Socialist Republic of Vietnam Road Network Improvement Project · 2016-07-15 · Socialist Republic...

Socialist Republic of Vietnam Road Network Improvement Project

Resettlement Action Plan

(Umbrella Report)

Year 1 National Improvement Program Roads

Submitted by:

Ministry of Transportation Vietnam Road Administration Project Management Unit 18

Prepared with the Assistance of:

The Louis Berger Group, Inc.

Final

August 2004

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RP173 v1

Socialist Republic of Vietnam - Network Improvement Project

Resettlement Action Plan: Umbrella Report Prepared with the assistance of The Louis Berger Group, Inc.

Table of Contents Page List of Acronyms List of Tables List of Figures Executive Summary E-1 1. Introduction 1-1 1.1. Project Description 1-1 1.2. Project Area 1-1 1.3. Resettlement Issues 1-3 2. Project components and RAP scope 2-1 2.1. The Sub-Projects 2-1 2.2. The Sub-Projects Impacts 2-1 2.3. Scope of Resettlement Action Planning 2-1 3. Eligibility and Definitions 3-1 3.1. Definitions of Displaced Persons (DP) 3-1 3.2. Eligibility 3-1 3.3. Legal vs. Illegal DPs 3-1 4. Legal Framework 4-1 4.1. Policy Framework of GOV 4-1 4.2. World Bank Guidelines 4-1 4.2.1. Policy Objectives 4-1 4.2.2. Eligibility 4-2 4.3. Reconciliation of GOV and World Bank Policies 4-2 5. Compensation and Entitlement Policy 5-1 5.1. Objectives 5-1 5.2. Principles 5-1 5.3. Compensation Policy 5-3 5.3.1. DPs Losing Agricultural Land and Crops 5-3 5.3.1.1. DPs with Legal or Legalizable Rights of Land use 5-3 5.3.1.2. DPs without Legal or Legalizable Rights of Land use 5-4 5.3.2. DPs Losing Residential Land and Structures 5-4 5.3.2.1. DPs with Legal or Legalizable Rights of Land use 5-4 5.3.2.2. DPs without Legal or Legalizable Rights of Land use 5-5 5.2.3. DPs Losing Business 5-5 5.3.4. DPs Losing Fixed Assets 5-6 5.3.5. Other Compensation 5-6 5.4. Subsidy Allowances and Other Assistance 5-6 6. Institutional Arrangements 6-1 6.1. Main institutions and organizations 6-1 6.2. Demarcation of responsibilities 6-1 6.2.1. Ministry of Transport (MOT) 6-2 6.2.2. PMU-18 6-2 6.2.3. Quality Control and Management Bureau of MOT 6-3 6.2.4. Design and construction consulting companies 6-3 6.2.5. Provincial People’s Committee (PPC) 6-3 6.2.6. Provincial Compensation Committee (PCC) 6-3 6.2.7. District People’s Committee (DPC) 6-4 6.2.8. District Compensation Committee 6-4



6.2.9. Commune People’s Committee 6-4 6.2.10. Consultant for Technical Assistance to PMU-18 6-5 6.3. Release of funds for compensation payments 6-5 7. Public Participation and Consultation 7-1 7.1. Public Information Campaign and Consultation Process 7-1 7.1.1. Phase I: Consultation on Resettlement Planning and Preparation 7-1 7.1.1.1. Activity 1: Media campaign prior to DMS 7-1 7.1.1.2. Activity 2: Information dissemination by PMU-18 to PDOT 7-1 7.1.1.3. Activity 3: Information dissemination by PDOT and consultation with district and local authorities

7-2

7.1.1.4. Activity 4: Information dissemination and consultation with DPs 7-2 7.1.1.5. Activity 5: PMU-18 meetings with provincial, district and commune representatives

7-2

7.1.2. Phase II: Information Campaign and Consultation during Resettlement Implementation

7-3

7.1.2.1. Activity 1: Information dissemination and training 7-3 7.1.2.2. Activity 2: Public Meetings 7-3 7.1.2.3. Activity 3: Compensation Agreement 7-6 7.1.2.4. Activity 4: Providing DPs the Information on Compensation Payments 7-6 7.1.2.5. Activity 5: Public Meeting concerning Resettlement Site 7-6 7.1.2.6. Activity 6: Consultation with DPs to confirm their training preferences 7-7 7.1.2.7. Activity 7: Public meeting on lot distribution/allocation at resettlement site

7-7

7.1.2.8. Activity 8: Information/coordination to commune authorities, DPs and the general public about resettlement site construction

7-8

7.1.2.9. Activity 9: Information to the general public and the DPs on the schedule of relocation

7-8

7.1.2.10. Activity 10: Public meeting on resettlement issues 7-8 8. Grievances and Complaints Mechanism 8-1 8.1. Content of Grievances and Complaints 8-1 8.2. Timeframes and Procedures 8-1 9. Monitoring and Evaluation 9-1 9.1. Internal supervising and monitoring 9-1 9.2. External monitoring and evaluation 9-2 Annexes Annex 1 – Policy Framework for Compensation, Resettlement and Rehabilitation

of Displaced Persons

Annex 2 – DMS Questionnaire Annex 3 – Names of PDOT Officials Annex 4 – Terms of Reference for Social & Environmental Monitoring



List of Figures

Page Figure 1-1: Location of NIP Roads

1-1

Figure 2-1: Typical Cross-Section of the NIP 2-3

Figure 5-1: Entitlement Matrix

5-1

Figure 6-1: Institutional Arrangements

6-2

Figure 6-2: Disbursement of Compensation Funds

6-2



List of Tables

Page Table 1-1: Description of Project Improvement Road Sections

1-3

Table 2-1: Technical Design Specifications of NIP First-Year Roads

2-1

Table 4-1: Comparison of Government Policy with the World Bank’s OP 4.12 4-5



List of Acronyms

ACF Assets Compensation Forms ADB Asian Development Bank DCC District Compensation Committee DMS Detailed Measurement Survey DP Displaced Person DPC District People's Committee EA Environmental Assessment EMDP Ethnic Minority Development Plan EMP Environmental Management Plan GOV Government of Vietnam LURC Land Use Rights Certificate MOT Ministry of Transport NGO Non-governmental Organization NH National Highway NIP Network Improvement Project OP Operational Policy PC Public Consultation PCC Provincial Compensation Committee PDOT Provincial Department of Transport PID-1 Project Implementation Division 1 PMU-18 Project Management Unit No 18 PPC Provincial People's Committee RAP Resettlement Action Plan ROW Right-of-Way SA Social Assessment VND Vietnamese Dong


E-6 Resettlement Action Plan: Umbrella Report Prepared with assistance of The Louis Berger Group, Inc.

EXECUTIVE SUMMARY A. THE ROAD NETWORK IMPROVEMENT PROJECT The economic growth rate of Vietnam is one of the highest in Southeast Asia. Agriculture is the backbone to the economy, employing the majority of the country’s labor force, while certain industries, such as manufacturing, and the service sector also employ a large number of workers. Vietnam has made substantial gains in poverty reduction in recent decades, but poverty still remains high particularly in rural areas. One of the strategies of the Government of Vietnam (GOV) for reducing rural poverty is improving rural road infrastructure and connectivity with urban centers. The Network Improvement Project (NIP) aims to contribute to this strategy by improving rural road networks in Northern provinces in Vietnam. By doing so, the project expects to (i) reduce road transit times in selected rural areas in northern Vietnam; (ii) reduce vehicle-operating costs; (iii) improve overall road access to poor and isolated agricultural communities; and (iv) facilitate the delivery of goods from agricultural production centers to markets. The NIP will focus on the rehabilitation and strategic widening of approximately 635 kilometers of roadways over a three-year period. The GOV will finance the NIP through the lending facilities of international development institutions. For the sub-projects scheduled to be implemented in the first year, the Ministry of Transport (MOT) will apply for loan assistance from the World Bank. However, the MOT has to comply with certain requirements prior to World Bank appraisal of the sub-projects. Among them are compliance to World Bank guidelines for the Resettlement Action Plans (RAP) (i.e., current document) and the Policy Framework for Compensation, Resettlement and Rehabilitation of Displaced Persons (hereafter referred to as the Policy Framework). B. THE NIP SUB-PROJECTS The first year program of the NIP covers three national highways with a total length of 124.2 km. Their existing widths are varied with rough pavements and uneven edges. These sub-projects are as follows. (i) NH 37 spans two provinces with 26.7 km of road improvements planned for Bac

Giang and 23 km for Thai Nguyen. (ii) NH 47 is located in the province of Thanh Hoa. It is a part of the national

highway that leads to the Vietnamese border with Laos. The proposed upgrading shall cover 20.5 km, spanning two districts in the province.

(iii) NH 48 is located in Nghe An province. The road upgrading shall cover three

distinct sections, which are referred in this report as Sections 1, 2, and 3 and which have a road length of 8, 20, and 26 km, respectively.

The civil works on the three sub-project roads will include modifications on the current height and width of road embankments and repaving of road surfaces. C. SUB-PROJECT IMPACTS



All the three first-year sub-projects are anticipated to produce favorable impacts over the long-term that will promote economic development and an improvement in living standards in the sub-project areas. However, the sub-projects may also lead to some negative impacts, particularly during the construction period. The Detailed Measurement Surveys (DMS) conducted in the first two weeks of April 2003 indicated that there are 7,404 Displaced Households (DPs) within the Corridor of Impact of the first-year NIP roads. Extensive project-related documentation – including an Environmental Assessment (EA), Environmental Management Plan (EMP), Social Assessment (SA), and Ethnic Minority Development Plan (EMDP) – has been prepared to set out measures to mitigate negative socio-environmental impacts that potentially would result from NIP works. D. SCOPE OF RAP This RAP aims to ensure that all DPs are adequately compensated for any project-related acquisition or damage to private assets and that sufficient measures are taken to provide relocation services and economic rehabilitation assistance for the sub-project populations. This RAP follows the Policy Framework for the compensation and entitlement of DPs, which is based on existing Vietnamese laws and Work Bank policy, particularly OP No. 4.12. The ultimate goal of this RAP is that no DP is worse off because of the NIP. Determination of DP-level compensation and entitlements are based on the Policy Framework and particularly bear in mind the issues of Eligibility, Legal Framework, and Compensation and Entitlement Policy. E. ELIGIBILITY All persons whose houses and other structures; agricultural and residential land; businesses, occupation or place of work; crops and trees; and access to community resources are temporarily or permanently affected as a result of the NIP will be entitled to compensation and other rehabilitation measures outlined in the RAP. The cut off date for eligibility is the last day of the DMS for each sub-project.

F. LEGAL FRAMEWORK A series of GOV laws, decrees and regulations relating to resettlement, compensation and rehabilitation and the World Bank Operation Directive 4.12 with Annexes on “Involuntary Resettlement” are the guiding legal documents for the NIP. Discrepancies among them have been resolved in the Policy Framework. To comply with World Bank guidelines, GOV has agreed to waive Decree No. 172/1999/CP for DPs without legal or legalizable rights over affected assets; Articles 7, 8, 16, 17, 18 and 25 of Decree No. 22/1998/CP-ND; and Decree No. 87/1994/CP. G. COMPENSATION AND ENTITLEMENT POLICY Based on relevant laws of the GOV and Operating Policy (OP) No. 4.12 of the World Bank, a compensation and entitlement policy has been developed to guide PMU 18 in awarding compensation and other entitlements to DPs. The overall objective of the



compensation and entitlement policy is to restore DPs to pre-project living standards, income earning capacity and production levels. Compensation payments will be awarded at replacement cost. Land for land arrangements will be made unless replacement land is unavailable or at the informed request of the DP for cash payment. Different subsidy allowances and other forms of assistance are also available to different categories of DPs. Severely affected DPS will be entitled to food aid and/or training and income restoration programs run through the District Agricultural Extension Office and other relevant offices. H. INSTITUTIONAL ARRANGMENTS The MOT is the project investor for the NIP, while the Project Management Unit 18 (PMU-18) under MOT is responsible for project implementation. Compensation Committees will be established at provincial and district level to assist PMU-18 in all activities related to the RAPs. They will be supervised by the provincial and district People’s Committee, respectively, as well as PMU-18. At least 3 DP representatives from each commune, including men and women, and the Head of the Commune People’s Committee in relevant communes will be members on the District Compensation Committees. I. PUBLIC PARTICIPATION AND CONSULTATION According to World Bank guidelines, DPs will be adequately informed and consulted to enable their active participation in the planning and implementation of RAPs. PMU 18 will be responsible for carrying out a Public Information Campaign and preparing a Project Information Manual for distribution to all DPs. Phase 1 of this campaign has already been carried out with considerable achievements, while Phase 2 will be carried out after the GOV has signed a loan agreement with the World Bank for the NIP. J. COMPLAINTS AND GRIEVANCES The NIP will ensure that effective mechanisms are available and accessible to DPs for addressing grievances and complaints. The timeframes and procedures for addressing grievances and complaints are explained in the Public Information Manual to be distributed to DPs. In sum, DPs may address grievances and complaints at any time, beginning with the Commune People’s Committee (PC). If the DP is unsatisfied with the decision or the Commune PC is unable to resolve the issue, then the DP may refer to the District PC, then Provincial PC, and finally the District People’s Court. External monitoring and evaluation will also verify that complaints by DPs have been resolved appropriately and in accordance with the RAP and Policy Framework. K. MONITORING AND EVALUATION The NIP will include both internal and external monitoring and evaluation measures. PMU-18 will be primarily responsible for internal monitoring and evaluation, in close collaboration with district and provincial Compensation Committees, through the preparation of quarterly RAP Implementation Status Reports submitted to GOV. An independent agency shall be retained to carry out external monitoring and evaluation.



External monitoring and evaluation will focus on social impacts of the NIP on DPs and whether DPs have been able to maintain pre-project living standards, income earning capacity and production levels. Internal and external monitoring and evaluation will be carried out regularly throughout implementation of the RAPs and external monitoring and evaluation will continue for up to 2 years after DPs have been paid for compensation.


1-1 Resettlement Action Plan: Umbrella Report Prepared with the assistance of The Louis Berger Group, Inc.

1. INTRODUCTION 1.1 Project Description The Network Improvement Project (NIP) will include the rehabilitation and strategic widening of approximately 635 km of existing national highways in the north of Vietnam. The Ministry of Transportation (MOT) will serve as the Executing Agency of the NIP, and will monitor the implementation of the project through its Department of Planning and Investment. Direct responsibility for project implementation will be allocated to Project Management Unit 18 (PMU-18), an operating division and sub-organization of MOT. The NIP, which will be implemented over a three-year period, will contribute significantly to the Government of Vietnam’s (GOV) overarching goals of eliminating hunger and reducing poverty by raising living standards in rural areas of Vietnam. The attainment of such goals will be facilitated through achieving specific project objectives, including the following:

Reducing road transit times within selected rural areas of the Northern part of Vietnam.

Reducing vehicle-operating costs through the improvement of selected road segments.

Improving overall road access to poor, isolated agricultural communities.

Facilitating the delivery of goods from agricultural production centers to markets by creating more efficient and faster traffic conditions.

Additionally, the NIP will complement a number of on-going efforts at the commune and village level, in particular the GOV’s Transport Development Plan: 2001-2010, the “Poorest Communes Program,” the World Bank financed Northern Mountains Poverty Reduction Project and Second Rural Transport Project, as well as various community-based and rural development activities in secondary, tertiary and sub-tertiary projects financed by the Asian Development Bank (ADB) and others. 1.2 Project Area As depicted in Figure 1-1 and outlined in Table 1-1, the project area for improvement works falls in the Northern provinces of Vietnam; primarily in the Northern Highlands, the Red River Delta, the Annan Highlands of the Truong Son Mountain Range, and in the Central Highlands and Lowlands.



Figure 1-1: Location of NIP Roads



Table 1-1: Description of Project Improvement Road Sections

No Road Name

Province/ Start Point – End Point

Length (km)

AWP No of Civil

Works Contracts

Road Class

Carriageway/ Formation

Width

Bridge Length

(m)

1. NH 37 Bac Giang – Thai Nguyen (Dinh Tram – Phè Huong)

49.7 I 1 IV

8.0/9.0 m 30

2. NH 47 Thanh Hoa (Cau Thieu – Xuan Thang)

20.5 I 1 III

11.0/12.0 m 9

3. NH 48-I Nghe An (Nam Cam – Cua Lo)

8 I 1 III

11.0/12.0 m 6

4. NH 48-II Nghe An (km 0 – km 20)

20 I 1 III

11.0/12.0 m 36

5. NH 48-III Nghe An (km38 – km64)

26 I 1 IV

8.0/9.0 m 38

6. NH 8B Ha Tinh (Hong Linh – Nghi Xuan)

17.5 II 1 IV

8.0/9.0 m

7. NH 10 Ninh Binh – Thanh Hoa ( Ninh Binh town – Hau Loc)

45 II 1 III

11.0/12.0 m 159

8. NH 21 Nam Dinh (Lac Quan Bridge -Thanh Long)

35 II 1 IV

8.0/9.0 m 18

9. NH 21 Nam Dinh (Lac Quan Bridge-Thanh Long)

21 II 1 IV 8.0/9.0 m

10. NH 38B Hung Yen, Hai Duong (Hai Duong –Hung Yen town)

57.8 II 2 III

11.0/12.0 m 103

11. NH 39 Thai Binh (Trieu Duong - Diem Dien)

36 II 1 III

11.0/12.0 m 114

12. NH 39 Thai Binh (Trieu Duong-Diem Dien)

20.5

13. NH18 Quang Ninh ( Cua Ong – Mong Duong)

10 II 1 III 11.0/12.0 m

14. NH 12A Quang Binh (km 29 – 43)

24 III 1 IV

8.0/9.0 m 26

15. NH 18C Quang Ninh (Tien Yen – Hoanh Mo)

48.8 III 1 IV

6.0/8.0 m 18

16. NH2C Ha Tay, Vinh Phuc (Vinh Yen – Son Tay)

20 III 1 III 11.0/ 12.0 m

17. NH38 Hai Duong, Hung Yen (Quan Goi - Cau Yen Lenh)

20 III 1 III 11.0/ 12.0 m

18. NH12B Ninh Binh (Nho quan – Tam Diep)

31 III 1 III 11.0/12.0 m

19. NH15 Ha Tinh (Thach Hai-Phuc Dong)

43 III 1 IV 8.0/9.0 m

Total 553.8 752



1.3 Resettlement Issues Nearly all NIP works are expected to take place within the existing right-of-way (ROW)1. As such, no major acquisition of private assets and displacement of population are foreseen, though land acquisition and resettlement may occur due to limited widening in high traffic urban areas and encroachment into the ROW. A policy framework has been developed by the World Bank and GOV to guide the preparation of implementation of resettlement plans for the NIP (see Annex 1). This Resettlement Policy Framework lays down the principles and objectives, eligibility criteria of Displaced Persons (DPs), entitlements, legal and institutional framework, modes of compensation and rehabilitation, peoples’ participation features and grievances procedures that will guide the compensation, resettlement, and rehabilitation of the DPs. This policy framework and its provisions will also apply to other recently completed, ongoing, or contemporaneously planned projects or development activities, regardless of source of funding, which are directly and significantly related to the NIP subcomponents and are necessary to achieve its stated objectives. A fundamental principle of World Bank policy is to minimize resettlement. Hence, the Government of Vietnam will examine all available design options for the final design of sub-projects to avoid or, where it is not possible, minimize displacement and other adverse social impacts. This may include reducing the proposed width of road sections in densely populated areas or seeking alternative routings.

1 Right of Way is defined as the strip of land owned by the GOV along the roadway and is determined on a road-by-road basis. It is measured from the centerline of the road and is typically 30-70 meters across.



2. FIRST YEAR SUB-PROJECTS AND RAP SCOPE 2.1 The Sub-Projects The first year program of the NIP covers three national highways with a total length of 124.2 km. Their existing widths are varied with rough pavements and uneven edges. These sub-projects are as follows: (i) NH 37 spans two provinces with 26.7 km of road improvements planned for Bac

Giang and 23 km for Thai Nguyen. (ii) NH 47 is located in the province of Thanh Hoa. It is a part of the national highway

that leads to the Vietnamese border with Laos. The proposed upgrading shall cover 20.5 km, spanning two districts in the province.

(iii) NH 48 is located in Nghe An province. The road upgrading shall cover three

distinct sections, which are referred to in this report as Sections 1, 2, and 3 and have a road length of 8, 20, and 26 km, respectively.

The civil works on the three sub-project roads will include modifications on the current height and width of road embankments and repaving of road surfaces. Table 2-1 summarizes the preliminary technical designs for the first year sub-projects.

Table 2-1: Technical Design Specifications of NIP First-Year Roads

Road Sub-Projects

Design Speed (kph)

Traveled

Way (m)

Width of Shoulders

(m)

Width of Paved

Shoulders (m)

Total Width

of Embankmen

t (m)

NH 37 40 2 x 3.00 2 x 1.50 2 x 1.00 9.00 NH 47 60 2 x 3.50 2 x 2.50 2 x 2.00 12.00 NH 48 – 1 60 2 x 3.50 2 x 2.50 2 x 2.00 12.00 NH 48 - 2 60 2 x 3.50 2 x 2.50 2 x 2.00 12.00 NH 48 - 3 40 2 x 3.00 2 x 1.50 2 x 1.00 9.00

2.2 The Sub-Project Impacts All the three first-year sub-projects are anticipated to produce favorable impacts over the long-term that will promote economic development and an improvement in living standards in the sub-project areas. However, the sub-projects may also lead to some negative impacts, particularly during the construction period. Extensive project-related documentation – including an Environmental Assessment (EA), Environmental Management Plan (EMP), Social Assessment (SA), and Ethnic Minority Development Plan (EMDP) – has been prepared to set out measures to mitigate negative socio-environmental impacts that potentially would result from NIP works.

2.3 Scope of Resettlement Action Planning



In the same spirit, this Resettlement Action Plan (RAP) aims to ensure that all DPs are adequately compensated for any project-related acquisition or damage to private assets and that sufficient measures are taken to provide relocation services and economic rehabilitation assistance for the sub-project populations. This RAP follows a policy framework for the compensation and entitlement of DPs based on existing Vietnamese laws and Work Bank policy, particularly OP No. 4.12. The ultimate goal of this RAP is that no DP is worse off because of the NIP. All of the compensation and entitlement calculations provided in the RAP are based on a detailed measurement survey (DMS) conducted within the Corridor of Impact of the sub-project roads. For the purposes of the NIP, the Corridor of Impact is defined as the edge of the newly designed road embankment, cut-section or road structure plus the Safety Corridor 2, measured with the following distances:

1.5 meters in urban areas for roads; 3.0 meters in rural areas for roads; and 3.0-7.0 meters for bridges (depending on the specific features of each bridge).

The DMS identified 7,404 DPs within the Corridor of Impact of the first-year NIP roads. A typical cross-section for the NIP is depicted in Figure 2.1. The office of PMU-18, with the assistance of The Louis Berger Group, Inc., designed the survey instruments for the DMS and trained Provincial Department of Transportation (PDOT) personnel to conduct consultations with the DPs guided by these survey instruments (see Annex 2). Annex 3 provides a list of the names of the PDOT officials in charge of administering the DMS for the NIP. The respective PDOTs administered the DMS on 100 percent of the DPs between the first and the second week of April and during the last three weeks of June 2003. The DMS was administered through a door-to-door census and interviews and collected a complete inventory of project-affected assets, as well as general socio-economic information about the DPs. The PDOTs collected and prepared the following:

Individual DP inventory sheets including the total and affected areas of land and buildings, the extent of other affected assets, and land tenure status;

DP business survey detailing projected income losses due to project-related construction activities;

Socio-economic baseline survey of DP households; and, Cadastral maps identifying the location of individual DPs.

Additionally, an independent review of replacement costs within the sub-project areas of the first-year program was conducted by the Human Geography Research Center (HGRC) in the second week of July.

2 Safety Corridor of Impact defined here is in accordance with MOT’s Decision 592/1999/QD-GTVT of 11 March 1999



Analysis of this data and subsequent determination of DP-level compensation and entitlements are based on the policies outlined in Chapters 3-5, which cover Definitions and Eligibility, Legal Framework, and Compensation and Entitlement Policy, respectively. Chapters 6-9 provide the guidelines for the implementation of all resettlement related activities before the commencement of NIP works. Specifically, these chapters cover Institutional Arrangements, Public Participation and Consultation, Grievance Procedures, and Monitoring (both internal and external), respectively. Figure 2.1 Typical Cross-Section of the NIP



1. ELIGIBILITY AND DEFINITIONS

II. Definitions of Displaced Person (DP) The term “Displaced Person” refers to a person who, on account of the execution of the Project, has experienced or would experience direct economic and social impacts caused by:

(i) The involuntary taking of land, resulting in (A) relocation or loss of shelter; (B) loss of assets or access to assets; (C) loss of income sources or means of livelihood, whether or not such person must move to another location; or,

(ii) The involuntary restriction of access to legally designated parks and protected areas, resulting in adverse impacts on the livelihood off such person.

The term “Displaced Persons” refers, collectively, to all such Displaced Persons. The above definitions were used in the DMS for identifying the DPs in the NIP sub-projects. III. Eligibility Applying the above definitions, all persons residing, working, cultivating lands, conducting their business on both sides of the Corridor of Impact, as defined in Chapter 2, prior to the cut-off date are entitled to the compensation and rehabilitation measures provided for in the relevant RAP and the Policy Framework. Lack of legal rights on land and property will not bar DPs from entitlements.

The cut-off date for eligibility is the last day of the DMS for each sub-project, as indicated in the RAP of each sub-project. IV. Legal vs. Illegal DPs All DPs are entitled to full compensation and other rehabilitation measures, as appropriate, provided that they are included in the DMS or able to prove that they owned, used, planted or rented the following prior to the cut-off date:

(i) Houses or other fixed structures (ii) Agricultural and/or residential land (iii) Crops (annual and perennial), trees and other productive assets

Land occupancy will be demonstrated by means of the District's Land Use Rights Certificate (LURC), commune resident register, land tax receipts, or, in the absence of these, by means of a commune cadastral record, or simply being listed in the DMS. DPs without legal or legalizable rights of their land use will be provided with income rehabilitation assistance in lieu of land compensation if severely affected and their lost crops, houses and other assets will be compensated fully at replacement cost. However, if an illegal DP is left with less than a minimum standard of agricultural or



residential land, then the NIP will provide this DP with sufficient replacement land to meet the minimum standard.

Any persons encroaching into the Corridor of Impact after the cut-off date will not be entitled to compensation or other rehabilitation measures. They will be requested to dismantle affected structures. If necessary, they will be forcibly removed. However, they will not have to pay any fine or sanction.



2. LEGAL FRAMEWORK

The legal framework for the RAPs is provided for in the relevant laws of GOV and Operational Policy (OP) No. 4.12 with annexes of the World Bank. Differences between them have been resolved in the Policy Framework for Compensation, Resettlement and Rehabilitation of Displaced Persons (Annex 1), hereafter referred to as the Policy Framework. V. Policy Framework of GOV Including its Constitution, the Government of the Socialist Republic of Vietnam has several laws, decrees and regulations related to resettlement, compensation and rehabilitation. The laws governing the RAPs and warranting their legality are:

The Government Decree 64/CP, dated 27 September 1993, which provides guidelines on the distribution of agricultural land to households for long-term agricultural purposes;

Article 27 of the 1993 Land Law, enacted by the National Assembly of the Socialist Republic of Vietnam on July 1993 (and amended in 2001), which states that “[i]n case of utmost necessity, when the State recovers land being used by a land user, for national defence, security, national benefit, or public benefit purposes, the land user shall be given compensation for the damages”;

Government Decree 87/CP of 17 August 1994, which stipulates a price frame configuration for different types of land retrieved;

Government Decree 22/1998/CP-ND, issued on 24 April 1998, which provides for the compensation of damage when the State recovers land for national defense, security, national and public interests;

Circular 145/1998/TT-BTC, dated 4 November 1998, from the Ministry of Finance guides the implementation of the Government Decree 22/1998/CP-ND.

Government Decree 172/1999/CP, enacted on 19 December 1999 and effective on 1 January 2000, which prescribes that DPs within the ROW are entitled to compensation for affected land and other assets if they occupy them prior to enactment of the decree;

VI. World Bank Guidelines

Policy Objectives The guiding document for resettlement issues concerning World Bank loans is Operational Policy (OP) 4.12 with annexes on “Involuntary Resettlement.” The main policy objectives of OP 4.12 are as follows: (a) Involuntary resettlement should be avoided where feasible, or minimized,

exploring all viable alternative project designs; (b) Where it is not feasible to avoid resettlement, resettlement activities should be

conceived and executed as sustainable development programs, providing sufficient investment resources to enable the persons displaced by the project to share in project benefits. Displaced persons should be meaningfully consulted and should have opportunities to participate in planning and implementing resettlement programs;



(c) Displaced persons should be assisted in their efforts to improve their livelihoods and standards of living or at least to restore them, in real terms, to pre-displacement levels or to levels prevailing prior to the beginning of project implementation, whichever is higher.

The policy covers direct economic and social impacts that result from Bank-assisted investment projects that are caused by: (a) involuntary taking of land resulting in relocation and loss of shelter, loss of assets or access to assets, or loss of income sources or means of livelihood whether or not the affected persons must move to another location; or (b) the involuntary restriction of access to legally designated parks and protected areas resulting in adverse impacts on the livelihoods of displaced persons. The policy applies to all project components resulting in involuntary resettlement, regardless of source of financing.

Eligibility In paragraph 15, OP 4.12 prescribes the following criteria for eligibility of displaced persons who are entitled to compensation and other forms of entitlement for their social rehabilitation:

(a) Those who have formal legal rights to land (including customary and legal rights recognized under the law of the country);

(b) Those who do not have formal legal rights to land at the time of the DMS but have a claim to such land or assets provided that such claims are recognized under the laws of the country or become recognized through a process identified in the resettlement plan; and

(c) Those who have no recognizable legal right to the land they are occupying. VII. Reconciliation of GOV and World Bank Policies Discrepancies between GOV and World Bank policies have been resolved in the Policy Framework. A comparison of various items in government policy that are inconsistent with OP 4.12 is provided in Table 4.1. To comply with the World Bank’s OP 4.12, GOV has agreed to issue legal waivers for the following: Articles 7 and 16 of Decree No.22/1998/CP-ND Articles 7 and 16 identify situations where DPs would be considered as illegal users and compensation measures would be at the discretion of the People’s Committee of the province or City. To avoid possible confusion, the criteria and entitlement for illegal DPs affected by the NIP will be as defined in the Policy Framework. Article 8 of Decree No.22/1998/CP-ND Article 8 stipulates that prices for land compensation will be issued by the relevant government authority and determined by the method of coefficient K, which is guided by the Ministry of Finance. For the NIP, the method for pricing of land compensation will include a market survey of current land value in each locality and final compensation prices will be determined by the highest rate between government price lists and recommendations from the market survey.



Articles 17 of Decree No. 22/1998/CP-ND Article 17 prescribes that compensation rates for Grade 4 houses, temporary houses and independent auxiliary constructions shall be equal to the value of construction of equivalent standard and, hence, are determined at 100% replacement cost. However, compensation rates for Grade 1, 2 and 3 houses shall be equivalent to the existing value of the construction and a sum representing a percentage of the existing construction. The total maximum shall not exceed 100% and the minimum shall not be lower than 60% of the construction. For the NIP, compensation rates for houses in all categories shall be equivalent to 100% of replacement cost. Article 18 of Decree No.22/1998/CP-ND Article 18 stipulates that houses and other structures that are not built in conformity with the zoning programs or are built on the ROW shall receive an allowance representing 80% of compensation value. For the NIP, compensation rates for all houses and other structures shall be equivalent to 100% of replacement cost. Article 25 of Decree No.22/1998/CP-ND Article 25 provides that renters of the government land and houses will receive support in cash at a level of 60% of the rented land value and house but no provision for renters of non-government houses. For the NIP in addition to full compensation for the house owners, all the renters will be provided with rental allowances equal to 100% of current rental fees for land and houses for a period of 6 months. Decree No.87/1994/CP Article 4 of Decree No.87 states that land compensation prices must fall within the minimum and maximum price range established by government. For the NIP all pricing for land compensation will be as already described above. Decree No. 172/1999/CP Decree No. 172/1999/CP, which was enacted on December 19, 1999, and became effective as of January 1, 2000, stipulates that DPs within the ROW will be compensated for land and properties only if they occupied them prior to the enactment of the Decree. In project areas of the NIP where the Decree has been fully applied and people residing along the road have been adequately informed, the policy is considered to be consistent with guidelines of the World Bank. In project areas where the Decree has not yet been correctly effected, the Decree will be waived. In these cases, all DPs residing, doing business or cultivating land in the ROW of NIP roads and related project areas, as of the date of the DMS survey, are entitled to compensation and other rehabilitation measures as defined in the RAP. In sum, GoV has agreed to issue legal waivers for articles 7, 8, 16, 17, 18 and 25 of Decree 22/1998/CP-ND, Decree 87/1994/CP and Decree 172/1999/CP in project areas where the Decree 172 has not been correctly effected. Any other decrees, regulations, laws and components thereof that are found to be inconsistent with OP 4.12 during implementation of the RAPs will also be waived by GOV.



Table 4.1 Comparison of Government Policy with the World Bank’s OP 4.12 ISSUE GOVERNMENT

LEGISLATION POLICY FRAMEWORK

DISCREPANCY

Illegal land users

Decree 22 - Article 7: The person whose land is recovered and who has not met one of the conditions stipulated in Article 6 of this Decree or who has violated the plan already ratified by the competent level, and such violation has been announced, or who violates the corridor protecting work, or who illegally occupies land shall not receive compensation when the state recovers the land. In cases of necessity, the People’s Committee of province or City directly under the Central Government shall consider and make decision on a case by case basis - Article 16 (iii): The owner of the property existing on illegal land defined in Article 7 of this Decree shall, depending on concrete cases, be considered for assistance by the People's Committee of the province or city directly under the Central Government. Decree 172 - The Decree stipulates that DPs within the ROW will be compensated for land and properties if they occupied them prior to enactment of the Decree on December 19, 1999, which became effective January 1, 2000.

E.i.b: DPs without legal or legalizable rights of [agricultural] land use: i) DPs who are left with no agricultural land, or whose remaining land is less than the standard in the locality . . . will be provided with replacement agricultural land to meet the standard of the locality to ensure the achievement of the policy objectives. ii) The remaining DPs will not be provided with land compensation, but will be provided with income rehabilitation assistance if severely affected and their lost crops, houses and other assets will be compensated fully at replacement cost. E.ii.b: DPs without legal or legalizable rights of [residential] land use:

i) If the DPs do not have other residential land or the remaining land is not sufficient enough for rebuilding the new house, they will be provided with replacement land to meet standard size of the locality. ii) For the other cases there will be no land compensation, but their houses and structures will be compensated as DPs with legal or legalizable rights of land use.

Art. 7 and 16 of Decree 22 could allow for denial of compensation for lost crops, houses and other assets or provision of a minimum standard of land to DPs without legal or legalizable land use rights Decree 172 could be interpreted to deny compensation for lost crops, houses and other assets or provision of a minimum standard of land to DPs without legal or legalizable land use rights occupying the ROW after 1st January, 2000



ISSUE GOVERNMENT LEGISLATION

POLICY FRAMEWORK

DISCREPANCY

Compensation pricing for land

Decree 22 - Article 8: The price of land for calculation of the compensation for damage shall be decided by the President of the People's Committee of the province or city directly under the Central Government for each project subject to proposals by the Finance-Price Service with the participation of the related branches. The price of land for calculation of compensation for damage shall be determined on the basis of the local price of land issued according to provisions 'If the Government multiplied by coefficient K in order to ensure compatibility of the compensation with the profitability and the price of assignment of the land use right in the locality. The Ministry of Finance shall guide the method of determining coefficient K after consulting with the Ministry of Construction, the Ministry of Transportation, the General Land Administration and the Government Price Committee. Decree 87 - Article 4: Based on the Government's price list, the Provincial People's Committees (PPCs) will determine prices for each type of land as a basis for levying taxes on transfer of land use right, collecting land allocation fees, renting land, calculating property value, calculating compensation, etc. Compensation in cases where land is appropriated for national or public interest is determined according to the regulations of a different decree of the Government. Local prices cannot be lower than the Government's minimum or higher than the Government's maximum figures.

D.vi: The compensation measures to be provided are:

b. Agricultural land for land of equal productive capacity acceptable to the DP or in case suitable replacement land is not available and at ‘informed request’ of DPs, compensation in cash at replacement cost;

c. Replacement of premise land of equal size acceptable to the DP or in case suitable replacement land is not available cash compensation at replacement cost may be provided at ‘informed request’ of the DPs

Art 8. of Decree 22 and Art.4 of Decree 87 potentially allow for the establishment of land compensation measures at less than 100% of replacement cost




POLICY FRAMEWORK

DISCREPANCY

Compensation pricing for houses and structures

Decree 22 - Article 17 (i): For houses, architectural works and other properties associated with the land, compensation shall be made according to the level of the actual damage.

Existing value of the house or construction +

A sum representing a percentage of the existing house or

construction = Level of percentage compensation value

However, the total maximum level of compensation shall not exceed 100% and the minimum level shall not be lower than 60% of the house or construction price of new buildings with technical standards equivalent to that of the house or construction that has been dismantled. The existing value of the house or construction shall be priced at a percentage of the value of the house or construction priced after the construction price of the new building. This price is the standard price issued by the People's Committee of the province and cities directly under the Central Government according to regulations of the State. The actual additional sum shall be decided by the People's Committee of the provinces and cities under the Central Government as proposed by the Board for Compensation in ground clearing. In particular, with regard to 4th grade house, temporary houses and independent auxiliary construction, the compensation shall be equal to a newly built house or construction with equivalent technical standard under the standard price issued by the People's Committee or the province or city directly under the Central Government according to regulations of the State.

D.vi: The compensation measures to be provided are:

a. Compensation at replacement cost without deduction for depreciation or salvage materials for houses and other structures;

- Art.17 of Decree 22 allows for compensation at less than 100% of replacement cost for houses of Grades 1, 2 and 3




POLICY FRAMEWORK

DISCREPANCY

Compensation pricing for houses and structures for illegal land users

Decree 22 - Article 18: (ii) If the owner of the property is also the owner of the house or construction but without the legal permit of construction, he shall, depending on the level and character of the legality of the land and construction on the land, receive compensation or allowances at the following concrete levels: (a) In the rural areas:

- Houses or constructions built on land of the category eligible for compensation for damage according to Article 6 of this Decree shall receive compensation as provided for in Article 17 of this Decree;

- Houses or structures built on land which falls under the category eligible for compensation as provided for in Article 7 of the Decree, where there is no zoning program of the State, or are not built in conformity with the zoning program, and which do not encroach upon the construction protection corridor, shall receive allowances representing 80% of the compensation provided for in Article 17 of this Decree. The owners shall receive no compensation if they violate the zoning program already announced or encroach upon the construction protection corridor. The People's Committee of the province or city directly under the Central Government shall consider each individual case for assistance. With regard to houses and architectural constructions which lie in rural areas at the time of construction but now lie in urban areas, they shall receive compensation as provided for in Point A and Point B of Clause 21 of this Article when the State recovers the land. (iii) The houses and architectural objects built on land in the category not eligible for compensation as provided for in Article 7 of this Decree and which have been informed of this non-eligibility by the competent State agency at the time of construction or which are built after 15 October 1993, shall receive no compensation nor allowances. The person who has this illegal construction shall be forced to dismantle it.

See D.vi above. Art.18 of Decree 22 allows for compensa-tion at less than 100% of replacement cost or denial of compensation for houses and structures for DPs without legal rights or otherwise considered as illegal users




POLICY FRAMEWORK

DISCREPANCY

Rental allowances

Decree 22 - Article 25 (v): The user of a dwelling house under State ownership and houses which lie in the area where land is to be recovered shall be granted support in cash to establish a new dwelling place. The level of support represents 60% of the land value and 60% of the house value.

The value of land shall be calculated at the rate of land issued by the People's Committee in the province or city directly under the Central Government as provided for by the Government multiplied by the area of the house he is renting but the maximum rate shall not exceed the assignment quota of dwelling land in urban areas prescribed by the locality.

If the land user wants to ask the State for assignment to a new dwelling area, he shall have to pay and use in the level currently prescribed and shall receive allowance provided for above. The level of land to be assigned shall conform to Articles 10 and 11 of this Decree.

D.viii: Tenants who have leased a house/structures for residential or other purposes and affected by the project will be provided with a cash assistance equivalent to six months rental allowance and to cover for other losses, and will be assisted in finding alternative rental accommodation.

No provision for renters of non-government houses

Socialist Republic of Vietnam – Network Improvement Project


3. COMPENSATION AND ENTITLEMENT POLICY

VIII. Objectives The overall objective of the compensation and entitlement policy for NIP is to restore DPs to pre-project living standards and income earning capacity, if not improve them. The compensation and entitlement policy described here follows the Policy Framework. A summary of these policies is available in the Entitlement Matrix, Figure 5-1, at the end of this section. Once accepted by PMU-18 and approved by the World Bank, the compensation and entitlement policy outlined here will be enforceable as a legal document. IX. Principles The following principles guide the compensation and entitlement policy:

(i) The acquisition of land and other assets and resettlement of people will be minimized as much as possible.

(ii) Special attention will be placed on minimizing the adverse impacts on vulnerable groups and where this is unavoidable, assistance would be provided to achieve stated objectives of this policy framework.

(iii) All DPs residing, working, operating businesses or in other ways earning income are entitled to compensation and other rehabilitation measures sufficient to assist them to at least maintain their pre-project living standards, income earning capacity and production levels. Lack of legal rights on the land they occupy will not bar DPs from entitlement to such measures.

(iv) Replacement of housing premises and agricultural land shall be located as close as possible to the land that was lost and acceptable to the DPs.

(v) Replacement cost for houses and other structures will be determined according to replacement value at current market rates in the locality of building materials, site and labor for construction of similar structures3. In determining replacement costs, depreciation of assets and the salvage value of materials will not be taken into account, nor will the value of benefits to be derived from the project deducted from the valuation of any affected assets.

(vi) The compensation measures to be provided are:

(a) Compensation at replacement cost without deduction for depreciation or salvage materials for houses and other structures;

3 With regard to land and structures, “replacement cost” is defined as follows: For agricultural land, it is the pre-project or pre-displacement, whichever is higher, market value of equal productive potential or use located in the vicinity of the affected land, plus the cost of preparing the land to levels similar to those of the affected land, plus the cost of any registration and transfer taxes. For land in urban areas, it is the pre-displacement market value of land of equal size and use, with similar or improved public infrastructure facilities and services and located in the vicinity of the affected land, plus the cost of any registration and transfer taxes. For houses and other structures, it is the market cost of the materials to build a replacement structure with an area and quality similar to or better than those of the affected structure, or to repair a partially affected structure, plus the cost of transporting building materials to the construction site, plus the cost of any labor and contractors’ fees, plus the cost of any registration and transfer taxes.



(b) Agricultural land for land of equal productive capacity acceptable to the DP or in case suitable replacement land is not available and at ‘informed request’ of DPs, compensation in cash at replacement cost;

(c) Replacement of premise land of equal size acceptable to the DP or in case suitable replacement land is not available cash compensation at replacement cost may be provided at ‘informed request’ of the DPs;

(d) Transfer, transition and subsistence allowances; (e) Compensation at replacement cost for temporary impacts;

(f) Compensation at replacement cost for DP without legal rights to their affected assets as identified before the cut-off date and other assistance to ensure that they are not worse-off due to the project;

(g) Economic rehabilitation assistance for severely affected DPs and vulnerable groups to improve, or at least restore their incomes and standards of living to pre-project level on a sustainable basis;

(h) In the case of loss of business, DPs will be provided with a special allowance for the loss of business income during the transition period;

(i) Compensation at replacement cost of partial impacts on existing structures together with allowance for repair of remaining structures; and

(j) Replacement premises and agricultural land will as nearly as possible equal in value to the land that was lost, and acceptable to the DP.

(vii) The resettlement transition period will be minimized and compensation

and other rehabilitation measures will be provided to the DPs no later than one month prior to the expected start-up date of construction works in the project site. No DP will be evicted or forcibly removed from premises unless a secured place of residence has been ensured.

(viii) Tenants who have leased a house/structure for residential or other purposes and affected by the project will be provided with cash assistance equivalent to six months rental allowance and to cover for other losses, and will be assisted in finding alternative rental accommodation.

(ix) Plans for the acquisition of land and other assets and provision of rehabilitation measures will be carried out in consultation with the DPs, to ensure minimal disturbance.

(x) The previous level of community services and resources will be maintained or improved.

(xi) Any acquisition of, or restriction on access to resources owned or managed by affectged community as a common property should be mitigated by arrangements ensuring access to improved or at least equivalent resources on a continuing basis.

(xii) Financial and physical resources of resettlement and rehabilitation will be made available as and when required.



(xiii) Institutional arrangements will ensure effective and timely design, planning, consultation and implementation of the Inventories and RAPs.

(xiv) Effective and timely supervision, monitoring and evaluation of the implementation of the Inventories and the RAP will be carried out.

(xv) All replacement land for agriculture, residential and businesses will be provided with secured tenure status and without any additional cost, sale taxes, fees or other surcharge to the DP at time of transfer.

X. Compensation Policy The compensation measures to be provided are:

Cash compensation at replacement cost without deduction for depreciation or salvage materials for houses and other structures;

Agricultural land for land of equal productive capacity acceptable to the DP, or in case suitable replacement land is not available and at “informed request” of DP, compensation in cash at replacement cost;

Residential land of equal size acceptable to the DP, or in case suitable replacement land is not available and at “informed request” of DP, compensation in cash at replacement cost;

Cash compensation of crops, trees and other productive assets loss due to the Project;

Cash compensation for loss of leases; Cash compensation for income lost by commercial enterprises; and Cash compensation for utilities such as water meters, electric meters and

telephones. “Replacement cost” will be based on market surveys conducted during the formulation of the Compensation Plan and official price lists issued by provincial and district People’s Committees. If item prices on the official price lists are lower, they will be updated to fall within the recommended ranges of the market surveys.

DPs Losing Agricultural Land and Crops DPs with Legal or Legalizable Rights of Land Use

(i) The general mechanism for compensation of lost agricultural land will be through provision of “land-for-land” arrangements of equal productive capacity, satisfactory to the DP. However, if the DP prefers to receive cash compensation or replacement land is not available, then the following will apply:

If the remaining land is still a viable economic holding, cash compensation, at full replacement cost, may be provided to the DP for all acquired lands; or

If the remaining holding is not viable, then the Project will acquire the entire landholding and provide cash compensation at full replacement cost.



(ii) DPs will be compensated for the loss of standing crops and fruit or industrial trees at market price. Productive trees will be compensated at replacement cost.

(iii) DPs whose land is temporarily taken by the works under each sub-project will be compensated for their loss of income, standing crops and for the cost of restoration of the land to its previous productive status and for damaged infrastructure.

(iv) “Severely affected DPs” are defined as DPs affected by the loss of 20 percent or more of their agricultural landholdings or by relocation, including shop or business relocation.

(v) Severely affected DPs and vulnerable groups will receive economic rehabilitation assistance in the form of training and other income restoration programs (see below) to enable them at least to maintain, if not improve, pre-project living standards on a sustainable basis.

DPs without Legal or Legalizable Rights of Land Use

(i) DPs who are left with no agricultural land, or whose remaining land is less than the standard in the locality will be provided with replacement agricultural land to meet that standard (the standard for household agricultural land area is based on the number of laborers in the household, and is determined by the PPC in the locality).

(ii) The remaining DPs will not be provided with land compensation, but will be provided with income rehabilitation assistance if severely affected and their lost crops, houses and other assets will be compensated fully at replacement cost.

DPs Losing Residential Land and Structures

DPs with Legal or Legalizable Rights of Land Use (i) The general mechanism for compensating loss of residential land and

structures will be: (1) the provision of replacement residential land (house site and garden) of equivalent size, satisfactory to the DP; and (2) cash compensation reflecting full replacement cost of the structures without deduction for depreciation and/or salvage material.

(ii) If the residential land and/or structure is only partially being affected by the Project and the remaining residential land is not sufficient to rebuild the residential structure lost in accordance with the prevailing standards, then at the request of the DP the entire residential land and structure will be acquired at full replacement cost, without depreciation.

(iii) All relocated DPs will be provided with transportation and subsistence allowances as specified in Article 4 of Decree 22/CP (see below).

(iv) Tenants, who have leased a house for residential purposes will be provided with a cash grant for six months rental fee at the prevailing market rate in the area, and will be assisted in identifying alternative accommodation.

(v) Severely affected DPs and vulnerable groups will receive shelter or other forms of economic rehabilitation from the GOV if deemed necessary, and where applicable.



(vi) In case of partial impact to structures and where the remaining structures remain viable for continued use, DPs will also be entitled to an additional allowance for repair of remaining structure.

DPs Without Legal or Legalizable Rights of Land Use (i) In terms of their lands: If the DPs do not have other residential land or

remaining land is not sufficient enough for rebuilding the new house, they will be provided with replacement land to meet the standard size of the locality;

(ii) For the other cases, DPs will be provided with income rehabilitation assistance in lieu of compensation if severely affected and their houses, and structures will be compensated as DPs with legal and legalizable rights of land use.

DPs Losing Business

The mechanism for compensating loss of business will be the same that applies for the loss of residential land, namely: (i) The provision of alternative business site of equal size and accessibility to

customers, satisfactory to the DP; (ii) Cash compensation for lost business structures reflecting full replacement cost

of the structures, without deductions for depreciation or salvage materials. In addition, DPs will receive cash compensation (i.e., business allowance – see below) for the loss of income during the transition period.

(iii) Severely affected DPs (i.e., those facing relocation of their shop or business) will be provided with income rehabilitation and other assistance necessary to meet the policy objective.

DPs Losing Fixed Assets

DPs will also be provided 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, such as tombs and water wells.

Other Compensation In cases where community infrastructure, such as schools, factories, water sources, roads, and sewage systems are damaged, GOV will ensure that they are restored or repaired at no cost to the community. XI. Subsidy Allowances and Other Assistance The allowances and other rehabilitation measures to be provided include:

Transition allowance: Cash equivalent to 30 kg rice x person x 6 months (or time of temporary displacement, if longer than 6 months) for DPs temporarily or permanently displaced by the Project, according to Decree 22/1998/CP-ND.

Transportation allowance: 1,000,000 Vietnamese Dong (VND) x DP household being relocated, according to Decree 22/1998/CP-ND.

Rental allowance: The reported monthly rental cost x 6 months for DPs renting houses or temporarily without shelter due to the Project (or time of



temporary displacement, if longer than 6 months) - DPs will also be assisted to find alternative accommodation during the displacement period, such as by providing the DP with District and Commune level lists of available rental accommodation.

Business allowance: The reported expected income loss for businesses suffering permanent or temporary loss of income due to the Project. The reported loss amount will be verified based on monthly earnings data by business type and by locality.

Repair allowance: 500,000 VND x partially affected structure for Categories 1, 2 and 3; and 300,000 VND x partially affected structure for Category 4 and Temporary

Economic rehabilitation assistance: Minimum of 1,100,000 VND (awarded in kind) per household will be earmarked for training and other suitable measures for DPs affected by the loss of 20 percent or more of their agricultural landholdings or by relocation, including shop or business relocation. The exact scale and scope of these programs will be determined by the PPC. These programs will be run as participatory development programs through the District Agricultural Extension Office, and/or other relevant district and commune offices, according to the interests, capacity, and skills of the DP, among other factors in the local context.

Ground clearance award: A Severely Affected DP holder of a LURC who needs to be relocated, will receive an award of a maximum of 5,000,000 VND if he carries out the dismantling of his construction in a timely fashion and according to the plan of the Compensation Committee.

Establishment of resettlement site(s): Assistance to identify and establish a resettlement site for groups of DPs being relocated together, which may include clearing of land, reclamation of wasteland for agriculture and other investments in local infrastructure and public services, as the case may be. The necessity and scale of these programs will be determined by the locality and the individual DP. If needed, identification and planning of potential resettlement sites for group relocation will be completed during the preparation of sub-project level RAPs. The resettlement site will be developed during the implementation of RAPs.



Figure 5-1: Entitlement Matrix

Loss Type Definition of entitled persons Application Compensation Policy

1 Agricultural land

1. DPs with legal or legalizable rights of land use will be compensated for their lost lands, or for their total land holdings if remaining holdings are deemed non-viable.

1.1 Permanent Impacts affecting less than 20% of lands

- Cash compensation at full replacement cost of affected area of holding

2. DPs without legal or legalizable rights of their land use will be provided with rehabilitation assistance if severely affected. In addition, if their remaining landholding is less than the minimum standard (established by the locality), they will be provided with sufficient replacement land to meet the minimum standard.

1.2 Permanent Impacts rendering remaining land non-viable or affecting more than 20% of lands

- Choice of "land for land" of equal productive value and acceptable to DP - Replacement of or cash compensation for entire holding, if remainder of holding is non-viable - Eligibility for income rehabilitation assistance - Development of resettlement sites and rehabilitation assistance for clusters of severely affected DPs (need and scale determined by locality).

3. DPs who encroach on the area after the cut-off date are not entitled to compensation or any other form of resettlement assistance.

1.3 Temporary Impacts

- Compensation for land restoration, loss of income and standing crops - If temporary impacts last more than 2 years, plots will be considered as permanently affected.

2 Residential land Ibid,

Impacts on house foundation area and house yard

Ibid,

3 Houses and structures

All DPs identified before the cut-off date, including those lacking legal rights to assets. 3.1 Partial impacts

- Cash compensation for affected area of building/structure at full replacement cost - Repair allowance for affected structure

3.2 Entire house/structure affected

- Cash compensation at full replacement cost of entire building/structure - If a partially affected building is rendered non-viable for continued use, cash compensation at full replacement cost of entire building

4 Rented residences 1. Renters - Cash allowance corresponding to 6 months of rent of

lost residence (or time of temporary displacement).



Loss Type Definition of entitled persons Application Compensation Policy

2. Temporarily displaced DPs Tenant will be assisted in identifying alternative leases.

5 Crops/trees All DPs identified before the cut-off date, including those lacking legal rights to assets. Cash compensation at 100% replacement cost.

6 Other fixed assets Ibid, Tombs, wells, fish ponds,

cement surfaces, etc…. Ibid,

7 Business Ibid,

Cash compensation for lost business income for the duration of the transitional period at 100% of revenue estimates foregone (based on monthly revenue averages)

8 Allowances and subsidies Severely Affected DPs

8.1 DPs being relocated through Government planning 8.2 DPs self relocating self-reorganizing on remaining lands

- Transport allowance: 1,000,000 VND x DP household - Transition allowance: cash equivalent to 30 Kg. of rice x person x 6 months. - Award of 5,000,000 VND for relocating DPs if clearing of construction is done in a timely fashion

8.3 DPs affected by the loss of 20 percent or more of their agricultural landholdings or by relocation, including shop or business relocation.

- Income rehabilitation assistance: 1,100,000 VND (awarded in kind) x household for training programs or other suitable measures, of which the need, type and scale will be determined by the locality and individual DP



4. INSTITUTIONAL ARRANGEMENTS

XII. Main Institutions and Organizations The following institutions and organizations will be the main units responsible for preparing the Compensation Plan and implementing the RAPs: Ministry of Transport (MOT) Project Management Unit 18 (PMU-18) Quality Control and Management Bureau of MOT Design and Construction Consulting Companies or Units Provincial People’s Committees (PPC) of Thai Nguyen, Bac Giang, Thanh Hoa,

and Nghe An Provincial Compensation Committee (PCC), established by PPC District People’s Committees (DPC), whose jurisdiction falls within the NIP District Compensation Committee (DCC), also established by PPC Commune People’s Committees, whose jurisdiction falls within the NIP Consultant for technical assistance to PMU-18 XIII. Demarcation of Responsibilities The roles and responsibilities of each unit are represented in Figure 6-1. The specific responsibilities of each unit are discussed below.



Figure 6-1: Institutional Arrangements

GoV

(State Treasury)MOT

PMU - 18

(PID 1)

Quality Control &Management

Bureau

Provincial PC

(CompensationCommittee)

District PC


Commune PC

Consultant

Approval ofComp. Plan

Supervision & Reporting

Co-ordination

Technical Assistance

Disbursement of Funds

PAPs

ConstructionContractor

Ministry of Transport (MOT) MOT is the Executive Agency, responsible for approving project documents,

providing funds and guidance to PMU-18 and for the overall implementation of the NIP, including RAPs.

PMU-18

PMU-18 is the acting representative of the project investor and is responsible for carrying out implementation of the NIP, including RAPs, under the instruction and guidance of MOT. Its main responsibilities are: Ensuring that all eligible DPs have been identified with sufficient information

from the PCCs and that they have been provided with their respective entitlements according to the RAP and Policy Framework of the NIP;

Ensuring that all DPs are informed about their entitlements, timeframes and procedures for resettlement under each sub-project and have been distributed the Public Information Manual;

Coordinating with PCCs and other involved agencies to ensure timely and effective implementation of the RAP;

Explaining the scope of the Project to People’s Committees at all levels and clarifying their roles and responsibilities therein;



Organizing training courses for PCCs and DCCs on principles, entitlements, timeframes, procedures and other aspects of resettlement outlined in the RAP and Policy Framework;

Supervising implementation of the RAPs, approving documents prepared by independent review agencies, and carrying out internal monitoring, including quarterly Status Implementation Reports submitted to GOV;

Providing guidance in the reorganization of public utilities affected by NIP construction activity in accordance with relevant regulations;

Submitting Compensation Plans to the Quality Control and Management Bureau of MOT for approval; and

Disbursing funds to the PCC as and when required for timely and effective implementation of the RAP, except for funds for compensation, which will be disbursed directly from the State Treasury to the DPs.

Quality Control and Management Bureau of MOT

Approving the Compensation Plan approved by each PCC and reviewed and submitted by PMU-18 for each sub-project.

Design and construction consulting companies

Implementing design and construction of infrastructure works, according to standards and conditions outlined in contracts signed with PMU-18; and

Undertaking the stake-out of the Corridor of Impact, as well as preparing cadastral files for land acquisition according to relevant regulations.

Provincial People’s Committee (PPC)

PPCs in each province are responsible for: Establishing Compensation Committees at provincial and district levels and

instructing them on their activities; Directly supervising PCC and assisting PMU-18 in internal monitoring activities; Guiding and instructing co-ordination between provincial departments and offices

for the effective and timely implementation of RAPs; Approving the pricing frame in the Compensation Plan, according to the

principles of the RAP and Policy Framework; and Resolving grievances and complaints at the provincial level.

Provincial Compensation Committee (PCC) PCCs in each province are responsible for: Carrying out instructions of and reporting to PMU-18; Assisting PMU-18 in coordinating with DCCs and overall implementation of

RAP for the sub-project Making adjustments in the DMS and preparing the Compensation Plan for the

sub-project; and Liaising among PMU-18 and DCC, district and commune authorities, and DPs. Members of the PCC will include, at least: Chairman or Vice-President of the Provincial People’s Committee (Head of the

PCC) Head or Vice-Head of Department of Transport (Permanent Member)



Director of Provincial Project Management Unit within PDOT (Member) Representative of Price-Financing Dept (Member) Representative of Construction Dept (Member) Representative of Cadastral Office (Member) Head or Vice-Head of District People’s Committees for relevant districts

(Member). If deemed necessary, representatives from the Farmer’s Association, Women’s Association, Association of War Veterans, Youth League, and Department of Labor, Social Affairs, and War Veterans will be invited to become members of the PCC.

District People’s Committee (DPC) DPCs in each province are responsible for: Guiding and co-ordinating among district departments and offices for the

effective and timely implementation of RAPs; Directly supervising DCC and assisting PMU-18 in monitoring activities; and Resolving grievances and complaints at the district level, or referring them to the

provincial People’s Committee.

District Compensation Committee Carrying out instructions of and reporting to PCC; Assisting PCC and PMU-18 in preparation of Compensation Plan and

implementation of the RAP; Coordinating with and organizing DPs and commune authorities; and, Representing interests of DPs through designated representatives of DPs. Members of the DCC will include, at least: Head or Vice-Head of District (Head of DCC) Representative of Price-Financing Dept. Representative of Construction Dept. Representative of Cadastral Office Head of Commune People’s Committee for relevant communes At least 3 representatives of DPs for each commune, comprising both men and

women.

Commune People’s Committee Assisting DCC, PCC and PMU-18 in preparation of Compensation Plan and

implementation of RAPs; and Resolving grievances and complaints at the commune level, or referring them to

the district People’s Committee.

Consultant for Technical Assistance to PMU-18 Providing effective technical assistance to PMU-18 in the areas of Resettlement

Implementation and Supervision. XIV. Release of Funds for Compensation Payments Compensation payments will be made directly to the DPs from the State Treasury. PCC will specify a time and location in each District for issuing compensation payments from the State Treasury directly to DPs. Representatives of the District and



Communal People’s Committees and PDOTs will bear witness to the transfer of final compensation payments to individual DPs. Upon receiving compensation, DPs will be furnished with a payment receipt signed by the State Treasury. An illustration of flow of funds for compensation payments is presented in Figure 6-2. Figure 6-2: Disbursement of Compensation Funds

GoV

(State Treasury)

Provincial People’sCommittee


PAPs

I.

II.

Stages Prerequisites forDisbursement

-- Preparation & Approval of Compensation Plan

-- Tendering of Construction Contracts

-- Scheduling of District-level PAP Compensation Meetings

-- Public Information Campaign

-- Mobilization & Supervision of External Monitoring Agency

-- Conducting Inventories -- Preparing Compensation Plan for Approval by PPC and Quality Contol & Managmt Bureau of MOT



5. PUBLIC PARTICIPATION AND CONSULTATION

XV. Public Information Campaign and Consultation Process

PMU-18 will coordinate closely with PCC, DCC and local authorities to ensure that DPs are provided with adequate and timely information and able to participate actively at all stages of RAP planning and implementation. The main purposes of information dissemination and public consultation with DPs and involved agencies is to (i) reduce the potential for conflicts, (ii) minimize the risk of project delays, and (iii) enable the Project to design the resettlement and rehabilitation program as a sustainable development program to fit the needs and priorities of DPs and maximizing the social and economic benefits of project investment.

The main mechanism for information dissemination and consultation will be a Public Information Campaign, including distribution of a Public Information Manual to DPs and involved agencies. The objectives of the Public Information Campaign are:

Provide full information to DPs about the sub-project and related activities affecting them.

Obtain the cooperation and participation of DPs on activities to be undertaken in resettlement planning and implementation.

Gather information about the needs and priorities of DPs, as well as their feedback on proposed policies and activities.

Ensure transparency as well as timely and effective implementation of all activities related to land acquisition, resettlement and rehabilitation.

The two main phases for the Public Information Campaign are (a) information and consultation on resettlement planning and preparation; and (b) participation during implementation. PMU-18 and PCCs of the respective provinces have already conducted Phase 1, with substantial accomplishments, as described below. Phase 2 will be implemented after a loan agreement has been signed between GOV and World Bank for the NIP.

Phase I: Consultation on Resettlement Planning and Preparation Activity 1: Media campaign prior to DMS The media campaign prior to DMS began on the 27th March 2003 at a Disclosure Workshop, in which MOT and PMU-18 briefed PDOTs on NIP and requirements for the RAPs. Representatives of the public media were also present. Activity 2: Information dissemination by PMU-18 to PDOT PMU-18 disseminated information to and consulted with PDOTs on 2nd of April 2003. They were given a Public Information Manual for distribution to DPs. The manual contained the following: Project description; Resettlement policy framework; The compensation policy for the project; Entitlements under the resettlement policy framework;



The compensation resources and implementation steps that provides for cut-off date of DMS and institutional responsibility of agencies involved in compensation of DPs;

Provision for grievances and complaints. Activity 3: Information dissemination by PDOT and consultation with district and local authorities. Between April 4th and 8th, PDOTs disseminated public information to and consulted with the Chairmen of District and Commune People’s Committees. Activity 4: Information dissemination and consultation with DPs. In collaboration with district and commune officials, PDOTs conducted the DMS on 100% of DPs. The following items were explained to DPs:

Project description with reference to information manual,

Objectives and contents of DMS,

Documents required showing the legal status of land and house/or structure.

Requirement for cooperation and assistance from DPs and local authorities. As provided for in the DMS, each DP was informed about their resettlement options (i.e., reorganization on remaining land, relocation to a resettlement site, or self-relocation). They were also asked whether they preferred cash compensation, land-for-land exchange and/or relocation. Activity 5: PMU-18 meetings with provincial, district and commune representatives

The meetings covered the following: Project components; Proposed policies and procedures, including proposed strategies for implementing

resettlement; Summary breakdown of impacts within their respective areas; Implementation schedule; and Roles and responsibilities of the committees and agencies involved in or related to

resettlement. The local authorities were consulted on: Their opinions of the information disseminated to them; Their opinions of resettlement strategies and provisions for resettlement sites in

their respective areas; Identification of available land areas for groups of DPs that preferred relocation; Provincial and market rates for computing compensation of different types of assets.

Phase II: Information Campaign and Consultation during Resettlement Implementation

The following activities shall be undertaken after the GOV has signed a loan agreement with the World Bank for the NIP.



Activity 1: Information dissemination and training PMU-18, in collaboration with PCCs, will meet with DCCs and Commune PCs to inform them about consultation meetings and workshops to be held in their respective areas, as well as train them on basic policies and procedures for implementation of the RAP. DPs will be invited to the consultation meetings and training workshops. The PCCs shall require the DP, or a representative in their steed, to attend the meetings and workshops, where they will discuss NIP policies and implementation procedures on compensation and resettlement.

Activity 2: Public Meetings PMU-18 and PCCs will coordinate with the DCC and Commune PCs to inform and convene discussions with DPs on basic policies and procedures for compensation, rehabilitation and other aspects concerning implementation of the RAP. Activity 2a: Commune PCs will be tasked to send invitation letters or make public announcements after the PCCs have adjusted the data in the DMS due to changes in the final design of the road improvements. The invitation letters or announcements should include the following information: Time and location of meeting; Persons to attend the meeting (i.e., both male and female DP heads of household

who declared a preference to be relocated to a resettlement site); Objectives and contents of meeting (i.e., the meeting will introduce the sub-

project and describe DP rights and entitlements, including opportunities for DPs to ask questions and clarification).

Activity 2b: The Public Meeting PMU-18 and the PCCs will hold public dialogues with DPs to inform and consult with them on the sub-projects. The meetings will include the following: Distribution of printed information on criteria for rehabilitation, proposed

rehabilitation measures, and DP preferences on best suitable measure(s). With the use of visual aids, PMU-18 and PCCs will discuss and explain the

design of sub-projects; Open forum where DPs may ask questions and give comments, especially on

matters related to rehabilitation; Minutes that record questions, comments, options raised and the decisions

agreed upon during public consultation, recorded by the respective DCCs to submit to the PCC and PMU-18.

In addition, the following topics will be discussed and explained: Project Components Sub-project components and the places where they can obtain the comprehensive

information on them. Project Impacts Impacts of the sub-projects. Acquisition of lands, houses and fixed assets affected by the NIP will be

explained and demonstrated to DPs.



DPs rights and entitlements Process for determining eligibility of DP and rights to compensation and other

entitlements. Information to DPs without official documents on legalization procedures after

the criteria have been established. Entitlements for different categories of DPs, including rehabilitation and

temporary compensation measures for losses in business, jobs and income. Appraisal of options for land-to-land and/or cash compensation. Options for reorganizing group and individual relocation, as well as the types of

assistance and other entitlements for each case, as appropriate. Orientation on the location of resettlement sites with legal land title and access to

public utilities. Definition of entitlements for rehabilitation assistance, such as training and

advice on which credit institutions will accept requests from DPs for credit assistance.

The grievance mechanism and the appeals process Assurance of the NIP’s obligation to restore pre-project living standards, income

earning capacity and production levels of DPs. Information about assistance provided by DCC and Commune PC to assist DPs

in resolving confusion or misunderstandings about compensation and entitlements, as well as to address complaints related to compensation and other entitlements.

Information and an illustration of procedures for filing complaints and grievances.

Rights to participate and be consulted Information on the participation of DPs in planning and implementation of

resettlement and rehabilitation processes. Requirement for DPs, or their representatives, to attend public meetings

organized by PCC or DCC in relation to issues directly affecting DPs in the sub-project.

DPs being relocated will be consulted about the following issues Resettlement options according to entitlement. Choice and design of resettlement site. Preferences for training in economic rehabilitation programs, including severely

affected DPs that will not be relocated.

Contingency measures if resettlement cannot be avoided: DPs will be informed of the following activities: Basis for calculating compensation and schedules of payment. Procedures for monitoring the whereabouts of DPs or representatives. Reorganization of DPs before and after relocation. Orientation and briefing on the proposed resettlement sites. Relocation of DPs other than the designated site.



Information about lot distribution.

Institutional and organizational responsibilities of government agencies: Information about the organization and responsibilities of government offices

involved in resettlement, the names and positions of the government officials, their phone numbers and office locations, if available.

Implementation schedule: Information about proposed schedules of major resettlement activities. Assurance that DPs will not be required to relocate until they have received full

payment of compensation. Assurance that construction of sub-projects will not proceed until all resettlement

activities have been completed and former settlements have been cleared. Presentation of a chart of implementation schedules for DCC Activity 3: Compensation Agreement PMU-18 and the PCC will distribute information letters and Assets Compensation Forms (ACF) that define each compensation item (e.g., acquired land, houses, fixed assets), unit price, final compensation price and other entitlements for each DP, based on DMS data collected for the DP Inventory. The PCC will co-sign the ACF with the DP head of household and an independent witness to indicate their agreement to the compensation plan. Complaints and grievances will also be recorded, if any. The ACF will also include the preferences of severely affected DPs for area of relocation and/or economic rehabilitation assistance, as appropriate. Upon payment of compensation, the DP will be issued a receipt of payment. The ACF and the receipt of payment will be checked randomly with 10 percent of households through external monitoring and evaluation to ensure full payment of compensation and delivery of other rehabilitation measures. Activity 4: Providing DPs the Information on Compensation Payments PMU-18 will issue a letter to DPs, through PCC, informing them of the time, location and procedures for payments of compensation by the PCC.

Activity 5: Public Meeting on Development of Resettlement Site. Where applicable, PMU-18 will coordinate with PCC to organize public meetings and consultations concerning relocation and the preliminary design of resettlement site(s), detailing lot distribution. Activity 5a: Invitation letter to DPs for public meeting about resettlement site. PMU-18, through PCC, will send invitation letters to DPs, who expressed interest in relocating to a resettlement site/s, for a public meeting on the preliminary design of the resettlement site. Invitation letters will include the following information: Time and place of the meeting. Required attendance of DPs who prefer to relocate at designated resettlement

site.



Agenda of the meeting will cover the presentation of the preliminary design for the resettlement, site as presented in previous consultations, provide a schedule for follow-up meetings to identify their preferences in plot allocation at the resettlement site, and obtain the opinions of DPs on the suitability of recommended sites and designs, as well as their willingness to move to the site.

Activity 5b: Public meeting on alternative resettlement site. The public meetings about the resettlement site will include: Presentation of maps showing location of alternative resettlement sites, noting

distance from their present settlement, as well as discussion on advantages and disadvantages of the sites.

Services and facilities to be provided. Enumeration and description of public facilities and their distance to resettlement

site, such as school, medical clinic and other community services. Identification of nearby commercial areas and/or other locations where DPs can

re-establish businesses, if they feel that the selected resettlement sites do not provide attractive opportunities.

Activity 6 : Consultation with DPs to confirm their training preferences. DPs who prefer group relocation will be consulted on training preferences for economic rehabilitation programs to restore pre-project living standards. Activity 7: Public meeting on lot distribution/allocation at resettlement site. The DPs shall be consulted on lot allocation, site development and design as well as house construction.

Activity 7a: Letter of invitation to a public meeting PMU-18, through PCC, will send an invitation letter to DPs who prefer group relocation in a resettlement site for a public meeting and consultation on plot allocation. In case of absence, DPs should appoint a representative to attend the meeting in their steed. The content of the letter will be: Time and location of the meeting Persons to attend the meeting. Process on lot distribution/allocation by the district resettlement committee and

the role of DPs in plot selection. If necessary, distribution of plots will be through a lottery.

Explanation concerning plot allocation to priority groups and DPs with commercial/business activities.

Activity 7b: Public meeting on plot allocation As coordinated by PCC, the DCC will consult with DPs on the criteria and procedures for plot distribution/allocation and clarify any outstanding issues. DPs will be also informed about the following: Date when the plots shall be awarded;



Deadline for dismantling their structures and the dates of relocation; Payment of full compensation before relocation; Stipulations, if any, about house construction in resettlement site; Procedures for issuance of LURC by District Cadastral Offices. Proposed schedule for issuance of LURCs. Timing of house construction in resettlement sites consistent with the schedule of

relocation. Activity 8: Information/coordination to commune authorities, DPs and the general public about resettlement site construction PCC, DCC and Commune PC will coordinate among themselves to ensure that the DPs are fully informed of the schedule and procedures for construction on the resettlement site, and the completeness of the legal documents for DPs, such as Land Use Rights Certificates. Activity 9: Information to the general public and the DPs on the schedule of relocation PMU-18, in coordination with PCC, will notify the respective districts and communes of the schedule for relocation of DPs. Activity 10: Public meeting on resettlement issues

DCC will post in appropriate places in their respective jurisdictions announcements on public consultations pertaining to resettlement issues.



6. GRIEVANCES AND COMPLAINTS MECHANISM

The NIP will ensure that effective mechanisms are available and accessible to DPs for addressing grievances and complaints, and specific offices or persons will be identified where DPs can address them, as discussed in this chapter. In addition, the procedures and timeframes for filing grievances and complaints, in clear and easy to understand steps, have been explained in the Public Information Manual, described in the previous chapter. DPs will be exempt from all legal or other fees resulting from grievances and complaints related to the NIP. XVI. Content of Grievances and Complaints Any DP may file a complaint with the relevant authority related to compensation and entitlements of the NIP. The complaints can be submitted verbally or in written form. If verbally, the first authority hearing the complaint is responsible for writing down the complaint and co-signing it with the DP. XVII. Timeframes and Procedures A DP may address grievances and complaints at any time with the People’s Committees (PC) at various levels. The basic procedure for grievances and complaints has four main steps, plus verification through the monitoring and evaluation systems of the NIP (see Figure 8.1): (1) A complaint should first be filed with the Commune PC. The Commune PC is responsible to register the complaint (i.e., by writing it down and co-signing with the DP, if verbal; or writing a statement of acknowledgement with specified date, if written) and provide a written response within 15 calendar days from the date of registration. (2) If the DP is unsatisfied with the decision or the Commune PC is unable to resolve the issue, the DP has 15 calendar days to bring the complaint to the District PC. The District PC is responsible to register the complaint and provide a written response within 30 calendar days from the date of registration. (3) If the DP is unsatisfied with the decision or the District PC is unable to resolve the issue, the DP has 50 calendar days to bring the complaint to the Provincial PC. The Provincial PC is responsible to register the complaint and provide a written response within 30 calendar days from the date of its registration. (4) The decision of the Provincial PC will be final. However, if the DP is still unsatisfied with the decision, the DP may appeal to the Vietnamese legal system through the District People’s Court. The procedure described in these four steps reflects the existing legal apparatus for resolution of disputes in Vietnam. However, the system is oriented mainly towards disputes between people, as opposed to between people and government. Therefore, each PCC and PMU-18 will keep a written record of all grievances and complaints brought forward by DPs and their final resolution, as part of the NIP’s internal monitoring and evaluation. The independent agency contracted for external monitoring and evaluation will be responsible to check the procedures for and resolutions of grievances and complaints, as described in Chapter 9. The independent agency may recommend further measures to be taken to redress unresolved grievances. PMU 18 and the PCC will ensure that these timeframes and procedures are explained clearly to each level of the People’s Committees.



7. MONITORING AND EVALUATION

The NIP will include systems for internal and external monitoring and evaluation. The main purpose of monitoring and evaluation is to ensure that resettlement and acquisition of land and properties have been implemented in accordance with the policies and procedures of the RAP and the Policy Framework. External monitoring and evaluation, in particular, will focus on social impacts on DPs and whether or not DPs have been able to restore pre-project living standards, income earning capacity and production levels. XVIII. Internal supervising and monitoring PMU-18 will have the overall responsibility for supervising and monitoring implementation of the RAPs. In accordance with the Policy Framework, the main objectives of internal monitoring are as follows: Verify that the collection of baseline information of all DPs has been adequately carried out and that the valuation of assets lost or damaged, and the provision of compensation, resettlement and other rehabilitation entitlements have been carried out in accordance with the provisions of the Policy Framework and the RAP; Oversee that the RAPs are implemented as designed and approved; Verify that funds for implementing the RAPs are provided to the respective governments at local level (i.e., provincial and district) in a timely manner and in amounts sufficient for their purposes, and that such funds are used by the governments in accordance with the provisions of the RAP; and, Record all grievances and their resolution and ensure that complaints are dealt with in a timely manner. PMU-18 will supervise the PCC in implementation of the RAPs through ongoing communication, regular site visits, and the standard reporting procedures employed by the two units. In addition, PMU-18 will submit quarterly RAP Status Implementation Reports to GOV, summarizing progress on RAPs for each sub-project. The reports will be based on information provided by PCCs and DCCs, as well as PMU-18’s own field visits to the sub-projects. The main components of the RAP Status Implementation Reports will be: Summary status of resettlement activities will include a list of activities, target dates for completion, indicated percentage of completion and remarks on constraints encountered or other significant issues. The activities will include all aspects of the RAP as designed and approved, as described in Chapter 14. The summary status will be accompanied by a bar chart showing actual accomplishments vis-à-vis planned activities (i.e., target dates) and a narrative report describing constraints encountered, mitigating measures or proposed resolutions, and any other significant issues affecting timely and effective implementation in accordance with the RAP and Policy Framework. Itemized budget report will indicate date and amount of funds required by PCC, date of disbursement to PCC, and date of expenditure by PCC. The purpose of the budget report is to allow PMU-18 to supervise and monitor the timely and sufficient disbursement of funds to Provincial Compensation Committees, and that these funds have been used according to the provisions of the RAP.



List of grievances and complaints and their resolution will include a brief description of each complaint brought forward by DPs, a reference to its file number, the current status of the complaint, and the resolution, as appropriate. The description of the resolution will also include date of response and authority issuing the response. The purpose of this list is to allow PMU-18 to monitor the resolution of complaints effectively and to supply full and accurate information for external monitoring and evaluation of grievances and complaints. Internal monitoring and evaluation will be carried out throughout the planning and implementation of RAPs. The main output of internal monitoring and evaluation will be the quarterly RAP Status Implementation Reports submitted to GOV. XIX. External Monitoring and Evaluation GoV will retain an independent agency or agencies for both external monitoring and evaluation of the implementation of RAPs. The independent agency will be academic or research institutions, Non-governmental Organizations (NGO) or independent consulting firms, all with qualified and experienced staff. A draft Terms of Reference for external monitoring and evaluation is provided in Annex 4.

In accordance with the Policy Framework, the main objectives of external monitoring and evaluation are as follows, along with the added objective to verify resolutions of grievances and complaints: Determine whether the procedures for DP participation and delivery of compensation and other rehabilitation entitlements have been done in accordance with the Policy Framework and the respective RAP. Assess if the Policy Framework objective of enhancement or at least restoration of living standards and income levels of DPs have been met. Gather qualitative indications of social and economic impact of Project implementation on the DPs. Suggest modification in the implementation procedures of the RAPs, as the case may be, to achieve principles and objectives of the Policy Framework. Assess if grievances and complaints have been addressed adequately or whether further measures can be recommended

The independent agency will be responsible for conducting (i) interviews with the main agencies involved in the NIP and local authorities at all levels, (ii) household survey with 10 percent of DPs per district, (iii) review of grievances and complaints with at least 30 percent of DPs per province; and (iv) (iii) market survey of compensation items per province. See Annex 4 for more detail on indicators, sampling methods, and research methodologies.

External monitoring will be conducted on a quarterly basis during implementation of RAPs, which includes completion of compensation payments, relocation of DPs, and income rehabilitation assistance programs. A final evaluation on social impacts and whether DPs have restored living standards and income earning capacity to pre-project levels will be conducted 6 months after completion of each RAP. The main output from these activities will be a Mission Report. If progress on resettlement is unsatisfactory, the independent agency will provide the necessary recommendations to achieve the objectives of the Policy Framework and MOT will be responsible for ensuring that recommendations are fully implemented. .


Policy Framework for Compensation, Resettlement and Rehabilitation of Displaced Persons Prepared with the assistance of The Louis Berger Group, Inc. PF-1

ANNEX 1

POLICY FRAMEWORK FOR COMPENSATION, RESETTLEMENT AND REHABILITATION OF DISPLACED PERSONS

Road Network Improvement Project

(Final)

Revised August, 2004

TABLE OF CONTENTS

A) INTRODUCTION ................................................................................................................................. 1

B) DEFINITION OF KEY TERMS .......................................................................................................... 1 C) OBJECTIVES ....................................................................................................................................... 5

D) PRINCIPLES ........................................................................................................................................ 5

E) ENTITLEMENTS ................................................................................................................................. 7

F) INSTITUTIONAL AND LEGAL FRAMEWORK .............................................................................. 9

G) PUBLIC PARTICIPATION, CONSULTATION, COMPLAINTS AND GRIEVANCES ................ 11

H) MONITORING AND SUPERVISION ............................................................................................... 11

I) COSTS AND BUDGET ....................................................................................................................... 11

J) IMPLEMENTATION ARRANGEMENTS ....................................................................................... 13

K) RESETTLEMENT PLANNING ......................................................................................................... 13

L) ANNEXES

1. ENTITLEMENT MATRIX……………………………………………………………………15 2. ORGANIZATIONAL CHART OF PMU-18….....................................................................17



III) INTRODUCTION

i) Project Description

The Road Network Improvement Project (RNIP) will include the rehabilitation and strategic widening of approximately 635 km of roads and a rolling program of prioritized periodic maintenance on the existing National Highway network. Feasibility studies and engineering design are underway, and impacts on resettlement and ethnic minorities are now being evaluated. Nearly all work is expected to take place within the existing right-of-way. No major acquisition of private assets and displacement of population are therefore foreseen – but land acquisition and resettlement may occur due to limited widening in high traffic urban areas and encroachment into the right-of-way. The project area constitutes an environmentally and socially sensitive zone, with some subprojects located near wildlife sanctuaries, protected habitats, areas of cultural sensitivity, and the homes of poor and vulnerable households in Vietnam, possibly including those of ethnic minorities. The RNIP will be complemented by a number of on-going efforts at the commune and village level, in particular the Government of Vietnam’s (GOV) Transport Development Plan, 2001-2020, the “Poorest Communes Program”, the World Bank financed Northern Mountains Poverty Reduction Project and Second Rural Transport Project, as well as various community-based and rural development activities in secondary, tertiary and sub-tertiary projects financed by the ADB (Asian Development Bank) and others. Two policy frameworks have been developed for RNIP Project: one to guide the preparation and implementation of resettlement plans; and the other to guide the preparation and implementation of ethnic minority development plans.

ii) Resettlement Policy Framework

(a) This Resettlement Policy Framework lays down the principles and objectives, eligibility criteria of Displaced Persons (DPs), entitlements, legal and institutional framework, modes of compensation and rehabilitation, peoples’ participation features and grievances procedures that will guide the compensation, resettlement and rehabilitation of the DPs.

(b) This policy framework and its provisions will also apply to other projects or development activities which have been recently completed, are carried out, or planned to be carried out, contemporaneously with the project, regardless of sources of funding, which are directly and significantly related to the RNIP sub-components and are necessary to achieve its stated objectives.

IV) DEFINITION OF KEY TERMS XX.

i) Displaced Persons (DPs) The DPs include the person or persons, household, firm, or a private or public institution to be identified by the baseline information collected for each of the Inventories and Resettlement Action Plans (RAPs) as specified in K, Surveys and Documentation, Para. (iii), who, on account of the execution of the Project, has experienced or would experience direct economic and social impacts caused by:

(a) the involuntary taking of land, resulting in: (A) relocation or loss of shelter; (B) loss of assets or access to assets; or (C) loss of income sources or means of livelihood, whether or not such person must move to another location; or

(b) the involuntary restriction of access to legally designated parks and protected areas, resulting in adverse impacts on the livelihood of such person.

“Displaced Persons” means, collectively, all such Displaced Persons.



ii) Compensation Compensation includes the process of financial or material reimbursement of DPs who lost partial or the absolute value of their assets as a result of the Project. Compensation also includes the valuation and reimbursement in monetary terms or in kind of financial and physical losses as a result of impacts of the Project. iii) Cut-off date

The cut-off-date is the last day of the survey when all DPs have been accounted for. After the cut-off date, no other DPs may be included in the inventory of DPs. The inventory lists all potential DPs, including their baseline information. People who move residences or business assets into or within the marked right of way after the cut-off date are not entitled to compensation under this policy framework. iv) Rehabilitation

Rehabilitation means providing assistance to DPs severely affected due to the substantial or entire loss of productive assets, incomes, employment or sources of living, to supplement payment of compensation for acquired assets in order to improve, or at least achieve full restoration of incomes and living standards to the pre-project levels. v) Replacement Cost

With regard to land and structures, “Replacement Cost” is defined as follows:

(a) For agricultural land: it is the pre-project or pre-displacement, whichever is higher, market value of land of equal productive potential or use located in the vicinity of the affected land, plus the cost of preparing the land to levels similar to those of the affected land, plus the cost of any registration and transfer taxes.

(b) For land in urban areas: it is the pre-displacement market value of land of equal size and use, with similar or improved public infrastructure facilities and services and located in the vicinity of the affected land, plus the cost of any registration and transfer taxes.

(c) For houses and other structures, it is provided by the Provincial People’s Committee based on the market cost (at the time of compensation) of the materials to build a replacement structure with an area and quality similar to or better than those of the affected structure, or to repair a partially affected structure, plus the cost of transporting building materials to the construction site, plus the cost of any labor and contractors’ fees, plus the cost of any registration and transfer taxes. In determining the replacement cost, depreciation of the asset and the value of salvage materials are not taken into account, nor is the value of benefits to be derived from the project deducted from the valuation of an affected asset.

(d) Crops, trees and other perennials based on current market value i. Compensation for annual crops is equivalent to the production over the last three

years multiplied by the market price for agricultural products at the time of the calculation of the compensation.

ii. Compensation for trees includes total investment cost plus production cost from the time of its planting to the expropriation. In case this cost cannot be determined, the compensation will be calculated on the basis of the type, age and productive value.



(e) Other assets (i.e., income, cultural, aesthetic) based on replacement cost or cost of mitigating measures. For example, compensation for the movement of graves includes all expenditures for exhumation, movement and reconstruction to its original state.

vi) Resettlement Resettlement refers to all measures taken by the Project Proponent to mitigate any and all adverse social impacts of a project on the DPs, including compensation for lost assets and incomes and the provision of other entitlements, income rehabilitation assistance, and relocation, as needed. vii) Right of Way

For this Policy Framework, Right of Way (ROW) is determined by measuring both sides of the road, starting from the existing or proposed centerline to the outside edge of the cleared zone.

viii) Vulnerable Groups

Vulnerable groups include those distinct groups of people who might suffer disproportionately or face the risk of being marginalized by the effects of resettlement, and specifically include: (a) Poor and very poor communes as identified by the 1999 national survey results. (b) Ethnic minorities (see Policy Framework for Ethnic Minority Development Plan). (c) Mentally and physically handicapped people or people in poor physical health. (d) Infants, children and women. (e) Households without security of tenure or with tenure status. ix) DPs Without Legal Title

DPs without legal title are occupants of land and housing without legal ownership rights and individuals or groups of people with shops conducting business in the immediate project areas without official registration and will be adversely impacted by the Project through displacement. DPs without legal title are entitled to compensation provided their assets affected by the project were documented in the pre-project census prior to the cut off date. x) Sub-project

Roads under RNIPvang that are brought forward for implementation, starting with feasibility study, preliminary and final design, are defined as sub-projects and are subject to the policy and guidelines of this framework. xi) Ethnic/Indigenous People

Ethnic/Indigenous People are defined as persons who belong to a minority tribal group affected in part or in total (temporarily or permanently) by the Project due to acquisition of their lands, dwellings, disturbance of their place of work, and other Project-related adverse impacts. xii) Land Use Registration Certificate (LURC)

LURC is similar to a title granted to DPs that legalize their use of the lands and/or houses they occupy. xiii) Relocation Site



The relocation site is defined as the area allocated for the resettlement of DPs living on both sides of RNIP sub-projects that are severely affected and who choose relocation over cash compensation.

V) OBJECTIVES

i) The principle objective of the Resettlement Policy Framework is to ensure that all Displaced Persons (DPs) will be compensated for their losses at replacement cost and provided with other assistance and rehabilitation measures to assist them to improve, or at least maintain, their pre-project living standards and income earning capacity.

ii) The Government of Vietnam (GOV) will make every effort to avoid, or where it is not possible, to minimize displacement and adverse impacts of projects by examining all available design options.

iii) Should the need for resettlement occur, it will be treated as an integral part of the project and be implemented in full consultation and participation with the Displaced Persons.

iv) Attention is paid to affected vulnerable groups in order to enhance their future prospects and for poverty alleviation.

VI) PRINCIPLES

The compensation principles outlined in the World Bank's Operational Policy 4.12 have been adopted in preparing this Resettlement Policy Framework. In this regard the following principles and objectives will be applied:

i) For each RNIP sub-project a separate resettlement study shall be carried out, including planning and implementation of a RP if required, funding and monitoring and evaluation of subsequent action.

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

iii) The Project is not anticipated to involve the acquisition of or impact upon wildlife sanctuaries, protected habitats, and areas of cultural sensitivity. Special attention will be made to avoid and restrict access to these locations. Where appropriate, the GOV will develop mitigation plans to ensure that the project has a minimal impact on cultural or natural resources. iv) Special attention will be placed on minimizing the adverse impact on vulnerable groups and where this is unavoidable, assistance would be provided to achieve stated objectives of this policy framework.

v) All DPs residing, working, doing business or cultivating land in right of way (ROW) of the Project roads and other project areas, as of the date of the baseline surveys are entitled to be provided with compensation, other assistance and 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 will not bar the DP from entitlement to such measures.

vi) The compensation measures to be provided are:



(k) Compensation at replacement cost without deduction for depreciation or salvage materials for houses and other structures;

(l) Agricultural land for land of equal productive capacity acceptable to the DP or in case suitable replacement land is not available and at ‘informed request’ of DPs, compensation in cash at replacement cost;

(m) Replacement of premise land of equal size acceptable to the DP or in case suitable replacement land is not available cash compensation at replacement cost may be provided at ‘informed request’ of the DPs;

(n) Transfer, transition and subsistence allowances;

(o) Compensation at replacement cost for temporary impacts;

(p) Compensation at replacement cost for DP without legal rights to their affected assets as identified before the cut-off date and other assistance to ensure that they are not worse-off due to the project;

(q) Economic rehabilitation assistance for severely affected DPs and vulnerable groups to improve, or at least restore their incomes and standards of living to pre-project level on a sustainable basis;

(r) In the case of loss of business, DPs will be provided with a special allowance for the loss of business income during the transition period;

(s) Compensation at replacement cost of partial impacts on existing structures together with allowance for repair of remaining structures; and

(t) Replacement premises and agricultural land will as nearly as possible equal in value to the land that was lost, and acceptable to the DP.

vii) The resettlement transition period will be minimized and the compensation and other rehabilitation means will be provided to the DPs no later than one month prior to the expected start-up date of works in the respective Project site. viii) Tenants who have leased a house / structures for residential or other purposes and affected by the project will be provided with a cash assistance equivalent to six months rental allowance and to cover for other losses, and will be assisted in finding alternative rental accommodation. ix) Plans for acquisition of land and other assets and provision of compensation and other rehabilitation measures will be carried out in consultation with the DPs, to ensure minimal disturbance. Entitlements will be provided by DPs no later than one month prior to expected start-up of works at the respective project site. x) The previous level of community services and resources will be maintained or improved. xi) Any acquisition of, or restriction on access to resources owned or managed by affected community as a common property should be mitigated by arrangements ensuring access to improved or at least equivalent resources on a continuing basis. xii) Financial and physical resources for resettlement and rehabilitation will be made available and as when required. xiii) Institutional arrangements will ensure effective and timely design, planning, consultation and implementation of the Inventories and RPs.



xiv) Effective and timely supervision, monitoring and evaluation of the implementation of the Inventories and RPs will be carried out. xv) All replacement land for agriculture, residential and businesses will be provided with secured tenure status and without any additional cost, sales taxes, fee, and surcharge to the DPs at the time of transfer.

VII) ENTITLEMENTS

DPs will be entitled to the following types of compensation and rehabilitation measures:

i) DPs losing agricultural land and crops

(a) DPs with legal or legalizable rights of land use

i. The general mechanism for compensation of lost agricultural land will be through provision of "land for land" arrangements of equal productive capacity, satisfactory to the DP.

However, if the DP prefers to receive cash compensation or replacement land is not available then the following applies:

If the portion of the land to be lost represents 20% 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, may be provided to the DP; or

If more than 20% of a villager's agricultural land is acquired and the remaining holding is not viable then the Project will acquire the entire landholding and provide cash compensation at full replacement cost.

ii. DPs will be compensated for the loss of standing crops and fruit or industrial trees at market price. Productive trees will be compensated at replacement cost.

iii. DPs whose land is temporarily taken by the works under the each subproject will be compensated for their loss of income, standing crops and for the cost of restoration of the land to its previous productive status, and for damaged infrastructure.

iv. Severely Affected DPs. A severely affected DP is one who loses 20% or more of

their agricultural landholdings and/or one who is forced to relocate their residence or business as a result of the Project.

v. Severely affected DPs and vulnerable groups will receive economic

rehabilitation assistance in the form of income rehabilitation programs, training to improve skills and other assistance for self-employment enabling them to attain, at a minimum, pre-project livelihood levels on a sustainable basis.

(b) DPs without legal or legalizable rights of land use

i. DPs who are left with no agricultural land, or whose remaining land is less than

the standard in the locality (The standard for households’ agricultural land area is based on the number of laborers in the household, and is determined by the PPC for the locality), will be provided with replacement agricultural land to meet the standard of the locality to ensure the achievement of the policy objectives.



ii. The remaining DPs will not be provided with land compensation, but will be provided wth income rehabilitation assistance if severely affected and their lost crops, houses and other assets will be compensated fully at replacement cost.

(ii.) DPs losing residential land and structures:

(a) DPs with legal or legalizable rights of land use

i. The mechanism for compensating loss of residential land and structures will be: (1) the provision of replacement residential land (house site and garden) of equivalent size, satisfactory to the DP; and (2) cash compensation reflecting full replacement cost of the structures, without deduction for depreciation or salvage materials.

ii.If the residential land and/or structure is only partially being affected by the Project and the remaining residential land is not sufficient to rebuild the residential structure lost in accordance with the prevailing standards, then at the request of the DP the entire residential land and structure will be acquired at full replacement cost, without depreciation.

iii.All relocated DPs will be provided with transportation and subsistence allowances as specified in Article 4 of Decree 22/CP.

iv. Tenants, who have leased a house for residential purposes will be provided with a cash grant of from three to six months rental fee at the prevailing market rate in the area, and will be assisted in identifying alternative accommodation.

v. Severely affected DPs and vulnerable groups will receive shelter or other forms of economic rehabilitation from the GOV if deemed necessary and where applicable.

vi. In case of partial impact on structures and where the remaining structures remain viable for continued use, DPs will also be entitled to additional allowance for repair of remaining structure.

(b) DPs without legal or legalizable rights of land use

i. In terms of their lands: If the DPs do not have other residential land or the remaining land is not sufficient enough for rebuilding the new house, they will be provided with replacement land to meet standard size of the locality.

ii.For the other cases there will be no land compensation, but their houses, and structures will be compensated as DPs with legal or legalizable rights of land use.

(iii) DPs losing business:

(a) The mechanism for compensating loss of business will be the same that applies for the lost residential land and structures such as: (1) the provision of alternative business site of equal size and accessibility to customers, satisfactory to the DP; (2) cash compensation for lost business structures reflecting full replacement cost of the structures, without depreciation or deductions for salvages building material. In addition DP will receive cash compensation for the loss of income during the transition period.

(b) DPs 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, such as tombs and water wells.



(iv) In cases where community infrastructure such as schools, factories, water sources, roads, sewage systems is damaged, the GOV will ensure that these would be restored or repaired as the case may be, at no cost to the community.

(v.) Other support policies

Article 26 of Decree 22 provides that based on local conditions, the Chairperson of the People’s Committee of the province or city may decide on a number of policies pertaining to the allowances paid to the persons whose lands are to be acquired for the Project. These include:

a) Families with a member or member/s who is/are receiving social allowances from the State and who have to move their dwelling places due to the recovery of the land shall receive a minimum allowance of 1,000,000 VND.

b) An organization, a household, or an individual who is a user of the land and who carries out the dismantling of the construction, who moves according to the plan of the Council of Compensation for ground clearance shall receive a maximum award of 5,000,000 VND per household.

The entitlement matrix is attached (See Annex 1).

VIII) INSTITUTIONAL AND LEGAL FRAMEWORK

i) Institutional Framework The responsibility for implementing the Resettlement Policy Framework and RPs are as follows:

(a) The overall responsibility for enforcement of the Policy Framework and for planning

and implementing RPs rests with the GOV (PMU18 (see organizational chart in Annex 2), and/or the Vietnam Roads Administration, VRA). The GOV is responsible for preparing Inventories and RPs and for the day-to-day implementation thereof within their respective jurisdiction. The peoples committees at the commune level will ensure the active and effective participation of the DPs in the preparation and implementation of RPS.

(b) Funds for implementing RPs will be provided by PMU18 and VRA based on the

costs estimated and presented in the RPs for various sub-projects. In case of overruns of costs due to unforeseen delays or other circumstances, PMU18 and VRA will be responsible for providing necessary additional funds as and when required to cover all resettlement costs.

ii) Legal Framework

(a) The legal framework governing the implementation of this Policy Framework and the Inventories and RPS is Article 27 of the 1993 Land Law enacted by the National Assembly of the Socialist Republic of Viet Nam on July 1993, the Decree 64-CP dated September 27, 1993, the Decree No. 87-CP dated August 17, 1994, the Decree No. 22-CP dated April 24, 1998, the Decree No.54-ND-CP dated July 8, 1999, the Circular 145-TT BTC dated November 4, 1998.

(b) Article 27 of the Land Law provides that: "In case of utmost necessity, when the State recovers land being used by a land user, for national defense, security, national



benefit, or public benefit purposes, the land user shall be given compensation for the damages.".

(c) Decree No. 87-CP provides for minimum and maximum prices for compensation of different categories of land. These prices have been established for purposes of leasing government land, acquisition of land by government, for tax value for transfer of land use rights and for national and public purposes. The prices established in this Decree are set administratively and may not be adequate for compensating the value of the land lost in accordance with the principles and objectives of this Framework (full replacement cost). By now, the Government of Vietnam has removed the compensation cost frame stipulated in Decree 87CP by applying Decree 22-CP which provides the compensation cost on the basis of the land productive capacity and the land-transfer price in each locality in accordance with the principle of compensation based on market price. For houses and buildings, compensation ensures new construction with similar technical class based on the market cost of the materials on local market without deduction for depreciation.

(d) There is therefore need for the GOV to issue a special decision providing for the waiver of the provisions of Decree 87/CP and allowing payment of compensation at replacement cost without deduction for depreciation or salvage materials.

(e) Decree No. 22-CP, which was enacted on April 24, 1998, has significant improvements over earlier decrees. These improvements are as follows: it provides for a wider coverage and increased amounts for transition and moving expenses in relocation; provides for land and cash options for compensation; introduces entitlement for land at above administrative rates in the statement "compensation suitable to the profit-making capability..."; and eligibility for entitlement expanded from legal land users to include: (i) legalizable land users; and (ii) those using public right of way can be considered "case by case." However the Decree provides that those without legal rights to land and houses will not be entitled to compensation (Articles 7 and 16). The Decree provides for the establishment of compensation prices that could result in less than 100% replacement cost without depreciation for land (Article 8) and for houses and structures (Articles 17 and 18). The Decree allows for rental allowances that could be established at less than 100% value of the DP’s current rental rate (Article 25). These articles are contrary to the principles and entitlement policy outlined in this Framework and, therefore, GOV will issue a special decision providing for the waiver of provisions within Articles 7, 8, 16, 17, 18 and 25 of Decree 22 that are inconsistent with the guidelines of the World Bank.

(f) Decree No. 172/1999/CP, which was enacted on December 19, 1999, and became effective as of January 1, 2000, stipulates that DPs within the ROW will be compensated for land and properties if they occupied them prior to the enactment of the Decree. In project areas where the Decree has been fully applied, the policy is consistent with guidelines of the World Bank. In project areas where the Decree has not been correctly effected, this Decree will be waived for DPs without legal or legalizable rights of land use. All DPs residing, doing business or cultivating land in the ROW of NIP roads and other project areas, as of the date of the DMS survey, are entitled to compensation and other rehabilitation measures defined in the RAP. Lack of legal rights to fixed assets will not bar DPs from entitlement to compensation.

(g) In approving this Framework, the Government grants the above-mentioned required waivers and agrees to waiver all other decrees, regulations, laws or components thereof that are inconsistent with OP 4.12, as well as authorizes the Ministry of Transport (MOT) and local authorities to provide: (a) compensation at 100% replacement cost without deduction for depreciation and salvage materials, for land, houses and other assets taken by the project; (b) compensation and resettlement



assistance to all displaced persons regardless of their lack of title to land or properties lost; and (c) rental allowances at 100% of the DP’s current rental rate.

IX) PUBLIC PARTICIPATION, CONSULTATION, COMPLAINTS AND GRIEVANCES

i) Public Participation and Consultation

DPs will participate throughout the various stages of the planning and implementation of the Inventories and RPs. For these purposes and prior to the preparation of the Inventories and RPs, the DPs will be informed of the provisions of this Policy Framework at public meetings at local provincial and district levels as well as by the District Peoples' Committee and Communes Peoples' Committees. Each household DP will be fully informed by the PMU18/VRA through relevant District Peoples' Committee and/or Communes Peoples' Committees of their entitlements and rehabilitation choices under the respective Inventory or RP.

ii) Complaints and Grievances

Complaints and grievances related to any aspect of RPs, including the determined area and price of the lost assets, will be handled as follows:

(a) As a first stage, DPs will present their complaints and grievances to the Commune

Resettlement Committees, which will have to provide a written response to the DP, within fifteen calendar days of receiving the complaint. If the DP is not satisfied with the decision of the CRC, the DP may present the case to the District Resettlement Committee within fifteen calendar days of receiving the written response from the CRC authorities. The decision of the DRC should be rendered within thirty calendar days of receipt of the DPs appeal, and can, at the request of the DP within fifty days, be reviewed and revised by the Provincial Resettlement Committee. The decision of the PRC le will be provided to the DP in writing within thirty calendar days of the request.

(b) If the DP is not satisfied with the decision of the PRC the case may be submitted for consideration by the District Court.

(c) DPs will be exempted from all administrative and legal fees.

X) MONITORING AND SUPERVISION

i) Implementation of the RPs will be regularly supervised and monitored by the PMU-18/VRA in coordination with the respective PRC and DRCs. The findings will be recorded in quarterly reports to be furnished to the GOV.

ii) Internal monitoring and supervision will:

(a) 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 Policy Framework and the respective Inventory and RP.

(b) Oversee that the RPs are implemented as designed and approved.

(c) Verify that funds for implementing the RPs are provided to the respective GOV at local level (provincial/district) in a timely manner and in amounts sufficient for their



purposes, and that such funds are used by the GOV in accordance with the provisions of the RP.

(d) Record all grievances and their resolution and ensure that complaints are dealt with in a timely manner.

iii) An independent agency or agencies will be retained by the GOV to periodically carry out external monitoring and evaluation of the implementation of the RPS. The independent agencies will be academic or research institutions, non Governmental Organizations (NGO) or independent consulting firms, all with qualified and experienced staff and terms of reference acceptable to the World Bank.

iv) In addition to verifying the information furnished in the internal supervision and monitoring reports, the external monitoring agency will visit a sample of 10% of household DPS in each relevant province six months after each RP implementation to:

(a) Determine whether the procedures for DPs participation and delivery of

compensation and other rehabilitation entitlements have been done in accordance with this Policy Framework and the respective RP.

(b) Assess if the Policy Framework objective of enhancement or at least restoration of living standards and income levels of DPs have been met.

(c) Gather qualitative indications of the social and economic impact of Project implementation on the DPs.

(d) Suggest modification in the implementation procedures of the RPS, as the case may be, to achieve the principles and objectives of this Policy Framework.

I) COSTS AND BUDGET

i) Each RP will include detailed cost of compensation and other rehabilitation entitlements and relocation of DPS, if that be the case, with a breakdown by agricultural land, residential land, business land, houses, businesses and other assets. The cost estimates will make adequate provision for supervision, monitoring and management costs, and contingencies.

ii) Sources of funding for the various RP activities will be clearly specified in the cost tables.

J) IMPLEMENTATION ARRANGEMENTS

i) Sources of funding for the various RP activities will be clearly specified in the cost tables. A detailed implementation schedule of the various activities to be undertaken will be included in each RP.

ii) Payment of compensation and furnishing of other rehabilitation entitlements (in cash or

in-kind), except where long-term economic rehabilitation measures are required, and relocation if that be the case, will be completed at least one month prior to initiation of civil works activities

iii) Administrative and legal fees: DPs will be exempt from all administrative and legal fees

in connection with compensation determination, payment and RPs.



K) RESETTLEMENT PLANNING XXI.

i) Resettlement Plans

a) In case impacts on the entire affected population are minor or fewer than 200 people are displaced, an Abbreviated Resettlement Plan for each such road or segment of road will be prepared by the respective Provincial Project Management Unit (PPMU) and consolidated by PMU18 for any given Project Annual Work Program, and furnished to the International Development Association (IDA) for its concurrence. The Plan will be in accordance with this Resettlement Policy Framework.

b) In case the impact is significant and more than 200 people are displaced by the

rehabilitation of a road or a segment of the road under the Project, a Resettlement Plan (RP) for each such road or segment of road will be prepared by the respective Provincial Project Management Unit (PPMU) in accordance with the provisions of this Resettlement Policy Framework and OP 4.12. The RP will be furnished by PMU18 to the IDA for its concurrence.

c) Each RP and Abbreviated RP will include: (a) a Census and Inventory, (b) a detailed

socioeconomic survey of DPs in accordance with (iii) below (for RP only); (c) entitlement matrix, (d) estimated resettlement cost, (e) arrangements for compensation implementation, and external monitoring and evaluation (f) public consultation and participation activities, (g) a timeline and budget for compensation, (h) implementation schedule linked to civil works and (i) description of resettlement sites and programs for improvement and restoration of livelihood and standard of living.

d) Each RP will be completed no later than six months prior to the estimated date for

commencement of the works under the respective road or segment thereof. Each RP will be furnished to IDA for consideration no later than four months prior to the actual initiation of the works under the Project. Compensation, resettlement and rehabilitation activities will only commence after IDA has found acceptable the respective RP and the GOV has approved it. The compensation, resettlement and rehabilitation activities will be completed at least one month before the beginning of works under the respective road or segment thereof. XXII.

ii) Baseline Information

a. Census and Inventory: will include the following information for each DP household:

(1) Number of persons and names; (2) Number, type, and area of the houses lost; (3) Number and area of all the residential plots lost; (4) Number, category and area of agricultural land lost; (5) Quantity and types of crops and trees lost; (6) Businesses lost including structures, land and other fixed assets; (7) Productive assets lost as a percentage of total productive assets; (8) Quantity and category of other fixed assets affected by each sub-Project; (9) Temporary damage to productive assets; and (10) Loss of incomes and employment.

b. The entitlements of assets and land affected are calculated based on the above information.



c. Detailed socioeconomic survey of the DPs describing their age, sex, ethnicity, education, occupation, estimates of household expenditure patterns, skills possessed, savings and debts, and record of fixed and moveable assets.

L) ANNEXES

1. Entitlement Matrix 2. Organization Chart of PMU-18



Annex 1 – Entitlement Matrix

LossType Definition of entitled persons Application Compensation Policy

1 Agricultural land

1. DPs with legal or legalizable rights of land use will be compensated for their lost lands, or for their total land holdings if remaining holdings are deemed non-viable.

1.1 Permanent Impacts affecting less than 20% of lands

- Cash compensation at full replacement cost of affected area of holding

2. DPs without legal or legalizable rights of their land use will only be compensated if their remaining legal holdings are below the locality standard (in which case they will be provided with the minimum standard), but they will be entitled to income rehabilitaton and relocation assistance in lieu of compensation to achieve the objectives of the Policy Framework

1.2 Permanent Impacts rendering remaining land non-viable or affecting more than 20% of lands

- Choice of "land for land" or cash compensation at full replacement cost for entire holding plus eligibility for iincome rehabilitation assistance - Development of resettlement sites and rehabilitation assistance for clusters of severely affected DPs (need and scale determined by locality).

3. DPs who encroach on the area after the cut-off date are not entitled to compensation or any other form of resettlement assistance.

1.2 Temporary Impacts

- Compensation for land restoration, loss of income and standing crops - If temporary impacts last more than 2 years, plots will be considered as permanently affected.

2 Residential land Ibid,

Impacts on house foundation area and house yard

Ibid,

3 Houses and structures

All DPs identified before the cut-off date, including those lacking legal rights to assets.

3.1 Partial impacts - Cash compensation for affected area of building/structure at full replacement cost issued by the Provincial People’s Committee.

3.2 Entire house/structure affected

- Cash compensation at 100% based on new construction cost (replacement cost) of entire building/structure provided by the Provincial People’s Committee. - If a partially affected building is rendered non-viable for continued use, cash compensation at full replacement cost of entire building



(Entitlement Matrix – continued)

4 Rented residences

1. Renters - Cash allowance corresponding to 6 months of rent of lost residence (or time of temporary displacement). Tenant will be assisted in identifying alternative leases.

2. Temporarily displaced DPs

5 Crops/trees All DPs identified before the cut-off date, including those lacking legal rights to assets.

Cash compensation at 100% replacement cost.

6 Other fixed assets

Ibid, Tombs, wells, fish ponds, cement surfaces, etc….

Ibid,

7 Business Ibid,

Cash compensation or cash allowance for lost business income for the duration of the transitional period at 100% of revenue estimates foregone (based on monthly revenue averages)

8 Allowances and subsidies

Severely Affected DPs

8.1 DPs being relocated through Government planning 8.2 DPs self-reorganizing on remaining lands

- Transport allowance: 1,000,000 VND x household - Transition allowance: cash corresponding to 30 Kg. of rice x person x 6 months. - Award of 5,000,000 VND for relocating DPs if clearing of construction is done in a timely fashion - Income rehabilitation assistance: 1.100,000 VND x household for economic rehabilitation training programs (need and scale determined by locality), specially directed towards agricultural laborers

8.3 DPs affected with 20% or more of their agricultural land holding or relocation including shop or business relocation

- Income rehabilitation assistance: 1,100,000 VND (awarded in kind) x household for training programs or other suitable measures, of which the need, type and scale will be determined by the locality and the individual DP



Annex 2 - Organization Chart of PMU-18 II.

III. General Director

Deputy General Director





Project Implementing

Division 1


Division 2


Division 3


Division 5


Division 6

South PMU 18

Administration Department

Planning Department

Financing Department

Science & Technology Department

Land Acquisition Department

ANNEX 2 DMS Questionnaire

Code

VIET NAM RURAL NETWORK IMPROVEMENT PROJECT Survey Questionnaire

Dù ¸n n©ng cÊp m¹ng l−íi ®−êng bé ViÖt Nam C©u hái ®iÒu tra

INTRODUCTION: Our Central Government, through the office of Project Management Unit No.18 (PMU 18), will implement a three-year program for the rehabilitation and improvement of rural roads all over Viet Nam. The project is called Rural Network Improvement Project (RNIP) with the main objective is to modernize our road infrastructure. In Quang Binh Province, about 41 kilometres of your national highway shall be rehabilitated during the first year of the program. Our Central Government assumes that when the rehabilitation of your national highway is completed, it would generate savings on travel time of your people and convenience in mobility of trades in your area. Your cooperation is being solicited by our Central Government. As the road shall be widened, it will acquire additional space from the lots you occupy right now. However, our Central Government will provide assistance to you and compensate the equivalent amount of your property that shall be affected. In knowing the compensation, our Central Government through the PMU 18, sent us to your household to get your answers to the following questions. (_______). (ChÝnh phñ th«ng qua Ban Qu¶n lý dù ¸n 18 (PMU18) sÏ triÓn khai ch−¬ng tr×nh 3 n¨m c¶i t¹o vµ n©ng cÊp m¹ng l−íi ®−êng bé cña ViÖt Nam. Dù ¸n nµy mang tªn Dù ¸n n©ng cÊp m¹ng l−íi ®−êng bé (RNIP) víi môc tiªu chñ yÕu lµ hiÖn ®¹i ho¸ c¬ së h¹ tÇng m¹ng l−íi ®−êng bé. T¹i tØnh Qu¶ng B×nh, kho¶ng 41km ®−êng quèc lé sÏ ®−îc n©ng cÊp trong suèt n¨m ®Çu tiªn cña dù ¸n. ChÝnh phñ cña chóng ta cho r»ng khi hoµn thµnh viÖc n©ng cÊp, nh×n chung sÏ gióp tiÕt kiÖm thêi gian ®i l¹i vµ t¨ng tÝnh l−u ®éng trong ho¹t ®éng th−¬ng m¹i ë khu vùc. ChÝnh phñ rÊt mong sù hîp t¸c cña çc b¹n. Khi tuyÕn ®−êng ®−îc më réng, sÏ cÇn thªm ngay lËp tøc mét kho¶ng kh«ng gian tõ nh÷ng l« ®Êt do çc b¹n së h÷u. Tuy nhiÖn, chÝnh phñ sÏ trî gióp vµ ®Òn bï t−¬ng ®−¬ng gi¸ trÞ víi tµi s¶n sÏ bÞ ¶nh h−ëng bëi viÖc triÓn khai dù ¸n. §Ó biÕt ®−îc kho¶n ®Òn bï, ChÝnh phñ th«ng qua Ban qu¶n lý çc dù ¸n 18 ®· ph¸i chóng t«i tíi çc hé gia ®×nh ®Ó cã ®−îc c©u tr¶ lêi cña çc b¹n vÒ çc vÊn ®Ò sau) 1 National Highway (NH) No. (§−êng quèc lé sè) __________ 2 Province (TØnh) _________________ 3 District (HuyÖn) __________________________ 4 Km No. (Km sè) __________________

PART I : BASELINE INFORMATION ON PAPs PhÇn I:

Th«ng tin trÝch ngang vÒ nh÷ng ng−êi bÞ ¶nh h−ëng bëi dù ¸n (PAPs)

a. Name of Household Head or respondent (Tªn cña chñ hé hoÆc ng−êi ®−îc pháng vÊn)

__________________________________

b. Age (Tuæi) ________

c. Sex (Giíi tÝnh) (Cross appropriate box- §¸nh dÊu vµo hép thÝch hîp)

Male (Nam) Female (N÷)

d. Ethnicity (D©n téc) (Cross appropriate box- §¸nh dÊu vµo hép thÝch hîp): 1 Chut 2 Mon-Khmers 3 Tay-Thai 4 Han

5 Muong 6 Tibeto-Burmese 7 Hmong 8 Pathen 9 Tho 10 Kadai 11 Viet (Kinh) 12 Yao 13 Others (Çc d©n téc kh¸c)

e. Religion (Cross appropriate box): 1 Buddhist (§¹o PhËt) 2 Catholic (§¹o Thiªn chóa) 3 Protestant (§¹o Tin lµnh) 4 Hoahaoist (§¹o Hoµ h¶o) 5 Caodaist (§¹o Cao ®µi) 6 Islam (§¹o Håi)

7 Other (T«n gi¸o kh¸c) 8 None (Kh«ng) f. Marital Status (T×nh tr¹ng h«n nh©n) (Cross appropriate box- §¸nh dÊu vµo hép phï hîp):

1 Single/never married (§éc th©n/ Ch−a kÕt h«n) 3 Married (§· kÕt h«n) 3 Divorced/separated (Ly dÞ/ly th©n) 4 Widowed (Go¸ phô)

g. Inventory of household members including the respondent (B¶n th«ng tin vÒ nh÷ng thµnh viªn cña

hé gia ®×nh bao gåm c¶ ng−êi pháng vÊn)

Name Tªn

Relationship to Household

Head Quan hÖ víi chñ hé

Age Tuæi

Sex Giíi tÝnh

Education Completed

Tr×nh ®é

Health Condition T×nh tr¹ng søc khoÎ

Main Occupation

NghÒ nghiÖp chÝnh

h. Monthly income of household (Thu nhËp hµng th¸ng cña hé gia ®×nh) VND

________________________ i. Monthly expenses of household (Chi tiªu hµng th¸ng cña hé gia ®×nh) VND

_____________________ j. Nature of income by household (TÝnh chÊt thu nhËp theo hé gia ®×nh) (Cross appropriate box- §¸nh

dÊu vµo « vu«ng)

1 Income by household head (Thu nhËp cña chñ hé) 2 Income by both husband and wife (Thu nhËp cña c¶ vî vµ chång) 3 Income by parents and working children working (Thu nhËp cña bè mÑ vµ con ®· ®i lµm) 4 Financial support from children (TiÒn nu«i con c¸i) 5 Pensions from national government (Trî cÊp tõ chÝnh phñ) 6 Lease/rent of property (Thu nhËp tõ viÖc cho thuª) 7 Income from farm (Thu nhËp tõ viÖc lµm ruéng) 8 Income from sale of domestic animals and/or agricultural produce (Thu nhËp tõ viÖc b¸n s¶n phÈm ch¨n nu«i vµ n«ng nghiÖp)

k. Land Ownership (QuyÒn së h÷u ®Êt) (Cross appropriate box - §¸nh dÊu vµo « vu«ng)

1 Legal land users with land use rights certificates (LURC) (§Êt sö dông hîp ph¸p cã GiÊy chøng nhËn quyÒn së h÷u) 2 Legalizable land users waiting for the LURC to be approved by the district authority but who have documents to prove as such (§ang chê giÊy chøng nhËn quyÒn së h÷u ®Êt do chÝnh quyÒn ®Þa ph−¬ng cÊp nh−ng ®· cã nh÷ng giÊy tê chøng minh quyÒn së h÷u ®Êt hîp ph¸p) 3 Occupant of legally prohibited area (Së h÷u khu vùc cÊm mét c¸ch hîp ph¸p) 4 Land use/management organizations (§Êt do tæ chøc sö dông hoÆc qu¶n lý) 5 Rented/Leased from legal/legalizable owner (Thuª ®Êt tõ chñ së h÷u hîp ph¸p hoÆc ®−îc luËt ph¸p ho¸) 6 If rented, what is your monthly rental (NÕu thuª, gi¸ thuª hµng th¸ng lµ bao nhiªu?) VND _____________

l. Structure/House Ownership (QuyÒn së h÷u nhµ ë / c«ng tr×nh________)

1. Is this house or the structure where you live right now have been here before January 1, 2000?

(Ng«i nhµ hay kÕt cÊu mµ b¹n ®ang sèng ®· cã ë ®©y tr−íc 1/1/2000 hay kh«ng?) (Cross appropriate box - §¸nh dÊu vµo « vu«ng) a Yes (§óng) b No (Sai)

2. Status on Ownership of Structure (T×nh tr¹ng së h÷u c«ng tr×nh) (Check appropriate box- §¸nh


a Inherited from parents or relatives (Thõa kÕ tõ cha mÑ hoÆc ng−êi th©n) b Constructed on own funds (X©y dùng b»ng tiÒn cña m×nh)

c Donation/contribution (Tµi trî/ §ãng gãp) d Rented from private owner (Thuª tõ chñ t− nh©n) e Rented from the government (Thuª tõ chÝnh phñ) f Rented/leased from cooperative/other organization (Thuª tõ hîp t¸c x·/ c¸c tæ chøc kh¸c) g Occupied for free/caretaker (§−îc tù do sö dông. hoÆc ®−îc nhê tr«ng coi)

3. Utilities/facilities found in the structure (C¸c vËt dông/ thiÕt bÞ ®−îc t×m thÊy t¹i c«ng tr×nh)

(Cross appropriate box - §¸nh dÊu vµo « vu«ng)

a Deep well (GiÕng s©u) b Electricity connection (KÕt nèi ®iÖn) c Lighting facilities (ThiÕt bÞ chiÕu s¸ng)

m. Does your family have existing debts? (Gia ®×nh b¹n cã dang nî nÇn kh«ng?) 1 Yes (Cã) 2 None (Kh«ng)

n. If yes, how much? (NÕu cã, bao nhiªu) VND_______

o. From where did you borrow the money? (B¹n m−în tiÒn tõ d©u?) (Cross appropriate box -§¸nh


1 banks (Ng©n hµng) 2 private sources (Nguån t− nh©n)

p. Where do you use the borrowed money? (B¹n dïng tiÒn vay vµo môc ®Ých g×?) (Cross appropriate

box- §¸nh dÊu vµo « trèng)

1 house construction (X©y nhµ) 2 farming (Lµm ruéng) 3 for family living (Cho cuéc sèng gia ®×nh)

q. Compensation Options: What compensations do you want to receive in your affected properties?

(Yªu cÇu ®Òn bï: H×nh thøc ®Òn bï nµo b¹n muèn nhËn cho nh÷ng tµi s¶n bÞ ¶nh h−ëng cña b¹n) 1 Land-to-land compensation (§Òn bï ®Êt ®æi ®Êt) 2 Cash compensation to both land and affected structures (§Òn bï b»ng tiÒn cho c¶ ®Êt vµ c«ng tr×nh bÞ ¶nh h−ëng) 3 Land-to-land compensation and replacement of affected structures (§æi ®Êt lÊy ®Êt vµ thay thÕ nh÷ng c«ng tr×nh bÞ ¶nh h−ëng) 4 Cash compensation to affected properties (§Òn bï b»ng tiÒn ®èi víi nh÷ng tµi s¶n bÞ ¶nh h−ëng)

r. Relocation Options: If you will be relocated, what do you prefer? (Yªu cÇu t¸i ®Þnh c−; NÕu b¹n bÞ di chuyÓn, b¹n muèn)

1 within the remaining land which is still viable for settlement (sèng trong phÇn ®Êt cßn l¹i cã thÓ ®Þnh c−) 2 within the district or commune with assistance from the government (trong huyÖn hoÆc x· cã sù trî gióp cña ChÝnh phñ) 3 outside the district or commune with assistance from the government (Bªn ngoµi huyÖn hoÆc x· cã sù trî gióp cña ChÝnh phñ) 4 self relocation within the district or commune (tù t¸i ®Þnh c− trong huyÖn hoÆc x·) 5 get land in resettlement site provided by government and build own house (lÊy ®Êt t¹i khu t¸i ®Þnh c− do ChÝnh phñ cung cÊp vµ tù x©y dùng nhµ cöa) 6 get house and lot in resettlement site provided by government (LÊy nhµ vµ l« ®Êt trong khu t¸i ®Þnh c− do ChÝnh phñ cung cÊp)

s. Self-Assessment on Project Impact: How do you feel the impact of road improvement in your

household? (Tù ®¸nh gi¸ t¸c ®éng cña Dù ¸n: B¹n nhËn thÊy viÖc n©ng cÊp ®−êng bé cã t¸c ®éng nh− thÕ nµo ®èi víi hé gia ®×nh m×nh)

Aspect of Assessment

Level of Assessment Møc ®¸nh gi¸

Negative Tiªu cùc

No Impact Kh«ng cã t¸c ®éng

Positive TÝch cùc

No Idea Kh«ng cã ý kiÕn

KhÝa c¹nh ®¸nh gi¸

1 2 3 4 On Household income (Thu nhËp cña hé gia ®×nh )

On Employment (ViÖc lµm )

On Education of Children (Gi¸o dôc con c¸i)

On Bonding in the Commune (Mèi g¾n bã trong céng ®ång)

t. Please provide suggestion suggestions to the Government relating to land and/or property compensation and relocation. (B¹n cã nh÷ng kiÕn nghÞ g× ®Õn ChÝnh phñ vÒ vÊn ddeef ®Êt ®ai, båi th−êng tµi s¶n vµ di dêi)______________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________

u. Inventory of trees in affected property (_B¶n kiÓm kª c©y cèi bÞ ¶nh h−ëng)

1. Fruit Trees C©y ¨n qu¶

2. Wood Trees C©y lÊy gç

Classification

Ph©n lo¹i

Number of Affected Trees Sè l−îng c©y bÞ

¶nh h−ëng

Classification Ph©n lo¹i

Number of Affected Trees Sè l−îng c©y bÞ

¶nh h−ëng Healthy and good yield C©y khoÎ vµ cã s¶n l−îng tèt

Big size and good quality C©y lín vµ cã chÊt l−îng tèt

Healthy with moderate yield C©y khoÎ vµ cã s¶n l−îng võa ph¶i

Medium size & good quality C©y cì trung b×nh vµ cã chÊt l−îng tèt

Old with low yield C©y giµ cã s¶n l−îng thÊp

Newly planted (below 2 yrs) C©y míi trång (d−íi 2 n¨m)

Newly planted (below 2 years) C©y míi trång (d−íi 2 n¨m)

v. Measurement of affected property (please do it carefully). (§¸nh gi¸ tµi s¶n bÞ ¶nh h−ëng (yªu cÇu lµm mét c¸ch cÈn thËn)

1 On Land affected by Right-of-Way (§Êt bÞ hµnh lang an toµn ®−êng bé ¶nh h−ëng) Instruction in filling up the form: Estimate the total land area occupied by the household and put it in column 1. Estimate the affected area of land they occupy and write it column 2. Divide the number in Column 2 by the number in Column 1 and write your answer in Column 3. In column 4, mark x on the row that matches to the use of affected land in column 5. (§iÒn theo mÉu: TÝnh to¸n tæng diÖn tÝch ®Êt do hé gia ®×nh chiÕm gi÷ vµ ghi vµo cét 1. TÝnh to¸n diÖn tÝch ®Êt bÞ ¶nh h−ëng vµ ghi vµo cét 2. Chia sè liÖu ë cét 2 cho sè liÖu ë cét 1 vµ viÕt kÕt qu¶ vµo cét 3. Trong cét 4, ®¸nh dÊu nh©n vµo dßng cã ghi môc ®Ých sö dông trong cét 5 cña khu ®Êt bÞ ¶nh h−ëng)

Land Area (in square meter) DiÖn tÝch dÊt

Total Land Area Tæng diÖn

tÝch (1)

Affected Land Area

DiÖn tÝch ®Êt bÞ ¶nh h−ëng

(2)

%

(3)

Cross the land use

here §¸nh

dÊu viÖc sö dông

®Êt (4)

Use of the land occupied by the Project Affected Persons

Môc ®Ých sö dông ®Êt cña ng−êi bÞ ¶nh h−ëng bëi dù ¸n

(5)

Residential - §Ó ë Commercial – Bu«n b¸n Agricultural – Lµm n«ng nghiÖp Graveyard – B¸i tha ma Vacant land - §Êt l−u kh«ng

Park – C«ng viªn

2 On Structure affected by Right-of-Way (C«ng tr×nh bÞ ¶nh h−ëng bëi hµnh lang an toµn) Instruction in filling up the form: Determine the type of affected structure being occupied by the household as described in Column 4. Estimate the total floor area of the structure and write it in

Column 1. Estimate the affected floor area of the affected structure and put it Column 2. Divide the number in Column 2 by the number in Column 1 and write your answer in Column 3. Please make it sure that all the lines you filled up match in each column (_§iÒn vµo mÉu: X¸c ®Þnh lo¹i c«ng tr×nh bÞ ¶nh h−ëng do hé gia ®×nh së h÷u nh− ®· nªu ë cét 4. TÝnh to¸n tæng diÖn tÝch sµn cña c«ng tr×nh vµ viÕt nã vµo cét 1. TÝnh to¸n diÖn tÝch sµn bÞ ¶nh h−ëng cña c«ng tr×nh vµ ghi nã vµo cét 2. Chia d÷ liÖu ë cét 2 cho sè liÖu ë cét 1 vµ viÕt vµo cét 3. H·y ch¾c ch¾n r»ng tÊt c¶ c¸c dßng ®−îc ®iÒn ®óng ë mçi cét)

Area of Structures (in sq. meter)

DiÖn tÝch c«ng tr×nh (m2) Total Area (in sq. m.) Tæng diÖn tÝch (m2)

( 1 )

Affected Area (sq. m.) DiÖn tÝch bÞ ¶nh h−ëng

(m2) (2)

% (3)

Type of Affected Structures Lo¹i c«ng tr×nh bÞ ¶nh h−ëng

(4)

1. Church (Nhµ thê) 2. School (Tr−êng häc) 3. Residential House (Nhµ d©n c−) 4. Secondary House (Nhµ cÊp hai) 5. Graveyard (B·i tha ma) 6. Workshop (Nhµ x−ëng) 7. Shop/restaurant (Cöa hµng/ Nhµ ¨n) 8. Warehouse (Kho) 9. Detached Latrine (Nhµ vÖ sinh c«ng céng) 10. Detached Bathroom (Nhµ t¾m c«ng céng) 11. Animal Cage (Chuång thó) 12. Fence (Hµng rµo) 13. Others (Çc lo¹i kh¸c)

3 Materials used in the affected structure (VËt liÖu sö dông trong c«ng tr×nh bÞ ¶nh h−ëng)

Type of Affected Structures Lo¹i c«ng tr×nh bÞ ¶nh h−ëng

Building Materials VËt liÖu x©y dùng

Mark X §¸nh dÊu

X

Mark X §¸nh dÊu X

Church (Nhµ thê) Concrete (Bª t«ng) School (Tr−êng häc) Brickstone (G¹ch, ®¸) Residential House (Nhµ d©n c−) Floor Tile (G¹ch l¸t) Secondary House (Nhµ cÊp hai) Steel Iron (S¾t thÐp) Graveyard (B·i tha ma) Galvanized Iron (S¾t m¹ kÏm) Workshop (Nhµ x−ëng) Wood (Gç) Shop/restaurant (Cöa hµng/ Nhµ

¨n) PVC Roofing (M¸i nhùa)

Warehouse (Kho) Asphalt (Nhùa ®−êng) Detached latrine (Nhµ vÖ sinh c«ng

céng) Paper canvas (B¹t giÊy)

Detached Bathroom (Nhµ t¾m c«ng céng)

Bamboo/rattan (Tre/ m©y)

Animal Cage (Chuång thó) Straw leaves (R¬m) Fence (Hµng rµo) Clay or Earth (§Êt hoÆc ®Êt sÐt) Others (Çc lo¹i kh¸c) Others (Çc lo¹i kh¸c)

v. Reference location of PAP (Th«ng tin cña PAP) Please identify your neighbors at your right and the left sides of your house? (H·y ghi hµng xãm

bªn tr¸i vµ bªn ph¶i nhµ b¹n)

Right Left Neighbor The PAP Neighbor

-------------------------------------------------- THE EXISTING ROAD NETWORK --------------------------

Date of Interview: _________________ ____, 2003

____________________________________ _______________________________ (PAP/Representative Signature) (Surveyors Signature)

Code

PART 2

SOCIOECONOMIC CHARACTERISTICS OF

SEVERELY PROJECT AFFECTED FAMILY (PAF) PhÇn 2

®Æc ®iÓm kinh tÕ x· héi cña nh÷ng gia ®×nh bÞ ¶nh h−ëng nÆng nÒ bëi dù ¸n

1 Name of Respondent (Tªn ng−êi pháng vÊn)_____________________________________

2 National Highway (NH) No. (§−êng quèc lé sè)__________ 3 Province (TØnh)_________________

4 District (HuyÖn)__________________________ 5 Km No. (Km sè) __________________ 6. Main source of income by household (Nguån thu nhËp chñ yÕu cña hé gia ®×nh) (Cross appropriate box)

a Rice farming (Trång lóa) b Vegetable farming (Trång rau) c Employment in private enterprises (Lµm viÖc cho c«ng ty t− nh©n) d Employment in government office (Lµm viÖc cho c«ng ty nhµ n−íc) e Practicing own technical skills (Tù thùc hiÖn c¸c kü n¨ng kü thuËt) f Engaged in small-scale enterprises (Tham gia vµo c¸c doanh nghiÖp cì nhá) g Vending/delivery of own produce (Bu«n b¸n/ Giao s¶n phÈm cña m×nh) h Seasonal employment (Lao ®éng thêi vô) i Poultry raising (Nu«i gia cÇm) j Livestock raising (Nu«i vËt nu«i) k Lease/rent of property (Cho thuª tµi s¶n)

7. Skills of household members but which are not being utilized (Kü n¨ng cña thµnh viªn gia ®×nh nh−ng

ch−a ®−îc tËn dông)

a carpentry (NghÒ méc) e tailoring (NghÒ may ®o) b welding (NghÒ hµn) f auto-mechanic (C¬ khÝ) c masonry (NghÒ x©y) g driving (L¸i xe) d dressmaking (May quÇn ¸o phô n÷_____) h baking (Lµm b¸nh)

8. Main sources of drinking water (Nguån n−íc uèng) (Cross appropriate box - §¸nh dÊu vµo « vu«ng)

a pump well (GiÕng b¬m) e spring (Suèi) b traditional well (GiÕng ®µo) f rainwater (N−íc m−a) c public tap/tank (KÐt n−íc/ vßi n−íc) g bought from vendor (Mua) d in-house piped water (N−íc b¬m trong nhµ)

9. Main source of lighting at night (_Nguån ¸nh s¸ng chñ yÕu vµo buæi tèi) (Cross appropriate box - §¸nh


a electricity from government (§iÖn cña ChÝnh phñ) c private generator (M¸y ph¸t ®iÖn t− nh©n) b gas/ kerosene lamp (§Ìn dÇu/ ®Ìn khÝ) d none (Kh«ng dïng g×)

10. Fuel used for cooking (Nhiªn liÖu ®Ó nÊu n−íng)

a wood (Gç) b gas or kerosene (Gas/ DÇu) c cylinder gas (KhÝ xilanh)

11. Type of toilet facility in the house (Lo¹i nhµ vÖ sinh)

a flash toilet (Nhµ xÝ bÖt) b pit latrine (Nhµ vÖ sinh cã hè) c public toilet (Nhµ vÖ sinh cã hè) d none (Kh«ng cã)

12. Indicate the following assets owned by your household (H·y ®¸nh dÊu nh÷ng tµi s¶n mµ gia ®×nh b¹n cã)

a wooden table and chairs (Bµn ghÕ gç) i radio-casette player (C¸t xÐt- ®µi ra®io) b television set (Tivi) j bicycle (Xe ®¹p) c dressing cabinet (Tñ quÇn ¸o) k boat (ThuyÒn) d electric fan (Qu¹t ®iÖn) l animal-driven carriage (Xe do sóc vËt kÐo) e telephone (§iÖn tho¹i) m service vehicle (Ph−¬ng tiÖn dÞch vô) f water pump (M¸y b¬m) n sewing machine (M¸y kh©u) g refrigerator (Tñ l¹nh) o domestic animals (VËt nu«i) h electricity generator (M¸y ph¸t ®iÖn)

INVENTORY OF AFFECTED PEOPLE AND ASSETS

Province _________________________ District ___________________________ Commune __________________________ Name of the Road _________________ Road Network Improvement Project (RNIP)

Total Area of Household land

(m 2 )

Required Land

(m2 )

Percentage of Acquired Land to

Total HH Land

Affected House and/or

Structure

Affected Crops

Other Affected Assets

Other Damages

Index

Name of

Household (HH) Head

No. of

HH Member Res. Agrl. Res. Agr. Res. Agr. Type UM Area Type UM Qty. Type UM Qty. Lease Bus. Income

Temporary

Losses (Clarify)

Representative of Provincial Council of Compensation Provincial Department of Transportation Signature and Seal

PRELIMINARY ASSESSMENT Baseline Socioeconomic Statistics of Project Affected Persons

Province _________________________ District ___________________________ Commune __________________________ Name of the Road _________________ Road Network Improvement Project (RNIP)

Index

Address

Name of Household Members

Sex

Age

Ethnicity

Relationship with Household Head

Occupation and Source of Income

Present Job / Occupation

Annual Income

Representative of Provincial Council of Compensation Provincial Department of Transportation Signature and Seal

Republic Socialist of Vietnam Independent – Freedom – Happiness

Inventory report of land acquisition compensation

Road Network Improvement Project Name of road: Code: District: Commune Province Annual working plan for the year:

A. Declaration of household (HH): Head of HH: Address: Number of family members over 18 ages: Number of working members: Number of school – children: When ROW of project roads has been determined by PMU18, our household inventoried assets compensated and move to another place for the project could be implemented. Our damaged assets caused by the project are listed below: Assets:

(a) Agricultural land (listed for request of project) − Current owned land ( square, type, temporary or sustainable damage)

………………………………… ……………………………………… …………………………………………………………………………

− Acquired land (type, temporary or sustainable damage) ……………………………………………………………………………………………………………………………………………………….

b) Land tenure (listed for request of project) − Square of owned land (original, period of usage (from year …….. to year ………),

temporary or sustainable damage). ………………………………… ……………………………………… …………………………………………………………………………

− Square of acquired land (type, temporary or sustainable damage) ………………………………… ……………………………………… …………………………………………………………………………

c) Other assets, un- harvested crops, fruits, plants (listed for request of project) Declare exact square of other assets and damaged crops included fish pond, rice, potato, cassava, vegetable) and diameter or the age and quantity of wood plants, fruit plants, and list of harvest time). ………………………………… ……………………………………… …………………………………………………………………………

d) Constructions (listed for request of project) include houses, sub – constructions, hen –

coop, pig – coop, wells….). Specify one-floor or two – floor houses, 10cm – thick walls, height of walls and roof…

………………………………… ……………………………………… ………………………………………………………………………… Other constructions like sub – constructions, hen – coop, pig – coop are listed as well.

………………………………… ……………………………………… ………………………………………………………………………… Other constructions like wells are listed by diameter, depth and structure. ………………………………… ……………………………………… …………………………………………………………………………

e) Affected by social services ( number of business services, markets …) ………………………………… ……………………………………… …………………………………………………………………………

B. Confirmation of Compensation Committee:

Compensation Committee:

Representatives (Name and age): Position:

Representatives and head of HH confirm these acquired assets of HH for project (items a, b, c, d will be investigated in according to HH’s list). HH’s comments: This part includes the comments refers to Compensation inventory by HH’s investigation.

………………………………… ……………………………………… …………………………………………………………………………

Our household agrees with assets inventory report above and have no complaints. After Compensation Committee states compensation plans, we will accept the compensation and move to another location for project can be implemented on time and un – disrupted. This Inventory report has been agreed and signed by the following representatives. Head of HH Investigation team: PPMU Local authorities:



ANNEX 3 NAME OF PROVINCIAL DEPARTMENT OF

TRANSPORTATION OFFICIALS IN-CHARGFE OF ADMINISTERING THE DETAILED MANAGEMENT SURVEY FOR RNIP

1. MR. PHAN DINH CHAU Deputy Director – PDOT Quang Binh province

2. MR. HUYNH THANH DINH Provincial Drector – PDOT Nghe An province

3. MR. LE MANH HUNG Provincial Drector – PDOT Thanh Hoa province

4. MR. HA VIET BAC Project Director

And

MR. VU TRUY THANH Bac Giang province

5. MR. TRUONG VAN PHUNG Provincial Director - PDOT

And

MR. TA VAN TUYET Assistant to the Provincial Director Thai Nguyen province


TOR – Social - Environmental Monitoring 20

ANNEX 4

TERMS OF REFERENCE Provision of Consultancy Services to the Network Improvement Program (NIP) and the Projects

Management Unit 18 (PMU 18) related to Independent Monitoring Service for the Social and Environmental Safeguards for the First Annual Works Program

1. BACKGROUND

1. The Government of Vietnam (GOV) proposes to undertake the Road Network Improvement Program (RNIP) with the assistance of the International Development Association (IDA, one of the five organizations comprising the entity generally known as the World Bank). RNIP's - stated objective is "to reduce poverty in Vietnam by increasing domestic and international competitiveness in key sectors of the economy through improved road connectivity and quality”.

The Road Network Improvement Project (RNIP) is programmed for five years commencing, 1 January 2004. It consists of three major components, which are:

Component 1: Network Preservation Program (NPP);

Component 2: Network Improvement Program (NIP); and

Component 3: Road Sector Management and Institutional Building Program (RSMIBP)

2. The NIP consists of three Annual Work Programs (AWP) for road improvements and rehabilitation to be implemented over a five-year period. Final design for the first year AWP have been completed while the designs for roads falling within the Second and Third AWP will be generated, under another Consultancy, during the first and second year of program implementation.

3. This component will finance, at a cost of approximately US$170,198,000, three annual works programs consisting of rehabilitation and widening of strategic portions of approximately over 600 kilometers of the national roads system - including the rehabilitation of about 84 short bridges - in selected northern areas of Vietnam. Reporting directly to the Ministry of Transportation, PMU 18 will be responsible for the implementation of this component.

Road segments were selected by using multiple criteria, which included environmental, social and economic feasibility as well as investment value in terms of economic returns and regional development.

The current condition of the roads selected for improvement under NIP is typically poor, although some sections - especially those near towns - are in fair or good condition. The improvements that will be financed under this project will upgrade existing road pavements and embankments to two-lane Class III or Class IV. Rehabilitation works will follow the highway design standards of Vietnam (TCVN 4054-1998), as supplemented by AASHTO standards where gaps exist.



These TOR are specifically concerned with external monitoring of activities related to consultation procedures, land acquisition, compensation, resettlement and ethnic minority guidelines. Most activities related to this area will result from the implementation of civil works being implemented under the NIP component which will be managed by PMU 18.

4. The PMU-18 as "Employer" seeks a consulting firm to undertake the social and environmental monitoring of the construction activities of the NIP program. The firm will be an external entity independent of government such as academic or research institution, not-for-profit organization, NGO or independent consultant acceptable to IDA, MOT and PMU18.

5. The monitoring agency (hereafter referred to as “the Consultant”) will be procured using the “Selection Based on Consultants’ Qualifications” method as defined at Point 3.7 in the WB’s “Guidelines for Selection and Employment of Consultants by World Bank Borrowers” issued in January 1997 and revised in September 1997 and January 1999. The contract type for this service will be lumpsum.

6. These TOR are specifically concerned with external monitoring of activities related to consultation procedures, land acquisition, compensation, resettlement, ethnic minority guidelines and environmental impacts avoidance and mitigation. Most activities related to these areas will result from the implementation of civil works being implemented under the NIP component which will be managed by PMU 18.

2. OBJECTIVES OF CONSULTING SERVICES For social safeguards 7. A major project objective is that adverse social and cultural impacts must not caused and that social and economic benefits will result. Particular emphasis is thus placed upon issues of land acquisition, compensation, resettlement and ethnic minority issues. 8. Another major project objective is that consultation must be carried out at all stages with the persons and local authorities most directly affected such that there is satisfaction with selection, design, location and construction of basic access interventions and thus encouraging a sense of community ownership manifested in adequate maintenance of that asset. 9. Particular attention will be paid to identification and consultation with ethnic minorities and development action plans will be produced where necessary. For environmental safeguards 10. The main objective of the consulting services is to ensure that adequate measures are implemented and the environmental monitoring program is in accordance with the Contract documents. The consultant will review and report upon activities relating to the implementation of these measures, which include those to avoid or prevent impacts, those to mitigate or reduce impacts and those to offset impacts should they be created. The measures are identified for all construction activities under RNIP and for each road section within the first year of NIP in EIA and EMP. The PMU-18 as "Employer" seeks a consulting firm to undertake the environmental monitoring of the construction activities of the NIP program.



3. BACKGROUND TO THE SCOPE OF WORK For social safeguards 11. This project will, in some provinces, involve districts and communes where ethnic minorities make up a large part of the population. The Government of Vietnam issued a letter No.204/CP-CN dated 25 February 2003 authorizing the Ministry of Transport to approve the Policies Framework for Environmental Issues, Ethnic Minorities and Land Acquisition, Compensation and Resettlement for RNIP. As per its letter No.2946/QDD-BGTVT dated 6 October 2003, the Ministry of Transport approved and issued the Policies Framework and Guidelines on Land Acquisition, Compensation and Resettlement; Environmental Impact Assessment and Ethnic Minorities Development Plan, which had been given WB’s NOL. The documents present clear policies on indigenous peoples (ethnic minorities), and land acquisition, compensation and resettlement. Ethnic Minority Action Plans will be developed where necessary. Main features of this approach include detailed consultation with communes including representatives of farmers, veterans associations, women’s associations, market and shop operators, village leaders and, in communes with ethnic minorities, ethnic minorities leaders. These consultations will lead to an assessment of compensation for any necessary land acquisition, identification of social impacts upon any ethnic minorities with preparation of an action plan as necessary (covering mitigation measures, development assistance and monitoring) plus preparation of a road maintenance plan and agreement for roads proposed for rehabilitation. Under World Bank guidelines, PMU 18 is required to retain an independent agency for the purposes of external monitoring and evaluation of the RNIP. An “independent agency” is described as “an academic or research institution, non-Governmental Organization (NGO) or independent consulting firm, all with qualified and experienced staff and terms of reference acceptable to the World Bank” (Section H, Policy Framework). 12. The Independent Monitor will review and report upon activities relating to these consultation procedures, land acquisition, compensation, resettlement and ethnic minority guidelines described above. 13. In addition to verifying reports generated by internal monitoring the Independent Monitor will examine samples of approximately 10% of the affected households in each province as well as approximately 10% of the interventions with no reported land acquisition, compensation, resettlement or ethnic minority impact. In addition, where ethnic minorities are reported, the Independent Monitor will visit approximately 10% of the affected ethnic minority households. In all cases adequacy of, and satisfaction with consultation, land acquisition, compensation, resettlement procedures will be assessed. The sampling percentages will be reviewed and adjusted as necessary on an annual basis. 14. The goal of external monitoring and evaluation is to assess social impacts on persons affected by resettlement and acquisition of land or properties as a result of the RNIP, especially as to whether Project Affected Persons (PAPs) have been able at least to maintain, if not improve, pre-project living standards, income earning capacity and production levels. The main objectives of external monitoring and evaluation have been described in the Policy Framework and the Umbrella RAP as:



Determine whether the procedures for PAPs participation and delivery of compensation and other rehabilitation entitlements have been done in accordance with the Policy Framework and the respective PAPs.

Assess if the Policy Framework objective of enhancement or at least restoration of living standards and income levels of PAPs have been met.

Gather qualitative indications of social and economic impact of Project implementation on the PAPs.

Suggest modification in the implementation procedures of the RAPs, as the case may be, to achieve principles and objectives of the Policy Framework.

Assess if grievances and complaints have been addressed adequately or whether further measures can be recommended

For environmental safeguards 15. A programmatic environmental impact assessment (PEIA) has been prepared for the overall RNIP in line with the relevant World Bank’s policies. An separate Environmental Impact Assessment (EIA) and Environmental Management Plan (EMP) report waswere prepared on the proposed project in 1999 by ………..for the first-year works program. This EIA/EMP provides a set of baseline data, identifies potential impacts, proposes appropriate mitigation measures for both the construction and operation phases, and includes an environmental management plan and proposed monitoring program. Subsequently, a separate environmental management plan (EMP) and monitoring program was prepared for the first-year works program of NIP. 4 The Bank considers the EIA report and EMP to be well prepared. Both documents are expected to provide sound guidance as a basis for formulating a proposal in response to this request and to assist the design of a suitable monitoring program. These EIA and EMP together with Contract Documents of Requirements on Social and Environmental issues are integral parts of this TOR. Any consultant wishing to participate in bidding is required to submit to the PMU18/World Bank a technical proposal, which includes the monitoring plan, the methodology, paramaters, sampling equipment, data recording & reporting, the monitoring frequencies, linear map showing the road sections and monitoring locations of the proposed plan to deploy monitoring works in pre-construction, construction and operation stages; together with a financial proposal for the assignment. 4. SCOPE OF DUTIES AND RESPONSIBILITIES OF THE CONSULTANT Land Acquisition, Compensation and Resettlement 16. Public participation and consultation

Verify with PAPs that they received the Public Information Manual

distributed by PMU 18, and whether they read and understood its contents



Verify with PAPs that they were notified of the public meetings and other activities of the Public Information Campaign carried out by PMU 18 and the PRC, and whether the PAPS or a representative in their steed attended these events;

Verify with PAPs that consultation meetings were held with attendance of specific people.

Assess with PAPs whether the PAPS felt that they received adequate and timely information regarding the sub-project to enable them to participate in aspects of planning and implementation as described in the RAP

Assess with PAPs whether the PAPS felt able to address and resolve grievances and complaints adequately through the mechanisms outlined in the RAP;

17. Compensation and other entitlements:

Verify that the Compensation Plan adheres to the RAP and Policy

Framework Verify with PAPs that the PAPS received full and accurate compensation

and entitlements as specified in the Agreement Compensation Form (ACF)

Verify with PAPs and through a Market Survey (see below) that the pricing on the ACF reflects adequately “replacement value”

Verify with PAPs that allowances and other rehabilitation assistance provided for in the RAP have been adequate and acceptable to the PAPS.

Verify with PAPs that replacement land has been of equal value and productive capacity as the land acquired through the RNIP and that the PAPS has a Land User Rights Certificate for the replacement land.

Verify with PAPs that funds and other assistance provided for reconstruction of structures, rehabilitation of land, or relocation (temporary or permanent) have been adequate and acceptable to the PAPS.

Verify with PAPs that compensation payments were made in due time to allow them to relocate or make other preparations necessary before commencement of road construction works

18. Post-project living standards

Collect the following data on quantitative indicators to measure changes in living standards, income earning capacity and production levels before and after the project, if any: - Household monthly income (from all sources) - Amount of debts and savings - Expenditure patterns (e.g., food, basic supplies, school and health,

investments, travel, etc.) - Amount of consumer items (e.g., bicycle, motorbike, TV, radio, etc.) - Occupation type of household members - Travel time to place of work



- Attendance of children in school - Travel time to school for children - Identification of health problems or ailments - Travel time to health stations or hospitals - Travel time to markets, roads, government offices and other public

services, as appropriate

Collect qualitative indicators on PAPS’s own assessment of changes in living standards before and after the project at the household and community level, which may be collected through open ended questions, semi-structured interviews, case studies, or group discussions employing a range of PRA tools and methods

Verify with PAPs that community services and resources damaged during road construction works have been fully restored to their previous conditions and operational capacity

19. Grievances and complaints

Verify with PAPs who processed complaints that the complaints were resolved to their satisfaction

Verify with PAPs that they paid no fees for activities or services related to addressing, processing or resolving complaints

20. Other issues

Address with PAPs other key issues arising from the household survey or

interviews with the main agencies and institutions involved in the RNIP (see below)

21. Methodology and sampling The independent agency is required to employ at least the following methodologies and sampling methods during each Evaluation Mission, except for the Market Survey that can be conducted only once:

Review relevant project documents and reports Review RAP Status Implementation Reports of PMU 18 and other relevant documents of

RNIP. The Compensation Plan for each sub-project will also need to be reviewed at least once to ensure that it adheres to the RAP and Policy Framework.

Interviews with involved agencies and local authorities at all levels

Conduct semi-structured interviews with Ministry of Transport and Project Management Unit 18 at the central level; Provincial People’s Committee and Provincial Resettlement Committee; and the District People’s Committee and District Resettlement Committee, including PAPS representatives and Heads of the Commune People’s Committee. These interviews should provide the independent agency with



the necessary background information on the sub-project, verify the procedures and activities implemented according to the quarterly Status Implementation Reports, and highlight key issues as defined by the relevant authorities and PAPS representatives.

PAPS Living Standards Household Survey

Conduct household surveys with at least 10% of PAPs selected randomly from each District. The surveys will be based on a standard questionnaire, designed by the contracted agency but covering the specified topics and indicators described above.

Verification of grievances and complaints

Conduct a review of grievances and complaints with at least 30% of PAPs per sub-project, or 100% if less than 15 complaints. The review should ask the PAPS about the nature of their complaint, how it was resolved, whether the PAPS was satisfied with its resolution, whether the PAPS felt treated respectfully and fairly by the authorities responding to the complaint, and whether there are any remaining or outstanding issues.

Market survey

Conduct a market survey at the provincial level on cost of replacement value for compensation items indicated in the RAP. The independent agency may repeat the methodology used for the market survey in the preparation of the RAPs or select another methodology of comparable reliability and validity. Only one Market Survey is required and should be conducted as soon as possible after compensation payments have been made.

verify that every reasonable effect has been made to avoid or minimize land acquisition; enquire whether all persons affected by land acquisition were informed of their rights to

compensation and/or resettlement; independently evaluate compensation unit costs for land, houses, trees, crops, riparian

rights etc.; assess income levels of effected households prior to and after compensation or

resettlement; determine whether all land acquisition, compensation or resettlement issues have been

dealt with in accordance with the Resettlement Policy Framework; in cases of resettlement compare and contrast physical conditions and land, houses and

circumstances before and after resettlement; confirm that PAPs have actually received the assessed compensation.

Ethnic Minorities

22. Reasons for particular attention to ethnic minority communities affected by NIP include

Their vulnerability; Extreme poverty levels; Socio-economic differences; Right to decide whether they want to be part of “mainstream development” or,

rather, live in isolation. 23. In line with WB Operational Directive 4.20 policy guidelines include:



Ethnic minority people in communes provided with basic access should benefit

from NIP just as much as other groups; NIP should avoid adverse impacts on minority communities and, if that is not

possible, to implement mitigation measures that minimize such impacts; The right to informed consultation based upon the supply of timely and

comprehensive public information;

24. Ethnic Minority Action Plans may be identified as necessary following screening for the presence of ethnic minority households and undertaking social impacts assessments. These Action Plans may include mitigation measures if needed (to reduce, for example, the risks of a greater number of traffic accidents or an in-flow of illegal loggers), offer development assistance where appropriate, plus provision of monitoring and evaluation.

25. The Independent Monitor will, by means of examination of specified outputs and interviews with persons involved:

verify that ethnic minorities affected by the project have been correctly and completely identified;

confirm that ethnic minorities have benefited from the project no less than other ethnic groups;

confirm that all reasonable efforts have been made to ensure that adverse effects on ethnic minorities have been minimized and that where necessary mitigation measures were undertaken;

verify that consultation procedures fully involved ethnic minorities; ensure that where necessary Ethnic Minority Action Plans were drawn up and

executed, and comment upon the efficacy of any such action plans. 26. The Independent Monitor will, in addition to reporting on activities related to consultation procedures, land acquisition, compensation, resettlement and ethnic minorities, make recommendations for any modification of materials or procedures (including the Resettlement Policy Framework and Ethnic Minority Action Plans) so as to better achieve the objectives noted above. Some additional collection of qualitative data on social and economic impact of the project on persons affected may be required in support of such recommendations. Environmental Activities Guided by the identified impact mitigation measures and monitoring requirements set out in the EIA Report and EMP, the monitoring required will be divided into three phases as set out below. Pre-construction Phase: 27. Monitoring program in the pre-construction phase aims at getting ground data on environmental quality at the locations of the Project Roads and checking whether the preparatory construction activities breach environmental contract provisions or not. The Consultant would be expected to mobilize approximately six months in advance of the notice of the "commencement of works" for the activities in pre-construction phase. 28. Given that the EIA report and EMP provide a set of data on various environmental indicators, as well as a proposed monitoring program, the Consultant will review these



data, verify their validity in terms of sampling regime (parameters, sampling station locations methods, frequency), analytical accuracy and measurability. The Consultant will prepare a short Baseline Assessment Report indicating his assessment of this data etc., identifying any gaps in the data and understanding of baseline conditions, and indicating additional work required (if any) to establish a sound set of baseline data and knowledge. When satisfied with the reliability and measurability of the baseline situation, the Consultant will prepare a clear and brief description of those conditions as part of the Baseline Assessment Report or as an ANNEX to it. 29. The Consultant will receive and get familiar with the approved technical designs prepared by design consultant to be prepared for its monitoring. 30. In the pre-construction and construction periods, the Consultant will assist each contractor (there are 53 contract packages) to formulate a Environmental Management Safety and Traffic Control Plans (EMSTCPs) to implement the EMP; specifying how the construction contract requirements on environmental issues will be implemented and the specific locations of environmentally sensitive activities (e.g., construction camps, staging areas, locations of hazardous and toxic material storage areas) will be. Requirements on the EMSTCP will be incorporated into the Project’s Bid and contract documents. 31. The Consultant will work in the field to monitor the preparatory activities of contractors such as erecting labor camps, temporary roads and bridges, deploying equipment and machines, etc. to ensure that environmental impacts are minimized in accordance with the construction contract requirements on environmental issues. The Consultant is to report to PMU18 on a routine basis upon violation occurrences. 32. The consultant is required to provide training to PMU18 environmental staff, site engineers, project hired contractors, construction supervision consultants, to enable them getting familiar with the requirement of project's EMP implementation, the division of duties and responsibilities of each party involving to project's EMP implementation, the form and procedures of internal reporting among them and external reporting procedures to the Bank, PMU18 local DONREs. The Consultant will develop a suitable Construction Monitoring Program and Schedule to cover the construction phase of the project, in order to assess air, water and land quality and such factors as noise, vibration, and impact on people and wildlife. The results from this monitoring are expected to form the basis of advice, provided to the Engineer, on impacts and their prevention and mitigation. Construction Phase: Monitoring program in the construction phase aim at ensuring adequate environmental impacts mitigation measures are carried out by contractors in accordance with contract provisions. The monitoring group would be mobilized on the date of actual commencement of works. 33. The Consultant will develop a suitable Construction Monitoring Program and Schedule to identify work items, monitoring measures to be taken, schedules, locations and approaches during the construction and following operation phases of the project to ensure compliance of contractors with environmental provisions in construction contract.



34. During construction period, the Consultant will follow its Construction Monitoring Program and Schedule to supervise Monitoring during constructionand is to examine construction activities and for ensureing reasonable compliance of those activities with requirements on impact prevention and mitigation measures stipulated in contract documents. 35. The Consultant will and to prepare Monthly Mmonitoring Rreports as required in Item 6 – Reporting Requirements below a basis of providing the Engineer Employer with advice on impact problems, prevention and mitigation. Among other things, monitoring will determine the extent of compliance with each EMP.

Operation Phase:

Monitoring during operations is to evaluate the effectiveness of the prevention and mitigation measures taken during construction and to determine the overall impact of the project. 36. The Consultant will develop a suitable Operations Monitoring Program and Schedule to cover the first six-months of the Operations phase of the project, e.g., to assess air, water and land quality and such factors as noise, vibration, and impact on people and wildlife. In order to be able to compare the pre-construction situation with the operational situation, the same measurable indicators (perhaps reduced in number) and the same sampling stations (perhaps reduced or augmented) should be employed. 37. In the first six-months of the Operation phase, Monitoring during operations is to evaluate the effectiveness of the prevention and mitigation measures taken during construction and to determine the overall impact of the project.

The Consultant will collect necessary data and compare and analyse these data to evaluate the effectiveness of the prevention and mitigation measures taken during construction and to determine the overall environmental impact of the project. The Consultant will prepare a Project Overall Environmental Impact Assessment Report to include all of its findings. In case the assessment points out that the prevention and mitigation measures taken during construction are not effective and/or the overall impact of the project on the environment is negative; the causes, supporting evidences and his correlative recommendations must be stated.

The required Monitoring Programs will include:

Identified measurable indicators and suitable methodology to measure against them;

Identified sampling stations; Identified sampling equipment (and equipment to preserve samples in viable

condition for laboratory analysis); Identified methods of sample analysis, data recording and reporting; The sampling frequency schedule.

It should be noted that there are two distinct seasons. The wet season: October/February in the south,: May/November in the north; and the dry season: April/September in the south,:

January/April in the north. Monitoring will include samples from each season at each of the three road sections.



38. It is also important that the monitoring relate to the nature of potential impacts around each road section. The environmental setting, the types and volumes of traffic and the road profiles differ from one road section to another. The types of potential impacts and, therefore, the monitoring requirements may also differ. The Consultant has to refer to the EMP for NIP, which outlines the differences to form its Monitoring Programs. 39. The Consultant will follow the requirements of MOSTE and the standard monitoring equipment and standard methods for sampling, storage, analysis and reporting as under the National Environment Monitoring System (NEMS). The Vietnamese standards to be followed for monitoring include, but not limited toare, the followings:

Ambient Air Quality Standard (TCVN 5937-1995); Exhaust Emission from Vehicles (TCVN 5948-1995); Surface Water Quality Standard (TCVN 5942-1995); Noise and Vibration Standard for Residential Areas (TCVN 5949-1995); Noise and Vibration Standard for vehicles (TCVN 5948-1995). 40. Methodologies, parameters to be measured, frequencies, locations and responsible parties for air quality, water quality, noise and social monitoring are already outlined in the instrumented programs for pre-construction, construction and operation phases provided in the EMPc. Schedule for social safeguards monitoring service 41. Monitoring activities will begin at the same time as resettlement implementation and continue on a quarterly basis throughout payment of compensation, individuala and group relocation of DPs, and implementation of income rehabilitation assistance programs. A final evaluation will be conducted 6-12 months after all of these activities have been completed. 42. For road sections where land acquisition, compensation and resettlement involves, monitoring activities are to be undertaken in three stages: pre-construction, construction and operations. 43. For road sections where no land acquisition, compensation and resettlement is identified, monitoring activities are to be undertaken in two stages: pre-construction and operations. 44. For road sections where there are ethnic minorities, monitoring activities are to be undertaken in two stages: pre-construction and operations. Staffing 45. For Social Safeguards Monitoring Service: the Consultant should identify those positions, which he believes are required to complete the scope of work. At a minimum, the staffing proposed by the Consultant should include individuals representing the following disciplines:

Sociology Geography Anthropology Political Science Development Economics



46. For Environmental Safeguards Monitoring Service: The Consultant is free to organize his resources as he wishes, however, there are some requirements for personnel as follows:

ORGANIZATION CHART OF SUPERVISION TEAM

CONSULTING FIRM

Project Manager

Team Leader/

Environmental Engineer

Environmental Monitor in Contract

Environmental Monitor in Contract

Project Manager (Local Staff) He will be a Senior Environmental/Social Specialist and has a degree in environmental science or equivalent acceptable qualifications. He must have at least 10 years professional experience in environmental issues related to highway construction, particularly in Vietnam. He should be familiar with World Bank's environmental and social impact guideline and have a proven record of managerial capabilities. The Project Manager will be responsible for overall arrangements and management of monitoring service implementation and the preparation and issuance of required outputs. Team Leader/Environmental Engineer (Local Staff) He will be a environmental engineer and has at least ten years of professional experience in environment aspect. He must be thoroughly familiar with all the works relating to assessment of environmental impacts and mitigation measures for environmental impacts. The Team Leaders will be responsible for directing the Monitor in each contract, collect data from the Monitors and assist Project Manager in preparation of required reports. Environmental Social Monitor (Local Staff) This will be an environmental engineer and has at least five years of professional experience in environment aspect. He will visit the project site on a regular basis and will be responsible to the team leader for monitoring implementation of environmental monitoring program, monitor all the environmental and social provisions of the contract, for identifying any adverse trends and for recommending any necessary mitigating action. 5. REPORTING REQUIREMENTS

For Social Safeguards: 47. The Consultant shall prepare the following reports in English and Vietnamese in 10 copies



each in a format and manner acceptable to the Supervising Agency (World Bank), and the client (PMU 18 and PID 1)

Inception Report 2 months after starts of project and will serve as the first and second month progress report. The Inception report should flag any issues which the consultants have identified or anticipated which require an early intervention by PMU 18 and PID 1, the Supervising Agency (World Bank) or other agencies for their successful resolution and will summarize the steps taken to mobilize the team.

Monthly progress reports for the Consulting Services will summarize progress made

on each of the activities included in the Consulting Services. These reports should flag any issue that has arisen since the previous report and the need to resolved it in a timely fashion so as to ensure the successful conduct of the Consulting Services. The monthly progress report should provide summaries in standard format of the mobilization of staff, reports prepared and important meetings attended, and correspondence received or sent

Consolidated monthly progress report for the Program will summarize progress

made on each of the activities included in the NIP and will consolidate the monthly progress reports prepared by others. These reports should flag all major issues that have arisen since the previous report and the means utilized to resolved them in a timely fashion so as to ensure the successful implementation of the NIP. To simplify, the timely preparation of these reports standardized forms, charts and tables will be utilized.

Quarterly progress reports for the Consulting Services will summarize progress

made over a three-month period for each of the activities included in the Consulting Services. These reports should flag any major issue that has arisen since the previous quarterly report and the need to be resolved it in a timely fashion to ensure the successful conduct of the Consulting Services. To simplify, the timely preparation of these reports standardized forms, charts and tables will be utilized

Consolidated quarterly progress report for the Program will summarize progress

made on each of the major activities included in the NIP and will consolidate three monthly progress reports prepared by others. The quarterly progress reports should flag all major issues that have arisen since the previous report and the means utilized to resolved them in a timely fashion so as to ensure the successful implementation of the NIP. Issues that have not been successfully resolved or pending issues will be highlighted for the attention of senior management. To simplify, the timely preparation of these reports standardized forms, charts and tables will be utilized.

Annual progress report for the Consulting Services will summarize progress made

over a 12-month period for each of the activities included in the Consulting Services. These reports should flag any major issue that has arisen during the year indicating the means utilized to be resolved them in a timely fashion so as to ensure the successful conduct of the Consulting Services. Issues that have not been successfully resolved or pending issues will be highlighted for the attention of senior management. To simplify, the timely preparation of these reports standardized forms, charts and tables will be utilized



Consolidated annual progress report for the Program will summarize progress made on each of the major activities included in the NIP over a 12-month period and will consolidate the annual reports prepared by others. The annual progress report should flag all major issues that have arisen since the previous annual report and the means utilized to resolved them in a timely fashion so as to ensure the successful implementation of the NIP. Issues that have not been successfully resolved or are pending from the previous year will be highlighted for the attention of senior management. To simplify, the timely preparation of these reports standardized forms, charts and tables will be utilized.

As required, the Consultant shall prepare working papers and training materials in

English and Vietnamese for general project distribution. The number of copies will vary depending on their distribution.

As required, the Consultant shall prepare other reports for PMU 18 and PID 1

management whose distribution will be limited. These reports shall be prepared in English and Vietnamese.

For Environmental Safeguards: 48. The Consultant will prepare the following reports in English and Vietnamese in 10 copies in a format and manner acceptable to the IDA, and the PMU18:

Baseline Assessment Report: 4 months after the start of the monitoring services, indicating assessment of various environmental indicators provided in the EMP etc., identifying any gaps in the data and understanding of baseline conditions, and indicating additional work required (if any) to establish a sound set of baseline data and knowledge. When satisfied with the reliability and measurability of the baseline situation, the Consultant will prepare a clear and brief description of those conditions as part of the Baseline Assessment Report or as an ANNEX to it.

Monthly Reports: Summarizing in a standard format the activities of the Consultant over the preceding month, findings from monitoring and site inspections, highlighting any issues which the consultant has identified as incompliant with impact mitigation and raising recommendations on impact mitigation measures. The reports are to be submitted by 15th of the following month at the latest.

Quarterly Reports: Indicating progress on monitoring and impact mitigation and any specific recommendations to assist project management. The reports are to be submitted by 15th of the first month of the following quarter at the latest.

Periodic Reports: As required by the Employer to satisfy general contract reporting or to address specific issues that may emerge over the construction period.

Construction Completion Report: Prepared for the period from the start of monitoring service to the end of defects liability period of the last contract. The report will give out overall assessment of the compliance of each contractor with contract provisions on environmental impact prevention and mitigation. The Consultant will submit to the Employer this report in two months after the end of the defects liability period of the last contract at the latest.

Project Overall Environmental Impact Assessment Report: This report is to be prepared during the first six-months of the Operations Phase incorporating data collected in the phase, and analyses and evaluation of the Consultant on the effectiveness of the prevention and mitigation measures taken during construction and giving out the overall environmental impact of the



project and supporting arguments. The Consultant will submit this report no later than 02 months after these six months.

49. The standard formats of the above-mentioned reports are to be approved by the IDA and PMU18. Among other things, monitoring reports will determine the extent of compliance with each EMP.

50. The above reports are to be submitted by the Consultant to the PMU18 (04 English and 06 Vietnamese copies), the local four DOSTEs of Bac Giang, Thai Nguyen, Thanh Hoa and Nghe An province (01 English and 01 Vietnamese copies each) and the IDA (02 English copies).

6. COUNTERPARTS, DATA AND SERVICES TO BE PROVIDED BY THE CLIENT 51. The Consultant will provide all required facilities and services including accommodations, vehicles, office supplies, support staff and office equipment.

52. The Client will assign counterparts from its staff to the Consultant’s team for technology transfer, and for on the job training. The counterparts will work with the Consultant’s staff in conducting the workshops.

53. The Client will provide the Consultant will all available information, data, maps, reports and correspondence related to the project.

Scope of Services:

The service is applied to the First Year Work Program of Network Improvement Program only.

Road sections to be rehabilitated in the Fisrt Year Work Program and the implementation duration for each of the five construction contracts are as follows:

Description NH48-I NH48-II NH48-III NH47 NH37

Length (km) 8.0 20.0 26.9 20.1 47.8 Province Nghe An Nghe An Nghe An Thanh

Hoa Thai

Nguyen – Bac Giang

Pre-construction Period (month)

6 6 6 6 6

Construction Period (month)

10 10 10 10 18

Defects Liability Period (month)

12 12 12 12 12

Socialist Republic of Vietnam Road Network Improvement Project · 2016-07-15 · Socialist Republic...

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Transcript of Socialist Republic of Vietnam Road Network Improvement Project · 2016-07-15 · Socialist Republic...