4 resettlement policy framework final - world bank...project management no. 6 resettlement policy...

PROJECT MANAGEMENT NO. 6

RESETTLEMENT POLICY FRAMEWORK 1

RURAL TRANSPORT PROJECT NO.3

RESETTLEMENT POLICY FRAMEWORK UPDATED FOR ADDITIONAL FINANCING PROJECT

Final

October,2011

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wb406484Typewritten TextRP1183 v5



1. Introduction

The Third Rural Transport Project (RT3) includes rehabilitation and improvement of rural

district, commune roads in 33 provinces in Vietnam, through the use of low-cost

engineering techniques and spot improvements. The project will be planned, designed and

implemented in a phased fashion.

The project is being implemented by Ministry of Transport (MoT) through its Project

Management Unit No. 6 (PMU6) which is working with counterparts in Provincial

Departments of Transport (PDOTs), each of which had established a Provincial Project

Management Unit (PPMU) for the project.

The project will be implemented in phases between 2005 and 2010. The first phase

includes the preparation of documents for four pilot provinces and 100 km of road

rehabilitation and will be followed by phases based on annual work programs. The second

phase will include approximately 1,500 km in 16 provinces.

To meet the requirements of World Bank’s OP 4.12 Involuntary Resettlement policy, this

Project Framework has been developed. The Policy Framework has been applied to the

plans prepared for the four pilot provinces and will be applied to all future resettlement

plans to be prepared in the 33 provinces for roads to be upgraded under the project.

2. Legal Framework

2.1 Laws regarding land acquisition in Vietnam

The main laws and decisions regarding land acquisition include:

The Land Law No. 13/2003/QH11 (December 2003);1

Decree No. 181/2004/ND-CP (October 2004) on guiding the implementation of the Land

Law;

Decree No. 197/2004/ND-CP (December 2004) on compensation, assistance and

resettlement when the State recovers land;

Circular 116/2004/TT-BTC (December 2004) on guiding the implementation of Decree

197;

Decree No. 188/2004/ND-CP (November 2004) on methods for determining land process

for various types of land; and

Circular 114 /2004/TT-BTC (November 2004) on guiding the implementation of Decree

188;

Decree No 69/2009/ND-CP (August 13, 2009) to amend a number of provisions on land

use planning, land rental rates, land reclamation, and resettlement and compensation.

Circular 14/2009/TT-BTNMT (October 01,/2009) on detailed compensation , assistance

and resettlement, process and regulations of land acquisition, land allocation, land lease

management ( be effective from November, 16, 2009)

The Land Law 2003 is a comprehensive law that establishes the regulations of land

allocation, lease management, land acquisition for development purposes, changes of

land value under market mechanisms, and gives people access to land through land-user

rights via land use right certificates (LURCs), which are similar to private ownership. In

essence the law allows the State to recover land in cases of national defence or security,

1 The latest version updates and supersedes the 1993 and 1987 versions, it was approved in December 2003 and came into

effect on July 1st 2004.



or national and public interest. In these cases, under Article 27, the land user will be

compensated for loss of land or assets2.

The new Decree 197 go a long way to closing the gaps that previously existed between

Government’s and standards required under the World Bank policy on involuntary

resettlement (OP 4.12). However, still there are some gaps between national policies and

OP 4.12 of the World Bank and waivers of a number of articles of the Land Law and

Decrees will be required to ensure that the World Bank’s policy is complied with. Such

waivers of Vietnamese law and decrees are provided for under both Decree 197 and

Decree 17/ND-CP (May 2001), which regulates the management and use of official

development assistance. Under Decree 197, Article 1 (2) states that in the case where

Viet Nam has signed an agreement for official development aid and the agreement or

treaty contains regulations that are different from the regulations provided in the decree,

then the regulations of the agreement or treaty shall be applied. While under Decree 17,

Article 29 stipulates that where an international aid agreement has provisions that are

inconsistent with the provisions of Viet Nam law, the provisions of the official

development assistance agreement shall prevail.

2.2 The World Bank Policy on Resettlement and Waivers Required

As noted above, the new Land Law and Decrees have come a substantial way in closing

the gaps between Government and the World Bank requirements in respect of

resettlement, but there are still differences between the Vietnamese requirements as set

out in the Land Law and new Decree and World Bank’s Policy OP 4.12. The key

differences are:

The ‘significance’ of impact is triggered by a loss of 30 per cent or more of agricultural

land in Decree 197, in OP 4.12 the trigger is a loss of 10 per cent or more of productive

land/assets.

Decree 197 recognizes non-legal users or users without papers or documents ONLY if

they have been using the land to be affected by a project in a stable manner since PRIOR

to 15th

October 1993;

Land Law and Decree 197 provide for deductions from both land and assets

compensation in a number of circumstances;

Houses and structures will not be compensated if they have been constructed without

permission, constructed in contravention of a land use plan, or if they have encroached

upon a demarcated safety protection corridor;

Houses and structures will only be compensated to 80 per cent of their value or

compensation rate if they have been built on land that is ineligible for compensation;

Decree 197 recognizes businesses or economic entities as PAPs only if they hold a

business certificate (i.e. excludes non-registered businesses);

Decree 197 recognizes PAPs losing employment only on a permanent basis (i.e. if they

are made redundant) and only if the PAP has an employment contract and is employed by

a business or economic entity holding a business certificate;

Systems of machinery and production lines will only be compensated to the value of

dismantling, transporting and re-installation. The Decree does not include any

compensation for income lost or foregone associated with the impact;

2 “National and public interest" is defined as including infrastructure projects.



Under Decree 197, assistance for occupational change and job creation is only provided

to PAPs engaged directly in agricultural production and in cases where more than 30 per

cent of their agricultural land is affected;

The requirements for consultation in the Land Law and Decree 197 are limited to

“informing” PAPs rather than providing information and seeking feedback from those

directly affected; and

Decree 198 on the price frame for lands limits the upper prices for land and thus in some

cases land will not be compensated at the replacement cost.

2.3. Project Policy Framework

2.3.1. Basic Principles

The Policy Framework is prepared based on relevant Government laws and decrees and

World Bank policy OP 4.12 on involuntary resettlement.

The principle objective of the framework is to ensure that, under the project, all PAP's will

be compensated for their losses sufficient to replace their losses and provided with

rehabilitation measures to assist them to improve, or at least maintain, their pre-project

living standards and income earning capacity.

The project policy framework lays down the principles and procedures that will guide the

compensation, resettlement and rehabilitation of PAPs.

2.3.2. Project Policies

The following policies will be applied to the project to ensure that the principles and

objectives stated above will be met:

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

2. All PAPs residing, working, doing business or cultivating land in the right-of-way of the roads of the project as of the date of the detailed measurement

survey (DMS) and who are affected are entitled to be provided with

rehabilitation measures sufficient to assist them to improve, or at least

maintain, their pre-project living standards, income earning capacity and

production levels;

3. Lack of legal rights to assets lost will not bar PAPs from entitlement to such rehabilitation measures;

4. Replacement residential and productive land will be as nearby as possible to the land that was lost, and acceptable to the PAPs;

5. Assistance for severely affected PAPs will be provided under the project to assist these PAPs to at least restore, if not improve, their standards of living;

6. Plans for acquisition of land and other assets and provision of rehabilitation measures will be carried out in consultation with the PAPs, to ensure minimal

disturbance. Entitlements will be provided to PAPs prior to expected start-up

of works at the respective subproject sites;

7. Any acquisition of, or restriction of access to, resources owned or managed by the affected community as a common property should be mitigated by

arrangement ensuring access to improved or at least restored resources or

access;

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



9. Monitoring and evaluation of the implementation of the plan will be carried out.

2.3.3. Project Affected People

The PAPs include the following persons (individual, institution), affected by the project

as identified in the inventory of losses (IOL) and DMS:

Persons whose houses or other structures and/or residential land are affected;

Persons whose agricultural land or structures (i.e. rice bins) are affected;

Persons whose commercial land and/or structures are affected;

Persons whose crops (annual and perennial) and trees are affected;

Persons whose fishpond or any other land is affected;

Persons who temporarily or permanently lose employment ;

Persons who are affected through impacts upon community property resources and land

(including infrastructure and services); and

Persons who are affected through loss of, or impacts upon, non-productive assets such as

wells, graves and shrines etc.

The whole community that temporarily or permanently loses i.e. places for community

gathering, worship places, access to ponds etc.

Criteria for Eligibility

The cut-off date for eligibility for entitlement is when the DMS is completed. Persons

who encroach on the area after the cut-off-date are not entitled to compensation or any

other form of resettlement assistance.

PAPs eligible for compensation under the project will include:

(a) Those that have formal legal rights to land or other assets;

(b) those who initially do not have formal legal rights to land or other assets but

have a claim to legal rights based upon the laws of the country; upon the

possession of documents such as land tax receipts and residence certificates;

or upon the permission of local authorities to occupy or use the project

affected plots; and

(c) Those who have no recognizable legal right or claim to the land they are

occupying.

Persons occupying an area required for the project prior to the cut-off date and covered

under (a) and (b) are provided compensation for the land and assets they lose, and are

also entitled to other assistance.

Persons occupying an area required for the project prior to the cut-off date and covered

under (c) are provided for compensation for structures, crops or trees, and resettlement

assistance - in lieu of compensation for the land they occupy - and other assistance, as

necessary, to achieve the objectives set out in the policy framework.

Persons who encroach on the area after the cut-off date as defined in this plan are not

entitled to compensation or any other form of resettlement assistance.

2.3.4. Project Impacts & Entitlement

Based on the type of impacts expected to be created by the project, PAPs will be entitled to

the following types of rehabilitation and assistance measures:



1. Loss of productive land and crops (including fishponds and fish crops)

a. Land that is temporarily taken for works by the project (for a period of one year or less) will be rented from the PAP; compensation for any loss of income, standing

crops, and for the cost of soil restoration and repair of any damaged infrastructure.

Land will be fully rehabilitated and hand back to the PAP after subproject

construction. If the project requires the land for more than one year the PAP will

have the choice to either continue the rental agreement or to sell the land to the

project at replacement cost;

b. For PAPs with LURCs or legalizable rights to land use or using land in a stable manner that such land is dispute free- if the land lost is LESS THAN twenty-five

per cent of the total area of the landholding, and the remaining land is still a

viable economic holding, cash compensation, at full replacement cost for the

acquired area will be provided to the PAP. If the land lost is EQUAL or MORE

THAN twenty-five per cent and/or LESS THAN twenty-five per cent of the total

area of the landholding and the remaining holding is NOT viable, then the project

will acquire the entire landholding and provide as a priority land-for-land (land of

equal productive capacity and satisfactory to the PAP, if compensated land of

lower productive capacity, cash balance for different values of land types).

However, if the PAP prefers to receive cash instead of land or land is not

available, and then cash compensation at replacement cost is applied and PAP is

entitled to a restoration package. For PAPs with lease rights or temporary land use

rights - Cash compensation for loss of net income for the remaining leased or

assigned period, whichever is higher. For the PAP using land assigned by State-

owned agricultural or forestry farms or public land of community on a contractual

basis for use for agricultural, forestry, aquaculture purposes shall be compensated

only for remaining expenses invested in land, but not for land. However, the PAP

would be assisted with the highest level of support shall be equal to the price of

land to be recovered.

c. For PAPs who do not meet the conditions for compensation prescribed above, the People’s Committees of competent levels shall assign them new land as suitable

to the local conditions Landless PAPs will not be displaced until they have been

allocated other land; and

d. For all PAPs, regardless of status of rights to use the land, compensation for loss of standing crops will be at market price based on the highest crop production

during the three previous years, productive trees will be compensated at

replacement cost for their size, age and productive capacity. PAPs have the right

to salvage trees without any deduction in value of compensation.

2. Loss of residential land and houses (or other structures)

a. Land that is temporarily taken for works by the project (for a period of one year or less) will be compensated for loss of any crops or trees, and for the cost of

restoration and/or repair of any damaged structures. Land will be fully

rehabilitated after subproject construction;

b. If the land is partially affected and the remaining area is SUFFICIENT for reorganizing (i.e. not less than 60 m

2 in urban areas and 100 m

2 in

rural areas

) and

the house or structure is not, or only partially, affected (the affected area does not

impact upon remaining structure), compensation for loss of land will be cash

compensation at replacement cost, and cash compensation at full replacement cost

for house and structures affected, WITHOUT deduction for depreciation or

deductions for salvaged materials or compensation in kind (materials), according



to PAPs choice, and cash compensation for any other assets, trees or crops

affected;

c. If the land lost renders the remaining area INSUFFICIENT for reorganizing (i.e. less than 60 m

2 in urban areas and 100 m

2 in

rural areas and/or more than 60 m

2 in

urban areas and 100 m2

in rural areas), the PAPs have their choices to (i)

compensation for loss of land will be either provision of replacement residential

land (house site and garden) of equivalent size and satisfactory to the PAP or cash

compensation at replacement cost, and cash compensation at full replacement cost

for house and structures affected, WITHOUT deduction for depreciation or

deductions for salvaged materials or compensation in kind (materials), according

to PAPs choice, and cash compensation for any trees or crops affected; The

unaffected area will be handed over to local authorities; (ii) to rebuild house on

the remaining areas and cash compensation for the affected part. PAPs will be

exempt from fees for issuance of LURCs for the new land or these fees (if

required) will be included in the compensation package for land;

d. Tenants, who have leased a house for residential purposes will be not be compensated for land or the house or structure.. The PAP will be compensated

for any improvements, renovations, or upgrades they have made to either the land

or the structure, and will also be entitled to rent a house, for the same rental price,

in the resettlement area. If a house is not available in the resettlement area, the

PAP will be assisted to find alternative accommodation for themselves through

cash assistance equal to 60 per cent of the value of the rented property (land and

house); and

e. All relocating PAPs, including tenants, will be provided with a relocation allowance (transportation assistance for removal and relocation) as set out in 6 i.

f. When land lying with safety corridors is not recovered by the project, compensation shall be paid for damage caused by the restricted usability of such

land.

3. Loss of business or employment

a. For businesses that are registered and will be affected on a temporary basis (i.e. business can re-establish on same site), compensation will be cash compensation

for affected part of commercial structure at full replacement cost, without

depreciation; and cash compensation for the loss of income for the period for

which the business can not operate (i.e. during the rebuilding period) or a

maximum of three months;

b. For businesses that are not registered and will be affected on a temporary basis (i.e. business can re-establish on same site), compensation will be cash

compensation for affected part of commercial structure at full replacement cost,

without depreciation; and cash compensation to the value of 80 per cent of lost

income for the period for which the business can not operate (i.e. during the

rebuilding period) or a maximum of three months;

c. For businesses that are registered and will experience a permanent loss of business (i.e. business has to discontinue or relocate to another site) will be

provision of alternative business site of equal size and accessibility to customers,

satisfactory to the PAP; cash compensation for lost commercial structure at full

replacement cost, without depreciation; for business that can re-establish at

another site cash compensation for loss of income for the period the business can

not operate (is rebuilding) or for businesses that can not re-establish at another



site cash compensation for the loss of six months’ income; and assistance for

occupational change and job creation if required;

d. For businesses that are not registered and will experience a permanent loss of business (i.e. business has to discontinue or relocate to another site) will be

provision of alternative business site of equal size and accessibility to customers,

satisfactory to the PAP; cash compensation for lost commercial structure at full

replacement cost, without depreciation; for business that can re-establish at

another site cash compensation to the value of 80 per cent of lost income for the

period the business can not operate (is rebuilding) or for businesses that can not

re-establish at another site cash compensation to the value of 80 per cent of the

loss of six months’ income; and restoration package ; and

e. Compensation for temporary or permanent loss of employment will be the cash equivalent of the PAP’s wages for the period of discontinuity of the business or

production, up to a maximum of six months.

4. Loss of other fixed assets

Compensation at full replacement cost, without deduction for depreciation and or

deduction for any salvaged materials for any other fixed assets (such as tombs, water

wells, hand pumps etc) affected by the project.

5. Loss of community property

Restoration or repair, as the case may be, by PPMU, at NO COST to the community,

of any community infrastructure [such as schools, water sources (including pipes and

wells), roads and tracks, sewage systems etc] damaged by the project.

6. Livelihood restoration package

Besides direct compensation for the losses, PAPs will also be entitled to additional

assistance (allowances and other measures) for livelihood restoration as stipulated in

Decree 197 and this Policy Framework. These include:

Relocation/transportation allowance - according to Article 27 of Decree 197, all PAPs

moving away from their original residence but relocating within the province are

entitled to a maximum allowance of 3 million VND and all PAPs relocating beyond

the province are entitled to a maximum allowance of 5 million VND. This allowance

is for the transportation of their household contents, salvaged materials and any other

living facilities;

Restoration package (livelihood and production stabilization allowance) - according

to Article 20 (i) of Decree 69, all PAPs that are either relocating or experience

significant impacts on their productive land shall receive a cash allowance equivalent

to 30 kg of rice per family member per month for a period of six months if they are

not relocating and for a period of twelve months if they are relocating. If PAP has to

be relocated to a place of difficult socio-economic conditions this subsidy will be

extended to a period of two years. In the cases that PAPs losing over 70 percent of

productive land, they should receive a cash allowance equivalent to 30 kg of rice per

family member per month for a period of twelve months if they are not relocating and

for a period of twenty four months if they are relocating. .If PAP has to be relocated

to a place of difficult socio-economic conditions this subsidy will be extended to a

period of three years.

Restoration package for PAPs with businesses severely affected (i.e. can not re-

establish at the same site) will receive a cash allowance equivalent to 30 kg of rice per

family member per month for a period of three months if they are not relocating and



for a period of six months if they are relocating, and assistance for training and

alternative employment;

Assistance for occupational change – according to Article 22 of Decree 69, all PAPs

of working age that are engaged in agricultural, or similar, production and experience

significant impacts on their productive land shall receive assistance to attend

vocational training centers for a change in occupation; and

Special assistance for poor and vulnerable PAPs - all poor and vulnerable PAPs shall

receive a cash allowance equivalent to 30 kg of rice per family member per month for

a period of six months. If the PAP household is both poor and severely affected they

shall receive only one package. Other assistance can be provided on a case-by-case

basis.

The project entitlement matrix is included as Table 2.1.

2.4. Timing of Compensation Payment

The PAPs will receive compensation for crops, trees and partially affected land and

houses ONE month prior to land clearance.

The PAPs will receive compensation for fully affected land and houses THREE months

prior to land clearance.



Table 2.1 – RT3 Entitlement Matrix

No Type of Impact Application Entitled PAPs Compensation Policy Implementation Issues

1. Productive land

i

Temporary acquisition (i.e.

less than one year)

All PAPs that

are using land or

have trees, crops,

or any other

assets affected

by the project

PAPs with LURC or

able to prove claim

for land prior to cut-

off date and included

in the inventory

Compensation for the area of land required

by the project as rent paid to the PAP; AND

Cash compensation for affected trees and

structures at replacement cost, and crops at

market price based on total yield (for all

harvests per year) from affected area in three

previous years; AND

Full rehabilitation of land after project

construction to pre-project conditions and

productive capacity.

Full compensation at least ONE month before land clearance.

Local authorities to determine, and ensure that, compensation for

trees will be at replacement cost, and for crops at market price.

Affected land in right-of-way will be rehabilitated by contractors

after the project construction and land in right-of-way could be used

with the restricted purposes.

If use likely to continue for more than one year PAP has the choice of

continuing the arrangement or selling the land to the project at full

replacement cost.

ii

Permanent acquisition of

LESS THAN 25 per cent of

total productive landholding

All PAPs

occupying land

and properties

associated with

land to be

permanently

acquired by the

project

PAPs with LURC or

able to prove claim

for land prior to cut-

off date and included

in the inventory

Cash compensation for the area acquired at

replacement cost if the remaining plot is still

economically viable; AND

Compensation for trees and crops at market

value and affected structures at replacement

cost.

Consultation with PAPs about options for land compensation. PAPs

will be granted with LURC to replacement land without payment of

administrative or other fees.

PPMU and CARB to determine and ensure that compensation will be

at replacement cost at the time of decision on land recovery if no

longer than one year has elapsed.

Full compensation for crops, trees and any other properties associate

with the land at least ONE month before land clearance. PAP has

right to use/replant salvageable trees.

PAPs with lease or

temporary rights to

land use or able to

prove land

occupancy prior to

cut-off date and

included in the

inventory

Cash compensation for loss of net income for

the remaining leased or assigned period;

AND



cost.

Cash assistance in addition to compensation to cover losses of

property associated with land and compensation for lost income will

ensure that PAPs that are leasing land will not be worse off.




PAPs without title or

LURC or able to

prove land

occupancy prior to

cut-off date (without

dispute) included in

the inventory

No compensation for land but entitled to cash

compensation for loss of standing crops and

trees at market prices.

Landless PAPs will not be displaced until they have been allocated

other land.


at replacement cost at the time of payment.




iii

Permanent acquisition of 25

per cent or MORE and/or

LESS THAN 25 per cent of

total productive landholding

and remaining holding is not

viable

All PAPs

occupying land

and properties

associated with

land to be

permanently

acquired by the

project

PAPs with LURC or

able to prove claim to

land prior to cut-off

date (without

dispute)

If the landholding is still economically viable

the PAP can opt for one of the following:

Land for land for the area to be acquired and

of similar productive capacity to the

satisfaction of PAP; if compensated land of

lower productive capacity, cash balance for

different values of land types) OR If land is

not available, cash compensation at

replacement cost for the area to be acquired;

AND



cost.

If the landholding is no longer economically

viable:

As a priority, land for land of the same

productive capacity as land to be acquired, in

a location to the satisfaction of PAP; OR

Cash compensation at replacement cost for

the total landholding; AND



cost; AND

Assistance [refer to item 6]

Consultation for PAP’s options on land compensation. Identification

of replacement land suitable to PAPs. PAPs will be granted LURC to

replacement land without payment of administrative or other fees.



Full compensation for trees and fruit trees to PAPs at least ONE

month before land clearance. PAP has right to use/replant salvageable

trees.

For severely affected PAPs when there is no land available for

compensation, PPMU and CARB to consult with PAPs who are

eligible for assistance or other measures to discuss options and

prepare proposal for livelihood restoration program in the period of

RP implementation. Clear inform the PAP in advance at least 90 days

prior to time of land acquisition for the project.




PAPs with lease or

temporary rights to

land use or able to

prove land

occupancy prior to

cut-off date and

included in the

inventory. The PAP

using land assigned

by State-owned

agricultural or

forestry farms or

public land of

community on a

contractual basis for

use for agricultural,

forestry, aquaculture

purposes

Lease rights to land for the area to be

acquired and of similar productive capacity

to the satisfaction of PAP; OR If land is not

available, cash compensation for 30 per cent

of replacement cost for the area to be

acquired or cash compensation for loss of net

income form the area affected for the

remaining leased or assigned period; AND

If the land is not longer viable - as a priority,

lease rights to land for land of the same area

and productive capacity as land to be

acquired, in a location to the satisfaction of

PAP; The PAP would be assisted with the

highest level of support shall be equal to the

price of land to be recovered.

OR If land is not available - cash

compensation for loss of net income for the

remaining leased or assigned period; AND



cost; AND

Assistance for economic restoration [refer to

item 6]


of replacement land suitable to PAPs. PAPs are not liable for

administrative or other fees.





RP implementation.

iv

Land lying with safety

corridors is not recovered by

the project.

All PAPs

occupying land

and properties

associated with

land to be

permanently

acquired by the

project

-do-


LURC included in

the inventory

No compensation for land but entitled to cash

compensation for loss of standing crops and

trees at market prices ; AND

Subsistence allowance and rehabilitation

measures will be provided.

Compensation shall be paid for damage

caused by the restricted usability of such

land.


of replacement land suitable to PAPs. PAPs will be granted LURC to

replacement land without payment of administrative or other fees.

Landless PAPs will not be displaced until they have been allocated

other land.





RP implementation.




2. Residential (including garden) land




i

Temporary acquisition (i.e.

less than one year)

All PAPs that

are using land or

have trees, crops,

or any other

assets affected

by the project

PAPs with LURC or



date and included in

the inventory

Cash compensation for area of land required

by the project paid as rent to the PAP; AND

Cash compensation for affected trees and

structures at replacement cost, and crops at

market price based on yield from affected

area in three previous years; AND

Full rehabilitation of land after project

construction to pre-project conditions.

Full compensation to PAPs at least ONE month before land

clearance. Affected land in right-of-way will be rehabilitated by

contractors after project construction.

If use likely to continue for more than one year PAP has the choice of

continuing the arrangement or selling the land to the project at full

replacement cost.

ii

Permanent acquisition and

remaining land

SUFFICIENT for

reorganizing (i.e. is not less

than 60 m2 in urban areas

and 100 m2 in rural areas)

and no, or partial, effect on

house or structure (i.e.

affected area does NOT

affect remaining house or

structure)

All PAPs living

or residing in

area affected by

the project

PAPs with LURC or




the inventory

Cash compensation for area of land acquired

at replacement cost; AND

Compensation, in cash or kind, for directly

affected area of structure at replacement cost

without deduction for salvageable materials;

AND

Any trees or crops affected to be

compensated at market price.

Demolition of house & structures regulated by Article 8 of Decree

54/1999/ND-CP. Full compensation to PAPs for affected part of

house or structure at least THREE months before land clearance. PAP

has right to any salvageable materials.

PAPs will be responsible for clearing the required area and

reconstructing houses themselves.



Full compensation for trees and crops at least ONE month before land

clearance. PAP has right to salvageable trees.


LURC included in

the inventory

No compensation for land.




AND Any trees or crops affected to be

compensated at market price.





remaining land is

INSUFFICIENT for

reorganizing (i.e. less than

60 m2 in urban areas and 100

m2 in rural areas and/or

more than 60 m2 in urban

areas and 100 m2 in rural

areas)

All PAPs living

or residing in

area affected by

the project

PAPs with LURC or




the inventory

The PAPs have their choices to (i)

compensation for loss of land will be either

provision of replacement residential land

(house site and garden) of equivalent size and

satisfactory to the PAP or cash compensation

at replacement cost, and cash compensation

at full replacement cost for house and

structures affected, WITHOUT deduction for

depreciation or deductions for salvaged

materials or compensation in kind

(materials), according to PAPs choice, and

cash compensation for any trees or crops

affected; The unaffected area will be handed

over to local authorities; (ii) to rebuild

house on the remaining areas and cash

compensation for the affected part. PAPs

will be exempt from fees for issuance of

LURCs for the new land or these fees (if

required) will be included in the

compensation package for land;


54/1999/ND-CP. Full compensation to PAPs for affected part of

house or structure at least THREE months before land clearance. PAP

has right to any salvageable materials.

PAPs will be responsible for clearing the required area and

reconstructing houses themselves.



Full compensation for trees and crops at least ONE month before land

clearance. PAP has right to salvageable trees. Clear inform the PAP

in advance at least 180 days prior to time of land acquisition for the

project. Inform PAP about detail planning of relocation site

development.

iii


remaining land is

INSUFFICIENT for






areas)

All PAPs living

or residing in

area affected by

the project

PAPs with formal or

informal rental

agreement

Compensation only if PAP has paid rent in

advance, compensation will be cash for the

amount of rent paid; AND

Compensation for improvements,

renovations, or upgrades made to land or the

structure; AND

Entitled to rent a house, for same rental price,

in resettlement area; or assistance to find

accommodation for themselves equivalent to

60 per cent of the value of the rented

property; AND

Assistance for relocation [refer item 6].

Owner of land or structure to agree improvements or renovations

have been made. PPC to determine value of improvements,

renovations, or upgrades on a case by case basis.




iv


remaining land is

INSUFFICIENT for






areas)

All PAPs living

or residing in

area affected by

the project

PAPs are not eligible

to land compensation

as described above

or able to prove land

occupancy prior to

cut-off date included

in the inventory

No compensation for land. PAP to be

assisted in locating new residential plot;

AND




AND

Any trees or crops affected to be

compensated at market price; AND

Assistance [refer to item 6].


54/1999/ND-CP. Full compensation to PAPs for house or structure at

least FIVE months before land clearance.

Replacement land, and resettlement sites developed to PAPs wishes

i.e. relocation as community or self-relocation.



Full compensation payment for trees and fruit trees to PAPs at least

ONE month before land clearance. PAP has right for using

salvageable trees.

3. Loss of business or employment

i

Temporary effects on

business (i.e. business can

re-establish at same location)

All PAPs

experiencing

impacts on

business and

production

PAPs with business

certificate or who are

registered

Cash compensation for affected part of

commercial structure at replacement cost,

without depreciation; AND compensation for

loss of income during rebuilding period or

for maximum of three months.

Full compensation for affected structure and incomes to PAPs at least

ONE month before land clearance.

Unregistered PAPs or

PAPs without

business certificate

Cash compensation for affected part of

commercial structure at full replacement

cost, without depreciation; AND

Cash compensation for 80% of the value of

loss of income during the rebuilding period

or for maximum of three months.


ONE month before land clearance




ii

Permanent effects on

business (i.e. business has to

discontinue or relocate to

another site)

All PAPs

experiencing

impacts on

business and

production

PAPs with business

certificate or who are

registered

Provision of alternative business site of equal

size and accessibility to customers,

satisfactory to the PAP; AND

Cash compensation for lost commercial

structure at full replacement cost, without

depreciation; AND

For business that can re-establish at another

site cash compensation for loss of income for

the period the business can not operate (i.e.

period is rebuilding to a maximum of six

months) or for businesses that can not re-

establish at another site cash compensation

for the loss of six months’ income; and

assistance for occupational change and job

creation if; AND



FIVE months before land clearance.

PPMU and CARB to consult with PAPs who are eligible for

assistance or other measures to discuss options and prepare proposal

for livelihood restoration program in the period of RP

implementation.

PAPs with businesses that can not be re-established entitled to

assistance including training and/or alternative employment.

Unregistered PAPs or

PAPs without

business certificate

Provision of alternative business site of equal

size and accessibility to customers,

satisfactory to the PAP; AND

Cash compensation for lost commercial

structure at full replacement cost, without

depreciation; AND

For business that can re-establish at another

site cash compensation to the value of 80%

of loss of income for the period the business

can not operate (i.e. period is rebuilding to a

maximum of six months) or for businesses

that can not re-establish at another site cash

compensation to the value of 80% of loss of

six months’ income; and assistance for

occupational change and job creation if;

AND





iii

Loss of employment All PAPs

experiencing

impacts on

business and

production

PAPs with or

without an

employment contract

with a business (with

or without business

certificate)

Compensation equivalent of the PAP’s wages

for the period of discontinuity of the business

or production, up to a maximum of six

months; AND


Assistance for occupational change and job creation to be included in

overall livelihood restoration program in the period of RP

implementation.

4. Loss of other fixed assets

i

Any other impacts on fixed

assets owned or used by

PAPs

All PAPs that

have any other

assets in right-

of-way

PAPs with/without

LURC included in

the inventory or able

to prove land

occupancy prior to

cut-off date

Compensation at full replacement cost,

without deduction for depreciation and or

deduction for any salvaged materials

Any other fixed assets (such as tombs, water wells, hand pumps etc)

affected in part or in total by the project.

5. Community property

i

Any other impacts on

resources or assets held in

public or community

ownership or use

Any other assets

or community

property affected

by the project

Restoration or repair, as the case may be, by

PPMU, at NO COST to the community.

Includes restoration of any land temporarily used, and repair to any

community infrastructure [such as schools, water sources (including

pipes and wells), roads and tracks, sewage systems etc] damaged by

the project.

6. Restoration package

i

Relocation or physical

displacement

All relocating

PAPs

PAPs included in the

inventory

PAPs moving away from their original

residence but relocating within the province

are entitled to a maximum allowance of 3

million VND and all PAPs relocating beyond

the province are entitled to a maximum

allowance of 5 million VND.

Allowance is for the transportation of their household contents,

salvaged materials and any other living facilities, specific amount to

be decided by PPC.




ii

Significant impacts on

livelihood

All relocating

PAPs and PAPs

losing more than

25 per cent of

productive land

Severely affected

PAPs

In the case that

PAPs losing over 70

percent of

productive land:

Cash allowance equivalent to 30 kg of rice

per family member per month for a period of

six months if they are not relocating and for a

period of twelve months if they are

relocating. . If PAP has to be relocated to a

place of difficult socio-economic conditions

this subsidy will be extended to a period of

two years.



twelve months if they are not relocating and

for a period of twenty four months if they

are relocating... If PAP has to be relocated to

a place of difficult socio-economic

conditions this subsidy will be extended to a

period of three years.

Apply the article 20 of the Decree No 69/2009/ND-CP (August 13,

2009)

PPC has discretion to extend length of assistance up to one year if

PAP has to be relocated to a place of difficult socio-economic

conditions

iii


livelihood

PAPs losing

business or

production

activities

Severely affected

PAPs who can not re-

establish business

PAPs that have to discontinue their business

or production will receive assistance equal to

a maximum of 30 per cent of one year’s

revenue (based on the average revenue of the

three preceding years after taxation)

As provided for in Decree 197 specific rate of assistance to be

stipulated by PPC and consistent with conditions of the locality.

Assistance to be in addition to compensation for commercial structure

and lost income.

iv


livelihood

PAPs losing

business or more

than 25 per cent

of productive

land

Severely affected

PAPs of working age

Severely affected

PAPs of working age

can not receive

productive land as a

compensation

Assistance for occupational change provided

through training at vocational centers or other

measures.

For a change in occupation, PAPs can be

received one assistance among two:i) cash

allowance equivalent to whole productive

land acquisition at the rate high as 1.5-5

times of productive land price and total of

land acquisition cannot be over the volume of

productive land stipulated by local

government; OR ii) an assistance by a

portion of residential land or an apartment or

a portion of un-agricultural –business land.

The second assistance can be applied in the

locations that have land fund and the

assistance is over or equal to valuation of a

portion of residential land/ an apartment / or

un-agricultural –business land

Measures to be discussed with PAPs.

Specific rate of assistance and numbers of people to whom it shall

apply to be stipulated by PPC and consistent with conditions of the

locality.




v

Special assistance PAPs affected by

the project

Poor and vulnerable

PAPs



six months

Assistance in identifying poor and vulnerable PAPs and ensuring

only receive one assistance package.



3. Institutional Framework

3.1. Project Management Unit No.6 (PMU6)

MoT through PMU6 at national level, and PPMUs as a specific department of PDOT at

provincial level, are responsible for the over-all planning, implementation and

coordination of the project including resettlement and land acquisition activities. PMU6

has assigned some fourteen staff to oversee RT3 implementation, two of whom are

responsible for land acquisition and resettlement planning and will provide technical

assistance, support, guidance and capacity building related to resettlement and land

acquisition activities to PPMUs as required.

PMU6 assisted by national resettlement specialists, will assist, support and supervise

PPMUs in the preparation, implementation and monitoring of all resettlement plans.

PMU6 will establish an internal and external monitoring and evaluation system.

3.2. Provincial Project Management Units (PPMU)

The PPMUs are required to assign at least two staff who shall be responsible for

implementation of safeguards, of which at least one staff will be primarily responsible for

the preparation and implementation of resettlement and social development activities. The

resettlement officer will oversee the smooth and effective implementation of resettlement,

compensation and rehabilitation measures and activities and will work closely with

concerned districts and Compensation, Assistance & Resettlement Boards (CARBs) and

provide support and guidance to the districts and communes.

The main responsibilities of PPMU resettlement officer is to:

• Undertake the screening of all roads proposed in each AWP and submit to PMU6 the list of roads requiring land acquisition;

• Guide and assist the CARB in the undertaking of the IOL, DMS and support for the appraisal and verification of rates used for compensation;

• Prepare the annual resettlement plans and compensation plans for each annual works programs (AWP);

• Implement and monitor land acquisition and resettlement;

• Coordinate with the provincial and district Land Administration Department related to land allocation and land use rights issues;

• Coordinate all land acquisition and resettlement activities with construction activities according to the implementation schedule;

• Establish proper PAP databases for each subproject;

• Continue and maintain effective consultation with affected households and communities; and

• Submit regular (quarterly) progress reports to PMU6 on land acquisition, civil works, construction and related activities.

3.3. Responsibilities of People’s Committees

3.3.1. Provincial People’s Committee

In general the PPC will entrust the implementation of compensation, assistance, and

resettlement to the CARB and the Land Bank Development Organization. However, as



set out in Article 43 (1) of Decree 197, the PPC has the following main responsibilities

for resettlement planning and implementation:

Instruct agencies, departments and CPC to (i) develop resettlement areas if required by

land acquisition; and (ii) devise schemes for compensation, assistance and resettlement in

accordance with their power;

Approve or authorize the DPC to approve compensation, assistance and resettlement

schemes;

Approve land prices, release a land and asset price table for the calculation of

compensation each year and revise if required for a specific project, specify rates and

measures of additional assistance for livelihood rehabilitation, resettlement arrangement

schemes, and any schemes required for training for PAPs who have to change jobs; and

If required, establish an Appraisal Board chaired by the Manager of the Department of

Finance (DoF) for appraisal of compensation and resettlement arrangements (refer to

Section 3.3.1).

3.3.2. District People’s Committee

Under Article 43 (2) of Decree 197, the DPC has the following responsibilities:

Instruct, organize, make notifications, mobilize organizations and individuals on

compensation, assistance, resettlement and site clearance that conforms with the relevant

policies;

Instruct the CARB at the same level to organize the implementation of compensation,

assistance and resettlement schemes. Implement the approval of compensation, assistance

and resettlement schemes as authorized by the PPC;

Work in collaboration with departments, organizations and agencies and project owners

to implement projects, and implement the plans and schemes for resettlement areas when

they are required and authorized by the PPC; and

Deal with complaints and grievances from PAPs concerning compensation, assistance

and resettlement; and

Coordinate with any other departments with functions relevant to implementation of land

acquisition and resettlement activities.

3.3.3. Commune People’s Committee

Under Article 43 (3) of Decree 197, the responsibilities of the CPCs include:

Organizing consultations and public information about land acquisition, policies of

compensation, assistance and resettlement of projects;

Work in collaboration with the CARB to conduct the inventory that will identify PAPs

and their affected land and property; and

Co-ordinate with PPMU and CARB to organize the payment of compensation,

implementation of measures for assistance, support and assist with resettlement

arrangements for PAPs required relocating and enabling site clearance.

3.4. District Compensation, Assistance and Resettlement Boards

The CARBs assist the People’s Committees of the same level to implement

compensation, assistance and resettlement. The CARB, at district level, will be chaired by

the chairman or deputy chairman of the DPC and will include; a representative of Finance

Department as Deputy Chairman of CARB; the project developer – as a standing



member; a representative of Department of Natural Resources and Environment

(DONRE) as a member; a representative of the CPC from where the land is recovered as

a member; representatives of PAP households, as well as any other members to be

decided by the Chairman of the CARB in accordance with the actual situations and

localities.

According to Article 40 (2) the members of CARBs are responsible for the following:

The chairman instructs members of the CARB to submit for approval, and then

implement the schemes for compensation, assistance, and resettlement arrangement.

Project developers have responsibilities to help the CARB’s chairman prepare the

schemes for compensation, assistance and resettlement, and to ensure sufficient

expenditure to pay compensation, assistance and development resettlement sites in a

timely manner; and

Overall, the CARB is responsible for the accuracy of the statistics and figures, the

legitimacy of land and properties eligible for compensation, and implementation of

schemes for compensation, assistance, and resettlement.

3.5. Responsibilities of Provincial Government Departments

3.5.1. Department of Finance

The DoF is responsible for the following tasks:

Chair, and collaborate with, relevant agencies to submit to PPC for approval the land and

property prices and table to calculation compensation, rates of assistance, measures of

assistance and resettlement at localities to submit to the PPC for decisions;

Working with other relevant agencies, chair the appraisal of compensation schemes; and

Examine the payment of compensation and any assistance, and costs for the

implementation of compensation, assistance and resettlement at localities.

3.5.2. Department of Natural Resources & Environment

DONRE is responsible for:

Guide the identification of land areas, categories of land, types and conditions of land in

order to assist in determining the eligibility for compensation;

Guide the identification of users of land in order to assist in determining the eligibility for

compensation and assistance for each PAP; and

Coordinate with Department of Planning and Investment (DPI), Department of

Construction (DoC) to submit to PPC the decisions on the scale of land acquisition.

3.5.3. Department of Planning & Investment

Responsibilities of the Department of Planning and Investment (DPI) include guiding and

inspecting the implementation of resettlement under the various regulations and law on

management of investment construction.

The DPI is also responsible for guiding and examining the planning of resettlement and

monitoring the implementation of resettlement.

3.6. Responsibilities of Various Groups during Compensation Payment

For payment of compensation the PPMUs and CARBs will:

Inform PAPs regarding payment schedule at least two weeks in advance;



Prepare the list of PAPs and their corresponding entitlements and payment;

Prepare three copies of all compensation forms/documents (copies for PAPs, CARB, and

PPMU); and

Submit quarterly progress reports to PMU6 attaching the list of PAPs and signed

compensation forms documents for proper monitoring.

Each PPMU’s resettlement officer will:

Witness payment process based on the schedule made by PPMU and CARB;

Encourage various representatives (Women’s Union and/or Farmer’s Association) to

witness the compensation payment process;

Ensure that PAP is aware of his/her rights and entitlements, and document grievances if

there are any;

Sign as witness to the compensation activity, and get copies of all compensation forms

made; and

Update PMU the computerized data base.

4. Process For Resettlement Plan Preparation

A resettlement plan will be prepared for AWP for the roads that require land acquisition.

The resettlement plans for the four pilot provinces prepared prior to loan appraisal of the

project and will be updated following detailed engineering. Annual resettlement plans of

each province for all other subprojects will be prepared by PPMU based on this policy

framework and submitted to the project team of IDA at least three months prior to

beginning of coming years for its review and concurrent.

4.1. Resettlement Tools

The following are the main resettlement tools for the project:

1. Resettlement policy;

2. Annual Resettlement Plan - (either abbreviated or full) refer to Section 4.5; and

3. The Policy Framework and resettlement will be approved by the Prime Minister.

Resettlement plans prepared for the pilot provinces will be reviewed and cleared by

IDA and approve by Government prior to loan negotiation. For all subsequent road

subprojects, the annual resettlement plan will be prepared by PPMU and submitted

to PMU6 and will be approved by PPC and MoT without prior review of the

World Bank. Implementing agency needs to provide evidences showing their

adequate institutional capacity to review resettlement plans and ensure their

consistency with the World Bank’s policies. All draft and official version of these

documents must be submitted to World Bank for disclosure as required and for

random check. Implementation of the resettlement plans is subject to ex post

review by the Bank and the independent monitoring organization

4.2. Resettlement Screening

During the annual planning, and selection of roads for the AWP, the PPMU resettlement

staff will complete a screening, along with the engineers. The purpose of the screening is

three-fold; one is to explore measures to minimize impacts, the second is to determine

what type of resettlement plan is required, and the last is to propose a timetable for

resettlement planning. The screening criteria for the roads in each AWP are:



No resettlement effect – roads will not require temporary or permanent land acquisition,

and there are no impacts involving the loss of land, structures, crops and trees, businesses

or income. No resettlement plan is required but the PPMU shall submit the letter of

confirmation; or

MINOR impacts i.e. where no households have to be relocated (physically displaced),

where no households lose more than 25% of their productive land or less than 200

persons are affected by land acquisition the annual resettlement plan will be an

abbreviated resettlement plan; or

SIGNIFICANT impacts i.e. where households have to be relocated (physically

displaced), where households lose more than 25% of their productive land or where more

than 200 persons are affected by land acquisition the annual resettlement plan will be a

full resettlement plan.

The PPMUs, with cooperation from CPCs and CARBs will carry out plan preparation

based on a census and inventory of affected assets for all PAPs, as well as a sample socio-

economic baseline survey of at least 20 per cent of PAPs in cases where a FULL

resettlement plan is required:

For the four pilot provinces the resettlement plans prepared prior to project appraisal will

be updated based on a DMS following detailed engineering design;

For subsequent subprojects resettlement plans will be prepared based on the IOL

following preliminary design and will be updated as a compensation plan based on

detailed engineering design. The compensation plan will be the DMS and updated cost

estimate or budget; and

The socio-economic survey will be carried out following a review of the IOL when the

scale of impacts are known and only be for severely affected PAPs.

4.3 Inventory of Losses & Detailed Measurement Survey

The IOL is undertaken based on preliminary design and serves to provide an estimate of

land acquisition in terms of impacts and costs on which to base preparation of the

resettlement plan. The DMS is based on detailed design and usually follows demarcation

of the actual extent of works on the ground, and will be used to prepare the compensation

plan.

4.4. Socio-Economic Survey of Severely Affected PAPs

For AWPs that require a FULL resettlement plan (i.e. PAPs require relocation, more than

200 persons affected by land acquisition, or PAPs will lose more than 25 per cent of their

productive land or assets), additional information is required from severely affected

PAPs. The PPMU with support from CARBs will conduct a socio-economic survey of

PAPs (Form 8.4). At a minimum, the survey will collect data from a sample of 20 per

cent of severely affected people and be disaggregated by gender, ethnicity if applicable,

and type of loss.

The scope of data to be collected includes:

• Household head: name, sex, age, livelihood or occupation, income, education and ethnicity;

• Household members: number, employment status, school age children and school attendance, and literacy, disaggregated by gender;

• Living conditions: access to water, sanitation and energy for cooking and lighting; Ownership of durable goods;



• Tenure, ownership and use of land and other assets; and

• Sources of household income: primary and secondary sources of household income; household member(s) responsible for primary source of income; total household

income; and, whether affected land is primary source of income.

4.5. Preparation of Resettlement Plans

In parallel with the preparation of the abbreviated or full annual resettlement plan, the

PPMU and CARBs will continue consultations with PAPs to identify their preferences

and special needs, and incorporate such provisions in the plans. In addition, information

on market prices for land, crops, structures and other assets collected through an appraisal

to verify the PPC rates will enable resettlement cost estimates.

An abbreviated annual RP will cover all roads requiring land acquisition in the AWP and

include:

1. A census survey, inventory of losses and valuation of assets (indicating numbers of households losing assets by type);

2. Description of compensation and resettlement assistance to be provided;

3. Consultations with PAPs about options and alternatives;

4. Institutional responsibility for implementation (organizational responsibilities and structure), procedures for grievance redress, arrangements for monitoring

and implementation; and

5. A timetable (implementation schedule) and budget (cost estimate).

A full annual RP will cover all roads in the AWP requiring land acquisition and include:

• Executive summary;

• Introduction to the project and description of socio-economic characteristics of PAPs (based on survey);

• A census survey, inventory of losses indicating numbers of households losing assets by type;

• Legal framework and entitlements that apply to the subprojects in the AWP;

• Institutional responsibility for implementation (organizational responsibilities and structure) and procedures for grievance redress;

• Consultations with PAPs about options and alternatives;

• Compensation, assistance and resettlement (income restoration strategies);

• Implementation timing, schedule and arrangements for monitoring; and

• Budget and cost estimate (including valuation of assets and compensation amounts for all types of losses).

Following the detailed design, the PPMUs will update the annual RPs and submit them as

compensation plans. The compensation plans will consist only of (i) updated inventory

based on the DMS; and (ii) updated budget and cost estimate.

4.6. Public Disclosure

(i) Draft Policy Framework and draft resettlement plans to be disclosed prior to

the appraisal mission. The draft documents will be disclosed in accessible

places including commune offices, PPMU offices and Viet Nam Development



Information Centre in Ha Noi, and will be in a form, manner and language

understandable to PAPs and stakeholders;

(ii) The final Policy Framework and plans i.e. as approved by Government and

cleared by World Bank (IDA) prior to loan negotiation will be disclosed in

accessible places including commune offices, PPMU offices and Viet Nam

Development Information Centre in Ha Noi and in a form, manner and

language understandable to PAPs and stakeholders;

(iii) Distribution of a Public Information Booklet (PIB) in Vietnamese and, as

required, ethnic minority language(s); and

(iv) Disclosure of all approved documents in places that are publicly available,

including in the Viet Nam Development Information Centre in Ha Noi.

5. Public Consultation, Participation & Grievance Redressal

The consultative process will include not only PAPs, but also representatives of local

governments in the subproject areas, community leaders of host communities, civil

society organizations such as NGOs and members of local people’s organizations (e.g.,

Women’s Union, Fatherland Front, Youth Union and Farmer’s Association). Special

attention will be paid to identifying the needs of vulnerable groups such as the poor,

ethnic minorities, women, children and elderly, and ensure that their views are considered

in the formulation of the resettlement plan. Requirements on consultation depend on the

magnitude and nature of land acquisition impacts.

5.1. Consultation during Resettlement Plan Preparation

Consultation during plan preparation will include distribution of project information

through various media (announcements through loudspeaker system, meetings, and

leaflets). Specific consultative measures to be carried out during preparation of

resettlement plans include:

PPMUs in each province of a subproject requiring land acquisition inform district and

commune authorities about the requirements for resettlement, including the roles and

responsibilities of local organizations;

PPMU works with district authorities and CARBs to distribute letters to people living on

subproject roads, to inform them of the project, the need to acquire land and provisions

for compensation;

Village meetings will be held, and minutes recorded and included in the resettlement

plans. The meetings can discuss the project, entitlements, verification of compensation

rates, and possible livelihood restoration measures required for any PAPs that might be

severely affected;

Data related to land acquisition and resettlement is collected: vulnerable groups that may

be adversely affected by the project, resettlement preferences of affected households,

measures to reduce impacts and adequacy of compensation prices; and

Distribution of the PIB, and a summary of the policy framework will be made available in

an accessible place. The PIB will be distributed to ensure that the PAPs and various

stakeholders are informed about the project. The general contents of the PIB will include

the following (a draft PIB is attached in Appendix 8.3 as Form 8.5):

Brief description of the project;

Types of impacts expected;



Basic compensation policy and entitlements;

Consultation and participation of PAPs and community; and

Who to contact for additional information.

NOTE: Donations are not encouraged under this project. If after providing full

information about project, its implications, and consequences, PAPs still would

like to donate land, assets, cash, labour etc. responsible agencies are requested to

properly document every donation per government regulations (e.g. consent of

both spouses (and all adult household members of household, if applicable),

witness and certification). These records also need to be included in the final

report on resettlement and compensation. In every subproject having donations,

PPMUs are requested to seek agreement from PMU 6, WB before the actual

implementation.

5.2. Consultation During Plan Implementation

For each subproject, apart from the regular meetings with PAPs, PPMU, CARBs and

other relevant agencies, the approved (or provincially endorsed) resettlement plan, or at

least information about resettlement, compensation, and options, must be disclosed to

PAPs in a form and language that they can understand. The draft resettlement plan or

summary of the plan will be made available at a place accessible to, and in a form,

manner and language understandable to PAPs and stakeholders. Once the draft

documents have been accepted and approved, they will be made publicly available,

including in the Viet Nam Development Information Centre in Ha Noi (refer to section

4.6).

5.3. Grievance Redressal Mechanisms

For the purpose of grievance redressal, the commune, district and CARBs shall also serve

as the grievance redressal committees at all levels. Attempts should be made to settle the

issues at the commune level through community consultation, involvement of social and

resettlement experts as required, NGOs and mediators and facilitators if required. PAPs

will be exempt from all administrative fees incurred, pursuant to the grievance redressal

procedures except for cases filed in court by PAPs. A four-step procedure for redress of

grievances is proposed as below.



1. Complaints of PAPs on any aspect of compensation, relocation, or

unaddressed losses shall be lodged verbally or in written form to the

CPC. The complaint can be discussed in an informal meeting. It will be

the responsibility of the CPC to resolve the issue within fifteen days

from the date the complaint was received.

2. If no understanding or amicable solution was reached or no response

has been received from the CPC, the PAP can register the complaint

with the CARB. The PAP must lodge the complaint within one month

of lodging the original complaint with the CARB and must produce

documents which support his/her claim.

3. The CARB will provide the decision within fifteen days of the PAP

registering the complaint. The CARB’s decision must be in

compliance with the project’s Policy Framework and entitlements.

Copies of the CARB’s decision will be provided to the PAP, PPMU,

and DPC.

4. If the PAP is not satisfied with the decision of, or in the absence of

any response by the, CARB or its representatives, the PAP can appeal

to the PPC.

The PPC, together with CARB, will provide decision on the appeal

within thirty days from the day it is received by the PPC.

5. If the PAP is still not satisfied with the decision, the PAP can appeal

to higher authorities, such as the District Court.



6. Implementation Schedule

The overall project will be implemented over a five year period and is scheduled to

commence upon loan approval. Implementation of resettlement and related activities will

take place after the safeguards team has mobilized either as part of the project supervision

team or as a subcontracted activity managed by the project supervision consultant and

PMU6, who will work closely with, and assist, the PPMU in all resettlement and related

activities, and the training TA has commenced.

The process for land acquisition will commence after the screening and identification of

roads in each AWP that require land acquisition.

The civil works contract for each subproject will only be awarded after all compensation

and relocation has been satisfactorily completed for each subproject and rehabilitation

measures are in place.

7. Monitoring

Implementation of the RPs will be regularly supervised and monitored by the respective

PPMUs in coordination with the respective CARB and DPCs. The findings will be

recorded in quarterly reports to be furnished to PMU6. The report must include the data

on any donations given by PAPs. PMU6 will summarize the reports and submit them to

World Bank every six months.

7.1 Internal Monitoring

Internal monitoring and supervision will:

Verify that the baseline information of all PAPs 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 RP;

Oversee that the RPs are implemented as designed and approved;

Verify that funds for implementing the RPs are provided to the PPMUs in a timely manner

and in amounts sufficient for their purposes, and that such funds are used by the PPMUs in

accordance with the provisions of the RP; and

Record all grievances and their resolution and ensure that complaints are dealt with in a

timely manner.

7.2. Independent/External Monitoring

An independent monitoring organization (IMO) will be retained by PMU6 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 (NGOs) or independent consulting firms, all with qualified and experienced

staff and terms of reference acceptable to World Bank.

In addition to verifying the information provided in the PPMU sign-offs on implementation

and furnished in the internal supervision and monitoring reports of PPMUs, the external

monitoring agency will visit a sample of 20 per cent of household PAPs in each relevant

province six months after each RP implementation to:

Determine whether the procedures for PAPs participation and delivery of compensation and

other rehabilitation entitlements has been done in accordance with this Policy Framework

and the respective RP;



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 the social and economic impact of project implementation

on the PAPs; and

Suggest modification in the implementation procedures of the RPs, as the case may be, to

achieve the principles and objectives of this Policy Framework.

8. Costs and Flow of Funds

8.1. Cost Estimate

Each annual RP will include detailed cost of compensation and other rehabilitation

entitlements and relocation of PAPs, if that be the case, with a breakdown by compensation

for land by type, main and secondary structures, other losses (income, businesses or

employment losses), any other assets (including community property), and allowances and

other assistance.

The cost estimates will make adequate provision for contingencies (20 per cent) and Cost of

management and administration (20 percent)

8.2. Funding Source and Flow of Funds

The flow of funds will follow the general model set out for the three financial models

associated with progression from a centralized model, through a semi-autonomous stage,

eventually to full budget support at provincial level;

Centrally managed implementation with all payments made through PMU6 but as many

implementation functions decentralized to the provincial level as possible. This will

include implementation of resettlement plans and payment of compensation;

Partial Swap operation with decentralized implementation and all payments made through

the state treasury system and donor funds identified as a separate line item. All

implementation functions will be managed by the province and PMU6 will retain a

coordination and supervisory role, particularly through monitoring and evaluation. The

costs and budget required for land acquisition and any associated measures (livelihood

rehabilitation) will be identified as a line item within the pool of donor funds for each

AWP; and

Full Swap system or full budget support where donor funds are not identified separately

from the state budget. Implementation will be fully decentralized. Provinces will prepare

the budgets and costs for land acquisition and effect compensation payments after receipt

of funds.

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