations of HCMC People s Committee at Decision No. 60/2013/QĐ-UBND dated on 26/12/2013 and the result of preliminary Replacement Cost Surveys of the Resettlement Specialist and Local Authorities in 2014. Meanwhile, the price apply in calculating compensation is the replacement price was approved at the decision No. 6762/QĐ-UBND dated on 10/12/2015 at the end of 2015, so this based on replacement price was surveyed by the Independent Evaluation Consultant. For this reason, land price adjustment coefficient was applied to calculate compensation, support for affected on land is much times higher than land price applying for compensation, support and resettlement of projects under Ho Chi Minh area in 2015, specially for residential land and agriculture land in existing house area (higher from 3.8 to 9.079 times) Third Monitoring Report Page 18

a. Scope of project, right-of-way, and location of towers; b. Scope of land acquisition; alternatives of land acquisition mitigation; c. Potential impacts (both positive and negative) of the land acquisition on affected households/community, on culture, religion, ethnicity, and on women; d. Entitlements of affected households/community; e. Income restoration activities for severely affected households, and vulnerable groups; f. Procedures and action plan for compensation payment, support and resettlement; and g. Grievance redress mechanism. During public consultation process, there are some opinions and concerns of the PAHs on the issues related to compensation, assistance and resettlement of the project were recorded, namely: (i) (ii) (iii) (iv) (v) (vi) (vii) (viii) The measures to ensure the safety conditions for houses and structures beneath the power lines; Implementation schedules for the project and compensation activities; Compensation/allowance for the impacts during construction phase; Temporary land acquisition; Policies and rights of Ahs; Procedures for advance payment; Land acquisition for the remaining area; and Temporary impacts during construction. The opinions and concerns of the PAHs were recorded and explained/clarified by the SPMB and PICs during consultation. SPMB coordinated with the stakeholders to solve timely the obstacles during implementation process to ensure the implementation progress of the project. Subsequently, during the process of preparing and approving the detailed compensation plans for affected households, the CARBs of Cu Chi and Hoc Mon district has conducted additional consultations during the listing of the draft compensation plan. For District 12, at the time of the third monitoring (June 6/2016), additional consultations has not been conducted because the draft compensation plan has not been approved. 9 Details about the additional consultation activities in the Cu Chi and Hoc Mon districts are shown in Table 8 below 10 : 9 The Consultant will update the content relevant to additional consultation activities of District 12 in next report 10 The figures in table are number of HHs who participated in meeting posted up draft compensation plan was held at the People's Committees of communes / wards. A draft compensation plan (including the information on the project, policies and interests of the PAPs) are also posted publicly at the People's Committee of the ward /commune and concerned village/hamlets offices. Draft compensation calculation table in details for each PAPs are provided for households participating in the meeting and sent to the affected households did not attend the meeting for comments. Third Monitoring Report Page 19

Table 8 additional consultation activities during posting up the draft of compensation plan No Location Date Number of participant Male Female Total I Cu Chi District 53 48 101 1.1 Tân Thạnh Đông 30/12/2015 20 17 37 1.2 Tân Phú Trung 30/12/2015 22 16 38 Bình Mỹ 31/12/2015 11 15 26 II Hoc Mon District 80 60 140 Thới Tam Thôn 09/3/2016 23 21 44 Đông Thạnh 11/3/2016 57 39 96 Total The staffs of CARBs of the districts and the representatives of SPMB listened and directly answered the questions and opinions of the affected households related to the implementation of projects, policies and their rights in the process of consultation for the draft compensation plan or through meetings with the affected households. The effectitive of publicing main information of the project passed community consultation meetings. Besides, the information are posted at office of resident area, commune/ ward people s committee, community activitites area and noticeboard at construction location. Regarding the content of public consultation and disclosure of project information, Consultant conducted surveys of 64 out of 968 project affected households (about 6.6%), including 32 households in phase 2 (12/2015); and 32 households in phase 3 (6/2016). In total 64 respondents, there were 43 men (67.2%) and 21 women (32.8%). There are 59 households of 64 interviewed households (92.2%) confirmed to be provided information on the project, the remaining households ( 05) equivalent to 7.8% have no answer or did not know that they are not householder or not directly participate in consultation meeting. There were 19 out of 21 women interviewed (90.5%) understood the basic information of the project, while the rest (2 people - 8.5%) did not know very well about the project because they are only members in the family and not directly participated in the consultation Third Monitoring Report Page 20

meetings. 100% of the households interviewed (64) said that they or their families received information about the project and compensation policies when they participated in the meetings organized by local authorities. Besides, they also received the relevant information through the staffs of communes/ wards, staffs of CARBs of the districts and SPMB officers at sites. This shows that the form of common meetings and directly providing information to people through the activities of local officials and SPMB are effective methods of information dissemination. There were 59 out of 64 households who were interviewed (92.2%) confirmed that they understood the compensation policy for land and property affected by the project through consultations, public information and listing the draft compensation plans. The rest of the households (5 households - 7.8%) answered they did not really understand because they were not the ones who directly participated in the consultation meetings or they were not the householders. All interviewed households (64/64-100%) said that they were provided with information about the project and the compensation policies when they participated in the meetings. And 59 out of 64 households confirmed that they received information through staffs of SPMB and local authorities. It confirms that method of community consultation meeting and propagate directly through activities of local authorities and SPMB is an effective method of information dissemination No Table 9 - Forms for publishing information of the project Forms for publishing information 1 Poster/ document/ project information manual Number of answer % of total 36 56.3% 2 Local information board 42 62.6% 3 Mass communications (newspaper/ radio/ television) 17 26.6% 4 Local staffs and staffs of SPMB 59 92.2% 5 Community meeting 64 100% Total of answers 218 Comments and assessments of the Consultant Public consultation and information activities were carried out in compliance with GoV s Land Law 2013 (Article 48, Article 67, and Article 69), SPS (2009) and ADB s Public Communication Policy. Updating and publishing on requlations under Land Law 2013 and regulations of the locality also popularized to Ahs during implementation of compensation of the project. The Consultant thinks that popularization and publishing information met requirement as below: (i) Public consultation and publishing information of the project mobilized the participatory of APs. The feedbacks of APs on impact of land acquisition and minimum measurements recorded and considered during implementation. (ii) The information on activities of the project and impacts on land acquisition impact was conveyed to the affected people in the project area in many different forms; Third Monitoring Report Page 21

(iii) The decisions on land acquisition, resettlement and compensation plans are public and people are fully explained when asked questions; (iv) To ensure transparency in all activities related to land acquisition, compensation, support and resettlement. 1.4. Detailed Measurement Surveys (DMS) Implementation results At all districts the activities of Detailed Measurement Survey (DMS) were carried out since May 2014. It has already completed basically in middle of 2015. The DMS results showed sufficiently the losses of land and assests affected by the project. The PAHs were informed the time taking DMS for each HH and they were involved in the DMS process and signed the minutes of DMS. The DMS results also indicated that there was no any severely affected household (relocated HHs and/or loss more than 10% of assests or income/livelihood) and there was no household under vulnerable group due to the land acquisition of the project (Vulnerable groups consist of: female headed households without support, disabled household heads, poor households, children and the elderly headed households who are landless and ethnic minorities). To aim at regulation of implementation DMS, ensure to participatory of AHs and assessment of their consent to the implemented results of DMS, the Consultant collected information by questionnaire at site, content of questions are related to: (i) (ii) Have HHs informed on time of DMS? Have the representative of AHs participated in DMS and signed in Minutes of Measurement? The results of survey relating to content above will be showed in table below: Table 10 Result relating to progress of DMS Content Frequence % of total Received information on time of DMS 62 96.8% Participated in DMS and signed Minutes of Measurement. 59 92.2% Inventoried assest was not enough 3 4.7% Satisfied to result of DMS 61 95.3% Total 64 100% The result of survey showed that 96.8% of HHs confirmed that they had received notice of DMS time, the remaining HHs ( 02HHs 3.2%) had not knew that they are not householder. 92.2% of interviewed HHs confirmed to participate in DMS and sign in Minutes of Measurement, the remaining HHs did not know or did not participate due to they was busy. 61 of 64 interviewed HHs (95.3%) was satisfied to the result of DMS, the remaining HHs ( 03 HHs 4.7%) was not satistified or no comment. Third Monitoring Report Page 22

100 96.875 Kết quả thực hiện DMS 92.188 95.313 95.313 80 60 62 59 61 61 40 20 0 2 5 7.813 3.125 3 4.688 3 4.688 Biết kế hoạch DMS Tham gia DMS DMS chính xác Hài lòng về DMS Có 62 59 61 61 % 96.875 92.188 95.313 95.313 Không 2 5 3 3 % 3.125 7.813 4.688 4.688 3 out of 64 surveyed households (4.7%) said that their affected assets was lack measured during DMS, but they also confirmed that after the comments, the local implementing agencies conducted verification and full complement. Comments and assessments of the Consultant Implementation procedures of DMS were implemented in accordance with the requirements of REMDF, updated resettlement plan and current regulations of the Government and ensured the transparency and accuracy in the implementation process. 1.5. Replacement Cost Surveys (RCS) Implementation results Compensation prices for affected land is determined following replacement price. District CARBs of Cu Chi, Hoc Mon and 12 districts hired the independent evaluation agencies 11 to determine the compensation prices for the affected land. The Independent Evaluation Agency used the diffirent evaluation methods as current provisions (unit prices of the succesful cases of land tranfer, asking prices and infrastructural conditions, etc.) to synthesize, analyze and propose the compensation prices for the land affected through the issuance of The Price Appraisal Certificate. After the compensation prices were apparised and approved by the Ho Chi Minh City People Committee, the PAHs will be compensated for affected land following replacement price. As mentioned in the above sections, due to the compensation, assistance and resettlement activities of the project is taken place in the period of the time has many changes of the land management policies (such as the changes of the Land Law and the secondary legislation of the Government and locality). These changes not only impacted to the implementation progress of compenation activities but also impacted to the entitlements of the PAHs. In detailed, assistance policy for the agricultural land affected under the ROWs of the transmission lines has no support level in regulation of HCMC PC, the Decision No. No. 23/2015/QĐ-UBND on compensation, support and resettlement when the State recovers the land in locality of the Ho Chi Minh City. As stipulated in this Decision with the agricultural land for perennial trees, forest land inside the ROWs of the transmission line will be supported by 11 Cu Chi and 12 Districts: EXIM Evaluation JSC., and Hoc Mon district: Thinh Vuong Evaluation JSC Third Monitoring Report Page 23