Resettlement, Livelihoods and Ethnic Minorities Development Program (rldp) Final version – March 2010 Annexes Annexes


Annex 2. Main Project Resettlement Plan



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Annex 2. Main Project Resettlement Plan

2.1. Resettlement Policy Framework


The resettlement policy framework is a stand-alone document signed by the Prime Minister of Vietnam and the World Bank. This annex provides the full version of this document for easy reference.

SECTION 1. INTRODUCTION TO PROJECT


  1. The Trung Son Hydropower Project (hereinafter referred to as Trung Son HPP) will be constructed on the Ma River, primarily in the vicinity of Thanh Hoa province, with installed capacity of 260 MW and an expected annual generation of 1055.3 million KWH. The project is intended to supply energy both to the regional power system and the Vietnam national grid. It also is expected to contribute to flood protection in the downstream area of Ma River, and to provide water storage for use in irrigation areas during the annual dry season.

  2. The project will construct a dam to create a reservoir with a full supply level (FSL) of 160 meters elevation, along with ancillary works (eg. access road, transmission line…). The reservoir and the construction site will cause land acquisition expected to total 1538.95 hectares of land in six communes in three districts, namely Quan Hoa and Muong Lat in Thanh Hoa Province and Moc Chau in Son La Province. According to preliminary studies conducted in 2005, an estimated 432 households will need to be relocated because of construction works or submergence. An additional 40 households are expected to be relocated because creation of the reservoir would otherwise leave them isolated. An estimated total of 75 households also will be affected by loss of productive land. The area of crop cultivated land area to be submerged is estimated at 309 hectares. Land acquisition, household relocation, and provision of compensation and other resettlement assistance is expected to begin in 2009 and continue until the end of 2011.

  3. The Central Party and Government of Vietnam have both shown a strong interest in ensuring fair and effective treatment of persons required to resettle, or who are otherwise affected by land acquisition for public investment projects. In recent years, Electricity Vietnam (EVN) has paid increasing attention to restoring or improving the lives and livelihoods of those displaced by hydropower project construction.

  4. For domestically funded public investment projects, policies and principles regarding land acquisition, compensation, and other resettlement arrangements have been established by the Government on the basis of Decree 197/2004/ND-CP (dated 03/12/2004) on Compensation, Allowances and Resettlement in Case of Land Acquisition by the Government, and on the basis of Decree 84/2007/ND-CP (dated 25/05/2007) on Supplementary Regulations on Giving Land Use Certificate, Land Acquisition, Implementation of Land Use Right and How to Deal in Case of Claims, Appealing on Land.

  5. Trung Son HPP also will involve financial support from the World Bank, meaning that land acquisition and resettlement principles and procedures must meet the requirements of both World Bank OP 4.12 on Involuntary Resettlement and Vietnam’s regulations. Where there are discrepancies, the World Bank OP4.12 will be referred to. The fundamental objective of this policy, as with Government of Vietnam policy, is to ensure that those affected by Bank-supported projects are fully compensated for lost land or other assets, and are provided sufficient opportunity to improve, or at least restore, their incomes and living standards.

  6. This document constitutes a Resettlement Policy Framework (RPF) for Trung Son HPP. It establishes the principles, objectives, and definitions to be used in resettlement planning and implementation. It defines affected persons and establishes eligibility criteria for compensation or other forms of assistance, describes the legal and institutional framework, establishes modes of asset valuation and compensation payment, arrangements for consultation and participation, and procedures for pursuing grievances. This framework is based on both domestic regulations and World Bank OP 4.12.

  7. Following acceptance by the World Bank and relevant Government of Vietnam officials, this RPF shall be stipulated as guidance for the detailed planning and implementation of the Trung Son HPP land acquisition, resettlement and rehabilitation program. The RPF applies to all aspects of the Trung Son HPP, including impacts associated with dam construction area, reservoir impoundment, area for resettlement activities and upstream or downstream impacts associated with loss of access to land or other resources. (Separate Resettlement Plans have been prepared to cover land acquisition and resettlement activities associated with construction of an access road to the Trung Son HPP construction area and an MV line.)

SECTION 2. PRINCIPLES AND OBJECTIVES


A. Definitions

  1. Displaced persons, households, communities and institutions (hereinafter referred to as DPs) refer to those persons, households, communities and institutions defined as affected by loosing in full or in part of land, residence, or other assets or resources, as a result of Trung Son HPP, resulting in:

  1. Relocation or loss of shelter;

  2. Loss of assets or access to assets; or

  3. Loss of income sources or means of livelihood, whether or not the affected persons must move to another location; and

  4. The involuntary restriction of access to natural resources resulting in adverse impacts on livelihoods.

  1. The term “replacement cost”1 refers to the method of valuation of land and assets yielding an amount of compensation sufficient for actual asset replacement, including applicable transaction costs. Accordingly, compensation at replacement cost does not allow for depreciation for age or wear, and is to be paid to the DP without deduction for taxes, fees or any other purpose. The established replacement cost shall be approved by the authorized agency before the compensation payment is made to DPs.

B. Policy and Planning Principles

  1. The principles outlined in World Bank OP 4.12 and Vietnam’s regulations have been adopted in preparing this Policy Framework. In this regard the following principles and objectives apply:

  1. Acquisition of land and other assets, and resettlement of people will be minimized as much as possible.

  2. When avoidance of land acquisition or displacement is not possible, resettlement-related activities will be conceived and executed as development opportunities, to enable DP to share in project benefits.

  3. Before land or other assets are acquired, Trung Son HPP will provide compensation at replacement cost, and will otherwise provide assistance necessary to give DPs sufficient opportunity to improve, or at least restore, incomes and living standards.

  4. All DP residing, working, doing business or cultivating land in the project areas including dam construction area, reservoir impoundment, area for resettlement activities and upstream or downstream affected areas as of the date of the baseline surveys are entitled to be provided with rehabilitation measures sufficient to assist them to improve or at least maintain their pre-project living standards, income earning capacity and production levels. Lack of legal rights to the assets lost (excluding assets that are under investigation of being stolen as regulated under the laws of Vietnam) will not bar the DP from entitlement to such rehabilitation measures.

  5. The rehabilitation measures to be provided are: (i) compensation at replacement cost, without deduction for depreciation or salvage materials for houses and other structures; (ii) agricultural land for land of equal productive capacity acceptable to the DP or in cash at replacement cost according to DP’s choice ; (iii) replacement of residential/premise land of equal size acceptable to the DP or in cash at replacement cost according to DP’s choice; and (iv) transfer and subsistence allowances; (v) any other measures as may be necessary to enable the DP to improve their living standards and earning capacity, or at least maintain them at their pre-project levels. DP will receive one or more than one or all of the above-mentioned rehabilitation measures depending on their losses.

  6. Replacement residential and agricultural land will be as nearby as possible to the land that was lost, and acceptable to the DP.

  7. The resettlement transition period will be minimized and the rehabilitation means will be provided to the DP's prior to the expected start-up date of works in the respective project sites.

  8. Plans for acquisition of land and other assets and provision of rehabilitation measures will be carried out in consultation with the DP, to ensure minimal disturbance. Entitlements will be provided to DP prior to expected start-up of works at the respective project site.

  9. The previous level of public infrastructure, community services and resources will be maintained or improved.

  10. Financial and physical resources for resettlement and rehabilitation will be made available and as where and when required.

  11. Institutional arrangements will ensure effective and timely design, planning, consultation and implementation of RPs.

  12. Effective and timely supervision, monitoring and evaluation of the implementation of RPs will be carried out.

  13. The compensation and allowances in kind or in cash specified in this RPF will be provided to DP only once for each entitlement and cannot be paid more than once. Payments may be made in instalments aligned to the implementation schedule, if appropriate, and will be specified in RP.

SECTION 3. LEGAL AND INSTITUTIONAL FRAMEWORK


A. Legal Framework

  1. This section reviews the legal framework and policies of the Government of Vietnam and IDA policies related to land acquisition, compensation and resettlement. It then compares the two approaches. Since there are differences between the WB’s policy and the Vietnamese’s, the project requires a waiver of the Vietnamese Government articles of decrees and regulations concerning compensation and resettlement. Subsequently, compensation and resettlement plans will be developed and implemented according to this RPF.

  2. The Legal Framework of the Government of Vietnam: The key national laws, regulations and decrees governing land acquisition, compensation and resettlement in Vietnam include:

  1. The Constitution of Vietnam, 1992 confirms the right of citizens to own a house and to protect the ownership of the house.

  2. The Land Law 2003, no. 13/2003/QH11, issued on November 26, 2003.

  3. Law of Construction 16/2003/QH 11, dated December 1, 2003.

  4. Decree 181/2004/ND-CP of the Government of Vietnam issued on October 29, 2004 guiding the implementation of the Land Law.

  5. Decree 197/2004/ND-CP issued on December 3, 2004 on compensation, support and resettlement when land is recovered by the State.

  6. Circular 116/2004/TT-BTC issued on December 7, 2004 guiding the implementation of Decree 197/2004/ND-CP of December 3, 2004 on compensation, support and resettlement when land is recovered by the State.

  7. Decree 188/2004/ND-CP of the Government of Vietnam issued on November 16, 2004 on methods to determine land prices and assorted land price brackets.

  8. Circular 114/2004/TT-BTC issued by November 26, 2004 guiding the implementation of the Government’s decree No 188/2004/ND-CP.

  9. Decree 17/2006/ND-CP dated January 27, 2006 on revision and supplementation of some regulations in decrees guiding the implementation of the Land Law.

  10. Circular 69/2006/RR-BTC dated August 2, 2006 on revision and supplementation of Circular 116/2004/TT-BTC issued on December 7, 2004 guiding the implementation of Decree 197/2004/ND-CP of December 3, 2004 on compensation, support and resettlement when land is recovered by the State.

  11. Decree 84/2007/ND-CP of the Government of Vietnam dated May 25th 2007 on revision of issuing LURC, land acquisition, implementation of land use right, procedure for compensation, resettlement when land acquired by State and grievance redress.

  12. Decree 123/2007/ND-CP dated July 27, 2007 on revision and supplementation of some regulations in decree 188/2004/ND-CP of November 16, 2004 on methods to determine land prices and assorted land price brackets.

  1. Other regulations or administrative decisions with bearing on Trung Son HPP resettlement planning and implementation include:

  1. Decision No. 02/2007/QD-TTg by the Government Prime Minister dated 09/01/2007 on the issuing of policy framework on compensation, allowances and resettlement of Son La Hydropower Project.

  2. Temporary policy framework on compensation, allowance, and resettlement of Ban Ve Hydropower Project promulgated pursuant to Official Letter No. 1174/CV-NLDK by the Ministry of Industry on 16/03/2004.

  3. Policy framework on compensation, allowance, and resettlement for the Cua Dat Reservoir Project.

  4. Decision No. 12/2007/QD-UBND dated 08/05/2007 by the Son La PPP stipulating details for implementation of compensation, allowance and resettlement process for Son La Hydropower Project.

  5. Relevant decisions of PPC Thanh Hoa and Son La on compensation unit prices for lost assets and resettlement in these two provinces.

B. Comparison between Government of Vietnam and World Bank Approaches

  1. There are a number of ways in which the approaches of the Vietnam Government – either in policy or practice – are compatible with World Bank guidelines. The most important compatibilities are:

    1. On the issue of land tenure and the legal right to compensation, the Government and World Bank approaches are compatible. Vietnam has a process whereby people without legal land rights may meet conditions of legalization and receive compensation for losses up to a rate equal to 100% of land price minus the taxes and fee for land use right registration from 15 October 1993 (Article 42, 49 and 50 of 2003 Land Law)

    2. Permanent residents are provided with options that include relocation to an improved site, or cash, or a combination of the two

    3. Resettlement sites offer not only better improved infrastructure and services but represent a higher standard of living

    4. Allowances are provided to help the DPs in the transition period and there is an institutional structure through which people are informed, can negotiate compensation, and can appeal.

    5. Compensation at replacement cost is ensured in Article 6 of Decree 197/2004/ND-CP dated December 3rd, 2004 that “…people who have land being acquired shall be compensated with land of similar land use purpose. If there is no land for compensation, cash compensation equal to land use rights value at the time of land acquisition shall be applied. If there is many differences in value, in case of compensation by new land or house, such difference shall be settled in cash” and Article 19 in the same Decree states that “…house and structure of domestic use of household or individual shall be compensated with the value of construction of new house, structures of similar technical standard”.

  2. Differences between the approaches and measures that need to be addressed also exist. However, in this context, procedures exist within national and province governments that allow the granting of waivers of domestic law on specific projects that may be in conflict with that of the funding agency.

  3. In cases where Vietnamese laws, regulations or administrative procedures are not consistent with the requirements of World Bank OP 4.12, the Government of Vietnam has agreed to meet Bank policy requirements. It is the responsibility of the investment owner of Trung Son HPP to obtain any necessary waivers.

C. Eligibility Criteria and Cut-Off Date

Eligibility

  1. The fundamental objective of this RPF is to ensure that all DPs are fully compensated for lost assets, and receive sufficient opportunity to improve, or at least restore, their incomes and living standards. To achieve this objective, lack of legal title should not be a barrier to compensation or alternative forms of assistance. In Trung Son HPP, those eligible for compensation and/or assistances include: (a) those who have formal legal rights to land or other assets; (b) those who initially do not have formal legal rights to land or other assets but have a claim to legal rights based upon the laws of Vietnam and are certified by the commune’s People’s Committee (PC); and (c) those who do not belong to (a) and (b) above but are certified by the commune’s PC that they have been using the land and assets on land before the cut off date.

  2. DPs covered under (a) and (b) are provided compensation at replacement cost for the land (and any other assets) they lose, and other assistance. Persons covered under (c) are provided resettlement assistance (in cash or other forms) in lieu of formal compensation for the land they occupy, and other assistance, as necessary, to achieve the objectives set out in this RPF.

Cut-off-date

  1. To prevent opportunistic encroachment to obtain eligibility for compensation or assistance, an eligibility cut-off date has been established, being December 10, 2008, 60 days from the date that the investment owner approves the investment project. During these 60 days, the investment owner shall inform the PPCs of the inventories of DPs and their losses. Persons who encroach on the areas after the established cut-off date are not entitled to compensation or any other form of resettlement assistance. If cases arise in which persons claim they were inappropriately excluded from the census or inventory, the relevant District and Commune People’s Committees can establish their eligibility for compensation or assistance by asserting that the persons were occupying or using land or other assets prior to the cut-off date.

New households after the cut-off-date

  1. Those households splitting from the large families after the cut-off-date who meet the following conditions will be eligible for resettlement benefits as stand-alone households:

    1. Households splitting from a family with minimum of two couples and having minimum of six persons; and

    2. are allowed by the District authority, with verification of commune’s PC, to have household split.

D. Institutional Framework

  1. The responsibility for preparing and implementing the Trung Son HPP RPF and subsequent Resettlement Plan (RP) is established as follows:

Trung Son HPMB

  1. The overall responsibility for devising, gaining requisite approvals for, and implementing the RPF and the RP rests with the Trung Son Hydropower Project Management Board (Trung Son HPMB).

  2. Trung Son HPMB shall establish a compensation and resettlement department responsible for reporting to Trung Son HPMB about the current status of resettlement planning and implementation, coordinating with local authorities responsible for various aspects of resettlement implementation, conducting internal monitoring of resettlement implementation, and cooperating as necessary to handle contingencies or resolve disputes or grievances that may occur.

  3. Trung Son HPMB will cooperate and coordinate its planning and implementation of compensation, assistance and resettlement activities as necessary with provincial, district and commune authorities in Thanh Hoa and Son La provinces. Such coordination will be essential in carrying out census and survey activities, for inventorying lost assets, for determining the adequacy of compensation and allowances, for monitoring implementation effectiveness, and for responding to any DP grievances that may arise.

  4. Responsibility for ensuring adequate flow of funds for compensation and to otherwise meet requirements, including contingency arrangements, specified in the RP rests with Trung Son HPMB.

Committee on Compensation, Allowances and Resettlement

The Provincial People’s Committee in Thanh Hoa and Son La provinces will establish for each district within the project impact area a Committee on Compensation, Allowances and Resettlement. In each district, this committee will:



  1. Ensure that commune officials and DP are fully informed regarding the contents of this framework, and entitlements and activities included in the RP.

  2. Certifying the DP census and the inventory of lost land, structures and other assets.

  3. Upon receipt of funding from Trung Son HPMB, making full and timely payment of compensation and allowances to DP, in accordance with RP requirements and purposes.

  4. Facilitating relocation of PAH and assisting DP with their efforts to restore incomes and living standards.

  5. Participate as needed in ensuring the effective operation of grievance procedures

People’s Committees of different levels

Provincial PC

  1. To provide guidance to ensure that public disclosure of information on the project and its policy on compensation, allowances and resettlement and implement the land acquisition activities is carried out as required.

  2. To direct the relevant agencies and District People’s Committee to develop the compensation, allowances and resettlement plan as authorized

  3. To approve or assign district-level People’s Committees to approve the compensation, allowances and resettlement plan.

  4. To direct the relevant agencies to settle citizens’ complaints, denunciations related to compensation, allowances and resettlement according to their law-prescribed competence.

  5. To direct the examination and handling of violations in the compensation, allowances and resettlement domain

District PC

    1. To establish the District Committee for Compensation, Allowance and Resettlement chaired by the district PC’s chairman or vice-chairman.

    2. To ensure that public disclosure of information on the project and its policy on compensation, allowances and resettlement is carried out as required.

    3. To guide the District Committee for Compensation, Assistances and Resettlement and to coordinate with other related agencies to implement the RP

    4. To coordinate with relevant agencies and the project implementing agency to implement the project

    5. To settle citizens’ complaints related to compensation, allowances and resettlement according to their law-prescribed competence.

    6. To cooperate with other relevant agencies in the implementation of the land acquisition and resettlement activities, including also the verification of the eligibility for compensation, allowances and resettlement of DP after the cut-off-date.

Commune PC

  1. To organize community consultation and information disclosure on the project and its policy on compensation, allowances and resettlement to DPs and their communities.

  2. To cooperate with the Committee for Compensation, Assistances and Resettlement to carry out the inventory of DPs and their affected land and other assets; and

  3. To cooperate with Trung Son HPMB and the Committee for Compensation, Assistances and Resettlement to implement the RP and site clearance, including also the verification of the eligibility for compensation, allowances and resettlement of DP after the cut-off-date

  4. To settle citizens’ complaints related to compensation, allowances and resettlement according to their law-prescribed competence.

SECTION 4. PREPARATION OF RP


  1. An RP will be prepared for Trung Son HPP in accordance with the provisions of this RPF, and submitted to the World Bank for its clearance and to Vietnam’s authorized agency for its approval.

  2. Elements to be covered in the Trung Son HPP RP will include:

  1. Description of the project and identification of affected project areas

  2. Identification of the project components or activities that give rise to resettlement; the zone of impact of such component or activities; the alternatives considered to avoid or minimize resettlement; and the mechanisms established to minimize resettlement, to the extent possible, during project implementation

  3. Objectives of RP

  4. Socioeconomic studies: baseline information (DP characteristics, economic and cultural conditions, existing incomes and use of natural resources, and information necessary for incorporation of an Ethnic Minorities Development Plan into the Trung Son RP.

  5. Census/survey results: identification and enumeration of all DP, and identification and inventories of all lost land, structures and other assets (including temporary impacts) through a 100% census and survey. The census and inventory should cover but not limited to the follwings:

    1. all types of DPs

    2. number and names of DP in each PAH;

    3. number, type, and area of the houses or other structures lost;

    4. number and area of all the residential plots lost;

    5. number, category and area of agricultural land lost;

    6. quantity and types of crops and trees lost;

    7. businesses lost including structures, land and other fixed assets;

    8. productive assets lost as a percentage of total productive assets;

    9. quantity and category of other fixed assets affected; and

    10. temporary damage to productive assets.

  6. Legal and Institutional framework

  7. Eligibility criteria for compensation and all other forms of assistance

  8. Valuation of and compensation for losses, in kind or in cash, at replacement cost

  9. Site selection (including environmental assessment of proposed sites), site preparation, and relocation

  10. Replacement or restoration of public infrastructure and social services

  11. Detailed arrangements for livelihood improvement (or restoration)

  12. Identification of vulnerable PAH, and full description of planning measures for which they are eligible

  13. Consultation and participation arrangements, including mechanism for grievance redressal

  14. A detailed implementation schedule, corresponding as appropriate to the timetable for construction of civil works

  15. Costs and budget, identifying all unit rates for compensation, and including contingencies for price escalation and unanticipated expenses

  16. Arrangements for internal and external monitoring

  17. Entitlement Matrix, listing by column all categories of adverse impact including categories of land or other assets lost, eligibility criteria, and entitlements (specified by unit rate, allowance amount, or other measure) for each category

  1. The draft RP will be publicly disclosed by the Bank after it is submitted. The Trung Son HPMB also will disclose the draft RP directly to affected communities in both Thanh Hoa and Son La provinces, in a place and manner accessible to them. Following finalization of the RP, both the Bank and Trung Son HPMB again disclose the final document in a similar manner.

  2. The draft RP will be furnished to the World Bank for consideration no later than six months prior to the proposed date for actual initiation of the works under the project. Land acquisition will only commence after the World Bank has found the RP to be acceptable, and payment of compensation for land, structures or other lost assets should be made prior to land acquisition, or imposition of other adverse impacts.

SECTION 5. ENTITLEMENT POLICY


  1. DP will be entitled to the following types of compensation and/or rehabilitation and assistance measures:

  1. DP losing agricultural/productive land and crops

  1. The principle of “land for land” compensation is prioritized. However, if the land availability in the locality doesn’t allow compensation by land for the full lost area of equal productive capacity, DP will be compensated with the land not less than the minimum standard which is necessary to remain their sustainable livelihoods, set in Annex 1, the difference will be paid in cash at the replacement cost.

  2. If DP partially looses agriculture land and the remaining holding is less than the minimum standard set in Annex 1 but still meets the conditions for continuing cultivation, then the project will supplemently allocate land to ensure the total land holding of the DP is not less than the minimum standard. If the remaining holding doesn’t meet the condition for continuing cultivation, the project will acquire the entire landholding and provide "land for land" arrangements of equal productive capacity, satisfactory to the DP. However, if the DP prefers to receive cash instead of land, then cash compensation at replacement cost is applied.

  3. if the portion of the land to be lost represents 10% or less of the total area of the landholding, and the remaining land is still a viable economic holding, cash compensation, at full replacement cost for the acquired area may be provided to the DP;

  4. if the portion of the land to be lost presents more than 10% of the total area of the landholding and the remaining is not smaller than the minimum standard for agricultural land set in Annex 1, DP will be compensated for the lost area either by cash at replacement cost or by land of equal productive capacity satisfactory to DP, at DP’s choice;

  5. Where compensation is made in the form of assignment of new land priced lower than the price of the recovered land, apart from being assigned new land, DPs who have land recovered shall also receive monetary compensation equal to the difference value; where compensation is made in the form of assignment of new land priced higher than the price of the recovered land, DPs shall not have to pay for the difference.

  6. For the relocating households who do not loose agriculture land but the land area they are using is smaller than the minimum standard set in Annex 1 will be supplemented for the difference to help ensure their livelihoods improvements.

  7. For agricultural land lying intermixedly with residential areas, and garden and pond land lying adjacent to residential areas, apart from compensation at the price of agricultural land having the same use purpose, monetary supports are also provided; the prices for calculation of supports shall be equal to between 20% and 50% of the prices of adjacent residential land; the specific support levels shall be decided by the provincial People's Committees to suit the local realities.

  8. For households, individuals currently using land assigned by State owned agricultural or forestry farms on a contractual basis for use for agricultural, forestry, aquaculture purposes (excluding land under special use forests and protected forests), if their land is recovered, they shall receive compensation only for remaining expenses invested in land, but not for the land, and will be supported according to the following provisions:

(a) Supports for households, individuals that receive land on a contractual basis and are public employees or workers of State owned agricultural or forestry farms, who are working or have retired, have stopped working for loss of working capacity or have quit their jobs and enjoyed allowances and are directly engaged in agricultural production or forestry; households, individuals that receive land on a contractual basis and are directly engaged in agricultural production as their major source of livelihood. The highest level of monetary support shall be equal to the price of land to be compensated, calculated on the basis of the actually recovered land area which shall, however, not exceed the local agricultural land assignment limits; the provincial level People's Committees shall decide on the specific support levels to suit the local realities.

(b) Where households, individuals receive land on a contractual basis but are other than the subjects specified at (a) above, they shall only receive compensation for remaining expenses invested in land.



  1. Where the recovered land is agricultural land belonging to the public land fund of a commune, ward or township, compensation shall not be paid for such land but the renters of such land shall receive compensation for remaining expenses invested in land.

  2. DP will be compensated for the loss of standing crops at market price, productive trees will be compensated at replacement cost.

  3. DP whose land is temporarily taken by the works under the project will be compensated for their loss of income, standing crops and for the cost of soil restoration and damaged infrastructure. Land will be rehabilitated after the project construction by the Trung Son HPMB.

  1. DP losing residential land and house/structure

  1. The principle for compensating loss of residential land and structures will be: (1) the provision of replacement residential land (house site and garden) of equivalent size, or cash compensation at replacement cost according to DPs’ choice; and (2) cash compensation reflecting full replacement cost of the house/structures, without deduction for depreciation or salvage materials or compensate in kind (house and structure of the same or higher use value), according to DPs’ options.

  2. If residential land is only partially being affected by the project and the remaining areas are not sufficient for reorganizing DP house as specified in Annex 1, then at the request of the DP, the entire residential land will be acquired and DP will be compensated with either new residential land of equal size or cash at full replacement cost or a combination of both forms.

  3. If house/other structure is only partially being affected by the project and the remaining areas are not convenient to using, the house/ structure will be acquired and DP will be compensated either by in-kind or cash at full replacement cost, without depreciation or a combination of both forms.

  4. For the resettlement sites: the project ensures that selection of the resettlement sites complies with DP’s preference. If the residential land area in DP’s selected sites does not allow full replacement in term of area according to ‘land for land’ compensation principle, DP will be compensated with land (house site and garden) not less than the minimum standard for residential land set in Annex 1. If the new land is of lower value than the current one, DP will be compensated in cash at replacement cost for the difference. If the new land is of higher value than the current land, DP will not have to pay for the difference.



  1. For the house/structure:

          1. If DP chooses the house/structure built by the project (eg. in the resettlement sites) which is of lower value than their lost one, DP will be compensated for the difference. If the house/structure built by the project is of higher value than their lost one, DP will not have to pay for the difference.

          2. If DP wishes to receive compensation in cash to build their resettlement house/structure, the compensation amount will not be less than the cost for construction of house/structure with technical standard specified in Annex 1.

  1. Tenants, who have a lease contract for a house for residential purposes at the time of land acquisition and wishes to continue the lease for at least another 6 months, with a verification from local authorities, will be provided with a cash grant of six months rental fee at the prevailing market rate in the area and will be assisted in identifying alternative accommodation.

  1. DP losing business

  1. The mechanism for compensating loss of business will be: (1) the provision of alternative business site of equal size and accessibility to customers, satisfactory to the DP; (2) cash compensation for lost business structure reflecting full replacement cost of the structures, without depreciation; and (3) cash compensation for the loss of income during the transition period. The amount will be specified in the RP.

  1. DP will also be provided compensation at full replacement cost, without deduction for depreciation and salvage materials for any other fixed assets affected in part or in total by the project.

  1. In cases where community infrastructure such as schools, factories, water sources, roads, sewage systems is damaged and the community wishes to reuse them, the project will ensure that these would be restored or repaired as the case may be, at no cost to the community. Provision of infrastructures in the resettlement sites ensures better access for DP than their current location.

  2. The host communes will be assisted to improve, extend or upgrade their public structures and infrastructures to accommodate the increased population. The assistance amount to be provided to host communes will not exceed VND30 mil./eligible relocating household. This fund will be transferred to the commune’s budget to be used on the upgrading, extension or rehabilitation of the public infrastructures. The management and usage of this fund will be detailed in RP.

SECTION 6. ALLOWANCES AND OTHER ASSISTANCE TO RELOCATING PAH


  1. Besides the direct compensation for lost assets, relocating PAH also will be entitled to additional allowances intended to meet transitional costs, including but not limited to the followings (all allowances will be defined in RP and will be adjusted for inflation and other raises in prices as necessary at the time of payment):

a) Transportation allowance

All relocating PAHs will receive a subsidy allowance for their transportation to the new location. The amount is VND3 million/household if household relocates within the province and VND5 million/household if they relocate to a different province. In special case when relocating PAHs have to wait for their resettlement houses to be completed which was not their fault, they are (i) to be provided with temporary residence or (ii) temporary rent cost.



b) Subsistence allowance

- All relocating PAH shall receive a cash allowance equal to 20 kg of rice per month per person for 24 months.

- Households who don’t have to relocate but loosing their production land will receive food allowance in cash for each legal member of the household for 18 months. Depending on the lost area, affected households will receive the followings:

+ 5kg of rice/person/month if they loose less than 10% of land holdings

+ 10kg of rice/person/month if they loose between 10% and less than 30% of land holdings

+ 15kg of rice/person/month if they loose between 30% and less than 50% of land holdings

+ 20kg of rice/person/month if they loose 50% or more of land holdings

c) Supplemental allowance for PAH relocating to self-selected resettlement site

All PAH choosing not to relocate to designated resettlement sites, in addition to the transportation allowance mentioned above, shall receive a supplemental allowance of VND1million if they remain within the province, or VND2million if they relocate to a different province for their administrative arrangements in the receiving location.



d) Health care allowance

All relocating PAH shall receive a one-time payment to meet any health-care expenses associated with resettlement. The amount is VND100,000/household.



e) Energy subsidy allowance

All relocating PAH shall receive VND10,000/person/month for six months to meet expenses for electricity or kerosene.



f) Educational allowance

Each school pupil within relocating PAH shall receive a one-time payment to buy textbooks at the price regulated by the state.



g) Supplemental allowance for households receiving allowance under State’s social policy

Relocating PAH with member(s) receing allowance under State’s social policy, single elderly, and people with disability shall receive a one-time payment of VND1million/per person.



h) Relocation bonus

A one-time bonus payment not to exceed VND5million will be awarded to relocating PAH who dismantle their houses and vacate their premises in accordance with the resettlement schedule.



i) Other allowances: In addition to the above-mentioned allowances, based on the real situation, the project may consider to provide relocating PAHs with other allowances to support DP’s stable life, cultural life, production and livelihoods.

SECTION 7. MEASURES FOR LIVELIHOOD IMPROVEMENT OR RESTORATION


  1. The objective of livelihood improvement (or restoration) often cannot be achieved solely through payment of compensation for lost assets and transitional allowances. Especially in hydropower projects, resettlement often imposes significant changes in DP livelihood patterns. While compensation might in principle be enough for asset replacement, there may not be comparable assets available for purchase in proximity to relocation sites. Households may be relocated to areas with unfamiliar terrain or different climate conditions, forcing them to adapt to different cropping patterns or productive technologies. They also may face unfamiliar market conditions, often losing their existing customer base. It also may be the case, however, that the new location may present new economic opportunities, but DPs may need special skills or attributes to benefit from them.

  2. For Trung Son HPP, the RP shall describe planning measures, in addition to payment of compensation and transitional allowances, to provide DP with sound opportunities to improve, or at least restore, their incomes. These measures may include provision of productive areas for a combination of agricultural, forestry, fisheries, animal husbandry, irrigation and off-farm activities, and are to be supported as necessary by training, extension services, or other inputs.

  3. In addition to such livelihood program activities, the RP will include the following entitlements:

Production Disruption Allowances

  1. Relocating households involved in agricultural, forestry and fishing production will receive a one-time allowance in cash or in kind, at DP’s preference, for their production inputs such as seedlings, breedings, fertilizers and pesticides for their cash crops, perennial trees and livestock production.

    1. Amount of allowance:

              • household with 1 person will receive 3mil.VND/household

              • household having more than 1 person then from the 2nd person each will receive additional 2mil.VND.

    2. Relocating household also will receive support as deemed necessary to avail themselves of training and extension services. The project, based on DP’s needs, will develop training programs on agriculture, forestry and fishery extension.

Supplemental Allowance for income diversification

  1. The project will reserve an amount equivalent to VND5mil per relocating household or a household loosing more than 10% of production land to implement a program to support these households in their effort to diversify their income by taking vocational trainings (on non-farm activities). Details for implementation of this program will be developed in RP.

Assistance to Disrupted Businesses

  1. For economic establishments, production and business households having business registration certificates:

  1. To compensate for loss of income, a support equal to 30% of 1-year income after tax at the average income of the previous 3 years is made.

  2. To provide a support equal to 70% of the basic salary for permanent labourers for economic establishments, production and households. The period to calculate support must not exceed 6 months.

  3. To provide compensation for the loss of business structures, production materials at full replacement costs of the structures, excluding depreciation.

  4. Where a business is relocated, a new one having equal area and customer access capacity should be provided to suit the displaced persons, or a cash compensation amount for the loss of area at the request of the DP should be made at the replacement price, added by support for transport expenses to relocate assets and production materials attached to the area.

  1. Unregistered business households shall receive a cash assistance allowance intended to make up for lost income. The assistance amount will be determined in the RP.

Support for improvement of access to resources

  1. DP having restricted or difficult access to production resources as a result of the project will be supported. Assistance measures will be considered and implemented on a case by case basis.

SECTION 8. SITE SELECTION, PREPARATION, AND RELOCATION


  1. PAH relocating because of Trung Son HPP may choose to find their own resettlement site, or to move to resettlement sites for which they participate to plan and implement.

  2. For resettlement sites prepared by the project, the RP shall provide details on the following:

        1. Institutional and technical arrangements for identifying and preparing relocation sites, for which a combination of productive potential, location advantages, and other factors is at least comparable to the advantages of the old sites, with an estimate of the time needed to acquire and transfer land and ancillary resources;

        2. Arrangements for timely payment of compensation for lost housing at replacement cost, providing sufficient time and money for relocating PAH to construct replacement housing consistent with prior living conditions and cultural preferences, and suitable for the size of household, with the house area being not smaller than the standard set in Annex 1.

        3. Arrangements for provision of suitable housing for vulnerable households indicating that they are unable, or do not desire, to construct their own replacement housing.

        4. Provision of prepared house plot and residential area (house site and garden) for each relocating PAH;

        5. Results of consultations with relocating PAH, indicating their general acceptance of proposed relocation sites, and describing measures taken to alleviate any PAH concerns;

        6. Any measures necessary to prevent land speculation or influx of ineligible persons at the selected sites;

        7. Arrangements for physical relocation under the project, including timetables for site preparation and transfer;

        8. Legal arrangements for issuing or recognizing land use right certificate and assets on land for resettlers for the remaining land after land acquisition or new land assignment;

        9. Arrangements for replacement of infrastructure and social services, if community wishes to reuse them: plans to replace, in the sites selected by communities, the lost structures and infrastructures (e.g., water supply, feeder roads, community facilities…), and lost social services (e.g., schools, health services…) to ensure the replaced structures, infrastructures and social services are better than the lost ones, or to consider to compensate for these losses in cash if DP community wishes to restore these public infrastructures and services themselves.

        10. Similar plans for infrastructures and social services provision in the host communities, and development work necessary for the resettlement areas.

        11. A description of the boundaries of the relocation area; and an assessment of the environmental impacts of the proposed resettlement and measures to mitigate and manage these impacts (coordinated as appropriate with the environmental assessment of the main investment requiring the resettlement).

SECTION 9. GRIEVANCE PROCEDURES


  1. Complaints and grievances related to any aspect of RP implementation will be handled in compliance with the current regulations of Vietnam, with procedures specified as follows:

First step: If any person is aggrieved by any aspect of the resettlement and rehabilitation program, he/she can lodge an oral or written grievance with commune authorities. Commune People’s Committee (CPC) will resolve the issue within fifteen days from the date it receive the complaint.

Second step: If any aggrieved person is not satisfied with the decision in stage 1, he/she can bring the complaint to the District People’s Committee (DPC) or District Committee for Compensation, Assistances and Resettlement (DCCR) within fifteen days from the date of the receipt of the decision in stage 1. The DPC or DCCR will reach a decision on the complaint within fifteen days.

Third step: If the aggrieved person is still not satisfied with the decision at district level, he/she can appeal to the Provincial People’s Committee (PCC) within 45 days of receiving the decision of the DPC or DCCR. The Provincial People’s Committee (PPC) will reach a decision on the complaint within the timing regulated by the Vietnam’s law.

Fourth step: If the DP is not satisfied with the decision of the Provincial level, the case may be submitted for consideration by the District Court within 45 days of receiving the decision of the PPC. The District Court will reach a decision on the complaint within the timing regulated by the Vietnam’s law

Aggrieved DPs who are poor and are certified by the PPC of the commune registered by DPs will be exempted from administrative or legal fees associated with pursuit of grievances.


SECTION 10. INTERNAL AND EXTERNAL MONITORING


  1. Implementation of the RP will be periodically monitored both by the Trung Son HPMB (e.g., internal monitoring) and by an agency wholly independent of project management (e.g., external monitoring). Internal monitoring is for use by Trung Son HPMB. External monitoring reports will be submitted twice a year to Trung Son HPMB and to the World Bank.

Internal Monitoring

  1. Internal monitoring is intended to:

  1. Verify that the baseline information of all DPs has been carried out and that the valuation of assets lost or damaged, and the provision of compensation, resettlement and other rehabilitation entitlements has been carried out in accordance with the provisions of this RPF and the respective RP.

  2. Oversee that the RP is implemented as designed and approved.

  3. Verify that funds for implementing the RP are provided in a timely manner and in amounts sufficient for their purposes, and that such funds are used in accordance with the provisions of the RP.

  4. Record all grievances and their resolution and coordinate with the relevant parties to ensure that complaints are dealt with in a timely manner.

External Monitoring

  1. An independent agency or agencies or individual consultant will be retained by Trung Son HPMB to periodically carry out external monitoring. The external monitor will be academic or research institutions, non-Governmental Organizations (NGO) or independent consulting firms, all with qualified and experienced staff, operating under terms of reference acceptable to the World Bank.

  2. The general objective of the external monitor is to provide an independent periodic review and assessment of achievement of resettlement objectives, the changes in living standards and livelihoods, restoration of the economic and social base of the affected people, impact and sustainability of entitlements, and the need for further mitigation measures (if any).



  1. The main indicators of independent monitoring include:

  1. Full payment of compensation for land, housing and other assets to DPs prior to land acquisition.

  2. Adequacy of compensation in enabling DPs to replace affected assets.

  3. Provision of technical support for house construction to PAH who rebuild their structures on their remaining land, or build their own structures in new places as arranged by the project, or on newly assigned plots.

  4. Provision of income restoration support.

  5. Restoration of productive activities.

  6. Restoration or replacement of community infrastructure and services

  7. Operation and results of grievance procedures.

  8. Throughout the implementation process, household income trends will be observed and surveyed. Any potential problems in the restoration of living standards will be reported.

ANNEX 1. Policy Framework for Compensation, Resettlement and Rehabilitation for Project Affected People


  1. Rural residential land for relocating households

    1. Each relocating household moving to the resettlement sites will be assigned with a house site plot not smaller than 400m2. Depending on the availability of residential land in the resettlement sites, relocating households might be assigned with larger plot. The project will be responsible for ground leveling to ensure house construction as planned.

    2. Each ‘back and up’ relocating household will be assigned with a house site plot not smaller than 400m2. Depending on the availability of residential land in the resettlement sites, relocating households might be assigned with larger plot. The project will either do the ground leveling for DP or pay them so that they can do it themselves, at DP’s choice. If DP prefers to do the ground leveling DP has to comply with technical requirements as necessary for safety purpose as agreed in the project.

    3. Households not covered under (a) and (b) above will not be paid for the ground leveling cost.

  1. Housing

    1. To suit the culture and preference of the relocating DPs, DPs can choose to build the resettlement house themselves or request the project to do it for them.

    2. If DPs choose to build the resettlement house themselves, the following requirements must be met: (i) the area of the house shall not be smaller than the minimum standard specified in (c) below; (ii) the structure of the house must meet the safety requirements (wooden house, wooden house on stilts or concrete house) with tile or steel sheet roofing or equivalent; and (iii) hygiene and environment condition.

    3. Resettlement houses built by the project will follow the following specifications:

  1. Area per each legal member of the relocating PAH:

        • Single member PAH or PAH with 2 members: 25m2/household

        • PAHs with 3-5 members: 45m2/household

        • PAHs with 6 or more members: 65m2/household

        • Each PAH on average will be provided with 10m2 structure of kitchen and toilet

        • House design will allow an adjustment not exceeding 5% of the above norms

  1. Structures and architecture: the project will present a number of house samples including house on stilts and regular house (concrete house at grade 4) in accordance with the above-mentioned norms and with equivalent costs for DPs to choose to meet their culture and preference.

  2. In case DP wishes to build resettlement house which exceeds the above standards, DP will have to bear the additional costs.

  1. Production and Garden land

    1. The relocating households will be compensated with or assigned an agriculture production land area not less than 1,5ha/household and ensuring that the productivity or equivalance is not less than 20kg of rice/person/month. The standard for each location will be specified in RP, depending on the land availability and quality in each location.

  • Depending on the availability of land in planned resettlement sites, relocating households might be assigned with forest production land, grass land or water land for acquaculture production.

  • Priority will be considered for allocation of paddy rice land to ensure that the DPs will be able to afford enough food after the rice subsistence period as specified in the RPF.

  • Agriculture production land use plan will be specified in RP.

    1. Each relocating household will be assigned with garden land adjacent or not adjacent to their residential land with an area that the land availability in the locality allows, but not less than 300m2/household.

  1. Public structures in the resettlement sites

General principles:

    1. The project ensures that the replaced public infrastructures (power, feeder roads, inter-commune roads, schools, kindergartens, health clinics, clean water systems, sanitation systems, cultural house…) have equal or higher use value.

    2. Structure scale will consider the population at the resettlement sites, including the host and relocating communities.

    3. In case there are less than 30 resettling households in one resettlement site which is less than 1 km from the host community, the project will consider to invest in extending or upgrading the existing structures and infrastructures to meet the local demands. The scale, however, will not exceed the stipulated standards for the resettlement sites.

General regulations on construction:

Public houses of the resettlement sites will be built at grade 4 or equivalent with structure suitable to local natural condition and culture preference and meet the current construction regulations of Vietnam.



Some requirements for the public structures and infrastructures in the resettlement sites

  1. Infant school and kindergarten: Classes of infant school, kindergarten are intended to take care of children at day-time.

  2. Classes of primary grades:

  1. The number of classes of primary grade is calculated for children to learn all the day.

  2. In case school in the host location has enough classrooms for children of the relocating communities, the project will not build separate classrooms there but consider supporting some fund for the extension or upgrading of that school as necessary. This fund amount is equivalent to VND2mil./relocating household.

  1. Cultural House in the resettlement site

      • Resettlement sites with more than 30 PAHs will be constructed with one village’s cultural house, with scales as follows: from 30 to 60 PAHs: construction on an area of 60 m2; more than 60 PAHs it will be 100 m2.

      • The cultural house shall be constructed and facilitated with fence, flag pole, and public WC.

      • Electric system in the cultural house shall be installed under designed.

      • Depending on the local situation, each cultural house will be equipped as appropriate.

  1. Playing ground: In case of independent resettlement site which is not in the commune center which accommodates 30 and more households, if the land availability allows, a playing ground will be arranged. The playing ground will be invested only for ground preparation cost.

  2. Market place: The project will coordinate with People’s Committees of the districts and communes having the concentrated resettlement sites to arrange market places with with a suitable size and location prefered by DP communities. The project will pay for the ground preparation cost.



  1. Infrastructure construction

  1. Irrigation: Based on the production condition in the new locations, the project will either construct new irrigation schemes or upgrade the exsiting ones to effectively exploit the use of production land.

  2. Land reclaiming, fields preparation and in-field pathways:

  1. New production areas will be invested with land reclaiming and fields preparation as planned before being handed over to the resettling households for use.

  2. In-field pathway system will be planned and constructed in accordance with general production plan of the region.

  3. The project will consider supporting the DPs to do land reclaiming themselves

  1. Access road system: will be constructed in accordance with general planning on access road system in the region, as the followings:

  1. Inter-village roads or roads from outside to the resettlement sites will be constructed in conformity with the standard of rural road of grade A or equivalent

  2. Internal roads within the resettlement sites, roads connecting 2 resettlement sites shall be constructed according to standard B grade or equivalent for rural and mountainous access roads.

  3. Areas close to the reservoir having a need for waterway transportation will be considered for the construction of piers.

  1. Domestic water supply: The project ensures to provide enough clean water to the relocating households. Depending on the condition of each resettlement sites, the water supply options including concentrated water supply system, gravity system, drilled well or dug well will be choosen.

  2. Power supply for domestic demand: The project aims at providing electricity to each relocating household. In case of geographical difficulties, the project will cooperate with other related projects in the area or to find solutions to meet the demand on electricity of resettlers at least equal to the level of the existing locations if not better. The plan for power supply will be specified in RP.

  3. Water drainage and environment in resettlement site

  1. Surface drainage system shall be arranged taking into account the topographical conditions or combined with the domestic drainage system by means of open drainage system along the access road.

  2. Latrine, husbandry barn facilities shall be constructed in a way to meet the requirements for hygiene and environment in the resettlement sites.

  1. Graveyard: each resettlement site will be furnished with an area for graveyard (if any) in accordance with the local planning.

  1. Management and hand-over of the resettlement sites: all the public structures and infrastructures built under the project in the resettlement sites will be handed over to the local organizations or authority to manage and operate in accordance with the current regulations.



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