SFG2158 V4 RESETTLEMENT PLAN (RP) Type of document: Resettlement plan (RP) SON TAY HYDROPOWER PLANT INVESTMENT & CONSTRUCTION PROJECT In Son Tay Ditrict – Quang Ngai Province Quang Ngai SOVICO Energy One Member Limited Company ABRREVIATIONS AHH Hộ BAH Affected household AP Người BAH Affected person/people CPC UBND xã Commune people’s committee DMS Detailed measuring survey DPC UBND huyện District people’s committee DRC Hội đồng ĐB-TĐC District resettlement and compensation board EMPF Khung Chính sách Ethnic Minority Policy Framework Kế hoạch phát triển EMDP DTTS Ethnic Minority Development Plan GOV Chính phủ Vietnames Government HH Hộ Household IOL Inventory of losses LAR Land acquisition and resettlement LURC Giấy CNQSDĐ Land use right certificate MOF Bộ TC Ministry of Finance MOLISA Bộ LĐ-TB-XH Ministry of Labour, Invalids and Social Affairs NGO Tổ chức phi chính phủ Non-governmental organisation HPW CTTĐ Hydropower Work/plant OP 4.12 Operational Policy 4.12 by the World Bank PPC UBND tỉnh Provincial People’s Committee RAP Kế hoạch TĐC Resettlement action plan TOR Terms of Reference USD Đô la United State dollar VND Đồng Vietnamese dong WB NHTG (Ngân hàng) World Bank WEIGHT AND INDEX EQUIVALENTS ha – Hectare km - Kilometer m - meter DEFINITION OF TERMS ii Affected person - Refers to any person or persons, household, firm, private or (AP/Affected public institution that, on account of changes resulting from Household) the Project, will have its (i) standard of living adversely affected; (ii) right, title or interest from any house, land (including residential, commercial, agricultural, forest and/or grazing land), water resources or any other moveable or fixed assets acquired, possessed, restricted, in other word, adversely affected in full or in part, permanently or temporarily; and/or (iii) business, occupation, place of work or residence or habitat are 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 the project or any of its components. Cut-off date - This refers to the date prior to which the occupation or use of the project area makes residents in the area recognized as eligible AP. The persons who are not in the census are not eligible for compensation and other entitlements, unless they can show proof that (i) they have been inadvertently missed out during the census and the IOL; or (ii) they have lawful requirements on the affected assets after completion of the social census and the IOL and before conduct of the detailed measurement survey (DMS). Detailed - With the aid of the approved detailed engineering design, Measurement Survey Detailed Measurement Survey will finalize and/or verify the (DMS) accuracy and validity the results of inventory of losses (IOL), severity of impacts, and list of APs earlier done during RP preparation. The final cost of resettlement can be determined after completion of the DMS. Entitlement - Refers to a range of measures comprising compensation, income restoration support, transfer assistance, income substitution, relocation support, etc. which are due to the APs, 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 resettlement or relocation site. Income restoration - This is the re-establishment of sources of income and livelihood of the affected households. Inventory of loss - This is the process where all fixed assets (i.e., lands used for (IOL) 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 iii (ROW) 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 APs 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 APs 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 pre- project living standards and quality of life. Relocation - This is the physical relocation of an AP from her/his pre- project place of residence and/or business Replacement Cost The term used to determine the value enough to replace affected assets and/or cover transaction costs necessary to replace the affected assets without depreciation for such assets as well as material advantage, taxes and/or travel expenses. Replacement cost - A process related to evaluating alternative replacement cost Study for land, housing or other assets based on empirical data as follows: (i) Productive land (Agricultural, fishpond, garden, and production-forest) based on market prices that reflect recent land sales, and in the absence of such recent sales, based on productive value; (ii) Residential land based on market prices that reflect recent land sales, and in the absence of such recent land sales, based on similar location attributes; (iii) Houses and other related structures based on current market prices of materials and labor without depreciation nor deductions for salvaged building materials; (iv) Standing crop equivalent current market value of the crop at the time of compensation; (v) Perennial crops and trees, cash compensation equivalent to current market value given the type, age and productive value (future production) at the time of compensation. (vi) Timber trees, based on diameter at breast height at current iv market prices. 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 (RP) compensation and resettlement, ethnic minority strategies, objectives, entitlement, actions, responsibilities, monitoring and evaluation. Severely affected This refers to affected households who will (i) lose 20% or households - more of their total productive land and/or assets, (ii) have to relocate; and/or (iii) lose 20% or more of their total income sources due to the Project. Vulnerable groups - These are distinct groups of people who might suffer disproportionately or face the risk of being further marginalized from social development by the effects of property loss and land or other project impacts. The resettlement plan (RP) determines vulnerable households specifically include: (i) female headed households with many dependants and without support, (ii) illiterate; headed households; (iii) disabled headed households, (iv) households falling under the generally accepted indicator for poverty promulgated by Ministry of Labour, Invalids and Social Affairs, (v) children and the elderly-headed households who are landless and with no other means of support, and (v) Severely affected households Practical A process (i) is early started right at beginning of the project consultation and consecutively continued during project progress; (ii) which includes timely disclosure of related project information which is understandable and easy to access by the affected people; (iii) is conducted in an environment of no threatening and force or enforcement; (iv) is integrated and met gender sensitive issues, adjusted as per required by the disadvantaged and vulnerable groups; and (v) creates conditions to include related view points of affected people and other stakeholders into decision making process like project design, mitigation measures, sharing interest and development opportunities, and implementation issues. v INDEX EXECUTIVE SUMMARY ............................................................................................................. ix I. GENERAL INTRODUCTION ................................................................................................... 1 A. Overview of Renewable Energy Development Project .................................................................. 1 B. Son Tay Hydropower Plant ....................................................................................................... 2 D. Measures to be taken for mitigating impacts caused by the works .................................................. 7 II. IMPACT AREA OF SON TAY HYDROPOWER PLANT .......................................................... 10 A. Impacts on land ..................................................................................................................... 11 B. Impacts on Crops and Trees .................................................................................................... 12 C. Impacts on works and architectural objects ............................................................................... 12 D. Impacts on income and livelihood ............................................................................................ 12 III. SOCIO-ECONOMIC INFORMATION OF AFFECTED COMMUNITY ....................................... 14 A. General socio-economic characteristics in project area ............................................................... 14 C. Gender, gender equality .......................................................................................................... 16 B. Public consultation and participation ........................................................................................ 18 C. Results of information dissemination and Public consultation ...................................................... 19 A. Policy requirements of WB ..................................................................................................... 24 B. Vietnam policy framework ...................................................................................................... 25 C. Regulations on compensation, assistance and resettlement by the local authority ........................... 26 V. RESETTLEMENT, COMPENSATION AND ASSISTANCE STRATEGY ................................... 41 A. Legal basis for calculating compensation prices ......................................................................... 41 VI. INSTITUTION ARRANGEMENT AND IMPLEMENTATION SCHEDULE ............................... 45 A. Implementation schedule ........................................................................................................ 45 B. Institutional arrangements ....................................................................................................... 45 VII.GRIEVANCE REDRESS MECHANISM .................................................................................. 47 VIII. MONITORING AND REPORTING ................................................................................. 49 A. Internal Monitoring ................................................................................................................ 49 B. External Monitoring ............................................................................................................... 49 IX. BUDGET AND FINANCIAL SCHEDULE ............................................................................... 54 vi LIST OF TABLES Table I-1 Work items and key parameters of Son Tay Hydropower Plant ..................................................... 3 Table I-2 Result of selecting alignment alternatives for the work .................................................................. 8 Table II-1 Land area occupied by Son Tay Hydropower Plant ..................................................................... 10 Table II-2 Information about vulnerable HHs ............................................................................................... 13 Table III-1 AHHs are ethnic minorities in Social-Economic survey ............................................................ 15 Table III-2 Education level of surveyed HHs in affected communes ........................................................... 15 Table III-3 Monthly average income of surveyed HHs ................................................................................ 16 Table III-4 Average Expenditure Rate of Surveyed HHs (%) ...................................................................... 16 Table III-5 General information on gender rate in the affected communes .......................................... 16 Table V-1 Total conpensation for AHHs ...................................................................................................... 42 Table V-2 Compensation for affected trees, crops ........................................................................................ 42 Table V-3 Total cost of assistance for AHHs................................................................................................ 43 Table VI-1 Implemenation schedule for entire project ................................................................................. 45 Table VIII-1 Monitoring and Evaluation Indicators ..................................................................................... 51 Table IX-1 Summary of resettlement costs ................................................................................................... 54 vii ANNEXES ANNEX 1 LIST OF AHS ANNEX 2 PROJECT INFORMATION BOOKLET (PIB) ANNEX 3 TERMS OF REFERENCE ANNEX 4 CONSULTATION MEETING MINUTES AND LIST OF ATTENDEES ANNEX 5 SOME PHOTOS OF CONSULTATION MEETINGS viii EXECUTIVE SUMMARY Introduction 1. The general objective of the Renewable Energy Development Project (REDP) is to increase the supply of least-cost electricity to the national grid from renewable energy sources on a commercially sustainable basis in an environmentally and socially sustainable manner. Son Tay Hydropower Plant is built on Darkdrinh river,level-1 tributary of Tra Khuc river, flows from the Southwest to Northeast, the bedriver slope is high, the terrain is totally mountainous, the vegetation cover is mainly primary forest and regenerating forest. Son Tay Hydropower Plant will generate to supply national grid electricity with installed capacity of 18MW. 2. Son Tay Hydropowerplant is located in Son Mua, Son Tan and Son Dung Communes, Quang Ngai Province. It is far 3km away from Son Tay center, far 60 km away from Quang Ngai city in the West, next to roads and there are natural conditions which facilitate the construction. The main objective of Son Tay Hydropower Plant is to supply electricity to the local and connect to national grid electricity, give contribution to increase industrial output of the province, create jobs for people, businesses and the area. With the capacity of 18MW, anually, Son Tay Hydropower Plant will supply national grid electricity with around 72,85.106kWh. Besides, the hydropower plant plays an important role in local economic development and landscape. 3. This resettlement plan is prepared to ensure that: (i) Involuntary resettlement must be avoided where possible, or be reduced to the lowest possible extent by selecting appropriate design options, (ii) Where involuntary resettlement is unavoidable, the resettlement activities must be prepared and executed with sustainable development programs and sufficiently provided investment supports, enabling displaced people to benefit from the subproject. The displaced people will be fully consulted and allowed to participate in preparing and implementing activities in Resettlement Plan. Area of impact 4. Son Tay Hydropower Plant will occupy 394.187 m2 of land belonging to 131 households in three communes Son Dung, Son Mua and Son Tan. Compensation plan for the loss caused by Son Tay Hydropower Plant will be implemented as follow: the compensation will be comliant to the unit prive of Quang Ngai Provincial People’s Comittee. Good deployment of the compensation plan will give positive contribution in minimizing social-economic impact of the project. General Social-Economic characteristics 5. Social-economic survey on the area and AHHs was carried out in July and August 2014. The survey has shown that the main livehood of local people is argriculture. 6. Regarding infrastructure, social and education services, the poverty reduction programs and policies of the Government, such as the program 134, 135, 30A... as well as benefits from former hydropower plants (Dakdring 1 Hydropower Plant, Dakdring 2, Dak Ba Hydropower Plant...) have attracted more investment in ix agricultural production as well as infrastructure for households, so that infrastructure has also improved markedly in recent years, ethnic minorities in the project area have been using the grid electricity, radio .... Information dissemination and public consultation 7. A lot of public consultation meetings, discussions with stakeholders, especially local governmental authority and affected people were held in July, August 2014 to disseminate to them sufficient information relating to the project and its activities from preparation to operation stages, compensation and assistance policy, implementation plan, recording the people’s opinions or claim as the basis for preparation of th is resettlement plan. 8. Public consultation meetings have been organized in 3 communes Son Mua, Son Tan, Son Ding in Son Tay District, with total 115 participants including local officers and heads of households. 9. Important information indicated in the Resettlement Plan (RP) shall be publicly provided to the affected HHs through organizing public meeting during the next stage of the works, project information dissemination and public consultation meeting with the local governmental authority and community shall be held regularly at every important stage or at necessary point of time. Legal Framework and Entitlement 10. Son Tay Hydropower Plant is under Renewable Energy Development Project, therefore, compensation, assistance and resettlement plan for this is prepared based on principles defined in Resettlement Framework agreed between Ministry of Industrial and Trade (MOIT) and World Bank (WB) in 2008 for Renewable Energy Development Project. Policies to be applied in implementation of compensation, assistance and resettlement include (i) involuntary resettlement policy by WB. (ii) The current policies on compensation, assistance and resettlement by the Vietnam Government; and (iii) regulations on compensation, assistance and resettlement by the project in Thanh Hoa province. 11. One of the key objects of the project is replacement and compensation for the lost properties basing on replacement cost. Compensation implementation and providing alternative assistant forms to the affected people before they move out of their houses, land and properties under the condition that their living conditions are restored at least as the same as that before the project, and the poor, the prone affected people, including affected people in the vulnerable group (e.g, HHs head with disability, poor HHs, ethnic minority HHs, etc.) shall be assisted to increase their socio-economic situation. Institutional Arrangement and Implementation Plan 12. Construction project shall be in 2.5 years (2015-2017) including last 6 months of 2015 for preparation and construction commencement is expected to be in October 2015 and completed in December 2017. 13. Quang Ngai Sovico Energy One Member Limited Company is responsible for all project implementation components, including preparing and implementing RP as x well as monitoring, evaluating this RP. Being as a project implementation agency, Quang Ngai Sovico Company will have following main responsibilities: (i) updating and implementing RP in coordination with related people’s committees at levels and provincial and district Compensation, Assistance and Resettlement Board (CARB) and submitting to MOIT and WB for approval; (ii) ensuring government capital available for implementation of RP and availability and sufficiency of funds for resettlement. Grievance Mechanism 14. Grievance mechanism in this RP has been built basing on Vietnamese law of disputes, which had been consulted with local authorities and communities in consideration of specific cultural identity and traditional cultural institution of people in the project area. Monitoring and Evaluation 15. Quang Ngai Sovico Energy One Member Limited Company shall provide the services of an independent internal monitoring agency who will collect and record entire site documents, including the database on affected HH and submit quarterly reports to the project management Unit (MOIT) and WB. 16. External monitoring agency (EMA) shall be implemented by experienced resettlement and social development specialist who are selected by PMU (MOIT). Independent supervision inspection and evaluation shall be conducted yearly, except for the first stage semi-annual supervision may be required. Report prepared by EMA shall be placed in project site office and commune people’s committee and posted on website of WB. 17. Internal and external independent monitoring system shall be set up including professional experts who are qualified and experience in the field of resettlement, community development and ethnic minorities, in which, Quang Ngai Sovico Company shall be responsible for internal monitoring; monthly and quarterly monitoring reports shall be submitted to PMU and WB. The EMA shall be selected for implementing independent monitoring and independent evaluation shall be made on annual basis, except for the first stage semi-annual evaluation may be required. Budget and Disbursement Plan 18. The total estimated cost of compensation and assistance against impacts caused by construction of Son Tay Hydropower Plant is 5,390,925,721 VND (equal to 256,711 USD. Implementation cost shall be paid by Quang Ngai Sovico Energy One Member Limited Company xi I. GENERAL INTRODUCTION A. Overview of Renewable Energy Development Project 19. The objective of Renewable Energy Development Project (REDP) is to assist in developing renewable energy sources to supply least-cost electricity to the national electric grid on a commercially sustainable basis in an environmentally and socially sustainable manner. The project includes three components: (1) investment project implementation component, (2) capacity building component, and (3) information channel development component. 20. The investment project implementation component includes (i) commercial banks are allowed to reborrow the capital for providing credit to eligible renewable energy projects with capacity of no more than 30MW invested by the private investors, and (ii) technical assistance for capacity building for the participating banks and the sub-project private investor in project preparation, appraisal, financing and implementation of renewable energy projects in compliance with international practices. This component shall be collaborated by Rural Electric and Renewable Engery Project Management Unit (PMU) under MOIT. This component consists of two following sub-components:  Providing credit for investment assistance in renewable energy: Private investors shall construct sub-projects of small scale hydropower, wind-to-energy and mass solid waste-to-energy plants with capacity of no more than 30MW in compliance with Renewable Energy Development Project criteria including environmental and social safeguards. The investors commit to contribute their equity of at least 20% of total investment cost of a sub-project and the other 80% shall be borrowed from participated commercial banks.  The participating banks selected on competition basis are reponsible for verifying the eligible Renewable Energy subprojects proposed by the investors and providing the loans to the projects that fully meet requirements of participating banks. The participating banks will lend subprojects under commercial term determined by the market and will subject to all the credit risks from the loans.  Eligible loans shall be refinanced up to 80% of the loan value to the participating banks or 64% of the total investment cost of the subproject. This means the participating banks shall have to commit to lend at least 16% of the total investment cost for each subproject from their funding source and the investors shall contribute 20% of the total investment cost as their equity. Upon the approval of the request for credit, the participating bank shall receive a reborrowed sum from REDP (WB) via the Ministry of Finance (MOF). Such a reborrowed sum from REDP shall be financed by WB to MOF under conditions defined by the WB.  It is expected that there are about 20-25 sub-projects to be assisted via reborrowing mechanism. When they come into operation, total capacity of these subprojects is expected to be 210MW and supply about 880GWh of annual electric output.  Technical assistance for implementation of investment projects: the technical assistance (TA) under component 1 shall assist in general management to REDP 1 project, reviewing eligibility of the reborrowed sums and capacity building for participating banks, investors and other stakeholders. This TA shall be managed by PMU. TA shall concentrate on guiding sub-project investors to obtain necessary skills to identify viable sub-projects and prepare proposals for the bank loan through loan processing and negotiation.  In addition, the TA shall also concentrate on training preparation of viable studies, utilizing design, construction management, operation, maintenance, financial risk management and considering social and environmental safeguard. The participating banks shall be assisted in building capacity of understanding the risks from investment in REDP, supervising the projects to ensure safety, building up credit policies and reviewing sub-project in compliance with these policies. The TA shall also assist PMU in management of REDP. B. Son Tay Hydropower Plant 1. Legal base 21. Son Tay Hydropower Plant construction investment project is one of the projects in the "Plan for electricity development in Quang Ngai province period 2011 - 2015 with a vision to 2020" dated 07/12/2007, issued by Quang Ngai Provincial People's Committee with Decision No. 2848/QD-Committee approving plan on small hydropower plants in Quang Ngai province. 22. Decision No. 677/QD-Committee of Quang Ngai province dated 14th March 2007 approving Bac Ha Investment Joint Stock Company to survey and set up Son Tay Hydropower Plant investment project. 23. Pursuant to Decision No. 80/2009/QD-HDQT on 02 March 2009 of Board of Directors, Bac Ha Investment Joint Stock Company on the establishment of a member – Quang Ngai Sovico Energy Limited Company who directly manage, invest in the construction and manage operation of Son Tay Hydropower Plant. 24. Based on the report of Investment Project - Preliminary Design of Son Tay Hydropower Plant on Dakdrinh river made by Power Engineering Consulting 1 Joint Stock Company in October 2009. 25. Based on the survey documents of Consulting &Construction 23 Limited Company. 26. Based on the intermediate report made by Song Da - Ucrin Consulting and Construction Co., Ltd. in May 2010 on improving normal water level of Son Tay reservoir to 192.50m because reservoir volume is different from the investment project. 27. Decision No. 4404/QD-BCT dated 3rd August 2012 of Ministry of Trade and Industry approving the plan for power development in Quang Ngai province in period 2011 – 2025 with a vision to 2020. 2. Characteristics of the plant 28. Position of Son Tay Hydropower Plant was studied and approved in Additional Planning of Hydropower System on Dakdrinh River, Quang Ngai Province, this is a plant at the middle of two hydropower plants Dakdrinh 1 (now is Dakdrinh Hydropower Plant) and Dakdrinh 2 (had been planned, not built yet) in order to utilize the remaining 2 unexploited catchment of Dakdrinh hydropower plant (the works of Son Tay hydropower plant are all in energy route of Dakdrinh hydropower plant). 29. Son Tay hydropower plant is supplied water from two reservoirs: (i) the first reservoir is catchment of major dam (the main water supply regulated by day and night) and (ii) the second reservoir is catchment of sub-dam (no capacity regulated by day and night). The total catchment area to dam system of Son Tay Hydro Power Plant is 186,0km2, in which the second reservoir cluster has catchment area of 8,0km2 and catchment area of the first reservoir cluster is 178,0km2. 30. The whole proposed project includes two main components: the cluster headwork (dam, spillaway dam, water intake, sand discharger, sub-dam, water transfer channel) and energy route (collecting water channel,water intake, connecting concrete pipe, tunnel, surge tank, penstock, plant, discharge channel. Pressure boosting station and operational management buildings). 31. The operational buildings of Son Tay hydropower plant is only considered at a sufficient size to serve operational personnel, with some items allocated as follows: (i) 2- storey center management building. The structure is tempered wall with 220mm brick and concrete floor. The center building is near the plant and transformer station, this can ensure operational management is facilitated; (ii) houses for staffs are in the area with enough space for the daily needs of about 15 people (iii) the scale of operational management building for pressure is large enough for 1-2 staffs working 24/24 hours a day; (iv) the scale of operational management building of cluster headwork is enough for 1-2 staffs working 24/24 hours a day. 32. Currently, in the area of Son Tay Hydropower Plant, Dak Drinh 1 hydropower plant - far 500m away from Son Tay Hydropower Plant - is being built. Son Tay hydropower plant with capacity of 18MW is expected to connect to the national grid by 110kV line through 110kV transfomer station of Dakrinh 1 hydropower plant. Under this option, the 110kV line with AC-185/29 cables and length of 15km will be built from Son Tay Son Hydropower Plant and connect to the 110kV transformer station of DakDrinh 1 hydropower plant. Dak Drinh 1 will connect National grid by 220 kV double-circuit line, with length of about 15km to Son Ha 110/220k transfomer station. Connection option for Son Tay hydropower plant is record and made in a separate contract and has submitted the competent authority for approval. Table I-1 Work items and key parameters of Son Tay Hydropower Plant No. Parameter Unit Specification (1) (2) (3) (4) I Work level level III II Catchment 1 Catchment area Flv km2 186.00 2 Average rainfall over years X0 mm 3510.00 3 3 Evaporation loss DZ mm 459.00 2 4 Flow module M0 l/s/km 83.30 5 Average annual flow Q0 m3/s 15.53 6 Total annual flow volume W0 106m3 489.00 III Reservoir Annual monitoring flood water level P = 1 m 202.75 0.2% 2 Design flood water level P = 1% m 201.03 3 Normal water level MNDBT m 192.50 4 Dead water level MNC m 183.00 3 3 5 Total capaciy Wtb 10 m 535.00 6 Useful capacity Whi 103m3 397.00 3 3 7 Dead capacity Wc 10 m 138.00 2 8 Area responding to MNDBT, FMNDBT km 0.06 IV Output 1 Output ensure flow Qđb d/c 85% m3/s 3.15 3 2 Highest output through the plant QTmax m /s 22.20 3 Highest output through a turbine Qmin 1 tổ m3/s 4.44 Output of flood crest responding to 4 consequency - P = 0.2%. monitoring flood m3/s 9390.00 - P = 1% . design flood m3/s 7180.00 - P = 10% m3/s 4170.00 V Water column 1 Largest water column Hmax m 117.80 2 Calculated water column Htt m 97.10 3 Smallest warter column Hmin m 96.00 VI Capacity, electricity consumption 1 Installed capacity Nlm MW 18.00 2 Ensured capacity Nđb MW 2.92 3 Annual average electricity consumption E0 tr.kwh 72.85 The number of hour using installed capacity 4 giờ 4047.00 HsdNlm VII Scale of main works 1 Righ dam 4 - Dam structure BTTL - Crest elevation m 203.50 - Top dam length L m 45.50 - Top dam width B m 3.00 2 Left dam - Dam structure BTTL - Crest elevation m 203.50 - Top dam length L m 41.00 - Top dam width B m 6.00 3 Spillaway dam for flood discharge - Dam structure BTTL - The number of spillaway chamber, n khoang 1.00 - Width of spillaway chamber m 120.00 - Spillaway crest elevation m 192.50 - Max dam height, Hđ m 20.50 3 - Flood discharge flow with design P1% m /s 7180.00 - Biggest water column before spilling m 8.53 with P1% - discharge flow responding to monitoring m3/s 9390.00 flood P0,2% - Biggest water column before spilling m 10.25 with P0,2% 4 Water intake - Elevation m 178.00 - Crest elevation m 203.50 - Bottom elevation m 177.00 - Dimensions BxH m 3.0x3.0 3 - Design flow, Qtk m /s 22.20 5 Concrete pipe connects to tunnel - Length of concrete pipe m 200.00 - Dimensions of concrete pipe m 3x3 6 Collecting water tunnel - Length of tunnel m 2990.00 - Diameter of tunnel m 3.00 - Slope of tunnel % 0.44 7 Sub-tunnel 5 - Length of tunnel m 115.00 - Diameter of tunnel m 3.50 - Slope of tunnel % 1.59 8 Surge tank - Crest elevation m 209.00 - Bottom elevation m 163.00 - Dimensions of tank m 7.50 8 Penstock - Length m 231.80 - Dimension m 2.50 9 Hydropower plant - Max catchment water level responding to m 92.23 monitoring flood - Catchment water level of working plant m 74.58 with Q 0,5 tổ máy - The number of turbine turbine 2.00 - Type of turbin Francis - Impeller diameter D1 m 1.20 - Installation floor elevation m 93.00 - Floor elevation for turbine m 82.30 - Size of the turbine room AxB mxm 21,3 x 24,4 10 Discharge channel - Width of bottom channel m 15.00 - Slope of channel % 0.13 - Length of channel m 121.45 VIII Sub-headwork 1 Sub-dam - Dam structure BTCT - Crest elevation m 208.00 - Max dam height, Hđ m 4.10 - Top dam length, L m 90.00 - Top dam width, B m 5.00 2 Water transferring channel - Width of bottom channel m 0.80 - Length of channel m 230.00 - Slope of channel % 0.50 6 - Design flow, Qtk m3/s 1.20 IX Total investment Investment capital excluding loan with 1 109đ 424.10 interest 2 Total investment amount 109đ 504.56 X Financial and economic target 1 Economic target - B/C - 1.46 9 - NPV 10 đ 170.49 - EIRR % 15.09 2 Financial target - Mobilizing interest rate for local %/year 11.40 currency - B/C - 1.11 - NPV 109đ 55.43 - FIRR % 14.72 - Payback time Thv year 14.00 C. Objectives of Resettlement Plan 33. According to guidelines under OP4.12 by World Bank (WB) on involuntary resettlement, for any project, a resettlement plan must be prepared to ensure that: (i) Involuntary resettlement must be avoided where possible, or be reduced to the lowest possible extent by selecting appropriate design options, (ii) Where involuntary resettlement is unavoidable, the resettlement activities must be prepared and executed with sustainable development programs and sufficiently provided investment supports, enabling displaced people to benefit from the subproject. The displaced people will be fully consulted and allowed to participate in preparatory and implementing activities of Resettlement Plan. 34. The displaced people must be supported in terms of their capacity to improve their living conditions and to rehabilitate their living standards higher than or at least equal to that before constructing the subproject. D. Measures to be taken for mitigating impacts caused by the works 35. In order to avoid involuntary resettlement or to minimize impacts caused by the works, there are two alternatives of alignment proposed during survey and study for construction of Son Tay Hydropower Plant. After careful analysis of economic efficiency in which analysis and comparison of the impact area of these two alternatives were included, alternative 1 was highly agreed and selected for construction of the plant. With this alternative, impact scale shall not be significant to communities who are living in the 7 project area. This alternative does not affect significantly to the local people’s lives and production and especially, none of the households are subject to displace as a result of land acquisition for the hydropower plant construction. Table I-2 Result of selecting alignment alternatives for the work Comparison between MNDBT and MNC Specification Unit 183,5 m 192,0 m 192,5 m 193,0 m MNDBT m 183,5 192 192,5 193 MNC m 182 182 183 184 3 3 Wtb 10 m 151,0 506,0 535,0 565,0 Whi 103m3 39,0 394,0 397,0 401,0 Wch 103m3 112,0 112,0 138,0 164,0 Qmax m3/s 22,46 22,46 22,20 21,96 Hmax m 116,8 116,8 117,8 118,8 Htb m 110,2 110,2 111,2 112,2 Htt m 96,1 96,1 97,1 98,1 Hmin m 94,9 94,9 96,0 97,1 Nlm MW 18 18 18 18 Nđb MW 2,78 2,90 2,92 2,94 Enam 106kWh 59,20 72,39 72,85 73,23 HsdNlm giờ 3 289 4 022 4 047 4 068 3 Qxa m /s 6,29 6,29 6,33 6,38 3 Qđb m /s 3,15 3,15 3,15 3,15 Qo m3/s 15,53 15,53 15,53 15,53 ẹđáy sông NMTĐ m 73,58 73,58 73,58 73,58 Fmh km2 0,03 0,06 0,06 0,06 Average power price under TT 05/2011/TT- đồng/ kWh 727,6 916,0 916,0 916,0 BCT & QĐ 66/QĐ- ĐTĐL Total capital 109VND 368,98 404,14 406,23 409,74 9 NPV 10 VND -7,22 131,07 132,30 131,78 EIRR % 9,74 14,08 14,10 14,05 B/C - 0,977 1,380 1,382 1,377 NPV/K - -0,020 0,324 0,326 0,322 8 Comparison between MNDBT and MNC Specification Unit 183,5 m 192,0 m 192,5 m 193,0 m Recommendation selected 36. In addition, Quang Ngai Sovico Energy One Member Limited Company and the local governmental authority shall be surely responsible for land acquisition, affected properties, payment for compensation, assistance to the affected HHs, except for activities for long-term development, and have to complete this before issuance of Notice To Proceed (NTP) for hydropower plant construction commencement. 9 II. IMPACT AREA OF SON TAY HYDROPOWER PLANT 37. Measures to minimize permanent affected land area have been studied and calculated by the investor of Son Tay Hydropower Plant when selecting the best alternative. Moreover, many other mitigation measures such as no earth grading for widening the existing road have been proposed; when new road for the plant operation, earth grading can only be done with enough width for movement of vehicles and close monitoring is carried out to control land sliding onto both road sides to minimize affected area; Lowering retention water level to reduce flooded area. Work components are constructed far away from community areas and HH’s caltivated areas. Aslo road for transportation of materials and borrow pits shall be arranged not in community area (explosive storage is arranged along the cannel, sand and construction materials are gathered in a blank yard under management of the commune etc.) to avoid land acquisition for this and impact to local community life. 38. Son Tay Hydropower Plant will submerge and occupy 394,187of land managed by 3 communes Son Dung, Son Mua, and Son Tan in the long-term (in which the affected land of Ms. Nguyen Thi Hoi is 429.5m2). In addition, the construction process will temporarily affect 13.050 m2 of land by the activities of the contractors. The temporary affected land will updated during the implementation. Table II-1 Land area occupied by Son Tay Hydropower Plant Name of iterm, type of Area No. Managed by land (m2) 1 Residential land (ONT) HH Ms. Tran Thi Hoi in Son Tan commune 429,5 Land for rice cultivation Son Tan commune 2 12494,3 (LUC) Other perennial land Son Tan commune 3 102596,1 (LNK) Forest land for production 3 communes Son Dung, Son Tan, Son Mua 4 278667,2 (RSM) Land of rivers and streams Son Tan commune 5 6198,7 (SON) 6 Land for traffic (DGT) Son Tan commune 466,8 7 Unused land (DCS) Son Tan commune 1233,4 Total 402.086 10 (Source: Son Tay Hydropower Plant Compensation and Ground Clearance Committee) A. Impacts on land 39. During the process of inventory of loss (IOL) in July and August 2014, 394,187 m2 acquired land of 131 HHs in 3 communes Son Dung, Son Tan and Son Mua is affected, 7898.9 m2 land managed by Son Tan commune is affected (including land of river and stream, land for traffic and unused land). Table II-2 provides detail on affected households and the land acquired by the items of the work. (List of AHHs is at Appendix 1) Table II-2 Affected land area in three communes No. Commnune Unit + Son Dung Son Mua Son Tan Residential land (ONT) 1 m2 429,5 429,5 Land for rice cultivation (LUC) 2 m2 12494.3 12494.3 Other perennial land (LNK) 3 m2 102596.1 102596.1 Forest land for production (RSM) 4 m2 278667.2 49214.8 47484.7 181967.7 Total 394187.1 49214.8 47484.7 297487.6 40. According to inventory of loss (IOL), the total 394,187,131m2 land of affected households consists of 429.5 m2 residential land (0.1%); 12494.3 m2 land for rice cultivation (3.17%); 102,596.1 m2 land for annual crops and perennial crops (26.03%) and 278,667.2 m2 forest land for production (70.69%); in which, most of the area returned for headwork area is 206,773.8 m2 (52.46%), the area returned for building plant site is 78 617,9 m2 (19.94%) and for auxiliary works is 108,795.4 m 2 (27.6%). For the area of affected households, investors are coordinated with Son Tay Hydropower Plant Compensation and Ground Clearance Committee to carry out the land acquisition compensation for the progress of the project. Table II-3 Classification of affected land acquired by the work (m2) Land for Residentia rice Other Forest land for Total affected l land cultivatio perennial production Items area (ONT) n (LUC) land (LNK) (RSM) Headwork 206773.8 206773.8 Plant area 78617.9 429.5 11053.2 67135.2 108795.4 1441.1 35460.9 71893.4 11 Auxiliary works Total 394187.1 429.5 12494.3 102596.1 278667.2 B. Impacts on Crops and Trees 41. According to the survey results, because the work items affect annual and perennial crop land, result of counting and compensation was listed by investor and Ground Clearance Committee. (Table II-4). The crops are associated with specific price unit according to growth stage and degree to be exploited. Table II-4 Quantity of trees are compensated to AHHs Conpensation No. Tree Unit Quantity amount (đ) 1 Acacia tree 17,496.0 438,160,000.0 2 Areca tree 16,215.0 380,160,000 3 Firewood tree 5,920.0 41,319,000 4 Neem tree tree 1,878.0 31,922,000 5 Rice m2 6,370.2 9,457,762 6 Banana tree 1,422.0 41,160,000 7 Jackfruit tree tree 249.0 25,550,000 8 Bamboo bụi 2,473.0 91,430,000 9 Bambusa balcooa tree 1,099.0 4,396,000 10 Litsea glutinosa tree 182 11,310,000 11 Wheat m2 5416.5 6,729,460 12 Carambola tree 43 2,580,000 13 Rambutan tree 5 600,000 14 Cinnamomum tree 49 5,530,000 15 Pineapple tree 858 1,550,000 16 Guava tree 15 770,000 17 Mango tree 15 1,810,000 C. Impacts on works and architectural objects 42. As stated in the previous section, Son Tay Hydropower Plant mainly acquire agriculture land for production and therefore do not affect the works and architactureal objects. D. Impacts on income and livelihood 43. Land acquisition of the AHHs, especially land for cultivation will have impact on the livelihoods and income of the households. According to the survey, when Son Tay hydropower plant is built, it will affect 12494.3 m2 land for rice cultivation and 102,596.1 m2 land for annual plants and perennials. The acquired area will be compensated in cash 12 by the investor under the provisions of the state. In addition, the displaced households will be supported through livelihood programs to recover incomes. E. Impacts on vulnerable households 44. The IOL shows that there are 123 affected households (in total 131 HHs) are ethnic minorities. These HHs shall be further assisted in compliance with the project guidelines and more details shall be described in the next chapters. See Table II-5 below Table II-2 Information about vulnerable HHs Ethnic District/Commu Total number Monority No. ne Total HHs of people Poor HHs HHs 1 Son Dung 18 73 15 14 2 Son Mua 13 55 13 13 3 Son Tan 100 412 98 96 Total 131 540 126 123 . F. Impact on community property 45. The IOL shows that only 7898,9 m2 land managed by Son Tan CPC is affected (including land of river and stream, land for traffic and unused land). Quang Ngai Sovico will have methods to solve the problems. 13 III. SOCIO-ECONOMIC INFORMATION OF AFFECTED COMMUNITY A. General socio-economic characteristics in project area 46. Son Tay Hydropower Plant affects 3 communes (Son Dung, Son Tan and Son Mua) in Son Tay district, Quang Ngai province. During the survey, many meetings, group discussion, in-depth interviews with leaders and representatives of affected communes were held to collect information on economic-social conditions, especially the views, opinions regarding land acquisition and livelihood restoration to affected households. 47. Son Dung commune with district center located in the commune area, has a natural area of 8,796 hectares, population is 4916 people. The commune is divided into 6 villages: Huy Mang, Dak Lang, Go La, Ra Manh, Ra Pan, Dak Tren. 48. Son Mua Commune with 3002 people has natural land area of 7397 ha; divided into 5 villages: Huy Em, Nuoc Min, Mang Tu La, Nuoc Vuong - Tang Tong, Tang Tong (the words: Mang in Ca Dong Mang language means flat area, Huy means friend). Son Mua is a difficult commune of the district. 49. Son Tan commune has natural area of 7356 hectares, with 870 households, 3497 people, divided into 5 villages: Ra Nhua, Dak Be, Ta Do, Ha Leu, Ta Vinh. Son Tan commune was particularly difficult. 50. Like the other villages in the district, in recent years, in the three commnunes, agriculture and forestry economy have stable growth. Applying more scientific and technical progress for seed, fertilizer.... and restructuring seasonal crops has created an important change in agricultural production of local people. Allocation of land and forest were closely controlled, so people know the harmful effects of deforestation and invest in planting and forest protection. Now, the forest is being restored and developing. Since the protection of forests is noticed by the forces in the province and local governments, the situation of trafficking, illegal exploitation and transportation of forest products are reduced. There is no forest fire occurs. 51. At present, many households in the area know gardening for economy development and many models developed towards the farm economy. The local authorities direct drastically the work on improving fruit trees gardens and this work has achieved good results. 52. Sedentarization: The communes now have basically completed sedentarization, people have fields or flat land to cultivate, are facilitated to develope economy by gardening, farming. The people can take care of forest, afforestation and forest protection. 53. Cultural-social situation: in general, local government has taken notice and invested to develop this aspect. The villages in the communes have built new cultural family, but the standard rate is low, about 75% of households. The units, such as hamlet, village have built village and commune regulation. Every year, the communes organize communal sport, competition and cultural exchanges among villages. 54. Education: the communes have built primary schools, secondary schools and kindergartens in the communes; mobilize and maintain high enrollment rate. Health: the communes have medical staff, health station for examination and treatment for people in the region. The national programs such as malaria, goiter, leprosy, addiction.... are deployed quite well. Epidemiological monitoring is done regularly, preventive and 14 curative medicines are bought to the health facilities promptly so the dangerous diseases are very rare. 55. Infrastruture: In general, the communes have inter-village roads and national grid electricity. B. Socio-economic information of affected community 56. The IOL has been implemented with 18 HHs in Son Dung Commune, 13 HHs in Son Mua commune and 100 HHs in Son Tan commune. In 131 AHHs, 123 AHHs is ethnic minorities (KDong ethnic people). Table III-1 AHHs are ethnic minorities in Social-Economic survey The number of The AHH sis number of Surveyed Survey ethnic Ethnic No. Commune AHHs HHs percentage minorities group 1 Son Dung 18 18 100% 14 Kdong 2 Son Mua 13 13 100% 13 Kdong 3 Son Tan 100 100 96 Kdong Total 131 131 100% 123 57. The majority of households have limited education, and this has a certain impact on the lives, careers and incomes of the households. Particularly, in total 131 surveyed households, 82 households (62.59%) are not in school or have not completed primary education, 40 households (30.53%) completed primary education, 9 households (6.78%) completed secondary school program. Table III-2 Education level of surveyed HHs in affected communes Son Dung Son Mua Son Tan Education level HH % HH % HH % Unschooled/Not complete primary school 9 50.00 10 76.92 63 63,00 Complete primary school 7 38.89 3 23.08 30 30,00 Complete secondary school 2 11.11 - - 7 7,00 Complete high school - - - - - - Vacational school - - - - - - College / University - - - - - - Total 18 100% 13 100% 100 100% 58. For ethnic minorities in the project area, agriculture is the main source of household’s income. Since the main source of income is from agriculture, income of the households is very low. This has been proved by the survey results with 54 ethnic minority households affected by the project. The result shows that there are 29 households with monthly per capita income less than 1 million, 24 households earning between 1 -1.5 15 million/month (table III -4). Thus, we can see that the expenditure and earning of the households is inadequate and may even be short; the majority of ethnic minority households in the last 2 years are do not have enough of food from 1 to 2 months. Table III-3 Monthly average income of surveyed HHs Under 1 From 1 to 1.5 Above 1.5 No. Commune million million million + 1 Son Dung 7 3 1 11 2 Son Mua 7 6 - 13 3 Son Tan 15 15 30 Total 24 1 54 59. In the total monthly income of the households, the main expenditures primarily focus on food and monthly activities, its proportion is from about 48.11 to 59.10%. The remaining expenditure are health care (13.27 to 23.11%; education (14.37 to 17.35%); Other expenses (11.15 to 13.27%). Table III-4 Average Expenditure Rate of Surveyed HHs (%) No. Monthly expenditure Son Dung Son Mua Son Tan Monthly food and living 1 activities 59.1 48.11 49.25 2 Family health care 13.27 23.11 22.25 3 Education 14.37 17.34 17.35 4 Others 13.27 11.44 11.15 Total 100,00 100,00 100,00 60. National grid electricity is the main source of lighting energy in daily activities of affected households who are surveyed. No household has to use other alternative energy sources for lighting. 61. Regarding fuel sources for daily cooking, 100% of the affected households use firewood/coal as the main energy source. C. Gender, gender equality 62. The ratio between women and men in the villages affected by the plant is not much different. Particularly, the total people of 2 affected villages are 11,415 people, in which 5,888 is women (or 51.58%) and 5,527 is men (or 48.42%). However, in reality, the level of participation in economic - social activities, division of labor between women and men, the access of each gender to resources and benefits, the views of each ethnic group values and standards for women and men are rooted from culture of each ethnic group. Therefore, this gender relation is very diversified and varies by each community group. Table III-5 General information on gender rate in the affected communes 16 Population Rate (%) No. Commune Total Male Total Male 1 Son Dung 4916 2447 2469 100 49,78 50,22 2 Son Mua 3002 1378 1624 100 45,90 54,10 3 Son Tan 3497 1702 1795 100 48,67 51,33 63. The number of female children going to school is much lower than male children. The number of ethnic minority students leaving school is high the reason is difficult family economic situation. Despite tuition fee exemption policy, the other costs are burden and girls have to leave school to support the family. 64. There is the difference in the level of access to health services of the ethnic minority women. They only come to the health station when the diseases are too serious and cannot be cured. Public health officials frequently communicate, so the perception of ethnic women has changed. However, most of them do not care about their health. The ethnic women have been benefited from health insurance card program, so the health of communities in affected communes is improved. 65. In working and jobs, ethnic people, particularly ethnic women have fewer opportunities to develop their economy. Over 90% of ethnic women do farm works for families. They have to take responsibilities of working on terrace field, breeding poultry, livestock and taking care of children, etc. Their limited education access is one of the main reasons that limit their opportunities to find non-agriculture jobs. Ethnic women are entitled to a lot of priority policies by the government, such as assistance in credit, seedlings and,breed livestock but as a result of limited knowledge and being unable to apply technical methods learnt from hamlet officials workers into practice of production, the productivity is not high and some livestock die due to coldness and epidemic diseases, etc. The reasons mentioned above make ethnic women have even more difficulties. 66. In family and land use right and property: Family assets are possessed, managed and decided by the men. Traditional regulations on the roles of men in a family in worshiping parents and ancestors in patriarchy society create gender inequity for women. Labor allocation within a family in ethnic group still appears gender discriminatory treatment. The work of men are "heavy" and require "engineering", communication with the outside world while the women works are often more “slight” work. 17 IV. INFORMATION DISCLOSURE, CONSULTATION AND PARTICIPATION A. Information disclosure 67. According to the safeguards policy of World Bank on resettlement and ethnic minorities, Quang Ngai Sovico Company together with group of consultants coordinate with District Compensation, Assistance and Resettlement Board (DCARB) in Son Tay district to disclose information about frameworks which has been approved for the project about Resettlement Action Plan (RAP) and Ethnic Minority Development Plan (EMDP) rectified by MOIT and WB, RP report and EMDP report shall be translated into Vietnamese to make it easier to read and understand; also help implementation of EMDP and application of compensation and resettlement policies to affected people in a more convenient manner. List of land affected HHs who lost land and property on land with compensation payments shall be indicated clearly. 68. Organization several communication of public consultation to disseminate and address project information to affected people, communities in affected communes in project area. The affected people shall be clearly informed implementation plans for resettlement actions, including (i) contents of public consultation regarding project, its implementation plan, land acquisition plan and construction plan; (ii) investigation and detailed measuring survey; (iii) official and eligible list of affected people and their entitlement; (iv) quantity and compensation unit price; (v) compensation and other assistance payment plan; and (vi) other issues such as framework for income restoration for affected people, grievance redress mechanism, monitoring and evaluation etc.. Notices and related documents shall be posted at affected commune people’s committees (CPC)/or community cultural house or posted at easily seen places. Project information booklet (PIB) shall be provided to affected HHs and is available at CPC, hamlet cultural house. (PIB is described in details in Appendix 2) B. Public consultation and participation 69. During preparation of this resettlement plan, several public consultation meetings with affected ethnic minority people were taken place in June and July 2014 to discuss and evaluate the impacts as well as ensure that comments and opinions from local communities shall be taken in the report. 70. The results from discussions with stakeholders during the information disclosure process and public consultation meetings held in June and July 2014 shows that DCARB and Quang Ngai Sovico Company have conducted sufficient necessary steps of disseminating project information, compensation and assistance policies, consulting affected HHs on their actions relating to land acquisition, construction and mitigation measures. However, in order to provide further information about the project as well as policy supplementation in compliance with agreed guidelines for the REDP. the affected HHs continued to participate, consult and disseminate information during the implementation process in August 2014. (Minutes of public consultation meetings and participation, meeting pictures taken are attached in Appendix 4 and Appendix 5). 18 Table IV-1 Time, location and number of attendee in the meetings in each commune No. Commune Time Location Attendee Femal Total Male e 1 Son Dung 26/08/2014 Hall of CPPC 14 9 5 2 Son Mua 27/08/2014 Hall of CPPC 47 34 13 3 Son Tan 28/08/2014 55 33 22 71. Methodologies used in public consultation are meeting, individual interview and group discussion. People from affected hamlets were ready to discuss and share information. Women and youngsters were invited to participate and encouraged to contribute their ideas, especially ethnic groups in affected communes were consulted. Ethnic groups in project area also had their representative organizations to connect with Women’s Association, Farmers’ Association, Commune and Hamlet Youth Association. C. Results of information dissemination and Public consultation 72. Public consultation meetings on RAP and EMDP with participation of representatives of Quang Ngai Sovico and consultant team and local communities were held during the survey process. The opinions and desire of the ethnic minority people on Son Tay Hydropower project are shown below. Table IV-2 Content and opinion in public consultation meetings No. Commune Information from people Group discusstion - Local people agreed to - The project does not affect the implement the project. cultural, religious and public However, if large areas of buildings and work in the land are lost, fair locality. However, now these compensation for people works had been built for a long should be paid. Must ensure time and was degraded. If no shortage. possible, the people hope the 1 Son Dung - For the loss of productive project can help to improve, land, require the investors repair these works. under witnesses of the - When building the plant, the people to count and investors have policies to create measure. The proper jobs for the people when the compensation should be plant goes into operation. paid. Expect that the project help make road for local - When blasting, the people will people. be notified and the sign will be 19 No. Commune Information from people Group discusstion - In the process of blasting placed in hazardous areas. required advance warning to people so that people stay away from the area to protect people and animals. - Ensure that the construction - The people agreed and does not affect people's supported the project livelihood. because it will bring benefits to local people, - Vocational training, they can have power for environmental protection. 2 Son Mua lighting. - When measuring, counting, - The project also needs there should be head and proper compensation to the representative of CPC people regarding land accompanied to know about the prices as well as trees and extra acquired areas need to be crops on the land. measured because the rain will make landslides and erosion - The people agreed and - If the project acquire our land supported the project they need to pay reasonable because it will bring compensation as prescribed by benefits to local people, the state. they can have power for lighting. - During the construction process and operation process of the - Compensation should be on plant, the investors should time with notice. prioritize people in affected area 3 Son Tan - The project also needs proper for them to work at the plant. compensation to the people - When measuring, counting, regarding land prices as well there should be head and as trees and crops on the land. representative of CPC - Need to have support accompanied to know about the programs after extra acquired areas need to be implementation of the measured because the rain will project. make landslides and erosion 73. Public consultation meetings were held with participation of all relevant stakeholders to collect opinions or concerns of the ethnic minority community who are affected by the project, therefore countermeasures are discussed to avoid or minimize 20 impacts of the construction works on the public living environment and working conditions. Table IV-3 below describes details of community concerns and solutions committed to be implemented by the investor during the project construction process. Table IV-3 Concerns of affected community and commitment of the investor No. Concerns of affected community Commitment of the investor 1 Detailed measurement survey (DMS) To be done in compliance with current Measuring and counting should be regulations and give notice to the local correct. When measuring and counting, government and peopke via many should inform the people to take part in methods, such as public meetings, give measurement to avoid shortage. documents about deployment plan, post information at the commune and The detailed measurement survey should village and inform via radio of the be participated by heads of hamlets and commune. CPC representative The DMS team includes representatives of stakeholders as regulated 2 Compensation Regulations on compensation and Want proper compensation from the assistance with appropriate unit price Project about land price and crops on the for compensation are commited, results acquired land. of surveys and detailed compensation alternatives are posted in local public place and hamlet. 3 Assistance in stabilizing livelihood and Affected HHs can participate in working training courses on maize planting Support open technical training abut under the project training program agricultural cultivation. After detailed design, if there is any The investors have policies to create jobs further severely affected HHs, the for the people when the plant goes into investor shall commit to have policy operation, particularly affected for further assistance under RP households 4 Restore the public works which are Investor commits to restore the public affected by the project structures if they shall be impacted by Some public works of the local people the project are affected by the project and need to be rebuilt, such as roads, public house… 5 Improve infrastructure Do maintenance for the inter-village Renovate some canals, irrigation... for roads, and other public works affected by construction process of the investor. 21 No. Concerns of affected community Commitment of the investor production in neighborhoods. When the plant goes into operation The company has to fix the system of some new roads will be opened to help public facilities damaged by the project the travel of people is a convenient, and give them back to the people. commodity circulation will be facilitated, economy can develop. During construction of the canal system of people is affected project owner will repair, renovate or redo depending on the nature and degree of influence. 6 Culture and religion This issued will be included in the At the present, the illiteracy rate in the gender propaganda campaign and commune is rather high, training course encourage the local Women's for eradicating illiteracy is needed for association to open training classes or affected people, especially for women. groups to teach Vietnamese to each other. Assistance in contributing funds for operation of social associations to Fund for operation and assistance have encourage people to participate in and been approved by the government on a travel fee for hamlet officials to yearly basis for ethnic people encourage them to maneuver the people development. to participate together. The investor together with other organizations shall propagandize policies concerning ethnic people development of the State for the local people. 7 Liên quan đến các hoạt động thiết kế, Calculating the water level of the thi công reservoir has been done by consultants The project design should calculate with the support of the Morden carefully the water level of the reservoir Equipment to give out exact measuring to avoid affecting fields of the local information people. In case of further impact as more Ensure environmental hygiene, return production land is flooded, the investor the site after construction shall find out solution for compensation and assistance for affected HHs. Construction activity and material transportation shall follow approved environmental management plan. 22 23 V. LEGAL FRAMEWORK AND ENTITLEMENT 74. In the framework of REDP, compensation, assistance and resettlement plan for Son Tay Hydropower project has been prepared based on principles of resettlement framework approved by MOIT and WB in 2008 for REDP. Policies applied in implementation of compensation, assistance and resettlement include (i) involuntary resettlement policy by WB; (ii) present policies and regulations on compensation assistance and resettlement by the Government of Vietnam; and (iii) regulations on compensation assistance and resettlement of the provincial authority (Quang Ngai province). They are: A. Policy requirements of WB 75. Basic principles in guidelines under OP4.12 of the World Bank (WB) on involuntary resettlement, for any project, a resettlement plan must be prepared to ensure that:  Involuntary resettlement must be avoided where possible, or be reduced to the lowest possible extent by selecting appropriate design options;  Where involuntary resettlement is unavoidable, the resettlement activities must be prepared and executed with sustainable development programs and sufficiently provided investment supports, enabling displaced people to benefit from the subproject. The displaced people will be fully consulted and allowed to participate in preparing and implementing activities in Resettlement Plan.  The displaced people must be supported in terms of their capacity to improve their living conditions and to rehabilitate their living standards at least equal to that before constructing the subproject, equal to the actual present value to the level before displacement or to a common level before commencement of the project or even higher than that. 76. The solutions required to ensure resettlement has active results, including:  Consulting project affected people viable solutions for resettlement and livelihood restoration;  Providing affected people options of resettlement and livelihood restoration;  Compensating entire replacement cost for damages and loss;  Selecting sites for resettlement where shall provide minimum benefits and services similar to their existing place ;  Providing finance for assistance, training and income support to help them go well during the transitional period;  Recognizing vulnerable groups and providing special support for these groups; and  Establishing a structure on institution and organization to assist this process to finally succeed. 24 B. Vietnam policy framework 77. At the time of preparing this RP, Land Law and regulations on compensation, assistance and resettlement have been rectified and come into effect (since 1st July 2014) which shall solve issues that differ from practice of payment for compensation and assistance to land acquired people. That is Land Law 2013 (No.45/2013/QH13) has been rectified and issued to replace the previous 2003 Land Law, therefore, some decree's guiding implementation are also issued, including:  Decree No.43/2014/NĐ-CP dated 15 /05/2014 by the Governement on detailed regulations to implement some articles of Land Law No. 45/2013/QH13 (replacement of Decree No.181/2004/NĐ-CP; Decree No.17/2006/NĐ-CP; Decree No.84/2007/NĐ-CP; Decree No.69/2009/NĐ-CP; and Decree No.88/2009/NĐ-CP).  Decree No.44/2014/NĐ-CP dated 15/05/2014 by the Governement on regulating land prices. (Replacement of Decree No.188/2004/NĐ-CP and Decree No.123/2007/NĐ-CP)  Decree No.45/2014/NĐ-CP dated 15/05/2014 by the Governement regulating on collecting land use fee.  Decree No.46/2014/NĐ-CP dated 15/05/2014 by the Governement regulating on collecting land leasing fee, water surface leasing fee.  Decree No.47/2014/NĐ-CP dated 15/05/2014 by the Governement regulating on compensation, assistance and resettlement when the State acquired land. (Replacement of Decree No. 197/2004/NĐ-CP) dated 3/12/2004) 78. Land Law 2013 and Decree guiding implementation mentioned above become effective from 1st July 2014. To Son Tay Hydropower project, these new legal documents shall be applied for payment for compensation and assistance for survey items to be conducted after 1st July 2014. 79. Nevertheless, there are some items that have been completed with compensation and assistance before such new legal documents become effective such items shall follow regulations defined in the legal documents issued before 1st July 2014, they are:  Constitution of the Socialist Republic of Vietnam in 1992 determines the house owner right of citizens and protects their own right;  2003 Land Law issued on 26 November 2003;  Decree No.181/2004/ND-CP, dated 29/10/2004 by the Government guiding the implementation of the revised Land Law 2003;  Circular No.01/2005/TT-BTNMT dated 13 April 2005 by Ministry of Natural Resources and Environment (MONRE) on guiding implementation of some articles under Decree No.181/2004/NĐ-CP dated 29/10/2004 by the Government;  Decree No.188/2004/NĐ-CP dated 16 November 2004 by the Government on methods of identifying land price and tariff of land of all types;  Circular No.114/2004/TT-BTC dated 26 November 2004 by Ministry of Finance (MOF) on guiding implementation of Decree No.188/2004/NĐ-CP by the Government; 25  Decree No.123/2007/NĐ-CP dated 27 July 2007 amending and supplementing some articles under Decree No.188/2004/NĐ-CP by the Government;  Circular No.145/2007/TT-BTC dated 6 December 2007 by MOF guiding implementation of Decree No.188/2004/NĐ-CP and Decree No.123/2007/NĐ-CP by the Government;  Decree No.197/2004/NĐ-CP dated 3 December 2004 by the Government on compensation, assistance and resettlement when the State undertaken land acquisition;  Circular No.116/2004/TT-BTC dated 7 December 2004 by MOF guiding implementation of Decree No.197/2004/NĐ-CP by the Government;  Circular No.69/2006/TT-BTC dated 2 August 2006 by MOF on amendment and supplementation of Circular No.116/2004/TT-BTC by MOF;  Decree No.17/2006/NĐ-CP dated 27 January 2006 by the Government on amendment and supplementation of some articles of decrees guiding implementation of Land Law;  Decree No.84/2007/NĐ-CP dated 25 May 2007 promugating supplementation on issuance of Land use right certificate, land acquisition, undertaking land use rights, procedures of compensation, assistance and resettlement when the State acquires land and grievance redress mechanism;  Circular No.06/2007/TT-BTNMT dated 15 June 2007 by MONRE guiding implementation of some articles under Decree No.84/2007/NĐ-CP by the Government;  Inter-ministerial Circular No.14/2008/TTLT-BTC-BTNMT dated 31 January 2008 guiding the implementation of some articles under Decree No.84/2007/NĐ-CP by the Government;  Decree No.106/2005/NĐ-CP dated 17 August 2005 by the Government promulgating details and guidance on executing some articles under Electricity law and safe protection to high voltage facility of electric grid;  Law of claim and denouncing No.09/1998/QH10 dated 2 December 1998;  Decree No.67/1999/NĐ-CP dated 7 August 1999 by the Government on detailed regulation and guiding the execution of Law of claim and denouncing; C. Regulations on compensation, assistance and resettlement by the local authority 80. Land Law 2013 and new guiding Decrees become effective on 1 July 2014, up to now Quang Ngai PPC has been reviewing and adjusting current regulations for compliance with the new policy and such new policy shall be updated during the implementation process. Therefore, current local regulations for implementation of compensation, assistance and resettlement are still effective and proposed to apply, including:  Decision No 08/2013/QD-UBND on 28th January 2014 of Quang Ngai PCP on issuing the regulations on compensation, support and resettlement when the State acquires land in Quang Ngai province.  Decision No 25/2014/QD-UBND on 6th June 2014 of Quang Ngai PCP enacted regulations on the compensation rate for house and structures applied in Quang Ngai province. 26  Decision No 64/2011/QD-UBND on 17th December 2014 of Quang Ngai PCP on issuing unit price of affected trees and crops on land due to clearance compensation in Quang Ngai province. D. Some regulations applied in compensation, assistance of Son Tay Hydropower project 81. In order to harmonize policies by WB, Vietnam Government and regulations on compensation, assistance and resettlement by the PPC, the general regulations of the Resettlement Framework for the REDP have been agreed between Son Tay PCARB, investor of Son Tay Hydropower project, CPC and HHs affected by Son Tay Hydropower project, including:  During preparation of RP as well as at design stage, an area of land to be acquired shall be minimized as possible and also be trying to avoid impacts on properties of the people as much as possible.  For HHs who have their residential land, agriculture land, tree, crops impacted and others in the project area, they will be compensated, assisted for restoration and improvement of their livelihood at least equal status before being impacted by the project, including income and other livelihood development opportunities.  Lacking some eligible legal documents on the land use right (including residential land, agriculture land, and others) as well as other kind of eligible documents on property shall not be a problem for them to be entitled to compensation, assistance.  Plans on Land acquisition and property with land, plans on compensation, assistance, the ethnic minority development plan shall be implemented with close and regular public consultation to affected people.  Land, trees, crops and other properties to be acquired and impacted shall be compensated equal to replacement costs, without deduction of depreciation value, transfer value or any type of deduction.  Poor HHs, female headed HHs, ethnic HHs etc. and other vulnerable HHs shall be assisted in compliance with provincial current regulations. Also, the investor shall give other supports depending on results from the public consultation with these groups of HHs. 82. Entitlement matrix for affected people under sub-projects of REDP has been clearly defined in the Resettlement Policy Framework. Basing on this entitlement matrix, entitlement matrix for HHs affected by Son Tay Hydropower project is prepared with details in table V-1 below. The entitlement shall be updated if during the process of implementation, there will be new Quang Ngai provincial regulations to be issued. 27 Table V-1 Entitlement matix No. Type of Application Eligible Entitlement applied in Son Tay Issues during implementation Persons Hydropower project Loss/Impacts 1. Productive land Less than 10% Owners with  For the permanently acquired land,  If value of the remaining land (agriculture land, of total LURC over the cash compensation equal to is lower than regulatory aquaculture land, agricultural land or eligible replacement cost. minimum level, entire area of forestry land, land in use of property rights  Without mentioning temporary use such land lot shall be acquired garden) the HH to be a to be of land; but normally in Vietnam and the affected people shall be loss recognized by contractors cannot use any private categorized in other level of the regulations property without prior agreement being affected and entiled to with the owner of such property. further compensation.  Adjustment of free of charge possession right for land owner for the remaining land which still in use.  For non-land properties, see section 3-6 below.  Providing assistance in livelihood restoration in terms of HHs in the vulnerable group (item 12)  Providing progress bonus (item13) The same Affected  For the permanently acquired land,  In case remain portion of applies as households cash assistance equal to 30% of investment is higher than above with long term replacement cost (this is considered 30% of replacement cost, lease as cost invested into the land, DCARB shall recalculate for agreement over improvement, upgrading etc.) identification of reasonable the affected  For affected trees, crops, assistance (or refund such land compensation on market price and remain portion of investment 28 No. Type of Application Eligible Entitlement applied in Son Tay Issues during implementation Persons Hydropower project Loss/Impacts yield to be calculated as the average + assistance for the leasee for of the last 3 years his income impacted.) The same Owners  Not entitled to compensation for applies as without land, but for crop, trees as equal to above acceptable replacement cost. proof of  Provided assistance for livelihood ownership over restoration in terms of HHs in the land vulnerable group (item 12) (illegally appropriated land) Loss more than Owners with  Cash compensation equal to  If value of the remaining land 10% total land LURC over the replacement cost or “land–for-land” is lower than regulatory in use of the land or compensation minimum level, entire area of HH eligible  Adjustment of free of charge such land lot shall be acquired property rights possession right for land owner for and the affected people shall be to be the remaining land which still in categorized in other level of recognized by use. being affected and entiled to the regulations  For non-land properties, see section further compensation. 3-6 below.  If “land–for-land”  Assistance for severe damage, see compensation is applied, both item 9 and 11 below. wife and husband shall have  Providing progress bonus (item13) equal rights to possess the land The same Land lease and  For the permanently acquired land,  In case remain portion of applies as permanent land cash assistance equal to 30% of investment is higher than 30% 29 No. Type of Application Eligible Entitlement applied in Son Tay Issues during implementation Persons Hydropower project Loss/Impacts above lease replacement cost (this is considered of replacement cost, DCARB as cost invested in the land, shall recalculate for improvement, upgrading etc.) identification of reasonable  For affected trees, crops, assistance (or refund such compensation on market price and remain portion of investment + yield to be calculated as the average assistance for the lease for his of the last 3 years income impacted.)  Affected people shall be informed 4 months prior to the implementation of land acquisition for the project. The same Owners  Not entitled to compensation for applies as without land, but for crop, trees as equal to above acceptable replacement cost. proof of  Affected people shall be informed 4 ownership over months prior to the implementation the land of land acquisition for the project. (illegally  Provided assistance for livelihood appropriated restoration for AHHs in the land) vulnerable group (item 12) 2. Residential land Light damage Owners of the  Similar to affected production land (for ex.: being land with  Providing progress bonus (item13) able to stay on eligible remaining possession portion of land, right or no need to possession relocate); right acceptable to the law 30 No. Type of Application Eligible Entitlement applied in Son Tay Issues during implementation Persons Hydropower project Loss/Impacts Severe Owners of the  Similar to affected production damage (for land with land ex.: Not being eligible  Providing progress bonus (item able to stay on possession 13) the remaining right or portion of land possession or be acquired right entire area of acceptable to land) the law 3. Houses and shops Light damage Owners of the  Cash compensation equal to (for ex.: being structures with replacement cost (without able to stay on or without depreciation or deduction of salvage remaining acceptable material) for the affected structure portion of proof of portion. house, no need ownership over to relocate); the land; with or without building permit. Severe Owners of the  Cash compensation equal to damage (for structures with replacement cost (without ex.: Not being or without depreciation or deduction of salvage able to stay on acceptable material) for the affected structure the remaining proof of portion. portion of the ownership over  Regarding to assistance, see item 10 house the land; with below. or be acquired or without entire building permit 31 No. Type of Application Eligible Entitlement applied in Son Tay Issues during implementation Persons Hydropower project Loss/Impacts structure) 4. Other structures To be Owners of the  Cash compensation equal to market destructured or structures with price for material and labor without damaged or without considering depreciation and acceptable deduction of salvage material. proof of ownership over the land; with or without building permit 5 Graves Affected Affected  Compensation for all costs of  During implementation graves owner digging, exhumation, transporting process, if any gave is found for reburial for the affected HHs ownerless, CPC will be  Graves shall be excavated and responsible for relocation of haulage in compliance with it with costs to be paid from traditional manner and custom land acquisition budget of the project. 6 Crops and trees Affected Crops Owners  Affected people are entitled to cash  Affected people shall be and trees regardless of compensation for affected crops noticed some months prior to tenure status equal to market price. commencement of  Affected people are entitled to cash construction. Trees and crops compensation for affected trees are grown after the notice equal to the market price as per tree date will not subject to type, age and production values. If compensation. affected trees can be removable, compensation will be equal to cost for removement and actual damage. 7 Public facilities Works, Village, ward,  Restoration of building, community  If damage on income is 32 No. Type of Application Eligible Entitlement applied in Son Tay Issues during implementation Persons Hydropower project Loss/Impacts structures, governmental structures at least to its originated estimated (for Ex. Irrigation community administrative conditions, or system, community forest, forest/pasture units  Replacement in the dedicated area community pasture for for animal/or with consultation of the affected animal), hamlets are entitled other types of community and relevant authorized to compensation to total land/ irrigation agencies, or damages on production, this system to be  Compensation equal to replacement compensation will be affected as cost without considering collectively used for solutions temporary or depreciation, but deduction salvage of restoration of income permanent use material. and/or new infrastructure. of land or landfill of solid waste. 8 Temporary impacts Agriculture The affected  Compensation for loss of net income  If soil quality cannot during project land to be land owner is during impacted period of recovered as the same as construction temporarily construction. before construction for the process impacted  Recovery to the same or better affected people, and if the condition than before with methods affected people have to of soil quality improvement change land use purpose, as result of such change, the affected people shall be compensated every cost for the loss, and in case of being unable to change land use purpose then such land shall be acquired and satisfactory compensation shall me made for effected people the same 33 No. Type of Application Eligible Entitlement applied in Son Tay Issues during implementation Persons Hydropower project Loss/Impacts entitlement as for other HH who have their land acquired for the project. Temporary Owner of  Compensation for the property impact of affected land impacted equal to replacement cost residential land  Recovery of soil to its previous conditions Damages Owner or who  The contractor shall be requested to caused by the has land use compensate immediately to the contractor to right affected HHs, groups, communities the public or or state agencies. private owned  Damaged properties shall be structures or recovered to their original land conditions. 9 Loss in Severely Land owners Allowances for stabilizing livelihood income/livelihood affected due to with LURC; or  Assistance to HHs whose total area due to land lost loss equal to or in the process of agricultural land is acquired from more than 10% of acquiring 10% to 30% is equal to 3 months in of productive LURC; and case of non-relocation, 6 months in land and those covered case of relocation). Assistance in income by customary cash is equal to 30kg of rice rights, such as /member/month. Assistance is members of provided for 6 months basis. ethnic minority  In addition, further assistance to groups. HHs whose total area of agricultural Affected land is acquired from 30% to 70% is households equal to 6 months in case of non- with lease relocation, 24 months in case of 34 No. Type of Application Eligible Entitlement applied in Son Tay Issues during implementation Persons Hydropower project Loss/Impacts agreement over relocation; whose total area of the affected acquired agricultural land is more land than 70% is equal to 12 months in case of non-relocation and 36 months in case of relocation. Assistance in cash is equal to 30kg of rice /member/month. Assistance is provided for 6 months basis. Allow for changing and creating jobs:  Assistance equal to 5 times of agricultural land price for entire acquired land – regardless the rate of land loss (area to get assistance is not exceeded local land handing limit). By land support. Affected HHs are compensated in land, assistant rate for production is VND5,000,000/labor, for the HHs with more than one at working age, the second one onward will get the assistance of VND2,000,000/labor. In case land is used for agriculture, forestry, aquaculture purpose in form of fixed rate (excluding special use forest land, protection forest land) handed by 35 No. Type of Application Eligible Entitlement applied in Son Tay Issues during implementation Persons Hydropower project Loss/Impacts land using organizations to their staff and officer who are still working or retiring, retiring early, leaving job but entitled to support; and who are directly involve in agriculture production for main income, then assistance is equal to 100% of agriculture land price against actual measured acquired area but not exceeding local land handing limit. 10 Impacts on houses Severe impact Relocating Material Transportation allowance and will require on houses households  If households must be relocated relocation regardless of within the province/city not tenure status exceeding 20km, they shall receive a support of VND 3,000,000/HH  If households must be relocated within the province/city exceeding 20km, they shall each receive a support of VND 5,000,000 /HH  If households must be relocated to another province in the north, they shall each receive a support of VND 8,000,000 /HH; in the central and southern region, they shall each receive a support of VND 10,000,000 /HH. House leasing assistance  House leasing assistance in cash 36 No. Type of Application Eligible Entitlement applied in Son Tay Issues during implementation Persons Hydropower project Loss/Impacts includes: (i) for HH with 5 and less than 5 members: VND 800,000 /month; (ii) for HH with more than 5 members: VND 1,000,000/month; and single member HH: VND 600,000 /month.  Period of time to get assistance is from land handing to the investor to receive land for resettlement. Assistance to house leasing HHs Relocation assistance fee: VND 2,000,000 /HH and transition subsistence allowance in cash equal to 30kg of rice/member/month for 3 month period. 11 Loss of income/ Severe impact Relocating Economic organizations, family livelihood due to on shop affected HHs, business enterprises with registered relocation of shop owners industries are to stop production due to business (house and land acquisition for the project, they are shop) entitled to get assistance equivalent to regardless of 30% of 1 year’s income after taxes, tenure status calculated according to the average income level for last three years. 12 Higher risks of Loss of Land Affected Provincial social policies for HHs  Policies for families entitled impoverishment and Non-Land vulnerable who are entitled to a social allowance to social allowances who /hardship due to Assets groups at the time they land is acquired by have to relocate their houses, loss of resource regardless of the State and have to relocate: in case of the HH with many base severity of person who are entitled to 37 No. Type of Application Eligible Entitlement applied in Son Tay Issues during implementation Persons Hydropower project Loss/Impacts impacts  Who work for national revolution one of the defined assistance before 1945, heroes in people’s levels, such HH shall be armed force, Vietnamese heroic assisted once at the highest mothers, Heroes in working, close level. relative of revolutionary martyr who are presently entitled to monthly State support, wounded soldier, sick soldier, persons who are entitled to the same social support as wounded soldier with 81% or more of their health loss shall be assisted VND5,000,000/house using owner  Soldier and wounded persons who are entitled to State support as a wounded soldier whose 61% to 80% of their health lost shall be subject to assistance of VND4,000,000/house using owner.  Wounded soldier and persons who are entitled to State support as wounded soldier whose 41% to 60% of their health lost shall be subject to assistance of VND 3,000,000/house using owner.  Wounded soldier and persons who are entitled to State support as wounded soldier whose 21% to 40% of their health lost shall be subject to  These supports and 38 No. Type of Application Eligible Entitlement applied in Son Tay Issues during implementation Persons Hydropower project Loss/Impacts assistance of VND 2,000,000/house assistances shall be using owner. developed through Ethnic Those who were awarded Resistance Minority Development Plan War Medal – class I, victory medal – (EMDP) class I shall be entitled to assistance of VND1,000,000/house using owner  HH with a person who is given other state support will be entitled to assistance of VND 2,000,000/HH Project assistance policies  Assistance for changing jobs (working in the Plant) and restoration of income via assistance form of training, workshop on livestock breeding technology. 13 Providing progress Damage and Owner with  The bonus rate of VND 2,000/m2 for bonus loss of land affected agriculture land being acquired and and property properties handing in a timely manner of on land progress as requested by the DCARB, max. VND 2,000,000/HH.  Bonus to owners whose house, residential land, business and non- agriculture land, structures are destructed entirely or partially. Then:  Removement, handing the site at least 15 days prior to dedicated date, the bonus will be VND 39 No. Type of Application Eligible Entitlement applied in Son Tay Issues during implementation Persons Hydropower project Loss/Impacts 5,000,000/HH.  Removement, handing the site within 15 days prior to dedicated date, the bonus will be VND 4,000,000/HH.  Removement, handing the site on time, the bonus will be VND 3,000,000/HH.  Bonus to land ownership, HH whose land is partially acquired, but no destruction of their house, structures on land, then:  Removement, handing the site at least 15 days prior to dedicated date, the bonus will be VND 3,000,000/HH.  Removement, handing the site within 15 days prior to dedicated date, the bonus will be VND 2,000,000/HH.  Removement, handing the site on dedicated date, the bonus will be VND 1,000,000/HH.  For economic entities, the bonus will be VND 5,000 /m2 but not exceeding VND 10,000,000/entity 40 V. RESETTLEMENT, COMPENSATION AND ASSISTANCE STRATEGY A. Legal basis for calculating compensation prices 83. Quang Ngai PPC, based on decrees (Decree No.197/2004/ ND-CP and Decree No. 69/2009/ND-CP) every year issues unit price for land and other assets as well as assistances to affected HHs as results of land acquisition for road construction projects. Unit prices for assets are used to calculate total compensation value of affected properties when land is acquired by the State for government projects with communal objectives and for local tax calculation. Decree No. 188/2004/ND-CP has been amended and supplemented to Decree No. 123/2007/ND-CP promulgating on a standard framework for identification of unit prices for land which is evaluated corresponding to the market price on principles of “voluntary sale – voluntary purchase” in the normal status without any sign of speculation, economic or financial inflation, change of policy regime, force to transfer, or blooded relationship. 84. For Son Tay Hydropower Plant, according to the design, the construction does not affect the annual crop land so there is no damage of trees and crop, not directly affect the common architectural works of the commune as well as the households. Therefore, the compensation rate base is applied as the regulation of the province. B. Replacement cost identification 85. Survey on market price for the land, trees (all types), crops, constructions on land, labor, building materials prices... in the affected area and the surrounding areas affected by the project has been conducted by a group consisting of representatives of investors, farmers' associations, women's groups, Compensation and Clearance Committee of Son Tay district and representatives of 131 affected households. Survey results show that, at present in the affected area, there is no market price, therefore, the compensation rate for structures, trees and crops and removal of graves will be compliant to Decision No. 25/2014/QD-Committee dated 06/06/2014 of Quang Ngai provincial People's Committee; Decision No 64/2014/QD-Committee dated 17th December 2014 of Quang Ngai Provincial People's Committee issued regulations on density and plant unit to perform the compensation and support when land acquisition is performed in Quang Ngai province. This has been discussed with the affected households and found that the price in this provision is consistent with investment amount on land (including planting fee) and was agreed completely by representative of the affected households. 86. Compensation was widely publicized in the community consultation program and all the affected households are in agreement. . C. Compensation for impacts and entitlement 1) Compensation for affected land 87. The inventory of losses (IOL) estimated 394,187 m2 acquired land of 131 HHs in 3 communes Son Dung, Son Tan and Son Mua is affected, 7898.9 m2 land managed by Son Tan commune is affected (including land of river and stream, land for traffic and unused land). The total compensation cost for these lands is estimated at 4,440,536,212VND (equivalent to US $ 211,454). The compensation price rate for affected land is the replacement price rate, the households will receive support for life 41 stabilization and recovery of income while waiting for harvesting of the next crop (Table VI-1 ). Table V-1 Total conpensation for AHHs Compensat ion unit Com Quntity price Amount mune Items Unit (m2) (VNĐ) (VNĐ) I. Compensation cost for AHHs 3.936.428.500 Son Headwork 671.793.500 Tan Land for rice cultivation VNĐ/m2 872,9 19000 16.585.100 Forest land for production VNĐ/m2 109201,4 6000 655.208.400 Plant 1.551.939.600 Land for rice cultivation VNĐ/m2 11053,2 19000 210.010.800 Land for perennial crops VNĐ/m2 67135,2 19000 1.275.568.800 Residential land VNĐ/m3 400,0 160000 64.000.000 Garden land VNĐ/m4 29,5 80000 2.360.000 Auxiliary works 1.712.695.400 Forest land for production VNĐ/m2 71893,4 6000 431.360.400 Land for perennial crops VNĐ/m2 and annual crops 35460,9 19000 673.757.100 Agriculture land (for rice) VNĐ/m2 1441,1 19000 27.380.900 Son Mua Residential land VNĐ/m2 47484,7 6000 284.908.200 Son Dung Forest land for production VNĐ/m2 49214,8 6000 295.288.800 II. Cost for compensation and clearance 504.107.712 Total =I+II 4.440.536.212 2) Compensation for affected trees, crops 88. First of all, the policy of the project is to closely cooperate with local authorities in preparation for the construction, to facilitate local people to harvest on acquired land. In the case the land is acquired before harvest to implement the work, all impacts on the crop must be compensated at market rates. According to result of Inventory of Loss (IOL) the entire crop is not at harvest and the estimated cost of compensation is 1,112,694,221 VND (approximately $52,985). Usually, a good plan for the land acquisition is to enable households to harvest the annual crops before clearance and implementation of land acquisition. Table VI-2 shows the detailed compensation for the crops in each village affected by the project Table V-2 Compensation for affected trees, crops No. Commune (VNĐ) 1 Son Dung 67.247.762 42 2 Son Mua 58.275.000 3 Son Tan 987.171.460 Total 1.112.694.221 3) Compensation for affected structures 89. As presented in Chapter II, results of IOL indicates that none of HH’s structure is affected. 4) Assistances for AHHs 90. Follow the policy guidelines which have been agreed about development of renewable energy project, and based on the results of public consultation with the affected households. many assistances were applied as described in detail in the Entitlement matrix, the assistances for households affected by the project as follows:  Support to stablize life and create jobs for households (i) Support by 5 times the price of agricultural land for the entire acquired area - not dependent on the rate of land loss (assisted area does not exceed the limit of land allocation), and (ii) In addition, the affected HHs who have acquired land from 30% to 70% of total agricultural land area will receive assistance in six months if not move, and 24 months if relocate; the households who have acquired land of more than 70% of total agricultural land area will receive assistance in 12 months if not move and 36 months if relocate. The level of assistance in cash is equivalent to 30kg rice/person/month, time for assistance is 6 months/time. Son Tay hydropower projects did not affect land for agricultural production, there is no such an assistance.  Assistance to vulnerable groups: (i) Training young workers to create jobs in the plant when the plant is at the peak construction period and goes into operation, training will be implemented on site, (ii) Technical training on fish cage breeding.  Timely allocation rewards: Rewards VND 2,000/m2 for agricultural land which is acquired and handed over on schedule as required by Compensation commitee, the maximum amount is no more than 2,000,000 VND/household 91. Table VI-3 provides detailed information on the items will be provided assistance to households affected by Son Tay hydropower plant. Table V-3 Total cost of assistance for AHHs No. Items HHs Total cost of Comment assistance (VNĐ) 1 Timely allocation rewards 131 262.000.000 2 Stabilize life and create jobs, 132 660.000.000 The cost will be provide technical training for mixed with job change and job creation ethnic minorities development plan. Total 922.000.000 5) Income rehabilitation program 43 92. As described in Chapter II, implementation of land acquisition for the plant has been carefully calculated to avoid and minimize land area of HHs to be acquired. The project construction shall not have impact on agricultural productive land, however, land acquired for construction of the plant somehow permanently affected to pasture for domestic cattle in the reservoir area and to some fishing activities because of a new dam built for water retaining for the hydropower project. Measures have been discussed and proposed via public consultation meetings with local authority and affected HHs, including: (i) a training course on the technique of breeding fish in cages to these HHs in order to make use of water in the reservoir, (ii) monitoring and supervising implementation of HHs and facilitate HHs during the implementation process, and (iii) regular technical assistance for HHs during early stage and plant operation period. 6) Gender and Ethnic minority development strategy 93. This is to: (i) Minimise and mitigate project impact on livelihood of the ethnic minority people in the project affected area; (ii) ensure the project implementation process, promote full respectation to human rights, unique cultural identity, variaties amongst ethnic groups in the project affected area and recognise their development need and expectation; (iii) indicate how impacts caused by the project on ethnic people and potential negative impacts are avoided or minigated; (iv) ensure performed interests are culturally appropriate; (v) ensure affected communities to be consulted on potential impacts and mitigating measures, and they can fully participate in process of making decision, implementation and monitoring. 94. In compliance with guidelines by the sponsor (WB), an EMDP has been prepared together with this RP, in which issues and discussions relating to gender and ethnic minority people, as well as actions, concrete measures to minimize or developments are described in details. (See report of EMDP for reference). 7) Compensation for affected public structures 95. As presented in Chapter II, Son Tay Hydropower project construction shall not have impact on any other public structures. 44 VI. INSTITUTION ARRANGEMENT AND IMPLEMENTATION SCHEDULE A. Implementation schedule 96. The project shall be implemented for 2.5 years (2014-2016), in which preparation stage is in the last 6 months of 2014 and expecting that construction commencement shall be in December 2015 and completion shall be in December 2016. During detailed engineering design, updating RP shall be done. As soon as updated RP is completed, it will be submitted by Quang Ngai Sovico Company to WB for review and approval. All resettlement activities shall be interacted with construction schedule. Land acquisition and relocation of affected HHs shall not be commenced until updated RP has not been reviewed and approved. Quang Ngai Sovico Company shall not allow any construction work on site before all resettlement activities have satisfactorily completed and no more obstacles to the site for construction. Table XII-1 summarizes variable interactions that attach to updating and implementing RP. The resettlement implementation schedule is as follows: 97. The resettlement progress is as follow: Table VI-1 Implemenation schedule for entire project Activities Implementation schedule Information dissemination and public consultation 6/2014 - 7/2014 Preparing RP 7/2014 –8/2014 Submission of RP 8/2014 Approval of RP 8/2014 Information dissemination after RP has been 1/2015 approved Payment of compensation and assistance 1-3/2015 Monitoring and evaluation 1/2015-6/2016 Implementation of construction 12/2014 – 12/2016 B. Institutional arrangements 98. Quang Ngai Sovico Company shall be responsible for every project component implementation, including preparation and implementation of RP and monitoring and evaluation of this RP. Woking as a project executing agency, Quang Ngai Sovico Company shall have key responsibilities as follows: 45  Preparing and implementing RP in coordination with people’s committees at levels and Provincial Compensation, Assistance and Resettlement (PCARB), DCARB and submitting to MOIT and WB for approval;  Ensuring that WB shall agree with any change in RP;  Ensuring budget for RP implementation, financing source for resettlement (e.g., payment of compensation and other assistances) timely and sufficiently;  Assisting in solving complaints and claims by affected HHs. 99. The responsibilities include:  Providing guidance for PPC, DPC, CPC, PCARB, DCARB, project related groups and project resettlement policies, and concrete tasks of the groups including preparing, updating and implementing RP, if necessary;  Coordinating with PPC, PCARB, DCARB;  Together with DCARB, conducting key activities on site which relate to setting up, preparing and implementing RP, for example, disseminating project information and discussion with affected people and other project stakeholders.  Coordinating with relevant provincial/district agencies to promptly allocate land for affected people who are subject to compensation in land.  Monitoring and supervising updating and implementation of RP.  Preparing quarterly report on RP preparation and implementation and submitting RP to MOIT and WB. In the report it also includes resettlement audit of the budget for resettlement allocated and the amount of money disbursed. 100. Provincial People’s Committee shall take general responsibilities on resettlement activities within its discretion, including:  Ensuring updating of unit prices for individual and communal properties affected by the project to reflect replacement cost, when necessary;  Monitoring and giving approval to RP;  Guiding preparation and implementation of RP 101. District People’s Committee shall take general responsibilities on resettlement activities within its discretion, including:  Assigning a district officer updating and implementing RP.  Identifying replacement land for affected HH.  Assisting in the resolution of complaints and claims.  Reviewing RP prior to approval by PPC. 102. The CPC shall take the responsibilities on resettlement activities as below:  Assigning commune officer to assist DCARB in preparation and implementation of RP  Undertaking a single payment for compensation, assistance to AHHs.  Identifying land replacement cost for AHHs  Signing compensation contract forms with affected people.  Assisting in solving complaints and claims. 46 VII. GRIEVANCE REDRESS MECHANISM 103. Grievances related to any aspect of Son Tay Hydropower project will be handled through negotiation aimed at achieving consensus. Complaints will pass through 3 stages before these could be elevated to a court of law as a last resort. To ensure that all grievances of those affected on any aspect of land acquisition, compensation, relocation, and determination and payment of entitlements are resolved in a timely and satisfactory manner. 104. The affected individuals will be made fully aware of their rights (both verbally and in writing) during consultations and at each phase of the resettlement process. Detailed procedures for hearing and redressing grievances, including appeal processes, will be made public through an effective public information campaign. 105. The APs will also be made aware of the WB’s accountability mechanism policy by providing copies of the accountability field guide, which has been translated into Vietnamese. 106. A four-stage procedure for redress of grievances is proposed: Stage 1: Complaints from APs on any aspect of compensation, relocation or unaddressed losses are in the first instance lodged verbally or in written form with the Commune’s People’s Committee (CPC). The complaint will be discussed in an informal meeting with the APs and the CPC. It will be the responsibility of the CPC to resolve the issue within 15 days from the date the complaint is received. Stage 2: If no agreement or amicable solution can be reached or if no response is received from CPC’s related officer within 15 days of filing the complaint, the APs can appeal to the District People’s Committee (DPC) in the presence of the district-level Compensation, Assistance and Resettlement Board (CARB) to try to solve within 15 days from the date of receipt the complaint. The APs must lodge the complaint within 30 days of registering the original complaint, and must produce documents that support his/her claim. Stage 3: If the AP is not satisfied with the decision of the DPC or in the absence of any response, the APs can appeal to the Provincial People’s Committee (PPC). Wit h consultation provided by the Provincial Resettlement and Compensation Committee (PRCC), PCARB and Provincial Department of Natural Resources and Enevironment (DONRE), Provincial Department of Finance (DOF), PPC will provide a decision on the appeal within 30 days from the day it is received. Stage 4: If the APs are still not satisfied with the decision of PPC on appeal, or in the absence of any response within the stipulated time, the APs as a last resort, may submit his/her case to the Provincial Court. 47 107. The procedure described in these four steps complies with the legal process for resolution of complaints and denounce in Viet Nam. However, this system mainly refers to civil disputes between citizens, but not to disputes between citizen and governmental authority. In this view, within internal system of monitoring and evaluation, PMU and PCARB need to records in writing complaints and claims that affected people (APs) have brought forward and final solution on such complaint and claims. In addition, APs shall be exempted every fee relating to administrative and legal procedures. With such complaint and claims, the court also has rights to exempt fees for submission. 108. The External monitoring Agency (EMA) contracted for external monitoring and evaluation will be responsible for checking the procedures for and resolutions of grievances and complaints. The EMA may recommend further measures (if necessary) to be taken to redress unresolved grievances. 48 VIII. MONITORING AND REPORTING 109. The implementation of resettlement will be monitored regularly to help ensure that the RP is implemented as planned and that mitigating measures designed to address adverse social impacts are adequate and effective. Towards this end, resettlement monitoring will be done by an internal body and by an external organization. A. Internal Monitoring 110. Quang Ngai Sovico Company will serve as the Project’s internal monitoring body. As such, the It will maintain a file of all data gathered in the field, including a database on the affected households. Its internal monitoring unit will submit a quarterly monitoring report to the PMU starting from the commencement of RP updates, which coincides with the conduct of the detailed measurement survey (DMS) and other RP updating activities. The PMU in turn will include updates on resettlement in its regular Project reports to MOIT and WB. Social monitoring reports will be made available to the affected households and will be submitted to WB for web posting. 111. Internal monitoring and supervision will have the following objectives: (i) Compensation and other entitlements are computed at rates and procedures as provided in the approved RP, with no discrimination according to gender, membership in an ethnic group or other relevant factors; (ii) Affected households are paid their compensation and other entitlements as per approved Updated RP, ensuring that all entitlements are delivered as planned and agreed, including compensation in cash or in kind, allowances, replacement land, resettlement sites developed and people moved into them; (iii) Public information, public consultation and grievance redress procedures are followed as described in the approved updated RP; (iv) Affected public facilities and infrastructure are restored promptly; and; (v) The transition between resettlement and commencement of civil works is smooth and that site is not handed over for civil works until affected households have been satisfactorily compensated, resettled and income restoration programs in place. B. External Monitoring 112. The general objective of the external monitor is to provide a third party periodic review and assessment of: (i) achievement of resettlement objectives; (ii) changes in living standards and livelihoods; (iii) restoration of the economic and social base of the affected people; (iv) effectiveness, impact and sustainability of entitlements and income restoration programs; and (v) the need for further improvement and mitigation measures. Strategic lessons for future policy formulation and planning will also be drawn from the monitoring and evaluation of resettlement. The draft TOR for external monitoring consultant is in Appendix 3 113. The external monitoring agency or EMA, conducted by an experienced resettlement and social development consultant and selected by PMU (under MOIT). External monitoring, inspection and evaluation will be made on a yearly basis, except 49 for the first stage, it is requested to be made twice/year. All external monitoring reports will be made available to the affected households by placing reports in the commune / ward and field offices and will be uploaded on WB website. 114. The methods for external monitoring and evaluation of land acquisition, compensation and resettlement activities include: (vi) Review of Detailed Measurement Survey (DMS): As soon as the detailed design is finalized and staked to the ground by Quang Ngai Sovico Company and CARB, data collection from all APs to establish their eligibility and entitlements will be carried out. The data that will be entered into a database to document the following: a) socio- economic status of affected households; b) nature and extent of losses; and c) entitlements to compensation and other assistance. These data will be made available to the EMA, to enable them to establish a baseline for monitoring and evaluating project benefits. During the conduct of the DMS, the EMA will also monitor the DMS process to determine and assess if DMS activities are being carried out in a participatory and transparent manner (vii) Socio-Economic Survey (SES): The SES is designed to provide a clear comparison of the success and/or failure of the resettlement program to restore their livelihoods and living standards. In general, if a lag of 3-5 years or more occurs between census and SES and actual land acquisition, demographic and socio-economic factors may change significantly. In this Project, if land acquisition is not carried out within two years after SES, Quang Ngai Sovico Company and CARBs will carry out another SES. A post resettlement survey will also be undertaken by the EMA 6-12 months following completion of resettlement activities. Special attention will be paid to the inclusion of women, ethnic groups, the very poor, the landless and other vulnerable groups, with set questions for women and other target groups; and, the database disaggregates information by gender, vulnerability and ethnicity. (viii) Participatory rapid appraisals (PRA): The PRA will involve obtaining information, identifying problems and finding solutions through participatory means including: a) key informant interviews; b) focus group discussions on specific topics such as compensation payment, income restoration and relocation; c) community public meetings to discuss community losses, integration of resettled households in host communities or construction work employment; d) structured direct field observations, for example, of resettlement site development; e) formal and informal interviews with affected households, women, ethnic minority, and other vulnerable groups; and, f) in- depth case studies of problems are identified by internal or external monitoring and required special efforts to resolve (ix) Verification of Replacement cost survey: The EMA will also verify whether compensation paid were at replacement cost. A special market study to validate whether the rates used in compensation in land and other non-land assets were at replacement cost will be undertaken. 115. After being submitted, the EMA reports will be brought out for discussion at meetings between EMA, Quang Ngai Sovico Company and CARBs. Necessary remedial actions will be taken and documented. 50 Table VIII-1 Monitoring and Evaluation Indicators Type Indicator Examples of Variables Process Staffing The number of Quang Ngai Sovico Company staff and Indicators field staff on Project assigned by job function; and (By district The number of other line agency officials available for and tasks commune) Consultation, The number of consultation and participation programs Participation and held with various stakeholders; Grievance Separate consultation with women (Kinh), female headed Resolution households and ethnic minority women; Grievances by type and resolution; The number of field visit by EPMU staff; and The number of local organizations participating in project Procedures in Review of DMS , including verification/quantification Operation procedures in place and effectiveness of compensation delivery system; The number of land transfer taking effect; and Coordination among Quang Ngai Sovico Company, relevant provincial departments, and provincial and district officials, Output Acquisition of Land Area of productive land assets acquired (crop land, Indicators aquaculture ponds, garden land, etc.); (By district Area of residential and other non-agricultural lands and acquired; commune) Area of communal/government lands acquired; and Area of other lands acquired. Structures Quantity, type and size of private structures acquired; Quantity, type and size of community structures acquired; and Quantity, type and size of government structures acquired. Trees and Crops Quantity and type of private crops and trees acquired; Quantity and type of government/community crops and trees acquired; and Destroyed crops by area, type and The number of owner. Compensation and The number of household affected (for land, buildings, resettlement trees, crops); The number of owner compensated by type of loss; Amount compensated by type and owner; Quantity and amount of allowances paid; The number of replacement houses constructed by concerned owners; The number of replacement business constructed by concerned owners; The number of owner requesting assistance to purchase 51 Type Indicator Examples of Variables replacement land, and the number of successful purchase; The number of individual site and levels of development of sites; The number of entitlement delivered; The number of entitlement used by APs; Suitability of entitlements to affected households as per RP objectives; The number of non-titled AHH receiving replacement land; and The number of severely affected, very poor or other vulnerable household receiving special assistance and participating in income restoration programs. Impact Household Earning Employment status of economically active members; Indicators Capacity Landholding size, area cultivated and production volume, (by district by crop; and Selling of cultivation land; commune) Changes to livestock ownership – pre- and post disturbance; Changes to income-earning activities (farm and off-farm) – pre- and post disturbance; and Amount and balance of income and expenditures. Changes to Status of Commune/Village Resettlement Committees include Women Women’s Union and Women from affected households; Involvement of women in the process of preparation of IOL; The number of grievance complaint filed by women and resolution The number of woman (including female headed households and ethnic minority women) negotiated compensation effectively; Joint registration of land in the name of husband and wife; The number of meeting held by women from affected households in planning of livelihood activities; The number of woman engaged in gainful livelihood activities/income earning activities/employment in Industrial zones (including female headed households and ethnic minority women); The number of woman participated in capacity building workshop/ training; The number of woman understand the process of resettlement activities (entitlement, compensation process, etc); The number of woman participated in discussion of resettlement site selection; Participation in commercial enterprises; and 52 Type Indicator Examples of Variables Participation in community decision-making Changes to Status of School attendance rates (male/female); and Children Participation in plant construction. Settlement, Growth in number and size of settlements; Community and Growth in market areas; Population Influx of new settlers, including those with and without land rights; Changes in economic activities and income-generation opportunities; and Changes in social, cultural and community conditions. 53 IX. BUDGET AND FINANCIAL SCHEDULE 116. Total compensation and assistance cost or impacts caused by Son Tay Hydropower project construction is 5,390,925,721 VND (equal to 256,711 USD), including (i) compensation and assistance, (ii) implementation management cost of 2%. It is noticed that the cost for the disadvantaged areas should be higher, so the actual cost in implementation will be higher (iii) contingency cost 10%, (iv) independednt monitoring cost, (v) cost for replacement price survey. 117. Total cost above does not include include (i) extra assistance for vulnerable households, (ii) funds for implementation of the propaganda campaign to enhance life skills, because this cost will be in ethnic minorities development plans. All cost for the implementation of the resettlement plan will be paid by Quang Ngai Sovico Company. Table X-1 describes the details of the compensation cost for the impacts from the project. Table IX-1 Summary of resettlement costs Items Unit Quantity Unit price Amount (VNĐ) (VNĐ) Compensation cost for AHHs 3.356.231.500 2 Land for rice m 13367 253.976.800 cultivation 19000 2 Forest land for m 6000 181094.8 1.086.568.800 production Land for perennial m2 19000 102,596.1 1.949.325.900 crops and trees Residential land m2 160000 400.0 64.000.000 Garden land m2 80000 29.5 2.360.000 Compensation for crops and 1.112.694.221 trees Son Dung 67.247.762 Son Mua 58.275.000 Son Tan 987.171.460 Total compensation cost 4.468.925.721 Assistance items 922.000.000 Stablize lives and household 131 5.000.000 660.000.000 jobs Timly allocation household 131 2.000.000 262.000.000 award TOTAL RESETTLEMENT 5.390.925.721 COST ( TEMPORARILY CALCULATED) 54