RESETTLEMENT PLAN (RP)

Type of document: Resettlement plan (RP)

BAI THUONG HYDROPOWER PLANT

INVESTMENT & CONSTRUCTION PROJECT

In Thuong Xuan Ditrict – Thanh Hoa Province

Bai Thuong Hydropower Joint Stock Company

SFG2158 V12P

ublic

Dis

clos

ure

Aut

horiz

edP

ublic

Dis

clos

ure

Aut

horiz

edP

ublic

Dis

clos

ure

Aut

horiz

edP

ublic

Dis

clos

ure

Aut

horiz

ed

ii

ABRREVIATIONS

AHH Hộ BAH Affected household

AP Người BAH Affected person/people

CPC UBND xã Commune people’s committee

DMS Detailed measuring survey

DPC UBND huyện District people’s committee

DRC Hội đồng ĐB-TĐC District resettlement and compensation board

EMPF Khung Chính sách Ethnic Minority Policy Framework

EMDP

Kế hoạch phát triển

DTTS Ethnic Minority Development Plan

GOV Chính phủ Vietnames Government

HH Hộ Household

IOL Inventory of losses

LAR Land acquisition and resettlement

LURC Giấy CNQSDĐ Land use right certificate

MOF Bộ TC Ministry of Finance

MOLISA Bộ LĐ-TB-XH Ministry of Labour, Invalids and Social Affairs

NGO Tổ chức phi chính phủ Non-governmental organisation

HPW CTTĐ Hydropower Work/plant

OP 4.12 Operational Policy 4.12 by the World Bank

PPC UBND tỉnh Provincial People’s Committee

RAP Kế hoạch TĐC Resettlement action plan

TOR Terms of Reference

USD Đô la United State dollar

VND Đồng Vietnamese dong

WB NHTG (Ngân hàng) World Bank

WEIGHT AND INDEX EQUIVALENTS

ha – Hectare

km - Kilometer

m - meter

iii

DEFINITION OF TERMS

Affected person

(AP/Affected

Household)

- Refers to any person or persons, household, firm, private or

public institution that, on account of changes resulting from

the Project, will have its (i) standard of living adversely

affected; (ii) right, title or interest from any house, land

(including residential, commercial, agricultural, forest and/or

grazing land), water resources or any other moveable or fixed

assets acquired, possessed, restricted, in other word, adversely

affected in full or in part, permanently or temporarily; and/or

(iii) business, occupation, place of work or residence or

habitat are adversely affected, with or without displacement.

In the case of affected household, it includes all members

residing under one roof and operating as a single economic

unit, who are adversely affected by the project or any of its

components.

Cut-off date

- This refers to the date prior to which the occupation or use of

the project area makes residents in the area recognized as

eligible AP. The persons who are not in the census are not

eligible for compensation and other entitlements, unless they

can show proof that (i) they have been inadvertently missed

out during the census and the IOL; or (ii) they have lawful

requirements on the affected assets after completion of the

social census and the IOL and before conduct of the detailed

measurement survey (DMS).

Detailed

Measurement Survey

(DMS)

- With the aid of the approved detailed engineering design,

Detailed Measurement Survey will finalize and/or verify the

accuracy and validity the results of inventory of losses (IOL),

severity of impacts, and list of APs earlier done during RP

preparation. The final cost of resettlement can be determined

after completion of the DMS.

Entitlement - Refers to a range of measures comprising compensation,

income restoration support, transfer assistance, income

substitution, relocation support, etc. which are due to the APs,

depending on the type and severity of their losses, to restore

their economic and social base.

Host community - Means the community already in residence at a proposed

resettlement or relocation site.

Income restoration - This is the re-establishment of sources of income and

livelihood of the affected households.

iv

Inventory of loss

(IOL)

- This is the process where all fixed assets (i.e., lands used for

residence, commerce, agriculture, including ponds; dwelling

units; stalls and shops; secondary structures, such as fences,

tombs, wells; trees with commercial value; etc.) and sources

of income and livelihood inside the Project right-of-way

(ROW) are identified, measured, their owners identified, their

exact location pinpointed, and their replacement costs

calculated. Additionally, the severity of impact to the affected

assets and the severity of impact to the livelihood and

productive capacity of APs will be determined.

Land acquisition - Refers to the process whereby an individual, household, firm

or private institution is compelled by a public agency to

alienate all or part of the land it owns or possesses to the

ownership and possession of that agency for public purposes

in return for compensation at replacement costs.

Rehabilitation

- This refers to additional support provided to APs losing

productive assets, incomes, employment or sources of living,

to supplement payment of compensation for acquired assets,

in order to achieve, at a minimum, full restoration of pre-

project living standards and quality of life.

Relocation

- This is the physical relocation of an AP from her/his pre-

project place of residence and/or business

Replacement Cost The term used to determine the value enough to replace

affected assets and/or cover transaction costs necessary to

replace the affected assets without depreciation for such

assets as well as material advantage, taxes and/or travel

expenses.

Replacement cost

Study

- A process related to evaluating alternative replacement cost

for land, housing or other assets based on empirical data as

follows:

(i) Productive land (Agricultural, fishpond, garden, and

production-forest) based on market prices that reflect recent

land sales, and in the absence of such recent sales, based on

productive value;

(ii) Residential land based on market prices that reflect recent

land sales, and in the absence of such recent land sales, based

on similar location attributes;

(iii) Houses and other related structures based on current

market prices of materials and labor without depreciation nor

v

deductions for salvaged building materials;

(iv) Standing crop equivalent current market value of the crop

at the time of compensation;

(v) Perennial crops and trees, cash compensation equivalent to

current market value given the type, age and productive value

(future production) at the time of compensation.

(vi) Timber trees, based on diameter at breast height at current

market prices.

Resettlement

- This includes all measures taken to mitigate any and all

adverse impacts of a project on AP property and/or

livelihoods, including compensation, relocation (where

relevant), and rehabilitation as needed.

Resettlement Plan

(RP)

- This is a time-bound action plan with budget setting out

compensation and resettlement, ethnic minority strategies,

objectives, entitlement, actions, responsibilities, monitoring

and evaluation.

Severely affected

households

-

This refers to affected households who will (i) lose 20% or

more of their total productive land and/or assets, (ii) have to

relocate; and/or (iii) lose 20% or more of their total income

sources due to the Project.

Vulnerable groups - These are distinct groups of people who might suffer

disproportionately or face the risk of being further

marginalized from social development by the effects of

property loss and land or other project impacts. The

resettlement plan (RP) determines vulnerable households

specifically include: (i) female headed households with many

dependants and without support, (ii) illiterate; headed

households; (iii) disabled headed households, (iv) households

falling under the generally accepted indicator for poverty

promulgated by Ministry of Labour, Invalids and Social

Affairs, (v) children and the elderly-headed households who

are landless and with no other means of support, and (v)

Severely affected households

Practical

consultation

A process (i) is early started right at beginning of the project

and consecutively continued during project progress; (ii)

which includes timely disclosure of related project

information which is understandable and easy to access by the

affected people; (iii) is conducted in an environment of no

threatening and force or enforcement; (iv) is integrated and

met gender sensitive issues, adjusted as per required by the

vi

disadvantaged and vulnerable groups; and (v) creates

conditions to include related view points of affected people

and other stakeholders into decision making process like

project design, mitigation measures, sharing interest and

development opportunities, and implementation issues.

vii

MỤC LỤC

EXECUTIVE SUMMARY .............................................................................................................. x

I. GENERAL INTRODUCTION ................................................................................................... 1

A. Overview of Renewable Energy Development Project .................................................................. 1 B. Bai Thuong Hydropower Plant .................................................................................................. 2 C. Objectives of Resettlement Plan................................................................................................. 5 D. Measures to be taken for mitigating impacts caused by the works .................................................. 5

II. IMPACT AREA OF BAI THUONG HYDROPOWER PLANt ....................................................... 7

A. Impacts on land ....................................................................................................................... 7 B. Impacts on Crops and Trees ...................................................................................................... 9 C. Impacts on works and architectural objects ............................................................................... 10 D. Impacts on income and livelihood ............................................................................................ 11 E. Impacts on vulnerable households ............................................................................................ 11 F. Impact on community property ................................................................................................ 11

III. SOCIO-ECONOMIC INFORMATION OF AFFECTED COMMUNITY ....................................... 11

A. General socio-economic characteristics in project area ............................................................... 11 B. Socio-economic information of affected community .................................................................. 13 C. Gender, gender equality .......................................................................................................... 15

IV. INFORMATION DISCLOSURE, CONSULTATION AND PARTICIPATION ............................. 17

A. Information disclosure ............................................................................................................ 17 B. Public consultation and participation ........................................................................................ 17 C. Results of information dissemination and Public consultation ...................................................... 18

V. LEGAL FRAMEWORK AND ENTITLEMENT ........................................................................ 20

A. Policy requirements of WB ..................................................................................................... 20 B. Vietnam policy framework ...................................................................................................... 20 C. Regulations on compensation, assistance and resettlement by the local authority ........................... 22

VI. RESETTLEMENT, COMPENSATION AND ASSISTANCE STRATEGY .................................. 37

A. Legal basis for calculating compensation prices ......................................................................... 37 C. Compensation for impacts and entitlement ................................................................................ 37

VII. INSTITUTION ARRANGEMENT AND IMPLEMENTATION SCHEDULE ............................. 41

A. Implementation schedule ........................................................................................................ 41 B. Institutional arrangements ....................................................................................................... 41

VIII. GRIEVANCE REDRESS MECHANISM .......................................................................... 44

IX. MONITORING AND REPORTING .......................................................................................... 46

A. Internal Monitoring ................................................................................................................ 46 B. External Monitoring ............................................................................................................... 46

X. BUDGET AND FINANCIAL SCHEDULE ............................................................................... 51

viii

LIST OF TABLES

Table I-1 Work items and key parameters of Bai Thuong Hydropower Plant ................................................ 3

Table II-1 Land area and affected households by items of the work .............................................................. 7

Table II-2 Distribution of land permanently acquired by the work (m2)......................................................... 7

Table II-3 Classification of land affected by the work (m2) ............................................................................ 9

Table II-4 Area of affected land with annual crops and perennial plants ..................................................... 10

Table II-5 Architectural objects of affected households ............................................................................... 10

Table III-1 Education background of HH header in the survey at affected communes ................................ 13

Table III-2 Information of the main income source of affected ethnic minorities ........................................ 14

Table III-3: Average monthly income of surveyed households (million VND) ........................................... 14

Table III-4 Average monthly expenditure of surveyed HHs (%) .................................................................. 15

Table-5 General information on gender rate in the affected communes ....................................................... 15

Table III-6 Labor allocation in families in terms of gender in AHHs ........................................................... 16

Table IV-1 Concerns of affected community and commitment of the investor ............................................ 18

Table V-1 Entitlement matrix ...................................................................................................................... 24

Table VI-1 Compensation for affected crops and trees ................................................................................. 38

Table VI-2 Compensation for for affected structures .................................................................................. 39

Table VI-3 Total cost of assistance to 4 affected HHs to displace ................................................................ 40

Table VII-1 Implemenation schedule for entire project ................................................................................ 41

Table IX-1 Monitoring and Evaluation Indicators ........................................................................................ 48

Table X-1 Summary of resettlement costs .................................................................................................... 51

ix

ANNEXES

ANNEX 1 LIST OF AHS – BAI THUONG HYDROPOWER PROJECT

ANNEX 2 PROJECT INFORMATION BOOKLET (PIB)

ANNEX 3 TERMS OF REFERENCE

ANNEX 4 CONSULTATION MEETING MINUTES

ANNEX 5 SOME PHOTOS OF CONSULTATION MEETINGS

x

EXECUTIVE SUMMARY

Introduction

1. The general objective of the Renewable Energy Development Project (REDP) is to

increase the supply of least-cost electricity to the national grid from renewable energy

sources on a commercially sustainable basis in an environmentally and socially

sustainable manner. Bai Thuong Hydropower Plant is planned to be implemented at left

shoulder downstream of Bai Thuong Dam which was built, and 40km from the middle of

the dam. The hydropower plant is located in Xuan Duong Commune, Thuong Xuan

District, Thanh Hoa Province. Bai Thuong is hydropower plant after dam, utilize the built

dam (do not built new dam) and only use the flow after watering to generate. Bai Thuong

Hydropower Plant will generate to supply national grid electricity with installed capacity

of N = 6MW, ensured capacity of 2,24MW, annual average electricity output Eo = 24,7

million kWh.

2. Bai Thuong cluster headwork which was built consists of: the dam with 167m in

length, dam crest elevation of +17.2m, the structure is made of crete and steel. The energy

line consists of 2 parts, the first part starts from Bai Thuong dam is 15m in length, mainly

horizontal canal with small slope. The next part is called the forwarding part which

connect directly to water intake and use as horizontal spillaway with the length of 19.4m.

The water intakle is close to the plant, intake the water directly to turbine; the intake is

9.8m in length. The hydropower plant has installed capacity of 6 MW, 2 capsun turbine

units, calculated water column is Htt = 6m.

3. This resettlement plan is prepared to ensure that: (i) Involuntary resettlement must

be avoided where possible, or be reduced to the lowest possible extent by selecting

appropriate design options, (ii) Where involuntary resettlement is unavoidable, the

resettlement activities must be prepared and executed with sustainable development

programs and sufficiently provided investment supports, enabling displaced people to

benefit from the subproject. The displaced people will be fully consulted and allowed to

participate in preparing and implementing activities in Resettlement Plan.

Area of impact

3. Bai Thuong Hydropower Plant will submerge and occupy 16.430m2 of land

managed by Xuan Duong Commune in the long-term (the detailed information about the

types of land and the number of affected households will be shown in the next parts). In

addition, the construction process will affect 13.050 m2 of land by the activities of the

contractors. There is no impact on architactural works and secondary structures of the

households.

Information dissemination and public consultation

4. A lot of public consultation meetings, discussions with stakeholders, especially

local governmental authority and affected people were held in November, December,

2014 to disseminate to them sufficient information relating to the project and its activities

xi

from preparation to operation stages, compensation and assistance policy, implementation

plan, recording the people’s opinions or claim as the basis for preparation of this

resettlement plan.

5. Public consultation meetings have been organized in Tho Thanh and Xuan Duong

communes in Thuong Xuan district which are affected by the construction, with total 35

participants (from Xuan Duong commune), 8 participants (from Tho Thanh commune)

including local officers and heads of households.

6. Important information indicated in the Resettlement Plan (RP) shall be publicly

provided to the affected HHs through organizing public meeting during the next stage of

the works, project information dissemination and public consultation meeting with the

local governmental authority and community shall be held regularly at every important

stage or at necessary point of time.

Legal Framework and Entitlement

7. Bai Thuong Hydropower Plant is under Renewable Energy Development Project,

therefore, compensation, assistance and resettlement plan for this is prepared based on

principles defined in Resettlement Framework agreed between Ministry of Industrial and

Trade (MOIT) and World Bank (WB) in 2008 for Renewable Energy Development

Project. Policies to be applied in implementation of compensation, assistance and

resettlement include (i) involuntary resettlement policy by WB. (ii) The current policies

on compensation, assistance and resettlement by the Vietnam Government; and (iii)

regulations on compensation, assistance and resettlement by the project in Thanh Hoa

province.

8. One of the key objects of the project is replacement and compensation for the lost

properties basing on replacement cost. Compensation implementation and providing

alternative assistant forms to the affected people before they move out of their houses,

land and properties under the condition that their living conditions are restored at least as

the same as that before the project, and the poor, the prone affected people, including

affected people in the vulnerable group (e.g, HHs head with disability, poor HHs, ethnic

minority HHs, etc.) shall be assisted to increase their socio-economic situation.

Institutional Arrangement and Implementation Plan

9. Construction project shall be in 2.5 years (2014-2016) including last 6 months of

2014 for preparation and construction commencement is expected to be in December

2014 and completed in May 2017.

10. Bai Thuong Hydropower Joint Stock Company is responsible for all project

implementation components, including preparing and implementing RP as well as

monitoring, evaluating this RP. Being as a project implementation agency, Bai Thuong

Hydropower Joint Stock Company will have following main responsibilities: (i) updating

and implementing RP in coordination with related people’s committees at levels and

xii

provincial and district Compensation, Assistance and Resettlement Board (CARB) and

submitting to MOIT and WB for approval; (ii) ensuring government capital available for

implementation of RP and availability and sufficiency of funds for resettlement (money

for compensation and other assistances).

Grievance Mechanism

11. Grievance mechanism in this RP has been built basing on Vietnamese law of

disputes, which had been consulted with local authorities and communities in

consideration of specific cultural identity and traditional cultural institution of people in

the project area.

Monitoring and Evaluation

12. Bai Thuong Hydropower Joint Stock Company shall provide the services of an

independent internal monitoring agency. Therefore, Bai Thuong Hydropower Joint Stock

Company shall collect and record entire site documents, including the database on

affected HH and submit quarterly reports to the project management Unit (MOIT) and

WB.

13. External monitoring agency (EMA) shall be implemented by experienced

resettlement and social development specialist who are selected by PMU (MOIT).

Independent supervision inspection and evaluation shall be conducted yearly, except for

the first stage semi-annual supervision may be required. Report prepared by EMA shall be

placed in project site office and commune people’s committee and posted on website of

WB.

14. Internal and external independent monitoring system shall be set up including

professional experts who are qualified and experience in the field of resettlement,

community development and ethnic minorities, in which, Bai Thuong Hydropower Joint

Stock Company shall be responsible for internal monitoring; monthly and quarterly

monitoring reports shall be submitted to PMU and WB. The EMA shall be selected for

implementing independent monitoring and independent evaluation shall be made on

annual basis, except for the first stage semi-annual evaluation may be required.

Budget and Disbursement Plan

15. The total estimated cost of compensation and assistance against impacts caused by

construction of Dong Van Hydropower Plant is 1.487.593.124VND (equal to 70.468,65

USD). Implementation cost shall be paid by Bai Thuong Hydropower Joint Stock

Company.

1

I. GENERAL INTRODUCTION

A. Overview of Renewable Energy Development Project

16. The objective of Renewable Energy Development Project (REDP) is to assist in

developing renewable energy sources to supply least-cost electricity to the national

electric grid on a commercially sustainable basis in an environmentally and socially

sustainable manner. The project includes three components: (1) investment project

implementation component, (2) capacity building component, and (3) information

channel development component.

17. The investment project implementation component includes (i) commercial banks

are allowed to reborrow the capital for providing credit to eligible renewable energy

projects with capacity of no more than 30MW invested by the private investors, and (ii)

technical assistance for capacity building for the participating banks and the sub-project

private investor in project preparation, appraisal, financing and implementation of

renewable energy projects in compliance with international practices. This component

shall be collaborated by Rural Electric and Renewable Engery Project Management Unit

(PMU) under MOIT. This component consists of two following sub-components:

• Providing credit for investment assistance in renewable energy: Private investors

shall construct sub-projects of small scale hydropower, wind-to-energy and mass

solid waste-to-energy plants with capacity of no more than 30MW in compliance

with Renewable Energy Development Project criteria including environmental and

social safeguards. The investors commit to contribute their equity of at least 20%

of total investment cost of a sub-project and the other 80% shall be borrowed from

participated commercial banks.

• The participating banks selected on competition basis are reponsible for verifying

the eligible Renewable Energy subprojects proposed by the investors and

providing the loans to the projects that fully meet requirements of participating

banks. The participating banks will lend subprojects under commercial term

determined by the market and will subject to all the credit risks from the loans.

• Eligible loans shall be refinanced up to 80% of the loan value to the participating

banks or 64% of the total investment cost of the subproject. This means the

participating banks shall have to commit to lend at least 16% of the total

investment cost for each subproject from their funding source and the investors

shall contribute 20% of the total investment cost as their equity. Upon the approval

of the request for credit, the participating bank shall receive a reborrowed sum

from REDP (WB) via the Ministry of Finance (MOF). Such a reborrowed sum

from REDP shall be financed by WB to MOF under conditions defined by the WB.

• It is expected that there are about 20-25 sub-projects to be assisted via

reborrowing mechanism. When they come into operation, total capacity of these

subprojects is expected to be 210MW and supply about 880GWh of annual electric

output.

• Technical assistance for implementation of investment projects: the technical

assistance (TA) under component 1 shall assist in general management to REDP

2

project, reviewing eligibility of the reborrowed sums and capacity building for

participating banks, investors and other stakeholders. This TA shall be managed by

PMU. TA shall concentrate on guiding sub-project investors to obtain necessary

skills to identify viable sub-projects and prepare proposals for the bank loan

through loan processing and negotiation.

• In addition, the TA shall also concentrate on training preparation of viable studies,

utilizing design, construction management, operation, maintenance, financial risk

management and considering social and environmental safeguard. The

participating banks shall be assisted in building capacity of understanding the risks

from investment in REDP, supervising the projects to ensure safety, building up

credit policies and reviewing sub-project in compliance with these policies. The

TA shall also assist PMU in management of REDP.

B. Bai Thuong Hydropower Plant

1. Legal base

18. Official Letter No. 4475/UBND-CN of Thanh Hoa Provincial People’s Committee

issued on 29th June 2012 on the approval that allows Association of Vietnam Large Dam

and Water Development to establish Bai Thuong Hydropower plant, in Bai Thuong

Dam,Tho Xuan and Thuong Xuan districts, Thanh Hoa province.

19. Official Letter No. 4542/EVN NPC-KT+KDDN on 22nd November 2011 of Northern

Power Corporation on agreement about the principle for approval of connecting

agreement and power purchase agreement based on document recording the connection

plans and decision of Thanh Hoa provincial People’s Committee on investment in Bai

Thuong hydropower projects.

20. Based on the request of Association of Vietnam Large Dam and Water Development

and Institute of Hydropower and Renewable Energy on the establishment of investment

project for Bai Thuong hydropower plant.

21. Official Letter No. 6339/UBND-CN on 14th August 2013 on the approval that allows

Bai Thuong Hydropower Joint Stock Company to be investor.

2. Characteristics of the plant

18. Bai Thuong Hydropower Plant is planned to be implemented at left shoulder

downstream of Bai Thuong Dam which was built, and 40km from the middle of the dam.

The hydropower plant is located in Xuan Duong Commune, Thuong Xuan District, Thanh

Hoa Province. Bai Thuong is hydropower plant after dam, utilize the built dam (do not

built new dam) and only use the flow after watering to generate. Bai Thuong Hydropower

Plant will generate to supply national grid electricity with installed capacity of N = 6MW,

ensured capacity of 2,24MW, annual average electricity output Eo = 24,7 million kWh.

19. Bai Thuong cluster headwork which was built consists of: the dam with 167m in

length, dam crest elevation of +17.2m, the structure is made of crete and steel. The energy

line consists of 2 parts, the first part starts from Bai Thuong dam is 15m in length, mainly

horizontal canal with small slope. The next part is called the connected part which

connect directly to water intake and use as horizontal overflow with the length of 19.4m.

The water intakle is close to the plant, intake the water directly to turbine; the intake is

3

9.8m in length. The hydropower plant has installed capacity of 6 MW, 2 capsun turbine

units, calculated water column is Htt = 6m

20. The main project components of Bai Thuong Hydropower Plant include (i)

reservoir on Chu river with capacity of 7.6 million m3; (ii) The cluster headwork (Bai

Thuong dam was built) is designed with all works including concrete dam, main spillway

dam; sub-spillaway dam, water intake, sand dícharger; (iii) Bai Thuong new construction

parts include: collecting water and horizontal-spillaway canal, water intake, hydro power

planr and discharge canal, distribution station.

21. Auxiliary facilities include distribution station, management and operation office,

road for manage and operate, temporary roads for construction, camp, office producing

base, parking area, waste area, storing area... The power is supplied fromt available grid

electricity of 35kV. Water for daily activities and production is planned to be supplied

from Chu river. The temporary occupied land area is 13,050 ha.

22. Construction of headworks relate to excavating and back filling of soil and stone,

concrete work, slope improvement. Construction of energy route, apart from excavation

and filling work, concrete work, slope improvement, it relates to installation of hydraulic-

electric equipment and electric equipment at water intake.

Table I-1 Work items and key parameters of Bai Thuong Hydropower Plant

No. Parameter Unit Quantity No.

I Reservoir

1 Normal Water level NWL m 17.2

2 Design flood water level

(p=1,5%)

MNLTK m 21.9

3 Monitoring flood water level

(p=0,5%)

MNLKT m 22.0

4 Dead water level MNC m 16.2

5 Total capacity Wtb 106m3 7.6

6 Useful capacity Whi 106m3 2.74

7 Dead capacity Wc 106m3 4.86

II Main spillway dam

1 Type Ophixerop

2 Cresr elevation Zdd m 17.2

3 Length of spillaway L m 167

4 Status of spillaway freely

5 Structure Gravity concrete

III Sub spillway dam

1 Type Dạng Ophixerop

2 Cresr elevation Zdd m 18.2

4

3 Length of spillaway L m 37

4 Status of spillaway Tự do

5 Structure Gravity concrete

IV Water canal and intake

1

Type

Opening cannal in

trapeze shape gets

water directly from the

reservoir

2 Quantity of nozzle n 01

3 Canal dimensions bxhxl m 15.3x3.9x34.4

4 Crest elevation at the

beginning of canal

Zđ m 13.3

5 Crest elevation at the end of

canal

Zc m 3.6

6 Design level Qtk m3/s 120

V Water intake

1 Structure Concrete reinforcement

2 Quantity of nozzle n 02

3

Aperture bxh m 6.3x6.8

4 Crest elevation m 3.6

5 Design level Qtk m3/s 120

VI Plant

1 Installed capacity Nlm MW 6.0

2 No. of turbine n 2

3 Design level Qmax m3/s 120

4 Assembly floor elevation Zlr m 19.0

5 Turbine floor elevation Zlm m 11.4

6 Turbine center elevation Ztm m 7.0

7 Dimensions BxLxH m 17.7 x 40.5 x 23.0

8 Structure Concrete reinforcement

VI Economic and financial target

1 Tổng mức đầu tư G 106 152.11

2 Vốn đầu tư thuần Gt 106 129.954

5

3 Giá bán điện bình quân P đ/kwh 997

4 Economic target

- Economic discount rate i % 10.0

- Capital recovery factor EIRR % 13.80

- Capital recovery thv Year 13n 9th

- Profit at the first year ENPV tỷ đồng 35.182

- Rate of benefit and cost B/C - 1.34

5 Financial target

- Financial discount rate i % 10.41

- Capital recovery factor FIRR % 13.12

- Capital recovery thv Year 18n 4th

- Profit at the first year FNPV Billion

VND 15.320

- Rate of benefit and cost B/C - 1.19

C. Objectives of Resettlement Plan

23. According to guidelines under OP4.12 by World Bank (WB) on involuntary

resettlement, for any project, a resettlement plan must be prepared to ensure that: (i)

Involuntary resettlement must be avoided where possible, or be reduced to the lowest

possible extent by selecting appropriate design options, (ii) Where involuntary

resettlement is unavoidable, the resettlement activities must be prepared and executed

with sustainable development programs and sufficiently provided investment supports,

enabling displaced people to benefit from the subproject. The displaced people will be

fully consulted and allowed to participate in preparatory and implementing activities of

Resettlement Plan.

24. The displaced people must be supported in terms of their capacity to improve their

living conditions and to rehabilitate their living standards higher than or at least equal to

that before constructing the subproject..

D. Measures to be taken for mitigating impacts caused by the works

To minimize the impact of the project, during the study, survey and construction of

Bai Thuong Hydro power plant, the placement of intake and plant within the old canal is

proposed.

- The only selected place for the plant is concave slot at the left shoulder dam

downstream. This position can reduce the level of rock excavation for assenaly and road

for management and operation, this place is near the dam, the canal is short.

- There are two alternatives for the place of water intake: close to the plant and

located in upstream of the dam (in the reservoir)

6

Alternative I (watch factory intake)

Diagram: Bai Thuong opening canal forwarding and horizontal spillaway

canal water intake hydropower plant

Alternative II (water intake is on the dam)

Diagram: Bai Thuong, water intake canal with pressure forwarding canal

hydropower plant

Analyze and select the alternatives of the work:

- Economic aspect:

By economic calculation and comparison of two alternatives I and II showed that

both alternatives has a similar total investment of approximately 150 billion so both

alternatives are economically reasonable.

- Technical aspect:

The alternative I do not affect the flood discharge level of Bai Thuong dam, all the

main parts of the work are at the downstream which ensure convinience during ther

construction and operation management, so alternative I was agreed to carry out the

construction.

7

II. IMPACT AREA OF BAI THUONG HYDROPOWER PLANt

1. Measures to minimize permanent affected land area have been studied by the

investor of Bai Thuong Hydropower Plant and the calculation is presented in Chapter I in

view of considering and selecting the most optimal alternatives. Moreover, many other

mitigation measures such as no earth grading for widening the existing road have been

proposed; when new road for the plant operation, earth grading can only be done with

enough width for movement of vehicles and close monitoring is carried out to control

land sliding onto both road sides to minimize affected area;

2. Bai Thuong Hydropower Plant will submerge and occupy 16.430m2 of land

managed by Xuan Duong Commune in the long-term (the detailed information about the

types of land and the number of affected households will be shown in the next parts). In

addition, the construction process will temporarily affect 13.050 m2 of land by the

activities of the contractors. The temporary affected land will updated during the

implementation.

A. Impacts on land

3. During the process of inventory of loss (IOL) in November and December 2014,

16.430m2 acquired land is permanently affected, 13050 m2 acquired land is temporarily

affected under management of Xuan Duong and Tho Thanh Communes. There is no land

of household being acquired permanently, only one household in Tho Thanh Commune

has temporarily acquired land, this area will be returned after finishing the project. Table

II-1 provides detail on affected household and the land acquired by the items of the work.

Table II-1 Land area and affected households by items of the work

No. Commune

Total

affected

area

(m2)

Permanently acquired land area Temporarily acquired land area

Total

Affected

house-

hold

Land of

affected

house-

hold

Public

land Total

Affected

house-

hold

Land of

affected

house-

hold

Public

land

1

Xuan

Duong 25.530 16.430 0 0 16.430 9.100 9100

2 Tho Thanh 3.950 3.950 1 3.891,4 58,6

Total 29.480

4. Total land permanently acquired by the work is 16430 m2, 100% of the land is

public land under management of Xuan Duong Communicial People’s Committee,

Military Command of the district, Traffic team of the district and Bai Thuong

Exploitation Ltd Company. The peramanently acquired land is mainly plain and unused

land of 9804,2m2 (accounts for 59,7%), the rest is river land, land with perennial plants,

land of head office, traffic land.

Table II-2 Distribution of land permanently acquired by the work (m2)

8

No. Commune Area of permanently acquired area

Type of land Area (m2) Management Unit

1

Xuan

Duong River Land (SON) 2.447,0

Communicial

People’s Committee

Plain and unused land (BCS) 9.804,2

Communicial

People’s Committee

Land of head office (TSC) 454,2

Traffic team of the

district

Land for irrigation (DTL) 34,1

Bai Thuong

Exploitation Co.,

Ltd

Land of defense office

(CQP) 2.550,0

Military Command

of the district

Traffic land (DGT) 441,2

Communicial

People’s Committee

Land with perennial plants

(LNK) 699,3

Communicial

People’s Committee

Total 16.430

5. The total area of temporarily acquired land (land for the construction of auxiliary

facilities, camps, storage areas, waste storage area) by the construction is 13,050 m2,

in which 8998.8 m2 (accounts for 70 %) is land of defense office managed by district

military command; 3891.4 m2 (accounts for 29%) of land with other with perennial

plants owned by household of Mr. Vu Quang Tuan in Tho Thanh commune, the rest is

traffic land and plain unused land managed by CPCs of Xuan Duong, Tho Thanh. The

area of temporarily acquired land will be returned to the owner after construction is

completed.

Table II-3 Distribution of land temporarily acquired by the work (m2)

No. Commune

Area of permanently acquired area

Type of land

1

Xuan Duong

Plain and unused land

(BCS) 10

Communicial

People’s

Committee

Land of defense office

(CQP) 8998,8

Military

Command of the

district

Traffic land (DGT) 91,2 Communicial

9

People’s

Committee

Total 9.100,0

2

Tho Thanh

Land with perennial

plants (BHK) 3.688,8 Household

Land for rice (LUC) 202,6 Household

Traffic land (DGT) 58,6

Communicial

People’s

Committee

Total 3.950,0

Total area of

temporarily acquired

land 13.050

6. According IOL result, the total number 16.430m2 of permanently acquired land are

mainly for building the road for construction, operation management which is

11.482m2 (accounts for 69.9%), land for canal, plant, discharge canal is 2481m2,

(accounts for 15.1%); land for management and operation buildings, distribution

station, internal roads is 2466,7m2 (accounts for 15%). Among 13050m2 temporarily

acquired land, the land for auxiliary facilities, camps, production area is 9100m2

(accounts for 69.7%), land used for storage area, waste storage area is 3950m2

(accounts for 30.3% ).

Table II-3 Classification of land affected by the work (m2)

No. Items

Total area of affected

land

1 Permanently affected land 16430

1.1 Canal, plant, discharge canal 2.481,1

1.2

Management and operation buildings,

distribution station, internal roads 2.466,7

1.3 Land for building the road for construction,

operation management 11.482,2

2 Temporarily affected land 13.050

2.1 Auxiliary facilities, camps, production area 9100

2.2 Land to store excavated soil and rocks 3950

Total 29.480

B. Impacts on Crops and Trees

7. The project does not acquire permanently land for perennial plants of households.

However, there are 27 households cultivating on transport corridors of Bai Thuong

bridge, and they has been compensated, there are borrowing land of defense office,

river land managed by Xuan Duong CPC. The temporarily acquired land is from

10

household of Mr. Vu Quang Tuan in Tho Thanh Commune with the loss of perennial

plants. The detail is shown in Table 2.4

Table II-4 Area of affected land with annual crops and perennial plants

No. Items Unit Xuan Duong

Commune

Tho Thanh

Commune

I Annual crops

1 Crops m2 2605,64

2

Vegetables and

legumes m2 353,20

3 Grass m2 1971,85

Total 4930,69

II Perennial plants

1 Timber tree tree 986 23

2 Fruit tree tree

2789 3

3 Bamboo tree

657

Total 4432 26

C. Impacts on works and architectural objects

8. Bai Thuong Hydropower plant does not acquire land of household. However, in

the area of acquired land to carry out the construction, there are 4 households with

housing and architectural objects which are in transport corridor, in ferry dormitory

hallway managed by Xuan Duong commune need to be replace. Under the provisions of

Land Law, the 4 households do not receive compensation for acquired land, however Bai

Thuong Hydropower Joint Stock Company supports and builds resettlement houses for 3

households which are 300 meters far from the old places, supports 1 household by cash

(because the houseshold has no housing demand). In addition, some other household who

buildings and architectural objects are affected by the construction managed by Xuan

Duong commune, the detail is shown in the table below.

Table II-5 Architectural objects of affected households

No. Commune Items Unit Volume

1

Xuan

Duong

Stone stairs m3 1,62

2 Water tanks m3 2,98

3

Concrete reinforcement

sewer m3 0,90

4 Stone embankment m3 2,24

5 Stone house-foundation m3 33,15

11

6

Concrete reinforcement lid

for water tanks m3 0,15

7 Bath room m3 9,48

8 Cement yard m3 72,04

1

Tho Thanh

Stone house-foundation m3 170,28

2

Concrete house-foundation

(no steel) m3 48,20

3 Wall 220 m2 122,85

D. Impacts on income and livelihood

9. Land acquisition , especially agriculture production land of HH shall cause

unavoidable impacts on livelihoods and incomes of the HHs. According to the results

of IOL, there is one HH affected by temporarily acquired land, 27 HHs in Xuan

Duong are affected because of cultivating on the land of Xuan Duong CPC and land of

defense office.

E. Impacts on vulnerable households

10. The IOL shows that there are 3 affected households (in total 28 HHs, accounts for

10.7%) are classified as the poor HHs. These HHs shall be further assisted in

compliance with the project guidelines and more details shall be described in the next

chapter.

F. Impact on community property

11. The IOL shows that Bai Thuong Hydropower plant will damage 50m of sewer and

5 narce tree of Tieng Long Village, Xuan Duong commune. Bai Thuong Hydropower

JSC will be responsible for compensate the damage.

III. SOCIO-ECONOMIC INFORMATION OF AFFECTED COMMUNITY

A. General socio-economic characteristics in project area

12. Bai Thuong Hydropower Plant are located in Tho Thanh and Xuan Duong commune,

Thuong Xuan, Thanh Hoa Province. The socio-economic survey was done in June-

July, 2014.

13. Thuong Xuan District:

14. Thuong Xuan is a mountainous district, located in the west of Thanh Hoa province, far

60 km away from Thanh Hoa city. It is adjacent to Lang Chanh, Ngoc Lac districts in

the North and adjacent to Que Phong, Nghe An province and Sam To district, Hua

Phan province, Laos in the west; to Tho Xuan, Trieu Son districts in the east; to Nhu

Xuan, Nhu Thanh districts in the South.

15. The district has 17 administrative units including 16 communes, 01 township and 140

villages and 05 towns; 21,414 households with 91,029 inhabitants, the number of

12

people in working age is 43,076. There are some ethic minorities in the district,

including Thai, Kinh, Muong: Thai ethic people accounts for 53%; Kinh people

accounts for 43.3%; Muong ethnic people accounts for 3.7%. The population is

unevenly distributed, mainly concentrated in the lowlands; the higher land is, the

thinner the population is; The average population density is 76 people/km2, the

highest density is 1750 people/km2 in Thuong Xuan town, the average population

density in the uplands is 55 people/km2. The rate of natural population growth is

0.97% / year.

16. Economy: Thuong Xuan is a disadvantaged mountainous district, the economy is

based primarily on forestry - farming production. The economic structure of the

district has shifted to suit economic structure oriented by the province and the country,

but still low compared with the growth rate of the province and other provinces in the

region. The economic structure is gradually shifting towards reducing agriculture,

forestry, increasing industry, construction – service, commerce. In 2013, economic

growth rate reached 14.75%; the proportion of forest - agriculture and fisheries

accounted for 41%; Industry - handicraft - construction accounted for 28%;

Commerce and services accounted for 31%. Per capita income reached 12.85

million/person/year. Per capita food reached 360kg/person/year. The poverty rate fell

to 29%, close-poor household rate is 19.14%. The total value of forestry - farming

fishery production reached 716.8 billion VND; The total value of industry -

construction production reached 714.1 billion VND; total value of trade and services

reached 543.7 billion VND.

17. Tho Thanh commune is located in the east, adjacent to Thuong Xuan district, the

commune has 1394 households, 5489 inhabitants, the mainly people living in the

commune is Kinh ethnic people. The commune has about 13 Thai Ethnic HHs, the rest

is Kinh people. Poverty rate is 16.64%. The economy is mainly based on agriculture

According to the final report of Thanh Tho CPC in 2013: (i) economic growth rate

reached 16.7% (ii) agricultural production: planting rice and intensification to increase

productivity, reduce the area of rice on the upland fields, exploiting the plain land to

plant vegetables, apply irrigation, improve livestock in households, care and protect

forest, cultivated area was 184.1 ha, the average yield is 48 quintals/hectare, per capita

food was 453 kg/person/year, corn area was 304.6ha, peanut area was 91.5 ha area;

sugar cane area was 120 hectares, cassava area was 62,3ha, sesame area was 19.5 ha

(iii) livestock: 792 buffalos, 402 cows, 3,380 pigs, 29,500 poultries; (Iv) forestry

production: continued to fence and protect forest combined with exploiting, selling

and planting. In 2013, 21 ha of Acacia trees was sold, organize to plant new trees of

32 ha Acacia trees, no more cleared forest.

18. The commune has a traditional craft which is rattan wicker for export, however, due to

the small scale, income is not high, average 500,000/person /year.

19. Education - Health: The education has basically changed on quality of education,

infrastructure which has been invested gradually to standardize the sector. In 2014

Tho Thanh Secondary School has achieved national standard school level 1, primary

schools and kindergartens maintain the criteria of culture. National health programs,

environmental sanitation programs, disease prevention, hygiene and food safety are

13

successfully implemented, timely prevent the risk of diseas from occuring, improve

the quality of medical examination and treatment for people, continue to improve

communication on health education, disease prevention.

20. Xuan Duong commune is located in the east, adjacent to Thuong Xuan district. The

commune has 1508 households and 5497 inhabitants in which 39 households, 61

inhabitants are ethnic people (Thai, Muong ethnic minorities) (i) economic growth rate

in 2013 reached 17.1%, increase 0.13% compared to 2012, total food production

reached 2091.35 tons, per capita income reached 12.05 million/year. The production

value of agriculture and forestry accounted for 55.1%; handicraft and services

accounted for 27.2%; value from the jobs accounted for 17.7%. (ii) agricultural

production: The total cultivated area was 747.1 ha/767.1 ha, in which, rice area was

231,8ha/231,8, maize area was 225,2ha/ 230,4ha, sugar cane area was 66,7ha/66.7 ha;

other crops area was 224,4ha. (Iii) livestock: total number of buffalo, cow was 995,

increased 42 compared with the same period in 2012; total number of pig was 2352,

increased 930 compared to 2012; total number of poultry was 18,286, increased 136

compared to 2012. (iv) forestry production: in 2013, planted and care of fruit trees,

timber trees planted near offices, cultural hall; in hill gardens of the households, land,

1.5ha of rubber trees were planted as planned in 2013, bringing the total area of rubber

trees in the commune up to 23.2 ha. There are 2 sucessful models of forest garden-

farms brought good economic result, the average income was from 100 to 150 million

VND/year

21. Education and health: implement successfully the movement of the secto to regularly

care and invest in construction of physical facilities in the schools to ensure teaching

and learning, implement movement of education socialization. Annual graduation rate

in the school is 100%. The number of good teachers, good students, and students in

grade 10 with the average exam scores are ranked 2nd in the district. Study promotion

– talent promotion program are always taken care in time, contribute to improve the

effectiveness and quality of educational activities in the commune. Health Station well

implements the health care and primary health care for the people, preventive

medicine task is implemented sucessfullu, is proactive in detecting, preventing and

treating diseases, environmental hygiene is implemented, maintain 10 national

standards of health care.

B. Socio-economic information of affected community

25. The result of IOL shows that 28 AHHs are Kinh people, in which, 27 HHs are in

Xuan Duong commune, 1 HH in Tho Thanh commune.

26. The result of IOL also shows that most of the HHs has problem in education, and this

has a certain influence on their lives, careers and income. Specifically, among total of 28

households in socioeconomic survey, 3 households (10.7%) did not attend school or have

not completed primary education, 4 households (14.3%) had completed primary

education, 19 households (75%) had completed Secondary school.

Table 0-1 Education background of HH header in the survey at affected communes

Education

background

Xuan Duong Tho Thanh

HHs % HHs %

14

No/ not complete

primary school 3 11,1

Complete primary

school 4 16,3

Complete

secondary school 19 70,4

-

Complete high

school

-

Vocational school

-

College/University - - 1 100

Total 27 100% 1 100

26. For the people in the project area, agriculture is the main income source, because

the actual survey shows that among 28 households interviewed, 18 households (64.3%)

have income mainly from agriculture, 9 households (32.1%) had primary income source

from fishing, one household (in Tho Thanh commune) has the business of sand. Table III-

2 show the detailed information of the main income source of ethnic minorities affected

by the project.

Table 0-2 Information of the main income source of affected ethnic minorities

No. Main income source Xuan Duong Tho Thanh

1 Agriculture 18

2 Livestock

3 Sales

4 Fish 9

5 Factory worker

6 Government officials

7

Work for private

organizations

8 House work

9 Other

1

Total 27 1

27. The income of AHHs is relatively low, table III-3 provides detailed information

about the average income of the surveyed households in the communes affected by the

work.

Table 0-3: Average monthly income of surveyed households (million VND)

No. Commune Under 2

million

2 million – 3

million

3 million – 4

million

Over 4

million +

1

Xuan

Duong 3 17 8

15

2 Tho Thanh

1

Total

28. Total monthly income of the households, the main expenditures are for the food

and living activities, its proportion is 48.20% to 53.22%. The other part of expenditure is

from 46.78% to 51.80% serving other purposes such as health care, education and other

expenses (table III-4).

Table 0-4 Average monthly expenditure of surveyed HHs (%)

No. Monthly expenditure Xuan Duong Tho Thanh

1

Food and monthly living

activities 55 48,2

2 Family health care 20 21,31

3 Education 10 15,35

4 Others 15 15,14

Total 100,00 100,00

29. Water resources used in daily activities is from boreholes and wells. 10% of

households use water purification equipment. Regarding sanitation facilities in the HH

70% HH has permanent toilets, 30% of HH uses temporary toilets. Rgarding medical and

public health, the survey result shows that 100% of AHHs needs services at commune

health centers to treat common diseases and illness and in unserious case.

30. The Grid is the main source of energy for lighting in daily activities of surveyed

AHHs. There is no HH has to use alternative energy sources for lighting. Regarding fuel

source for daily cooking, 30% of AHHs use gas, 70% uses the wood/coal as the main

energy source.

C. Gender, gender equality

22. There is not much different in ratio between women and men in Xuan Duong and Tho

Thanh communes. The total inhabitants in Tho Thanh commune is 5503, including

1503 men (51.75%) and 1,395 women (48.25%). The total inhabitants in Xuan Duong

commune is 5497, including 2671 men (48.59%) and 51.41 for women (48.25%).

Table-5 General information on gender rate in the affected communes

No. Commune Population Rate (%)

Total Male Total Male

1 Tho Thanh 5503 2848 2655 5503 51.75 48.25

2 Xuan Duong 5497 2671 2826 5497 48.59 51.41

23. The status of education in affected commune: In the commune within the project

area, gender equality has been more concerned, the percentage of girls in school were

higher, all the girls in the school-age are in school. Secondary universalization has been

completed, 100% of children in school-age are universalized secondary school. At the

high school level, the number of girls must leave school is very low.

16

24. Regardless of gender, most people in the affected communes usually come to

commune health centers to treat the disease and illness and unserious cases, the more

serious diseases they can to district or provincial hospitals. The poor have benefited from

the program of health insurance cards.

25. In working and job, the time of earning between women and men are equal, but

women spend more time in housework than men, this issie generally make women bear

heavier burden.

26. Due to communication, education, at present women in the project area have

benefited from gender equal, they participate more in social activities, have the right to

decide important issues in the families or participaten in organizations. However,

regarding family issue and property ownership, the traditional regulations on the role of

men in worshiping of parents, ancestors from patriarchal society has created inequality for

women. Most families in the rural areas, the son has right to inherit most of the land,

houses left by their parents. Division of labor in the family still shows gender

discrimination.

Table 0-6 Labor allocation in families in terms of gender in AHHs

Work to be done apart from house works Both male &

female Male Female Total

Farming 19 6 3 28

Gardening 20 5 3 28

Cultivating on hill field 12 4 3 28

Working in a factory - - - -

Breeding 4 5 0 9

Small scale business - - - -

Working in town (away from home) - - - -

House work Both male &

female Male Female

Taking care of children 11 2 15 28

Cooking 18 0 10 28

Participating in public and social work Both male &

female Male Female

28

Participating in the public consultation meeting 19 3 6 28

Participating in making decision 22 5 2 28

Joining with local organizations 12 6 10 28

17

IV. INFORMATION DISCLOSURE, CONSULTATION AND PARTICIPATION

A. Information disclosure

27. According to the safeguards policy of World Bank on resettlement and ethnic

minorities, Bai Thuong Hydropower JSC together with group of consultants

coordinate with District Compensation, Assistance and Resettlement Board (DCARB)

in Thuong Xuan district to disclose information about frameworks which has been

approved for the project about Resettlement Action Plan (RAP) and Ethnic Minority

Development Plan (EMDP) rectified by MOIT and WB, RP report and EMDP report

shall be translated into Vietnamese to make it easier to read and understand; also help

implementation of EMDP and application of compensation and resettlement policies

to affected people in a more convenient manner. List of land affected HHs who lost

land and property on land with compensation payments shall be indicated clearly.

28. Organization several communication of public consultation to disseminate and address

project information to affected people, communities in affected communes in project

area. The affected people shall be clearly informed implementation plans for

resettlement actions, including (i) contents of public consultation regarding project, its

implementation plan, land acquisition plan and construction plan; (ii) investigation

and detailed measuring survey; (iii) official and eligible list of affected people and

their entitlement; (iv) quantity and compensation unit price; (v) compensation and

other assistance payment plan; and (vi) other issues such as framework for income

restoration for affected people, grievance redress mechanism, monitoring and

evaluation etc.. Notices and related documents shall be posted at affected commune

people’s committees (CPC)/or community cultural house or posted at easily seen

places. Project information booklet (PIB) shall be provided to affected HHs and is

available at CPC, hamlet cultural house. (PIB is described in details in Appendix 2

B. Public consultation and participation

29. During preparation of this resettlement plan, several public consultation meetings with

affected ethnic minority people were taken place in November, December, 2014 to

discuss and evaluate the impacts as well as ensure that comments and opinions from

local communities shall be taken in the report.

30. The results from discussions with stakeholders during the information disclosure

process and public consultation meetings held in June and July 2014 shows that

DCARB and Bai Thuong Hydropower JSC have conducted sufficient necessary steps

of disseminating project information, compensation and assistance policies, consulting

affected HHs on their actions relating to land acquisition, construction and mitigation

measures. However, in order to provide further information about the project as well

as policy supplementation in compliance with agreed guidelines for the REDP. the

affected HHs continued to participate, consult and disseminate information during the

implementation process in June and July 2014. (Minutes of public consultation

18

meetings and participation, meeting pictures taken are attached in Appendix 4 and

Appendix 5).

31. 45. Methodologies used in public consultation are meeting, individual interview

and group discussion. People from affected hamlets were ready to discuss and share

information. Women and youngsters were invited to participate and encouraged to

contribute their ideas, especially ethnic groups in affected communes were consulted.

Ethnic groups in project area also had their representative organizations to connect

with Women’s Association, Farmers’ Association, Commune and Hamlet Youth

Association.

C. Results of information dissemination and Public consultation

32. Public consultation meetings on RAP and EMDP with participation of representatives

of Bai Thuong Hydropower JSC and consultant team and local communities were held

during the survey process. The opinions and desire of the ethnic minority people on

Bai Thuong Hydropower project are shown below.

33. Public consultation meetings were held with participation of all relevant stakeholders

to collect opinions or concerns of the ethnic minority community who are affected by

the project, therefore countermeasures are discussed to avoid or minimize impacts of

the construction works on the public living environment and working conditions.

Table IV-3 below describes details of community concerns and solutions committed to

be implemented by the investor during the project construction process.

Table 0-1 Concerns of affected community and commitment of the investor

No. Concerns of affected community Commitment of the investor

1 Detailed measurement survey (DMS)

The detailed measurement survey should be

participated by heads of hamlets and CPC

representative

To be done in compliance with current

regulations, the DMS team includes

representatives of stakeholders as

regulated

2 Compensation

Want satisfactory compensation if they are

affected by the project construction

Regulations on compensation and

assistance with appropriate unit price for

compensation are commited, results of

surveys and detailed compensation

alternatives are posted in local public

place and hamlet.

3 Assistance in stabilizing livelihood and

working

Assist in training on the technique of cage

fish breeding when reservoir construction is

accomplished, training on production.

During the construction period, the investor

Affected HHs can participate in training

courses on cage fish breeding under the

project training program

After detailed design, if there is any

further severely affected HHs, the investor

19

No. Concerns of affected community Commitment of the investor

should prepare policies of creating more

jobs for local people to work in the plant

when it comes into operation.

shall commit to have policy for further

assistance under RP

4 Restoration of public structure impacted

by the project

Investor commits to restore the public

structures if they shall be impacted by the

project

5 Culture and religion

At the present, the illiteracy rate in the

commune is rather high, training course for

eradicating illiteracy is needed for affected

people, especially for women.

Assistance in contributing funds for

operation of social associations to encourage

people to participate in and travel fee for

hamlet officials to encourage them to

maneuver the people to participate together.

This issued will be included in the gender

propaganda campaign and encourage the

local Women's association to open

training classes or groups to teach

Vietnamese to each other.

Fund for operation and assistance have

been approved by the government on a

yearly basis for ethnic people

development.

The investor together with other

organizations shall propagandize policies

concerning ethnic people development of

the State for the local people.

6 Relating to design and construction

Compensation if architectures of HHs are

affected by dynamite when implementing

the construction

Ensure environment sanitation, return the

surface after finishing the construction.

The actual house condition of HHs beside

the construction will be checked, the

compensation will be paid if any impact

The implementation of the construction

and material transportation within the

construction process must be compliant to

the approved environment management

plan

20

V. LEGAL FRAMEWORK AND ENTITLEMENT

31. In the framework of REDP, compensation, assistance and resettlement plan for Dong Van

Hydropower project has been prepared based on principles of resettlement framework approved

by MOIT and WB in 2008 for REDP. Policies applied in implementation of compensation,

assistance and resettlement include (i) involuntary resettlement policy by WB; (ii) present

policies and regulations on compensation assistance and resettlement by the Government of

Vietnam; and (iii) regulations on compensation assistance and resettlement of the provincial

authority (Thanh Hoa province). They are:

A. Policy requirements of WB

32. Basic principles in guidelines under OP4.12 of the World Bank (WB) on involuntary

resettlement, for any project, a resettlement plan must be prepared to ensure that:

• Involuntary resettlement must be avoided where possible, or be reduced to the lowest

possible extent by selecting appropriate design options;

• Where involuntary resettlement is unavoidable, the resettlement activities must be

prepared and executed with sustainable development programs and sufficiently provided

investment supports, enabling displaced people to benefit from the subproject. The

displaced people will be fully consulted and allowed to participate in preparing and

implementing activities in Resettlement Plan.

• The displaced people must be supported in terms of their capacity to improve their living

conditions and to rehabilitate their living standards at least equal to that before

constructing the subproject, equal to the actual present value to the level before

displacement or to a common level before commencement of the project or even higher

than that.

33. The solutions required to ensure resettlement has active results, including:

• Consulting project affected people viable solutions for resettlement and livelihood

restoration;

• Providing affected people options of resettlement and livelihood restoration;

• Compensating entire replacement cost for damages and loss;

• Selecting sites for resettlement where shall provide minimum benefits and services similar

to their existing place ;

• Providing finance for assistance, training and income support to help them go well during

the transitional period;

• Recognizing vulnerable groups and providing special support for these groups; and

• Establishing a structure on institution and organization to assist this process to finally

succeed.

B. Vietnam policy framework

34. At the time of preparing this RP, Land Law and regulations on compensation, assistance

and resettlement have been rectified and come into effect (since 1st July 2014) which shall solve

issues that differ from practice of payment for compensation and assistance to land acquired

21

people. That is Land Law 2013 (No.45/2013/QH13) has been rectified and issued to replace the

previous 2003 Land Law, therefore, some decree's guiding implementation are also issued,

including:

• Decree No.43/2014/NĐ-CP dated 15 /05/2014 by the Governement on detailed

regulations to implement some articles of Land Law No. 45/2013/QH13 (replacement of

Decree No.181/2004/NĐ-CP; Decree No.17/2006/NĐ-CP; Decree No.84/2007/NĐ-CP;

Decree No.69/2009/NĐ-CP; and Decree No.88/2009/NĐ-CP).

• Decree No.44/2014/NĐ-CP dated 15/05/2014 by the Governement on regulating land

prices. (Replacement of Decree No.188/2004/NĐ-CP and Decree No.123/2007/NĐ-CP)

• Decree No.45/2014/NĐ-CP dated 15/05/2014 by the Governement regulating on

collecting land use fee.

• Decree No.46/2014/NĐ-CP dated 15/05/2014 by the Governement regulating on

collecting land leasing fee, water surface leasing fee.

• Decree No.47/2014/NĐ-CP dated 15/05/2014 by the Governement regulating on

compensation, assistance and resettlement when the State acquired land. (Replacement of

Decree No. 197/2004/NĐ-CP) dated 3/12/2004)

35. 2013 Land Law and Decree guiding implementation mentioned above become effective

from 1st July 2014. To Dong Van Hydropower project, these new legal documents shall be

applied for payment for compensation and assistance for survey items to be conducted after 1st

July 2014.

36. Nevertheless, there are some items that have been completed with compensation and

assistance before such new legal documents become effective such items shall follow regulations

defined in the legal documents issued before 1st July 2014, they are:

▪ Constitution of the Socialist Republic of Vietnam in 1992 determines the house owner

right of citizens and protects their own right;

▪ 2003 Land Law issued on 26 November 2003;

▪ Decree No.181/2004/ND-CP, dated 29/10/2004 by the Government guiding the

implementation of the revised Land Law 2003;

▪ Circular No.01/2005/TT-BTNMT dated 13 April 2005 by Ministry of Natural Resources

and Environment (MONRE) on guiding implementation of some articles under Decree

No.181/2004/NĐ-CP dated 29/10/2004 by the Government;

▪ Decree No.188/2004/NĐ-CP dated 16 November 2004 by the Government on methods of

identifying land price and tariff of land of all types;

▪ Circular No.114/2004/TT-BTC dated 26 November 2004 by Ministry of Finance (MOF)

on guiding implementation of Decree No.188/2004/NĐ-CP by the Government;

▪ Decree No.123/2007/NĐ-CP dated 27 July 2007 amending and supplementing some

articles under Decree No.188/2004/NĐ-CP by the Government;

22

▪ Circular No.145/2007/TT-BTC dated 6 December 2007 by MOF guiding implementation

of Decree No.188/2004/NĐ-CP and Decree No.123/2007/NĐ-CP by the Government;

▪ Decree No.197/2004/NĐ-CP dated 3 December 2004 by the Government on

compensation, assistance and resettlement when the State undertaken land acquisition;

▪ Circular No.116/2004/TT-BTC dated 7 December 2004 by MOF guiding implementation

of Decree No.197/2004/NĐ-CP by the Government;

▪ Circular No.69/2006/TT-BTC dated 2 August 2006 by MOF on amendment and

supplementation of Circular No.116/2004/TT-BTC by MOF;

▪ Decree No.17/2006/NĐ-CP dated 27 January 2006 by the Government on amendment

and supplementation of some articles of decrees guiding implementation of Land Law;

▪ Decree No.84/2007/NĐ-CP dated 25 May 2007 promugating supplementation on

issuance of Land use right certificate, land acquisition, undertaking land use rights,

procedures of compensation, assistance and resettlement when the State acquires land and

grievance redress mechanism;

▪ Circular No.06/2007/TT-BTNMT dated 15 June 2007 by MONRE guiding

implementation of some articles under Decree No.84/2007/NĐ-CP by the Government;

▪ Inter-ministerial Circular No.14/2008/TTLT-BTC-BTNMT dated 31 January 2008

guiding the implementation of some articles under Decree No.84/2007/NĐ-CP by the

Government;

▪ Decree No.106/2005/NĐ-CP dated 17 August 2005 by the Government promulgating

details and guidance on executing some articles under Electricity law and safe protection

to high voltage facility of electric grid;

▪ Law of claim and denouncing No.09/1998/QH10 dated 2 December 1998;

▪ Decree No.67/1999/NĐ-CP dated 7 August 1999 by the Government on detailed

regulation and guiding the execution of Law of claim and denouncing;

C. Regulations on compensation, assistance and resettlement by the local authority

34. 2013 Land Law and new guiding Decrees become effective on 1 July 2014, up to now

Thanh Hoa PPC has been reviewing and adjusting current regulations for compliance

with the new policy and such new policy shall be updated during the implementation

process. Therefore, current local regulations for implementation of compensation,

assistance and resettlement are still effective and proposed to apply, including::

▪ Decision No 2271/2011/QD-UBND on 14th July 2011 of Thanh Hoa PCP on

issuing policy on compensation, supporting land and property, plant on land in safe

high voltage grid corridor in Thanh Hoa province.

▪ Decision No 3644/2011/QD-UBND on 4th November of Thanh Hoa PCP on

issuing unit price of affected trees and crops on land due to clearance

compensation in Thanh Hoa province.

▪ Decision No 4293/2011/QD-UBND on 21st December 2011 of Thanh Hoa PCP on

issuing the regulation on prices of all kind land in Thanh Hoa province in 2012.

23

▪ Decision No 3162/2014/QD-UBND on 26th September 2014 of Thanh Hoa PCP on

issuing the regulations on compensation, support and resettlement when the State

acquires land in Thanh Hoa province.

D. Some regulations applied in compensation, assistance of Bai Thuong

Hydropower project

37. In order to harmonize policies by WB, Vietnam Government and regulations on

compensation, assistance and resettlement by the PPC, the general regulations of the

Resettlement Framework for the REDP have been agreed between Que Phong PCARB, investor

of Dong Van Hydropower project, CPC and HHs affected by Dong Van Hydropower project,

including:

• During preparation of RP as well as at design stage, an area of land to be acquired shall be

minimized as possible and also be trying to avoid impacts on properties of the people as

much as possible.

• For HHs who have their residential land, agriculture land, tree, crops impacted and others

in the project area, they will be compensated, assisted for restoration and improvement of

their livelihood at least equal status before being impacted by the project, including

income and other livelihood development opportunities.

• Lacking some eligible legal documents on the land use right (including residential land,

agriculture land, and others) as well as other kind of eligible documents on property shall

not be a problem for them to be entitled to compensation, assistance.

• Plans on Land acquisition and property with land, plans on compensation, assistance, the

ethnic minority development plan shall be implemented with close and regular public

consultation to affected people.

• Land, trees, crops and other properties to be acquired and impacted shall be compensated

equal to replacement costs, without deduction of depreciation value, transfer value or any

type of deduction.

• Poor HHs, female headed HHs, ethnic HHs etc. and other vulnerable HHs shall be

assisted in compliance with provincial current regulations. Also, the investor shall give

other supports depending on results from the public consultation with these groups of

HHs.

38. Entitlement matrix for affected people under sub-projects of REDP has been clearly

defined in the Resettlement Policy Framework. Basing on this entitlement matrix, entitlement

matrix for HHs affected by Dong Van Hydropower project is prepared with details in table V-1

below. The entitlement shall be updated if during the process of implementation, there will be

new Thanh Hoa provincial regulations to be issued.

24

Table V-1 Entitlement matrix

No. Type of

Loss/Impacts

Application Eligible

Persons

Entitlement applied in Dong Van

Hydropower project

Issues during implementation

1. Productive land

(agriculture land,

aquaculture land,

forestry land,

garden)

Less than 10%

of total

agricultural

land in use of

the HH to be a

loss

Owners with

LURC over the

land or eligible

property rights

to be

recognized by

the regulations

• For the permanently acquired land,

cash compensation equal to

replacement cost.

• Without mentioning temporary use

of land; but normally in Vietnam

contractors cannot use any private

property without prior agreement

with the owner of such property.

• Adjustment of free of charge

possession right for land owner for

the remaining land which still in

use.

• For non-land properties, see section

3-6 below.

• Providing assistance in livelihood

restoration in terms of HHs in the

vulnerable group (item 12)

• Providing progress bonus (item13)

• If value of the remaining land

is lower than regulatory

minimum level, entire area of

such land lot shall be acquired

and the affected people shall be

categorized in other level of

being affected and entiled to

further compensation.

The same

applies as

above

Affected

households

with long term

lease

agreement over

the affected

land

• For the permanently acquired land,

cash assistance equal to 30% of

replacement cost (this is considered

as cost invested into the land,

improvement, upgrading etc.)

• For affected trees, crops,

compensation on market price and

• In case remain portion of

investment is higher than

30% of replacement cost,

DCARB shall recalculate for

identification of reasonable

assistance (or refund such

remain portion of investment

25

No. Type of

Loss/Impacts

Application Eligible

Persons

Entitlement applied in Dong Van

Hydropower project

Issues during implementation

yield to be calculated as the average

of the last 3 years

+ assistance for the leasee for

his income impacted.)

The same

applies as

above

Owners

without

acceptable

proof of

ownership over

the land

(illegally

appropriated

land)

• Not entitled to compensation for

land, but for crop, trees as equal to

replacement cost.

• Provided assistance for livelihood

restoration in terms of HHs in

vulnerable group (item 12)

Loss more than

10% total land

in use of the

HH

Owners with

LURC over the

land or

eligible

property rights

to be

recognized by

the regulations

• Cash compensation equal to

replacement cost or “land–for-land”

compensation

• Adjustment of free of charge

possession right for land owner for

the remaining land which still in

use.

• For non-land properties, see section

3-6 below.

• Assistance for severe damage, see

item 9 and 11 below.

• Providing progress bonus (item13)

• If value of the remaining land

is lower than regulatory

minimum level, entire area of

such land lot shall be acquired

and the affected people shall be

categorized in other level of

being affected and entiled to

further compensation.

• If “land–for-land”

compensation is applied, both

wife and husband shall have

equal rights to possess the

land

The same

applies as

Land lease and

permanent land

• For the permanently acquired land,

cash assistance equal to 30% of

• In case remain portion of

investment is higher than 30%

26

No. Type of

Loss/Impacts

Application Eligible

Persons

Entitlement applied in Dong Van

Hydropower project

Issues during implementation

above lease replacement cost (this is considered

as cost invested in the land,

improvement, upgrading etc.)

• For affected trees, crops,

compensation on market price and

yield to be calculated as the average

of the last 3 years

• Affected people shall be informed 4

months prior to the implementation

of land acquisition for the project.

of replacement cost, DCARB

shall recalculate for

identification of reasonable

assistance (or refund such

remain portion of investment +

assistance for the lease for his

income impacted.)

The same

applies as

above

Owners

without

acceptable

proof of

ownership over

the land

(illegally

appropriated

land)

• Not entitled to compensation for

land, but for crop, trees as equal to

replacement cost.

• Affected people shall be informed 4

months prior to the implementation

of land acquisition for the project.

• Provided assistance for livelihood

restoration for AHHs in the

vulnerable group (item 12)

2. Residential land Light damage

(for ex.: being

able to stay on

remaining

portion of land,

no need to

relocate);

Owners of the

land with

eligible

possession

right or

possession

right

acceptable to

the law

• Similar to affected production land

• Providing progress bonus (item13)

27

No. Type of

Loss/Impacts

Application Eligible

Persons

Entitlement applied in Dong Van

Hydropower project

Issues during implementation

Severe

damage (for

ex.: Not being

able to stay on

the remaining

portion of land

or be acquired

entire area of

land)

Owners of the

land with

eligible

possession

right or

possession

right

acceptable to

the law

• Similar to affected production

land

• Providing progress bonus (item

13)

3. Houses and shops Light damage

(for ex.: being

able to stay on

remaining

portion of

house, no need

to relocate);

Owners of the

structures with

or without

acceptable

proof of

ownership over

the land; with

or without

building

permit.

• Cash compensation equal to

replacement cost (without

depreciation or deduction of salvage

material) for the affected structure

portion.

Severe

damage (for

ex.: Not being

able to stay on

the remaining

portion of the

house

or be acquired

entire

Owners of the

structures with

or without

acceptable

proof of

ownership over

the land; with

or without

building permit

• Cash compensation equal to

replacement cost (without

depreciation or deduction of salvage

material) for the affected structure

portion.

• Regarding to assistance, see item 10

below.

28

No. Type of

Loss/Impacts

Application Eligible

Persons

Entitlement applied in Dong Van

Hydropower project

Issues during implementation

structure)

4. Other structures To be

destructured or

damaged

Owners of the

structures with

or without

acceptable

proof of

ownership over

the land; with

or without

building permit

• Cash compensation equal to market

price for material and labor without

considering depreciation and

deduction of salvage material.

5 Graves Affected

graves

Affected

owner

• Compensation for all costs of

digging, exhumation, transporting

for reburial for the affected HHs

• Graves shall be excavated and

haulage in compliance with

traditional manner and custom

• During implementation

process, if any gave is found

ownerless, CPC will be

responsible for relocation of

it with costs to be paid from

land acquisition budget of the

project.

6 Crops and trees Affected Crops

and trees

Owners

regardless of

tenure status

• Affected people are entitled to cash

compensation for affected crops

equal to market price.

• Affected people are entitled to cash

compensation for affected trees

equal to the market price as per tree

type, age and production values. If

affected trees can be removable,

compensation will be equal to cost

for removement and actual damage.

• Affected people shall be

noticed some months prior to

commencement of

construction. Trees and crops

are grown after the notice

date will not subject to

compensation.

7 Public facilities Works, Village, ward, • Restoration of building, community • If damage on income is

29

No. Type of

Loss/Impacts

Application Eligible

Persons

Entitlement applied in Dong Van

Hydropower project

Issues during implementation

structures,

community

forest/pasture

for animal/or

other types of

land/ irrigation

system to be

affected as

temporary or

permanent use

of land or

landfill of solid

waste.

governmental

administrative

units

structures at least to its originated

conditions, or

• Replacement in the dedicated area

with consultation of the affected

community and relevant authorized

agencies, or

• Compensation equal to replacement

cost without considering

depreciation, but deduction salvage

material.

estimated (for Ex. Irrigation

system, community forest,

community pasture for

animal), hamlets are entitled

to compensation to total

damages on production, this

compensation will be

collectively used for solutions

of restoration of income

and/or new infrastructure.

8 Temporary impacts

during project

construction

process

Agriculture

land to be

temporarily

impacted

The affected

land owner is

• Compensation for loss of net income

during impacted period of

construction.

• Recovery to the same or better

condition than before with methods

of soil quality improvement

• If soil quality cannot

recovered as the same as

before construction for the

affected people, and if the

affected people have to

change land use purpose, as

result of such change, the

affected people shall be

compensated every cost for

the loss, and in case of being

unable to change land use

purpose then such land shall

be acquired and satisfactory

compensation shall me made

for effected people the same

30

No. Type of

Loss/Impacts

Application Eligible

Persons

Entitlement applied in Dong Van

Hydropower project

Issues during implementation

entitlement as for other HH

who have their land acquired

for the project.

Temporary

impact of

residential land

Owner of

affected land

• Compensation for the property

impacted equal to replacement cost

• Recovery of soil to its previous

conditions

Damages

caused by the

contractor to

the public or

private owned

structures or

land

Owner or who

has land use

right

• The contractor shall be requested to

compensate immediately to the

affected HHs, groups, communities

or state agencies.

• Damaged properties shall be

recovered to their original

conditions.

9 Loss in

income/livelihood

due to land lost

Severely

affected due to

loss equal to or

more than 10%

of productive

land and

income

Land owners

with LURC; or

in the process

of acquiring

LURC; and

those covered

by customary

rights, such as

members of

ethnic minority

groups.

Affected

households

with lease

Allowances for stabilizing livelihood

• Assistance to HHs whose total area

of agricultural land is acquired from

10% to 30% is equal to 3 months in

case of non-relocation, 6 months in

case of relocation). Assistance in

cash is equal to 30kg of rice

/member/month. Assistance is

provided for 6 months basis.

• In addition, further assistance to

HHs whose total area of agricultural

land is acquired from 30% to 70% is

equal to 6 months in case of non-

relocation, 24 months in case of

31

No. Type of

Loss/Impacts

Application Eligible

Persons

Entitlement applied in Dong Van

Hydropower project

Issues during implementation

agreement over

the affected

land

relocation; whose total area of

acquired agricultural land is more

than 70% is equal to 12 months in

case of non-relocation and 36

months in case of relocation.

Assistance in cash is equal to 30kg

of rice /member/month. Assistance

is provided for 6 months basis.

Allow for changing and creating

jobs:

• Assistance equal to 5 times of

agricultural land price for entire

acquired land – regardless the rate of

land loss (area to get assistance is

not exceeded local land handing

limit).

By land support.

Affected HHs are compensated in

land, assistant rate for production is

VND5,000,000/labor, for the HHs

with more than one at working age,

the second one onward will get the

assistance of VND2,000,000/labor.

In case land is used for agriculture,

forestry, aquaculture purpose in form of

fixed rate (excluding special use forest

land, protection forest land) handed by

32

No. Type of

Loss/Impacts

Application Eligible

Persons

Entitlement applied in Dong Van

Hydropower project

Issues during implementation

land using organizations to their staff

and officer who are still working or

retiring, retiring early, leaving job but

entitled to support; and who are directly

involve in agriculture production for

main income, then assistance is equal to

100% of agriculture land price against

actual measured acquired area but not

exceeding local land handing limit.

10 Impacts on houses

and will require

relocation

Severe impact

on houses

Relocating

households

regardless of

tenure status

Material Transportation allowance

• If households must be relocated

within the province/city not

exceeding 20km, they shall receive a

support of VND 3,000,000/HH

• If households must be relocated

within the province/city exceeding

20km, they shall each receive a

support of VND 5,000,000 /HH

• If households must be relocated to

another province in the north, they

shall each receive a support of VND

8,000,000 /HH; in the central and

southern region, they shall each

receive a support of VND

10,000,000 /HH.

House leasing assistance

• House leasing assistance in cash

33

No. Type of

Loss/Impacts

Application Eligible

Persons

Entitlement applied in Dong Van

Hydropower project

Issues during implementation

includes: (i) for HH with 5 and less

than 5 members: VND 800,000

/month; (ii) for HH with more than 5

members: VND 1,000,000/month;

and single member HH: VND

600,000 /month.

• Period of time to get assistance is

from land handing to the investor to

receive land for resettlement.

Assistance to house leasing HHs

Relocation assistance fee: VND

2,000,000 /HH and transition

subsistence allowance in cash equal to

30kg of rice/member/month for 3 month

period.

11 Loss of income/

livelihood due to

relocation of

business

Severe impact

on shop

Relocating

affected HHs,

shop owners

(house and

shop)

regardless of

tenure status

Economic organizations, family

business enterprises with registered

industries are to stop production due to

land acquisition for the project, they are

entitled to get assistance equivalent to

30% of 1 year’s income after taxes,

calculated according to the average

income level for last three years.

12 Higher risks of

impoverishment

/hardship due to

loss of resource

base

Loss of Land

and Non-Land

Assets

Affected

vulnerable

groups

regardless of

severity of

Provincial social policies for HHs

who are entitled to a social allowance

at the time they land is acquired by

the State and have to relocate:

• Policies for families entitled

to social allowances who

have to relocate their houses,

in case of the HH with many

person who are entitled to

34

No. Type of

Loss/Impacts

Application Eligible

Persons

Entitlement applied in Dong Van

Hydropower project

Issues during implementation

impacts • Who work for national revolution

before 1945, heroes in people’s

armed force, Vietnamese heroic

mothers, Heroes in working, close

relative of revolutionary martyr who

are presently entitled to monthly

State support, wounded soldier, sick

soldier, persons who are entitled to

the same social support as wounded

soldier with 81% or more of their

health loss shall be assisted

VND5,000,000/house using owner

• Soldier and wounded persons who

are entitled to State support as a

wounded soldier whose 61% to 80%

of their health lost shall be subject to

assistance of VND4,000,000/house

using owner.

• Wounded soldier and persons who

are entitled to State support as

wounded soldier whose 41% to 60%

of their health lost shall be subject to

assistance of VND 3,000,000/house

using owner.

• Wounded soldier and persons who

are entitled to State support as

wounded soldier whose 21% to 40%

of their health lost shall be subject to

one of the defined assistance

levels, such HH shall be

assisted once at the highest

level.

• These supports and

35

No. Type of

Loss/Impacts

Application Eligible

Persons

Entitlement applied in Dong Van

Hydropower project

Issues during implementation

assistance of VND 2,000,000/house

using owner.

Those who were awarded Resistance

War Medal – class I, victory medal –

class I shall be entitled to assistance of

VND1,000,000/house using owner

• HH with a person who is given other

state support will be entitled to

assistance of VND 2,000,000/HH

Project assistance policies

• Assistance for changing jobs

(working in the Plant) and

restoration of income via assistance

form of training, workshop on

livestock breeding technology.

assistances shall be

developed through Ethnic

Minority Development Plan

(EMDP)

13 Providing progress

bonus

Damage and

loss of land

and property

on land

Owner with

affected

properties

• The bonus rate of VND 2,000/m2 for

agriculture land being acquired and

handing in a timely manner of

progress as requested by the

DCARB, max. VND 2,000,000/HH.

• Bonus to owners whose house,

residential land, business and non-

agriculture land, structures are

destructed entirely or partially.

Then:

• Removement, handing the site at

least 15 days prior to dedicated date,

the bonus will be VND

36

No. Type of

Loss/Impacts

Application Eligible

Persons

Entitlement applied in Dong Van

Hydropower project

Issues during implementation

5,000,000/HH.

• Removement, handing the site

within 15 days prior to dedicated

date, the bonus will be VND

4,000,000/HH.

• Removement, handing the site on

time, the bonus will be VND

3,000,000/HH.

• Bonus to land ownership, HH whose

land is partially acquired, but no

destruction of their house, structures

on land, then:

• Removement, handing the site at

least 15 days prior to dedicated date,

the bonus will be VND

3,000,000/HH.

• Removement, handing the site

within 15 days prior to dedicated

date, the bonus will be VND

2,000,000/HH.

• Removement, handing the site on

dedicated date, the bonus will be

VND 1,000,000/HH.

• For economic entities, the bonus will

be VND 5,000 /m2 but not

exceeding VND 10,000,000/entity

37

VI. RESETTLEMENT, COMPENSATION AND ASSISTANCE STRATEGY

A. Legal basis for calculating compensation prices

39. Thanh Hoa PPC, based on decrees (Decree No.197/2004/ ND-CP and Decree No.

69/2009/ND-CP) every year issues unit price for land and other assets as well as assistances to

affected HHs as results of land acquisition for road construction projects. Unit prices for assets

are used to calculate total compensation value of affected properties when land is acquired by the

State for government projects with communal objectives and for local tax calculation. Decree No.

188/2004/ND-CP has been amended and supplemented to Decree No. 123/2007/ND-CP

promulgating on a standard framework for identification of unit prices for land which is

evaluated corresponding to the market price on principles of “voluntary sale – voluntary

purchase” in the normal status without any sign of speculation, economic or financial inflation,

change of policy regime, force to transfer, or blooded relationship.

40. For Bai Thuong Hydropower Plant, according to the design, the construction does not

affect the annual crop land so there is no damage of trees and crop, not directly affect the

common architectural works of the commune as well as the households. Therefore, the

compensation rate base is applied as the regulation of the province.

B. Replacement cost identification

36. Bai Thuong hydropower plant is expected to be built behind Bai Thuong dam, intakes

water from Bai Thuong reservoir, take advantage of the difference water level between

the upstream and downstream of Bai Thuong dam to generate electricity. Because the

construction of Bai Thuong hydropower projects does not alter the scope and mission of

Bai Thuong Dam, the normal water level of Bai Thuong hydropower plant is the normal

water level of Bai Thuong dam + 17.2m .

37. Compensation, support the influence from the work are determined by the

replacement cost according to the latest regulations on land issued by the province, in

addition, the actual price at the time of determining the price of the crops with trees, the

buildings on affected land is taken account.

C. Compensation for impacts and entitlement

1) Compensation for affected land

35. According IOL result implemented in November and December 2014, 16.430m2 of

permanently acquired land are mainly for building the road for the construction of the

project. They are mainly land of transport corridors which was compensated, land of

office, land close to the stream under mangement of Xuan Duong commune, thus no

compensation of land.

2) Compensation for affected trees, crops

36. Total permanently and temporarily acquired land of the project is 29.480m2, in

Xuan Duong and Tho Thanh. Xuan Duong has 27 HHs, there is one HH cultivating on

38

acquired land. Based on the IOL, the total quantity of annual crops that has not been

harvested is estimated to be compensated as following:

Table 0-1 Compensation for affected crops and trees

No. Commune Unit Quantity Amount (VNĐ)

Total 124.057.103,20

I Xuan Duong 123.100.103,20

Annual crops and

trees 25.766.865,20

1 Vegetables m2 2.605,64 12.914.315,20

2

Other vegetables and

Legumes m2 353,20

6.937.000,00

3 Grass m2 1.971,85 5.915.550,00

Perennial plants 97.333.238,00

1 Timber trees tree 986 14.632.758

2 Fruit trees tree 2.789 75.789.480

3 Bamboo tree 657 6.911.000

II Thọ Thanh 715.000

Perennial plants 715.000

1 Timber trees tree 23 598.000

2 Fruit trees tree 3 117.000

3 Bamboo tree

III

Tien Long village,

Xuan Duong

commune 242.000

Timber trees tree 5,00 242.000

39

3) Compensation for affected structures

37. The result of IOL shows that there are AHH having affected architectural objects, 4

HHS must displace. In addition, Tien Long village (Xuan Duong) loses 50m of sewer.

The losses are shown in the following table (particularly 4 HHs must displace are

supported by Bai Thuong Hydropower Joint Stock Company other land and build

house which is shown in Table VI - 3).

Table 0-2 Compensation for for affected structures

No. Items Unit Volume Amount

Total 212.666.561

I Xuan Duong commune 22.750.120

1 Stone stairs m3 1,62 495.034

2 Water tanks m3 2,98 3.280.659

3

Concrete reinforcement

sewer m3 0,90 2.654.085

4 Stone embankment m3 2,24 683.648

5 Stone house-foundation m3 33,15 12.390.510

6

Concrete reinforcement lid

for water tanks m3 0,15 303.576

7 Bath room m3 9,48 1.094.940

8 Cement yard m3 72,04 1.847.668

II Tho Thanh commune 181.031.026

1 Stone house-foundation m3 170,28

2

Concrete house-foundation

(no steel) m3 48,20

3 Wall 220 m2 122,85

III

Tien Long Village, Xuan

Duong Commune 8.885.415

Concrete reinforcement

sewer m3 4,32 8.885.415

4) Assistances for AHHs

38. To implement the project, there are 4 households with housing and architectural

objects which are in transport corridor and compensated by Xuan Duong commune in Bai

Thuong Bridge project. Under the provisions of Land Law, the 4 households do not

receive compensation for acquired land, however Bai Thuong Hydropower Joint Stock

Company supports and builds resettlement houses for 3 households which are 300 meters

40

far from the old places, supports 1 household by cash (because the houseshold has no

housing demand).

Table 0-3 Total cost of assistance to 4 affected HHs to displace

No. ITEMS AMOUNT

1 Expense of building level 4-

houses (3 houses) 525.717.234

2 Support by cash (1 HH) 159.308.253

3 Expense of building

infrastructure for the houses 81.588.924

4 Compensation for the acquired

land for resettlement houses 83.920.500

5

Support HHs whose lands are

acquired to build resettlement

houses

7.021.000

TOTAL 857.555.911

5) Income rehabilitation program

39. As described in Chapter II, implementation of land acquisition for the plant has been

carefully calculated to avoid and minimize land area of HHs to be acquired. The

project construction shall not have impact on agricultural productive land, however,

land acquired for construction of the plant somehow permanently affected to pasture

for domestic cattle in the reservoir area and to some fishing activities because of a new

dam built for water retaining for the hydropower project. Measures have been

discussed and proposed via public consultation meetings with local authority and

affected HHs, including: (i) a training course on the technique of breeding fish in

cages to these HHs in order to make use of water in the reservoir, (ii) monitoring and

supervising implementation of HHs and facilitate HHs during the implementation

process, and (iii) regular technical assistance for HHs during early stage and plant

operation period.

41

VII. INSTITUTION ARRANGEMENT AND IMPLEMENTATION SCHEDULE

A. Implementation schedule

40. The project shall be implemented for 2.5 years (2014-2016), in which preparation

stage is in the last 6 months of 2014 and expecting that construction 4commencement

shall be in December 2015 and completion shall be in May, 2017. During detailed

engineering design, updating RP shall be done. As soon as updated RP is completed, it

will be submitted by Bai Thuong Hydropower JSC to WB for review and approval.

All resettlement activities shall be interacted with construction schedule. Land

acquisition and relocation of affected HHs shall not be commenced until updated RP

has not been reviewed and approved. Bai Thuong Hydropower JSC shall not allow

any construction work on site before all resettlement activities have satisfactorily

completed and no more obstacles to the site for construction. Table XII-1 summarizes

variable interactions that attach to updating and implementing RP. The resettlement

implementation schedule is as follows:

Table 0-1 Implemenation schedule for entire project

B. Institutional arrangements

41. Bai Thuong Hydropower JSC shall be responsible for every project component

implementation, including preparation and implementation of RP and monitoring and evaluation

of this RP. Woking as a project executing agency, Bai Thuong Hydropower JSC shall have key

responsibilities as follows:

Activities Implementation schedule

Information dissemination and public consultation 11/2014 - 12/2014

Preparing RP 12/2015 –01/2015

Submission of RP 02/2015

Approval of RP 03/2015

Information dissemination after RP has been approved 04/2015

Payment of compensation and assistance 01-03/2015

Monitoring and evaluation 1/2015-5/2017

Implementation of construction 12/2014 – 05/2017

42

• Preparing and implementing RP in coordination with people’s committees at levels

and Provincial Compensation, Assistance and Resettlement (PCARB), DCARB and

submitting to MOIT and WB for approval;

• Ensuring that WB shall agree with any change in RP;

• Ensuring budget for RP implementation, financing source for resettlement (e.g.,

payment of compensation and other assistances) timely and sufficiently;

• Assisting in solving complaints and claims by affected HHs.

42. The responsibilities include:

• Providing guidance for PPC, DPC, CPC, PCARB, DCARB, project related groups

and project resettlement policies, and concrete tasks of the groups including preparing,

updating and implementing RP, if necessary;

• Coordinating with PPC, PCARB, DCARB;

• Together with DCARB, conducting key activities on site which relate to setting up,

preparing and implementing RP, for example, disseminating project information and

discussion with affected people and other project stakeholders.

• Coordinating with relevant provincial/district agencies to promptly allocate land for

affected people who are subject to compensation in land.

• Monitoring and supervising updating and implementation of RP.

• Preparing quarterly report on RP preparation and implementation and submitting RP

to MOIT and WB. In the report it also includes resettlement audit of the budget for

resettlement allocated and the amount of money disbursed.

43. Provincial People’s Committee shall take general responsibilities on resettlement

activities within its discretion, including:

• Ensuring updating of unit prices for individual and communal properties affected by

the project to reflect replacement cost, when necessary;

• Monitoring and giving approval to RP;

• Guiding preparation and implementation of RP

44. District People’s Committee shall take general responsibilities on resettlement activities

within its discretion, including:

• Assigning a district officer updating and implementing RP.

• Identifying replacement land for affected HH.

• Assisting in the resolution of complaints and claims.

• Reviewing RP prior to approval by PPC.

45. The CPC shall take the responsibilities on resettlement activities as below:

• Assigning commune officer to assist DCARB in preparation and implementation of

RP

43

• Undertaking a single payment for compensation, assistance to AHHs.

• Identifying land replacement cost for AHHs

• Signing compensation contract forms with affected people.

• Assisting in solving complaints and claims.

44

VIII. GRIEVANCE REDRESS MECHANISM

46. Grievances related to any aspect of the Dong Van Hydropower project will be handled

through negotiation aimed at achieving consensus. Complaints will pass through 3 stages before

these could be elevated to a court of law as a last resort. To ensure that all grievances of those

affected on any aspect of land acquisition, compensation, relocation, and determination and

payment of entitlements are resolved in a timely and satisfactory manner.

47. The affected individuals will be made fully aware of their rights (both verbally and in

writing) during consultations and at each phase of the resettlement process. Detailed procedures

for hearing and redressing grievances, including appeal processes, will be made public through an

effective public information campaign.

48. The APs will also be made aware of the WB’s accountability mechanism policy by

providing copies of the accountability field guide, which has been translated into Vietnamese.

49. A four-stage procedure for redress of grievances is proposed:

Stage 1: Complaints from APs on any aspect of compensation, relocation or unaddressed losses

are in the first instance lodged verbally or in written form with the Commune’s People’s

Committee (CPC). The complaint will be discussed in an informal meeting with the APs and the

CPC. It will be the responsibility of the CPC to resolve the issue within 15 days from the date the

complaint is received.

Stage 2: If no agreement or amicable solution can be reached or if no response is received from

CPC’s related officer within 15 days of filing the complaint, the APs can appeal to the District

People’s Committee (DPC) in the presence of the district-level Compensation, Assistance and

Resettlement Board (CARB) to try to solve within 15 days from the date of receipt the complaint.

The APs must lodge the complaint within 30 days of registering the original complaint, and must

produce documents that support his/her claim.

Stage 3: If the AP is not satisfied with the decision of the DPC or in the absence of any response,

the APs can appeal to the Provincial People’s Committee (PPC). With consultation provided by

the Provincial Resettlement and Compensation Committee (PRCC), PCARB and Provincial

Department of Natural Resources and Enevironment (DONRE), Provincial Department of

Finance (DOF), PPC will provide a decision on the appeal within 30 days from the day it is

received.

Stage 4: If the APs are still not satisfied with the decision of PPC on appeal, or in the absence of

any response within the stipulated time, the APs as a last resort, may submit his/her case to the

Provincial Court.

45

50. The procedure described in these four steps complies with the legal process for resolution

of complaints and denounce in Viet Nam. However, this system mainly refers to civil disputes

between citizens, but not to disputes between citizen and governmental authority. In this view,

within internal system of monitoring and evaluation, PMU and PCARB need to records in

writing complaints and claims that affected people (APs) have brought forward and final solution

on such complaint and claims. In addition, APs shall be exempted every fee relating to

administrative and legal procedures. With such complaint and claims, the court also has rights to

exempt fees for submission.

51. The External monitoring Agency (EMA) contracted for external monitoring and

evaluation will be responsible for checking the procedures for and resolutions of grievances and

complaints. The EMA may recommend further measures (if necessary) to be taken to redress

unresolved grievances.

46

IX. MONITORING AND REPORTING

52. The implementation of resettlement will be monitored regularly to help ensure that the RP

is implemented as planned and that mitigating measures designed to address adverse social

impacts are adequate and effective. Towards this end, resettlement monitoring will be done by an

internal body and by an external organization.

A. Internal Monitoring

53. Bai Thuong Hydropower JSC will serve as the Project’s internal monitoring body. As

such, the It will maintain a file of all data gathered in the field, including a database on the

affected households. Its internal monitoring unit will submit a quarterly monitoring report to the

PMU starting from the commencement of RP updates, which coincides with the conduct of the

detailed measurement survey (DMS) and other RP updating activities. The PMU in turn will

include updates on resettlement in its regular Project reports to MOIT and WB. Social

monitoring reports will be made available to the affected households and will be submitted to

WB for web posting.

54. Internal monitoring and supervision will have the following objectives:

Compensation and other entitlements are computed at rates and procedures as provided in

the approved RP, with no discrimination according to gender, membership in an ethnic

group or other relevant factors;

Affected households are paid their compensation and other entitlements as per approved

Updated RP, ensuring that all entitlements are delivered as planned and agreed, including

compensation in cash or in kind, allowances, replacement land, resettlement sites

developed and people moved into them;

Public information, public consultation and grievance redress procedures are followed as

described in the approved updated RP;

Affected public facilities and infrastructure are restored promptly; and;

The transition between resettlement and commencement of civil works is smooth and that

site is not handed over for civil works until affected households have been satisfactorily

compensated, resettled and income restoration programs in place.

B. External Monitoring

55. The general objective of the external monitor is to provide a third party periodic review

and assessment of: (i) achievement of resettlement objectives; (ii) changes in living standards and

livelihoods; (iii) restoration of the economic and social base of the affected people; (iv)

effectiveness, impact and sustainability of entitlements and income restoration programs; and (v)

the need for further improvement and mitigation measures. Strategic lessons for future policy

formulation and planning will also be drawn from the monitoring and evaluation of resettlement.

The draft TOR for external monitoring consultant is in Appendix 3

47

56. The external monitoring agency or EMA, conducted by an experienced resettlement and

social development consultant and selected by PMU (under MOIT). External monitoring,

inspection and evaluation will be made on a yearly basis, except for the first stage, it is requested

to be made twice/year. All external monitoring reports will be made available to the affected

households by placing reports in the commune / ward and field offices and will be uploaded on

WB website.

57. The methods for external monitoring and evaluation of land acquisition, compensation

and resettlement activities include:

Review of Detailed Measurement Survey (DMS): As soon as the detailed design is

finalized and staked to the ground by Bai Thuong Hydropower JSC and CARB, data

collection from all APs to establish their eligibility and entitlements will be carried out.

The data that will be entered into a database to document the following: a) socio-

economic status of affected households; b) nature and extent of losses; and c) entitlements

to compensation and other assistance. These data will be made available to the EMA, to

enable them to establish a baseline for monitoring and evaluating project benefits. During

the conduct of the DMS, the EMA will also monitor the DMS process to determine and

assess if DMS activities are being carried out in a participatory and transparent manner

Socio-Economic Survey (SES): The SES is designed to provide a clear comparison of

the success and/or failure of the resettlement program to restore their livelihoods and

living standards. In general, if a lag of 3-5 years or more occurs between census and SES

and actual land acquisition, demographic and socio-economic factors may change

significantly. In this Project, if land acquisition is not carried out within two years after

SES, Bai Thuong Hydropower JSC and CARBs will carry out another SES. A post

resettlement survey will also be undertaken by the EMA 6-12 months following

completion of resettlement activities. Special attention will be paid to the inclusion of

women, ethnic groups, the very poor, the landless and other vulnerable groups, with set

questions for women and other target groups; and, the database disaggregates information

by gender, vulnerability and ethnicity.

Participatory rapid appraisals (PRA): The PRA will involve obtaining information,

identifying problems and finding solutions through participatory means including: a) key

informant interviews; b) focus group discussions on specific topics such as compensation

payment, income restoration and relocation; c) community public meetings to discuss

community losses, integration of resettled households in host communities or construction

work employment; d) structured direct field observations, for example, of resettlement

site development; e) formal and informal interviews with affected households, women,

ethnic minority, and other vulnerable groups; and, f) in-depth case studies of problems are

identified by internal or external monitoring and required special efforts to resolve

Verification of Replacement cost survey: The EMA will also verify whether

compensation paid were at replacement cost. A special market study to validate whether

the rates used in compensation in land and other non-land assets were at replacement cost

will be undertaken.

48

58. After being submitted, the EMA reports will be brought out for discussion at meetings

between EMA, Bai Thuong Hydropower JSC and CARBs. Necessary remedial actions will be

taken and documented.

Table IX-1 Monitoring and Evaluation Indicators

Type Indicator Examples of Variables

Process

Indicators

(By district

and

commune)

Staffing The number of Bai Thuong Hydropower JSC staff and

field staff on Project assigned by job function; and

The number of other line agency officials available for

tasks

Consultation,

Participation and

Grievance

Resolution

The number of consultation and participation programs

held with various stakeholders;

Separate consultation with women (Kinh), female headed

households and ethnic minority women;

Grievances by type and resolution;

The number of field visit by EPMU staff; and

The number of local organizations participating in project

Procedures in

Operation

Review of DMS , including verification/quantification

procedures in place and effectiveness of compensation

delivery system;

The number of land transfer taking effect; and

Coordination among Ban Ang Hydropower JSC, relevant

provincial departments, and provincial and district

officials,

Output

Indicators

(By district

and

commune)

Acquisition of Land Area of productive land assets acquired (crop land,

aquaculture ponds, garden land, etc.);

Area of residential and other non-agricultural lands

acquired;

Area of communal/government lands acquired; and

Area of other lands acquired.

Structures Quantity, type and size of private structures acquired;

Quantity, type and size of community structures acquired;

and

Quantity, type and size of government structures acquired.

Trees and Crops Quantity and type of private crops and trees acquired;

Quantity and type of government/community crops and

trees acquired; and

Destroyed crops by area, type and The number of owner.

49

Type Indicator Examples of Variables

Compensation and

resettlement

The number of household affected (for land, buildings,

trees, crops);

The number of owner compensated by type of loss;

Amount compensated by type and owner;

Quantity and amount of allowances paid;

The number of replacement houses constructed by

concerned owners;

The number of replacement business constructed by

concerned owners;

The number of owner requesting assistance to purchase

replacement land, and the number of successful purchase;

The number of individual site and levels of development of

sites;

The number of entitlement delivered;

The number of entitlement used by APs;

Suitability of entitlements to affected households as per

RP objectives;

The number of non-titled AHH receiving replacement

land; and

The number of severely affected, very poor or other

vulnerable household receiving special assistance and

participating in income restoration programs.

Impact

Indicators

(by district

and

commune)

Household Earning

Capacity

Employment status of economically active members;

Landholding size, area cultivated and production volume,

by crop;

Selling of cultivation land;

Changes to livestock ownership – pre- and post

disturbance;

Changes to income-earning activities (farm and off-farm) –

pre- and post disturbance; and

Amount and balance of income and expenditures.

Changes to Status of

Women

Commune/Village Resettlement Committees include

Women’s Union and Women from affected households;

Involvement of women in the process of preparation of

IOL;

The number of grievance complaint filed by women and

resolution

The number of woman (including female headed

households and ethnic minority women) negotiated

compensation effectively;

Joint registration of land in the name of husband and wife;

50

Type Indicator Examples of Variables

The number of meeting held by women from affected

households in planning of livelihood activities;

The number of woman engaged in gainful livelihood

activities/income earning activities/employment in

Industrial zones (including female headed households and

ethnic minority women);

The number of woman participated in capacity building

workshop/ training;

The number of woman understand the process of

resettlement activities (entitlement, compensation process,

etc);

The number of woman participated in discussion of

resettlement site selection;

Participation in commercial enterprises; and

Participation in community decision-making

Changes to Status of

Children

School attendance rates (male/female); and

Participation in plant construction.

Settlement,

Community and

Population

Growth in number and size of settlements;

Growth in market areas;

Influx of new settlers, including those with and without

land rights;

Changes in economic activities and income-generation

opportunities; and

Changes in social, cultural and community conditions.

51

X. BUDGET AND FINANCIAL SCHEDULE

59. Total compensation and assistance cost or impacts caused by Bai Thuong Hydropower

project construction is VND 1.487.593.124 VND (equal to 70.468,65 USD), including (i)

compensation and assistance, (ii) implementation management cost of 2% (iii) contingency cost

10%, (vi) independednt monitoring cost.

60. Total cost of implementation of resettlement plan will be paid by Bai Thuong

Hydropower JSC. Table X-1 describes in details compensation costs for impacts caused by the

plant.

Table X-1 Summary of resettlement costs

Items Unit Quantity Unit

price

(VNĐ)

Amount (VNĐ)

1 Compensation cost for crops and trees 124,057,103.2

Annual crops m2 4930.69 25,766,865.2

Perennial plants tree 4463 98,290,238

2 Compensation cost for affected architectural

objects 212,666,561

Xuan Duong 31,635,535

Tho Thanh 181,031,026

3

Cost for building resettlement houses for 4

HHs 857,555,911

Houses house 4 766,614,411

Compensation for the acquired land

for building resettlement house VND 83,920,500

VND

VND 7,021,000

Total direct compensation and assistance

costs VND

1,194,279,575

4 Implementation Management cost (2%) 23,885,591.5

5 Contingency (10%) 119,427,957.5

6

Independednt monitoring cost ( temporary

calculated)

150,000,000

Total resettlement cost ( temporary calculated) 1,487,593,124

52

ANNEXES

ANNEX 1 TYPES OF AFFECTED LANDS – BAI THUONG HYDROPOWER PROJECT .... 53

ANNEX 2 PROJECT INFORMATION BOOKLET (PIB) ............................................................. 54

ANNEX 3 TOR ..................................................................................................................................... 59

ANNEX 4 CONSULTATION MEETING MINUTES ...................................................................... 67

ANNEX 5 SOME PHOTOS OF CONSULTATION MEETINGS .................................................. 77

53

ANNEX 1 TYPES OF AFFECTED LANDS – BAI THUONG HYDROPOWER PROJECT

TT Hạng mục Tổng diện tích

BAH

Đất

BHK

Đất

LUC

Đất

DGT

Đất

TSC

Đất

LNK

Đất

BCS

Đất

CQP

Đất

SON

Đất

DTL

1 Đất bị ảnh hưởng vĩnh viễn 16430

1.1 Khu vực kênh dẫn, nhà máy, kênh xả 2481.1 - - - - - 2447 34.1

1.2

Khu vực nhà QLVH và trạm PP,

đường nội bộ 2466.7 - - - - - 2466.7 - -

1.3 Khu vực đường thi công QLVH 11482.2 - - 441.2 454.2 699.3 9804.2 83.3 - -

2 Đất bị ảnh hưởng tạm thời 13050

2.1 Khu phụ trợ, lán trại, khu sản xuất 9100 - - 91.2 - - 10 8998.8 - -

2.2 Bãi trữ đất đá đào tận dụng 3950 3688.8 202.6 58.6 - - - - - -

Tổng 29,480 3688.8 202.6 591 454.2 699.3 9814.2 11548.8 2447 34.1

54

ANNEX 2 PROJECT INFORMATION BOOKLET (PIB)

MINISTRY OF INDUSTRY AND TRADE

BAI THUONG HYDROPOWER JOINT STOCK

COMPANY

SOCIALIST REPUBLIC OF VIETNAM

Independence – Freedom - Happiness

PROJECT INFORMATION BOOKLET

BAI THUONG HYDROPOWER PROJECT

Thanh Hoa province

Introduction to Bai Thuong Hydropower Project

The general objective of the Renewable Energy Development Project (REDP) is to

increase the supply of least-cost electricity to the national grid from renewable energy

sources on a commercially sustainable basis in an environmentally and socially

sustainable manner. Bai Thuong Hydropower Plant is planned to be implemented at

left shoulder downstream of Bai Thuong Dam which was built, and 40km from the

middle of the dam. The hydropower plant is located in Xuan Duong Commune,

Thuong Xuan District, Thanh Hoa Province. Bai Thuong is hydropower plant after

dam, utilize the built dam (do not built new dam) and only use the flow after watering

to generate. Bai Thuong Hydropower Plant will generate to supply national grid

electricity with installed capacity of N = 6MW, ensured capacity of 2,24MW, annual

average electricity output Eo = 24,7 million kWh.

Bai Thuong cluster headwork which was built consists of: the dam with 167m in

length, dam crest elevation of +17.2m, the structure is made of crete and steel. The

energy line consists of 2 parts, the first part starts from Bai Thuong dam is 15m in

length, mainly horizontal canal with small slope. The next part is called the forwarding

part which connect directly to water intake and use as horizontal spillaway with the

length of 19.4m. The water intakle is close to the plant, intake the water directly to

turbine; the intake is 9.8m in length. The hydropower plant has installed capacity of 6

MW, 2 capsun turbine units, calculated water column is Htt = 6m.

The main project components of Bai Thuong Hydropower Plant include (i) reservoir

on Chu river with capacity of 7.6 million m3; (ii) The cluster headwork (Bai Thuong

dam was built) is designed with all works including concrete dam, main spillway dam;

sub-spillaway dam, water intake, sand dícharger; (iii) Bai Thuong new construction

parts include: collecting water and horizontal-spillaway canal, water intake, hydro

power planr and discharge canal, distribution station.

Auxiliary facilities include distribution station, management and operation office, road

for manage and operate, temporary roads for construction, camp, office producing

base, parking area, waste area, storing area... The power is supplied fromt available

grid electricity of 35kV. Water for daily activities and production is planned to be

supplied from Chu river. The temporary occupied land area is 13,050 ha.

Construction project shall be in 2.5 years (2014-2016) including last 6 months of 2014

55

for preparation and construction commencement is expected to be in December 2014

and completed in May 2017.

Bai Thuong Hydropower JSC will be main responsible for constructing and managing to

operate the Project. The implementation budget for this construction will be financed by

World Bank (WB).

Table 1 - Implementing Progress of RP

Scope of land and asset acquisition for the project.

During the process of inventory of loss (IOL) in November and December 2014,

16.430m2 acquired land is permanently affected, 13050 m2 acquired land is

temporarily affected under management of Xuan Duong and Tho Thanh Communes.

There is no land of household being acquired permanently, only one household in Tho

Thanh Commune has temporarily acquired land, this area will be returned after

finishing the project.

What will happen to AHs with the damaged assets and livelihood income? People affected

by the project will be compensated in cash at replacement cost for land and assets on land

(such as houses, trees, crops...) and other assistances, including assistance for livelihood

restoration depending on the severity of impacts.

What are entitlements of project affected households? After considering the factors affect on

the market value, replacement cost calculated for the compensation of land and property on

the ground, PPC of Thanh Hoa province issued the Decision No.4545/2014/QĐ-UBND dated

18 December 2014 by Thanh Hoa An PPC on promulgating price of types of land in the

provincial area in 2015-2019.

Activities Implementation schedule

Information dissemination and public consultation 11/2014 - 12/2014

Preparing RP 12/2015 –01/2015

Submission of RP 02/2015

Approval of RP 03/2015

Information dissemination after RP has been

approved

04/2015

Payment of compensation and assistance 01-03/2015

Monitoring and evaluation 1/2015-5/2017

Implementation of construction 12/2014 – 05/2017

56

Table 3 – Summary of entitlements of the project

No. Type of impacts Policy

1

Loss of

Income/Livelihood

due to loss of

productive land

Assistance for life stabilization and job creation

• Support equivalent 5 times of agricultural land price of

recovered agricultural land – not depend on the percentage of

land acquisition (Supported area does not exceed the land

allocation quota of local)

• Also, additional assistance for AHs as follows:

✓ losing from 30% to 70% of total area of agricultural land:

30 kg of rice per person per month for 6 months if not

relocating and 30 kg of rice per person per month for 24

months if relocating;

✓ Losing more than 70% of total area of agricultural land: 30

kg of rice per person per month for 12 months if not

relocating and 30 kg of rice per person per month for 236

months if relocating.

In the case of compensation “land for land”.

• With AHs compensated in land, assistance for production will

be 5,000,000 VND/peson under working age; for household

with members, each person will be assisted plus 2,000,000

VND from the second member.

2 Loss of house and

have to relocate

Assistance for transporting materials

• Moving within a province, not more than 20km: support with 3,000,000

VND/HH

• Moving within a province, distance more than 20km: support

with 5,000,000 VND/HH

• Moving to the other provinces: if northern provinces, support

with 8,000,000 VND/HH; if central and southern provinces,

support with 10,000,000 VND/HH.

Assistance for renting house

• Cash assistance as follows: (i) HHs with less than 5 members:

800,000 VND/month; (ii) HHs with more than 5 members:

1,000,000 VND/month; and HHs with single person: 600,000

VND/month.

• Time of assistance: from handing over their acquired land to

the Client until receiving land for resettlement.

Assistance for tenants

Transportation allowance with 2,000,000 VND/HH and cash

assistance for life stabilization equivalent 30kg rice/person/month

during 3 months.

3

Loss of income

source due to

business

interruption

• Economic organizations, households with registered business

have been interrupted, assistance with 30% of income after

tax according to average income in previous 03 years will be

provided.

57

No. Type of impacts Policy

4 Assistance for

vulnerable groups

Local policies for families entitled to social assistance

when the State recovers land and they have to relocate:

• Those who participated in Revolution for Independence

before 1945, Military Hero, Vietnamese Hero Mothers, Labor

Hero, relatives of military martyr who are receiving monthly

social allowance, wounded or disabled soldier, and those ones

who receive social assistance similar to war disable persons

losing more than 81% human working capacity will be

supported 5,000,000 VND/house user;

• Wounded soldiers, sick soldiers, and those entitled to policies

as for wounded and sick soldiers with labor capability loss of

from 61% to 80% will be supported 4,000,000 VND/house

user;

• Wounded soldiers, sick soldiers, and those entitled to policies

as for wounded and sick soldiers with labor capability loss of

from 41% to 60% will be supported 3,000,000 VND/house

user;

• Wounded soldiers, sick soldiers, and those entitled to policies

as for wounded and sick soldiers with labor capability loss of

from 21% to 40% will be supported 2,000,000 VND/house

user

• Those who award a Resistance Medal - first class; Medal of

Victory - First class will be supported 1,000,000 VND/house

user;

• Households entitled to the State’s social allowance policies

will be supported 2.000.000 VND/HH.

Assistance policy of the project:

• (i) Assistance for changing job (work at the factory) and

(ii) income restoration in the form of training on farming

techniques.

Complaints and grievance redress mechanism.

The complaint related to any issue of the Bai Thuong Hydropower will be resolved through

negotiation to reach consensus, all complaints should be passed 3 steps before elevating to the

court: (i) Stage 1: Complaints from APs for the first time shall be lodged verbally or in

written form with the resettlement officials of CPC. The resettlement officials of CPC and

Task force on resettlement will try to resolve the issue within 15 days from the date the

complaint is received. (ii) Stage 2: If no understanding or amicable solution can be reached or

if no response is received from the grievance committee within 15 days from filing the

complaint, the APs can elevate the case to the DPC or District Compensation Committee. It is

expected to respond within 15 days upon receiving the APs appeal. APs should bring his/her

complaints within 30 days from the date of initial registration and give the documents to

prove their claims. (iii) Stage 3: If the AP is not satisfied with the decision of the DPC, or in

the absence of any response, the APs can appeal to the PPC. With the assistance of the

Compensation and Resettlement Committee, the Provincial Compensation Committee and

Department of Natural Resources and Environment, Department of Finance, the PPC will

issue a decision on the appeal within 30 days from the day the complaint is received. (iv)

58

Stage 4: If the AP is still not satisfied with the decision of the PPC or in the absence of any

response within the stipulated time, the APs, as a last resort may submit his/her case to the

provincial court.

Where can AHs find more information related to resettlement?

Summary of Resettlement plan, the detailed entitlements of the project, compensation unit

posted on mass media of CPC, DPC and Bai Thuong Hydropower JSC.

Where can AHs find more information related to resettlement?

Mr/Ms. …………………Position…………………Tel………… (Representatives of Thuong

Xuan DCARB).

Mr/Ms. ………….…Position… ……….Tel…………. (Representatives of Bai Thuong

Hydropower JSC)

.

59

ANNEX 3 TERMS OF REFERENCE FOR INDEPENDENT RESETTLEMENT

MONITORING CONSULTANT

I. Introduction

61. The general objective of the Renewable Energy Development Project (REDP)

is to increase the supply of least-cost electricity to the national grid from renewable

energy sources on a commercially sustainable basis in an environmentally and socially

sustainable manner. Bai Thuong Hydropower Plant is planned to be implemented at

left shoulder downstream of Bai Thuong Dam which was built, and 40km from the

middle of the dam. The hydropower plant is located in Xuan Duong Commune,

Thuong Xuan District, Thanh Hoa Province. Bai Thuong is hydropower plant after

dam, utilize the built dam (do not built new dam) and only use the flow after watering

to generate. Bai Thuong Hydropower Plant will generate to supply national grid

electricity with installed capacity of N = 6MW, ensured capacity of 2,24MW, annual

average electricity output Eo = 24,7 million kWh.

62. Bai Thuong cluster headwork which was built consists of: the dam with 167m

in length, dam crest elevation of +17.2m, the structure is made of crete and steel. The

energy line consists of 2 parts, the first part starts from Bai Thuong dam is 15m in

length, mainly horizontal canal with small slope. The next part is called the forwarding

part which connect directly to water intake and use as horizontal spillaway with the

length of 19.4m. The water intakle is close to the plant, intake the water directly to

turbine; the intake is 9.8m in length. The hydropower plant has installed capacity of 6

MW, 2 capsun turbine units, calculated water column is Htt = 6m.

63. The main project components of Bai Thuong Hydropower Plant include (i)

reservoir on Chu river with capacity of 7.6 million m3; (ii) The cluster headwork (Bai

Thuong dam was built) is designed with all works including concrete dam, main

spillway dam; sub-spillaway dam, water intake, sand dícharger; (iii) Bai Thuong new

construction parts include: collecting water and horizontal-spillaway canal, water

intake, hydro power planr and discharge canal, distribution station.

64. Auxiliary facilities include distribution station, management and operation

office, road for manage and operate, temporary roads for construction, camp, office

producing base, parking area, waste area, storing area... The power is supplied fromt

available grid electricity of 35kV. Water for daily activities and production is planned

to be supplied from Chu river. The temporary occupied land area is 13,050 ha.

65. The Resettlement Plan and the Ethnic Minorities Development Plan have been

prepared as requirements of WB to aim: (i) Involuntary resettlement must be avoided where

possible, or be reduced to the lowest possible extent by selecting appropriate design options.

Where involuntary resettlement is unavoidable, the resettlement activities must be prepared

and executed with sustainable development programs and sufficiently provided investment

supports, enabling displaced people to benefit from the subproject. The displaced people will

be fully consulted and allowed to participate in preparing and implementing activities of

Resettlement Plan; (ii) ensure that negative and positive impacts have been considered, and

relevant measures have also been proposed to eliminate risks or highly mitigate the impacts of

the project on the lives and culture of the ethnic minority at affected areas.

II. Objectives

60

1. General objectives of External Monitoring Agency (EMA) are to provide the third

party with information and periodic assessment reports with:

(i) Resettlement activities include:

- Achievement of resettlement objectives;

- Changes in living standards and livelihoods;

- Restoration of the economic and social base of the affected people;

- The effectiveness, impact and sustainability of entitlements and income restoration

programs; the needs for further improvement and mitigation measures; and

- Strategic lessons for future policy formulation and planning will also be drawn

from the monitoring and evaluation of resettlement

(ii) Issues related to ethnic minorities development such as:

- Implementing the proposed measures to minimize the negative impact;

- The other negative impacts on EM that have not been evaluated or have not yet

identified mitigation measures.

- Implementing assistances for developing the local EM community;

- Information has been provided fully or not, the consultation process with ethnic

minority people has been implemented or not and if even, was it effective?

- The process of grievance redresses of ethnic minority people for EMDP and other

issues that they have to face.

III. Approach methods

2. The methods for external monitoring and evaluation of land acquisition,

compensation and resettlement and EM development activities include:

- Review of Detailed Measurement Survey (DMS): As soon as the detailed design

is finalized and staked to the ground by Bai Thuong Hydropower JSC and CARB,

data collection from all APs to establish their eligibility and entitlements will be

carried out. The data that will be entered into a database to document the

following: a) socio-economic status of affected households; b) nature and extent of

losses; and c) entitlements to compensation and other assistance. These data will

be made available to the EMA, to enable them to establish a baseline for

monitoring and evaluating project benefits. During the conduct of the DMS, the

EMA will also monitor the DMS process to determine and assess if DMS activities

are being carried out in a participatory and transparent manner.

- Socio-Economic Survey (SES): The SES is designed to provide a clear

comparison of the success and/or failure of the resettlement program to restore

their livelihoods and living standards. In general, if a lag of 3-5 years or more

occurs between census and SES and actual land acquisition, demographic and

socio-economic factors may change significantly. In this Project, if land

acquisition is not carried out within two years after SES, Bai Thuong Hydropower

JSC and CARBs will carry out another SES. A post resettlement survey will also

be undertaken by the EMA 6-12 months following completion of resettlement

activities. Special attention will be paid to the inclusion of women, ethnic groups,

the very poor, the landless and other vulnerable groups, with set questions for

61

women and other target groups; and, the database disaggregates information by

gender, vulnerability and ethnicity.

- Participatory rapid appraisals (PRA): The PRA will involve obtaining

information, identifying problems and finding solutions through participatory

means including: a) key informant interviews; b) focus group discussions on

specific topics such as compensation payment, income restoration and relocation;

c) community public meetings to discuss community losses, integration of

resettled households in host communities or construction work employment; d)

structured direct field observations, for example, of resettlement site development;

e) formal and informal interviews with affected households, women, ethnic

minority, and other vulnerable groups; and, f) in-depth case studies of problems

are identified by internal or external monitoring and required special efforts to

resolve.

- Verification of Replacement cost survey: The EMA will also verify whether

compensation paid were at replacement cost. A special market study to validate

whether the rates used in compensation in land and other non-land assets were at

replacement cost will be undertaken.

IV. Requirements for External Monitoring Agency (EMA)

3. EMA will be an experienced resettlement and social or ethnic minority development

consultant. EMA has been established from experienced specialists on resettlement, social

and ethnic minority development monitoring for projects funded by ADB, WB, and JICA.

They have a University or Master degree (in social sciences or related fields), at least 5

years’ experience in in the preparation and implementation of RP, EMDP and fluency in

spoken and written English.

V. Reporting

4. External monitoring, inspection and evaluation reports will be made on yearly basis,

except for the first stage, it is requested to be made twice/year. All external monitoring

reports will be made available to the affected households by placing reports in the

commune/ward and field offices and will be uploaded on WB website. Table 1 and Table

2 describes monitoring and evaluation indicators during RP and EMDP implementing

phase.

Table 1 Monitoring and Evaluation Indicators on implementing RP

Type Indicator Examples of Variables

Process

Indicators

(By district

and commune)

Staffing Number of Bai Thuong Hydropower JSC and field staff

on Project, by job function; and

Number of other line agency officials available for tasks

62

Type Indicator Examples of Variables

Consultation,

Participation and

Grievance Resolution

Number of consultation and participation programs held

with various stakeholders;

Separate consultation with women (Kinh), female

headed households and ethnic minority women;

Grievances by type and resolution;

Number of field visits by EPMU staff; and

Number of local organizations participating in project

Procedures in

Operation

Review of DMS including verification/quantification

procedures in place and effectiveness of compensation

delivery system;

Number of land transfers effected; and

Coordination among Bai Thuong Hydropower JSC,

relevant provincial departments, and provincial and

district officials,

Output

Indicators

(By district

and commune)

Acquisition of Land Area of productive land assets acquired (crop land,

aquaculture ponds, garden land, etc.);

Area of residential and other non-agricultural lands

acquired;

Area of communal/government lands acquired; and

Area of other lands acquired.

Structures Number, type and size of private structures acquired;

Number, type and size of community structures

acquired; and

Number, type and size of government structures

acquired.

Trees and Crops Number and type of private crops and trees acquired;

Number and type of government/community crops and

trees acquired; and

Crops destroyed by area, type and number of owners.

63

Type Indicator Examples of Variables

Compensation and

resettlement

Number of households affected (for land, buildings,

trees, crops);

Number of owners compensated by type of loss;

Amount compensated by type and owner;

Number and amount of allowances paid;

Number of replacement houses constructed by

concerned owners;

Number of replacement businesses constructed by

concerned owners;

Number of owners requesting assistance to purchase

replacement land, and number of purchases effected;

Number of individual sites and levels of development of

sites;

Number of entitlements delivered;

Number of entitlements used by APs;

Suitability of entitlements to affected households as

per RP objectives;

Number of non-titled AHHs receiving replacement

land; and

Number of severely affected, very poor or other

vulnerable households receiving special assistance and

participating in income restoration programs.

Impact

Indicators

(by district and

commune)

Household Earning

Capacity

Employment status of economically active members;

Landholding size, area cultivated and production

volume, by crop;

Selling of cultivation land;

Changes to livestock ownership – pre- and post

disturbance;

Changes to income-earning activities (farm and off-

farm) – pre- and post disturbance; and

Amount and balances of income and expenditures.

64

Type Indicator Examples of Variables

Changes to Status of

Women

Commune/Village Resettlement Committees include

Women’s Union and Women from affected

households;

Involvement of women in the process of preparation of

IOL;

Number of grievance complaint filed by women and

resolution

Number of women (including female headed

households and ethnic minority women) negotiated

compensation effectively;

Joint registration of land in the name of husband and

wife;

Number of meetings held by women from affected

households in planning of livelihood activities;

Number of women engaged in gainful livelihood

activities/income earning activities/employment in

Industrial zones (including female headed households

and ethnic minority women);

Number of women participated in capacity building

workshop/ training;

Number of women understand the process of

resettlement activities ( entitlement, compensation

process, etc);

Number of women participated in discussion of

resettlement site selection;

Participation in commercial enterprises; and

Participation in community decision-making

Changes to Status of

Children

School attendance rates (male/female); and

Participation in project construction.

Settlement,

Community and

Population

Growth in number and size of settlements;

Growth in market areas;

Influx of new settlers, including those with and without

land rights;

Changes in economic activities and income-generation

opportunities; and

Changes in social, cultural and community conditions.

Table 2 Monitoring and Evaluation Indicators on implementing EMDP

Monitoring and Evaluation

Issues

Basic indicators

65

Monitoring and Evaluation

Issues

Basic indicators

1. The progress of EMDP

implementation

- The plan has been shared with the community.

- The plan is in line with the implementation conditions of

ethnic minority people and is joined with them.

- The plan is relevant to the progress of other activities.

- Adequate human resources available to implement the

plan.

- Sufficient funding for implementing the plan.

2. Implementing community

consultations and local

people’s participation

- Local EM community, commune authorities and village

leaderships and mass organizations are provided sufficient

information on EMDP, implementation plan and grievance

mechanisms.

- Local EM community, commune authorities and village

leaderships and mass organizations are involved in relevant

activities, especially monitoring the implementation of

EMDP.

3. Implementation of measures

to mitigate negate impacts

from the facility.

- All measures for mitigating negative impacts from the

facility are effectively implemented.

- There are no additional negative impacts arising from the

facility, and if otherwise, there must be a community

consultation on mitigation measures and implementation of

the same.

- Various sectors and branches effectively collaborate in

implementing measures to mitigate negative impacts from

the facility.

4. Implementation of specific

developmental interventions

for local ethnic minority

people

- All activities that support the EM development as set out in

the EMDP are implemented effectively.

- Various sectors and branches effectively collaborate in

implementing interventions for community development.

5. Grievance Mechanisms - Ethnic minority community has a clear understanding of

the grievance mechanism.

- District Resettlement Compensation Committee,

commune-level social organizations and commune people’s

committee have a clear understanding of grievance

mechanism and are able to assist EM people to implement

such mechanisms.

66

67

ANNEX 4 CONSULTATION MEETING MINUTES

68

69

70

71

72

73

74

75

76

77

ANNEX 5 SOME PHOTOS OF CONSULTATION MEETINGS

Consultation with the leaders of Tho Thanh

commune

CPC Headquarters of Tho Thanh commune

Consultation with the leaders of Xuan Dương

commune

CPC Headquarters of Xuan Duong commune