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TRANSCRIPT
Social Safeguards Monitoring Report
Final Report
March 2017
Vietnam: Ho Chi Minh-Long Thanh-Dau Giay Expressway Project
Prepared by the Investment and Environment Protection Consultancy EPC Company for the
Vietnam Expressway Corporation and the Asian Development Bank.
NOTE
(i) In this report, "$" refers to US dollars.
This safeguards monitoring report is a document of the borrower. The views expressed herein do not necessarily represent those of ADB's Board of Directors, Management, or staff, and may be preliminary in nature.
In preparing any country program or strategy, financing any project, or by making any designation of or reference to a particular territory or geographic area in this document, the Asian Development Bank does not intend to make any judgments as to the legal or other status of any territory or area.
INVESTMENT AND ENVIRONMENT PROTECTION
CONSULTANCY EPC COMPANY (EPC Co., LTD)
----- O0O----
Address: 495/8/15 To Hien Thanh street, Ward 14, Dist. 10, HCMC
Tel: 028.62645011 Email: [email protected]
HO CHI MINH-LONG THANH-DAU GIAY
EXPRESSWAY PROJECT
FINAL EVALUATION REPORT ON RESETTLEMENT PLAN
IMPLEMENTATION AND LIFE REHABILITATION OF AFFECTED
HOUSEHOLDS
Ho Chi Minh City, March, 2017
------ o0o------
INVESTMENT AND ENVIRONMENT PROTECTION
CONSULTANCY EPC COMPANY (EPC Co., LTD)
----- O0O----
Address: 495/8/15 To Hien Thanh street, Ward 14, Dist. 10, HCMC
Tel: 028.62645011 Email: [email protected]
HO CHI MINH-LONG THANH-DAU GIAY
EXPRESSWAY PROJECT
FINAL EVALUATION REPORT ON RESETTLEMENT PLAN
IMPLEMENTATION AND LIFE REHABILITATION OF AFFECTED
HOUSEHOLDS
Prepared by: Nguyen Cong Hiep
Reviewed by: Nguyen Nam Son
Ho Chi Minh City, March, 2017
------ o0o------
1
ABBREVIATIONS
ADB : Asian Development Bank
PAH : Affected Person
DCC : District Compensation Committee
DMS : Detail Measurement Survey
DONRE : Department of Natural Resources and Environment
DPC : District People's Committee
EMA : External Monitoring Agency
EPC
Co.,Ltd
:
Investment and Environment Protection Consultancy Company
HCMC : Ho Chi Minh City
HH : Household
HLD : Ho Chi Minh - Long Thanh - Dau Giay Expressway Project
HLD-
EPMU
: Ho Chi Minh - Long Thanh - Dau Giay Expressway Project Management
Unit
IRP : Income Restoration Program
JBIC : Japan Bank for International Co-operation
JICA : The Japan International Cooperation Agency
LFDC : Land Fund Development Centre
LURC : Land Use Right Certificate
MOT : Ministry of Transport
PAH : Project affected household
PPC : Provincial People's Committee
RoW : Right of Way
RP : Resettlement Plan
URP : Updated Resettlement Plan
VEC : Vietnam Expressway Corporation
2
TABLE OF CONTENT
I. GENERAL ............................................................................................................................. 4
1.1 Project background ............................................................................................................. 4
1.2 Scope of service .................................................................................................................. 5
1.3 Summary of impacts ........................................................................................................... 5
II. PROGRESS OF THE PROJECT ........................................................................................ 6
2.1 Progress of RP ..................................................................................................................... 6
2.2 Progress of income restoration program ............................................................................. 7
2.3 Progress of disbursement .................................................................................................... 8
2.4. Relocation of public structures ...................................................................................... 12
2.5 Progress of the project construction ................................................................................. 12
III. MONITORING OBJECTIVES AND MONITORING METHODS ............................. 14
3.1 Objectives of the final evaluation .................................................................................. 14
3.2 Monitoring methods .......................................................................................................... 14
3.3 Sampling household survey .............................................................................................. 15
IV. EVALUATION ON RP IMPLEMENTATION ............................................................... 16
4.1. Personnel for implementation of resettlement plan ....................................................... 16
4.2 Public consultation and information disclosure ................................................................ 17
4.3. Adequacy of the compensation .......................................................................................... 19
4.4 Other applied supporting policies ..................................................................................... 20
4.5 Preparation of resettlement site ......................................................................................... 21
4.6 Grievance and grievance redress....................................................................................... 21
V. ASSESSMENT ON THE INCOME RESTORATION PROGRAM .............................. 23
5.1 Information dissemination ................................................................................................. 23
5.1 Results of the income restoration program ....................................................................... 23
5.3 Evaluation of implementation of income restoration program ......................................... 24
5.4 Causes that PAHs did not participate in the IRP ............................................................... 25
VI. EVALUATION LIFE REHABILITATION OF AFFECTED HOUSEHOLDS....... 26
6.1 General evaluation ............................................................................................................. 26
6.2 Compliance with entitlement policy of RP ....................................................................... 26
6.3 Job change ......................................................................................................................... 26
6.4 Income change ................................................................................................................... 28
6.5 Change in housing and life facility of PAHs ..................................................................... 30
VII. CONCLUSION AND RECOMMENDATION ................................................................ 31
7.1 Conclusions ....................................................................................................................... 31
7.2 Learnt lesson ..................................................................................................................... 33
VIII. ANNEX ............................................................................................................................... 35
8.1 Some photos at site ............................................................................................................ 35
8.2 List of households affected by land erosion ...................................................................... 39
3
LIST OF TABLE
Table 1. Number of affected households ........................................................................................ 5
Table 2. Number and types of PAHs............................................................................................... 5
Table 3. Activities of IRP and number of participants in each district ........................................... 8
Table 4. The status of disbursement for compensation and income restoration program ............... 9
Table 5. Information of PAHs have not received compensation .................................................. 10
Table 6. Relocated public structures ............................................................................................. 12
Table 7. Construction progress ...................................................................................................... 13
Table 8. Sampling household survey ............................................................................................. 16
Table 9. Manpower of HLD-EPMU ............................................................................................ 16
Table 10. Internal supervision staffs of HLD-EPMU .................................................................. 17
Table 11. Summary of public consultation ................................................................................... 18
Table 12. Better supporting policies ............................................................................................. 21
Table 13. Results of income restoration program in phase 1 ........................................................ 24
Table 14. Job of PAHs at pre-project and post-project ................................................................. 27
Table 15. Monthly income per capita of PAHs at pre-project and post-project ........................... 28
Table 16. Change in housing and life facilities of PAHs .............................................................. 30
4
I. GENERAL
1.1 Project background
The HLD Expressway is designed to ensure safety for high speed (120kph) vehicles,
especially heavy means of transport. It will be a toll-expressway with entrances/exits strictly
controlled by toll stations. The expressway is owned and operated by the Viet Nam
Expressway Corporation (VEC) under the Ministry of Transport (MOT). VEC has established
the Southern Expressway Projects Management Unit (it has been changed to Ho Chi Minh-Long
Thanh-Dau Giay Expressway project management unit) which is responsible for the
management of the detailed design and construction of the Expressway.
In the first phase, 4 lanes (2 lanes in each direction) will be constructed. The expressway will
traverse Long Truong, Long Phuoc, Truong Thanh and Phu Huu wards in District 9 of HCMC,
a new bridge over the Dong Nai River, Long Thanh, Nhon Trach, Cam My and Thong Nhat
districts of Dong Nai province. The construction of the HLD Expressway will play a
significant role in supporting regional and national economic development, improving
transportation and accelerating exterior communications along and at the ends of the
expressway. The expressway will be a part of the national expressway network, an eastbound
arterial route of the city and will also serve for the plan to develop a new international airport
in Long Thanh district of Dong Nai province.
The terrain of the first section from An Phu interchange in District 2 of HCMC to the Dong Nai
river is relative flat. From the intersection with the National Highway No.51, the expressway
traverses the transitional area between the plain of the Dong Nai River and the Xuan Loc Highland.
The terrain is mostly gently sloping down and then sloping up at the end of the road. The
expressway ends at the intersection with the National Highway No.1 at Dau Giay. The land
acquired for the expressway is partly residential land but mostly agricultural land. There will be 5
small bridges in District 9 section for approximately 6.6 kilometers of its length from kilometer
4+200 to kilometer 10+800. On the eastern side of the Tac River, there will be an elevated viaduct
which connects to Long Thanh bridge. The bridge over the Tac River is a part of the viaduct. It
plans to build underpasses or overpasses for local traveling at existing roads and to residential
areas.
Capital sources for the construction of the project in the first phase are loaned from: (i) Japan Bank
for International Co-operation (JBIC), is currently known as the Japan International Cooperation
Agency (JICA), (ii) the Asia Development Bank (ADB) and (iii) a part of the VEC counterpart
funds by issuing project bonds which are guaranteed by the Government. Among those, the JICA
loan fund is for constructing the section from An Phu intersection (Km0+000) in District 2 -
HCMC to the NH51 intersection located in Dong Nai province (Km23+900) and the Intelligence
Transportation System (ITS) on the entire route from HCMC to Dau Giay. The ADB loan fund is
for constructing the section from NH51 intersection (Km23+900) at Long Thanh town to NH1
intersection in Dong Nai province (Km54+984) and for the entire compensation and resettlement
of the project from the beginning (Km 4+000) to the end route (Km 54+984) and HCMC is
responsible for the fund of the compensation and resettlement from Km0+000 to Km4+000.
5
1.2 Scope of service
According to the signed contract, independent monitoring of Resettlement Plan (RP)
implementation of Ho Chi Minh City - Long Thanh - Dau Giay Expressway Project (abbreviated
as HLD Project) includes 2 phases (phase and phase 2) each phase has 8 reports in total including
7 monitoring reports and one life rehabilitation report.
Up to date, EMA has completed 14 monitoring reports and one mid-term report and submitted all
these reports to the HLD-EPMU and ADB. To complete works and procedures related to RP
implementation, EMA conducted the final evaluation in March 2017 according to the required
schedule.
1.3 Summary of impacts
According to updated RP, number of PAHs is as below:
Table 1. Number of affected households
No District Number of PAHs
1 District 9 460
2 District 2 280
3 Nhon Trach 63
4 Long Thanh 816
5 Cam My 204
6 Thong Nhat 220
Total 2,043
Source: Final report of HLD-EPMU
The PAHs are categorized as the table below:
Table 2. Number and types of PAHs
Locality Total PAH
SAPs due to loss
of agricultural
land (PAH)
Vulnerable
households
HH
relocated to
the
resettlement
site
Self-
relocation
HHs
District 9 460 224 40 0 47
District 2 280 151 7 0 104
Nhon Trach
district 63
47 9 0 0
Long Thanh
District 816 349 46 294 11
Cam My
district 204 170 28 0 5
Thong Nhat
district 220 103 20 9 4
Total 2,043 1,044 150 303 171
6
II. PROGRESS OF THE PROJECT
2.1 Progress of RP
2.1.1 Progress of compensation
There are 2,043 affected households by the project with acquired land: 446.3 ha. Until June, 2016,
2,032 HHs received compensation payment (accounting 99.5%). 2,043 HHs handed-over land
(accounting 100%). 303 HHs were allocated plots in the resettlement site.
* Some issues of land acquisition
- Land erosion:
During construction process, erosion phenomenon caused by surface water flow in combination
with underground water flow through soil covered layer and natural geological layers occurred in
areas from Km 30+140 to Km 30+320. Affected area caused by erosion is about 200 m in length,
8 m in depth and 30 m in width. Stabilization works (slope and erosion protections) for the Erosion
Area have been divided into two phases for practical purposes. Phase 1 was completed by the end
of 2015. Phase 2 design is under preparation by the contractor and will be submitted to the project
supervision consultant.
DMS was conducted by the Land Fund Development Center of Long Thanh District on December
2nd, 2014 for the Erosion Area. Per the DMS results, 8 households were affected for a total area of
9,659 m2. The land is mainly unused agricultural land. 01 HH’s infrastructures was affected (i.e.
small embankment, concrete yard, concrete basin) and 414 fruit trees of other 3 HHs were also
affected. An additional compensation plan was prepared by the Land Fund Development Center
of Long Thanh District on November, 2015 and was approved by Long Thanh DPC on November
26th, 2015. The total compensation, support for these 8 affected households was VND
1,753,714,440. The addendum RP was also prepared in March, 2016. The compensation was paid
completely from January to August 2016, in which 06 affected households received compensation/
support while other 02 land plots could not been verified the owner; therefore the compensation/
support was sent to an escrow account with interest. Please see the list of these affected households
at the annex of this report.
- The Communal Road 10: The communal Road 10 at km 31+650 needs to be realigned to comply
with geometric design standards for roads. The road is joining Provincial road 769 through an
underpass under the expressway. Due to the change of implementation schedule and progress, the
use local fund will be used to implement this. Realignment of Local Road No. 10, a state-owned
rubber plantation company (Dong Nai Rubber Company) will be affected due to loss of rubber
trees on 2,000 m2 of land lent by the Government. Per Appendix of the Resettlement Plan prepared
in March 2016, it requested to compensate for rubber trees. However, during the mission in July
2017, VEC explained to ADB that the affected rubber trees were cut periodically by the rubber
company to plant new trees, thus no more compensation was required.
2.1.2 Progress of resettlement site
- District 9: Long Buu RS (land plot) and building C4 (apartment) were prepared as RS for the
project in district 9. But all of the relocated HHs selected self-relocation allowances instead of land
plot/ apartment.
- District 2: All 104 relocated HHs selected self-relocation form.
7
- Cam My district: All 05 relocated HHs selected self-relocation form all they built new house
about 1km from their acquired house.
- Thong Nhat district: 4/13 relocated HHs selected self-relocation allowances while 9 others
selected RS. 7 out of these 9 relocated HHs were arranged land plot at Xom Ho A RS and 02 others
at Bau Ham 2 RS.
- Long Thanh district: 294/305 relocated HHs selected RS. In which 50 PAHs were arranged 53
land plots at Lien Kim Son RS and 244 PAHs selected 261 land plots at Long An RS. While 9/305
other PAHs received self-relocation allowances.
2.2 Progress of income restoration program
Al severely affected HHs and vulnerable HHs were participated in public consultation about
income restoration program. They were consulted by Technical Consultant of the project together
with stakeholders such as District Farmers Association, Vocational Training School, etc. directly
meets with each PAH to assess their needs and aspirations of income restoration via activities of
the program.
The income restoration program for severely affected and vulnerable HHs of HLD project in Cam
My, Thong Nhat, Long Thanh, Nhon Trach districts of Dong Nai province and district 9 of HCM
city was prepared in year 2008 and approved in year 2010, including 2 phases: (i) Phase 1 - trial
program and (ii) Phase 2 - extended to other severely affected, relocated and vulnerable HHs, in
detail as followings
(i) Phase 1:
a) Deployed location: district 9 of HCM city and Long Thanh, Nhon Trach, Cam My Thong
Nhat districts of Dong Nai province.
b) Deployed period: from April, 2011 to April, 2013.
(ii) Phase 2:
a) Deployed location: Long Thanh, Nhon Trach, Cam My and Thong Nhat districts of Dong
Nai province.
b) Deployed period: from June, 2013 to June, 2014.
Per the project policy, all severely affected households and vulnerable households are entitled to
participate in the income restoration program. By which, 1,044 entitled severely affected
households and 150 vulnerable households of this project were verified. However, the number of
households participating in the IRP program in two phases was 300 households, in which 168
households participated in phase 1 and 132 households in the phase 2.
The program has many types of practical activities for PAHs selecting to recover their income
according to actual conditions of each household in each locality, as shown in the table below:
8
Table 3. Activities of IRP and number of participants in each district
District Agricultural
model (PAHs)
Vocational
training (PAHs)
Small trade
(PAHs)
Total
participated
PAHs
Phase 1 55 101 12 168
District 9, TPHCM 6 12 7 25
Nhon Trach
district 6 3 0 9
Long Thanh
district 23 14 2 39
Cam My district 11 69 3 83
Thong Nhat
district 9 3 0 12
Phase 2 108 0 24 132
Nhon Trach
district 4 0 0 4
Long Thanh
district 25 0 17 42
Cam My district 41 0 2 43
Thong Nhat
district 38 0 5 43
Total 163 101 36 300
Source: Report of HLD-EPMU in January 2016
* Agricultural models
The main agricultural models were beeves, breeding cow model (44%) and pig (40%). In addition,
some raised porcupines, chickens and ducks.
* Vocational training
Vocational training courses were provided mainly by the vocational training center of the districts
in accordance with the contracts between HLD-EPMU and the training centers. A total of 101
participants and 72% of them were women (73/101). Duration of each training course was 6
months with 5-8 hours a week. The main courses that PAHs chose were body care (33%), cooking
(27%) and office computer (23%). In addition, the number of other courses such as car driver and
computer setting were rather high (13%).
* Industrial extension models
Industrial extension models included provision of equipment for PAHs opening of stores such as
beauty shops, food and beverage outlets, electronics and mechanics repair shops. A total of 36
households chose small businesses, mainly grocery stores (28%), food stores (15%), beauty shops
(20%) and motorcycles repair (20%) and other small shops. The number of participated women
was 59%.
2.3 Progress of disbursement
The progress of disbursement of RP until March 2017 was as below.
9
Table 4. The status of disbursement for compensation and income restoration program
Description District 9 (VND)
Cam My
district
(VND)
Nhon Trach
district (VND)
Thong Nhat
district (VND)
Long Thanh
district (VND) IRP (VND) Total (VND)
Final RP 432,547,164,000 79,245,285,000 15,408,813,000 93,553,467,000 422,641,506,000 14,649,440,650 1,058,045,675,650
Cost estimate 393,893,721,737 69,430,779,466 12,982,669,000 79,670,046,412 359,848,382,550 13,463,465,650 929,289,064,815
Disbursement
amount 389,625,099,315 69,298,815,029 12,981,423,065 79,476,000,515 353,551,769,089 9,386,041,107 914,319,148,120
Amount under
liquidation:
By HLD
By VEC 6,775,575,202 254,069,000 2,285,929,363 9,794,346,531 19,109,920,096
By VDB 44,695,584,067 11,502,544,257 258,474,000 18,000,429,717 100,519,509,426 174,976,541,467
By MOF 36,108,847,000 15,808,111,244 12,468,880,000 21,031,209,823 92,928,420,826 178,345,468,893
By ADB 308,963,272,800 41,184,692,580 38,977,091,870 166,656,468,105 555,781,525,355
Liquidated
amount 396,543,279,069 68,495,348,081 12,981,423,000 78,008,731,410 362,390,327,720 9,794,346,531 928,213,455,811
Balance in
advance payment
account (to be
processed by PPC)
(6,918,179,754) 803,466,948 65 6,479,100 (3,838,558,631) (153,308,011) (10,100,100,283)
10
09 PAHs have not received compensation, and this amount was sent to the escrow account at VietinBank - Long Thanh/ ThongNhat branch. Information
of these PAHs are as the table below:
Table 5. Information of PAHs have not received compensation
No. PAH’s name Amount
(VND)
Reason that PAHs have not received
compensation Status of the payment/ note
I Long Thanh district
1 [This information has been removed as it falls within exceptions to disclosure specified in paragraph 97, (exception (x) Information that, if disclosed, would or would be likely to endanger the life, health, safety, or security of any individual, or safety or security of ADB assets, or to prejudice the defense or national security of a member) of ADB’s Public Communications Policy (2011).]
21,136,252 The land was sold and the land use right
certificate was not provided for the DCC
This amount was sent to the escrow account at
VietinBank - Long Thanh branch
2 1,354,000 The land use right certificate was mortgaged at
the bank for money borrowing.
This amount was sent to the escrow account at
VietinBank - Long Thanh branch
3 3,657,500 The land use right certificate was not provided
for the DCC
This amount was sent to the escrow account at
VietinBank - Long Thanh branch
4 64,836,000 The land use right certificate was mortgaged at
the bank for money borrowing.
This amount was sent to the escrow account at
VietinBank - Long Thanh branch
5 40,030,000 Could not contact with the land owner.
DCC contacted with the land owner and an
allowance of 1.5 times of agricultural land value
was being proposed for this PAH.
This amount was sent to the escrow account at
VietinBank - Long Thanh branch
6 1,219,000 Could not find the land owner. This amount was sent to the escrow account at
VietinBank - Long Thanh branch
7 154,730,000 Could not find the land owner.
This amount was sent to the escrow account at
VietinBank - Long Thanh branch
II Cam My district
11
No. PAH’s name Amount
(VND)
Reason that PAHs have not received
compensation Status of the payment/ note
1
[This information has been removed as it falls within exceptions to disclosure specified in paragraph 97, (exception (x) Information that, if disclosed, would or would be likely to endanger the life, health, safety, or security of any individual, or safety or security of ADB assets, or to prejudice the defense or national security of a member) of ADB’s Public Communications Policy (2011).]
384,428,000
This land was rent from the State and Dong Nai
PPC approved an allowance of VND 30.000/m2
of land; however, the PAH requested full
compensation for acquired land.
This amount was sent to the escrow account at
VietinBank - Long Thanh branch
2 15,898,000
The PAH was abroad. Trying to contact with this PAH.
This amount was sent to the escrow account at
VietinBank - Long Thanh branch
12
2.4. Relocation of public structures
2.4.1 Implementation status
The relocation of public structures in relation to the compensation, land acquisition and
resettlement has been carried out by HLD-EPMU and DCCs of related districts in accordance
with the regulations on the land acquisition and RP of the project, ensuring schedule of land
handing over for civil works packages.
The quantity and cost for relocation of public structures are in the table below.
Table 6. Relocated public structures
District
Number
of public
structures
Affected
organization
ADB
acceptance
Number
of
contract
Contract value
(VND)
District 9 2 Multitude of
organization
January, March
2010 9 26,862,712,541
Long Thanh
District 5 5 March,
September
2010
44 37,238,611,493
Cam My district
and Thong Nhat
district
5 5 March, July
and September
2010
45 28,922,697,052
Total 12 98 93,024,021,086
Source: HLD-EPMU report in November 2016
2.4.2 Disbursement for relocated public structures
(i) Implementation procedure
- The Owners of sub-projects (in districts) held bidding for consultant selection of structures
relocation options. Management units and contractors relocated public works according to the
Vietnam regulation, but did not report to ADB the bidding;
- The Owners updated RP included the public structures re-location works and reported ADB
before payment. This is a prerequisite for construction contract award;
- After ADB approved the updated RP, the Owners of sub-project pay the compensation and
relocated public structures.
(ii) Outstanding issues
ADB issued an official letter to confirm that there is no base to provide finance for the technical
infrastructures with the reason that the Owner has not submitted to ADB the draft bidding forms
and contract cost in advance.
2.5 Progress of the project construction
In this project, because the compensation cost was rather high, PAHs agreed to receive
compensation and hand over the land; At the same time, RS was available for relocated
households; Therefore, the compensation and site handover was quite good, ensuring the
progress of construction.
13
All the civil packages were completed and these works were put into operation. The progress of
construction is as below.
Table 7. Construction progress
No. Package title Commencement
date
Completion/pass
through date
1 Package No. 1A (Km4+000 – Km7+500)
Construction contractor: China Road &
Bridge Corporation (CRBC)
01/12/2009 03/01/2014
2 Package No. 1B (Km7+500 –Km1+000)
Construction contractor:
CIENCO 6 & CIENCO 8 Joint Venture
01/4/2010 03/01/2014
3 Package 2 (Km11+ 000 – Km14+100)
Construction contractor: CIENCO 6&
CIENCO8 Joint Venture
04/5/2010 03/01/2014
4 Package No. 3 (Km23+900)
Construction contractor: POSCO E & C
04/5/2010 03/01/2014
5 Package No. 4 General package EPC for
ITS Contractor: Toshiba – Hitachi – Itochu
(Japan) Joint venture
22/10/2014 18/5/2017
6 Package No.5 (Km23+900 – Km 37+800)
Construction contractor: POSCO E & C
02/212/2013 08/02/2015
7 Package No.6 (Km37+800 – Km54+963)
Construction contractor: Hanshin design
and construction company
04/11/2010 08/12/2015
8 Package 7 (Km0+000 – Km 2+000)
Contractor: river transportation
construction company and Phuong Thanh
JST construction corporation J/V
27/2/2013 10/01/2015
9 Package 8 (Km0+000 – Km 2+000)
Contractor: Truong son corporation and
Van Cuong construction company J/V
27/2/2013 10/01/2015
10 Ring road No 2
Contractor: CIENCO 4
02/4/2013 10/01/2015
Source: report on completion of HLD-EPMU
14
III. MONITORING OBJECTIVES AND MONITORING METHODS
3.1 Objectives of the final evaluation
Objective of the final evaluation was to review the performance of RP activities, income
restoration programs and the resilience of affected households to:
- Assess whether the overall objective of RP and the objectives of the project meet the
requirements and propose supplementary mitigation measures if any;
- Assess if RP was implemented in compliance with approved one?
- Considering whether land acquisition has adverse impacts on the socio-economic, life of
households? And does the implementation of RP achieve the goal that is life of PAHs at least
equal or better-off in comparison with that at pre-project?
- Draw learned lessons.
3.2 Monitoring methods
To assess whether the actual RP activities are in consistent with the approved RP, EMA collected
information and assessed the following aspects:
- How public consultation and information dissemination have been conducted, how are
they implemented and how effective are they?
- DMS: Are PAHs informed in advance the DMS date and participated in DMS progress?
Did PAHs sign on DMS minutes? And if any missing of affected assets?
- Compensation cost: Whether the compensation cost was surveyed and replacement cost?
- Are entitlements and allowances (especially support for vulnerable groups) fully as stated
in the entitlement matrix?
- How relocation of physically displaced households was implemented
- Grievance and grievance redress.
- Difficult, obstacles if any ...
Following indicators will be monitored and assessed:
- Gaps between RP entitlements and actual implementation;
- Changes in employment structures;
- Changes in income;
- Trends of life changes;
- Difficulties and obstacles that PAHs are encountering;
- Changes of public structures and services;
- Changes of houses and structures;
- Changes of environment;
- Assessment on income and living conditions restoration;
15
- Distance of resettlement sites.
Below are applied methods
3.2.1 Desk review
The documents that need to be reviewed during the evaluation include: (i) updated RP; (ii) Socio-
economic data of PAHs before implementing RP; (iii) income restoration program. EMA also
reviewed the progress of compensation and handover of the site, resettlement arrangements for
displaced households. Particularly, the socio-economic data of PAHs at pre-project and post-
project must be analyzed, compared and evaluated.
3.2.2 Participatory rapid appraisal
This method was used when the consultant met the informant through direct or group discussion.
During the evaluation process, the consultant met with the staff of the DCC, the Farmers'
Association / Center for Vocational Training, etc. group discussions with PAHs. Issues to be
discussed: (i) Difficulties and obstacles in site clearance, IRP implementation; (ii) Difficulties
that PAHs were facing with and recommendations from households for solving these problems;
(iii) Assessment of PAHs on their lives at prior RP implementation and present; (iv) Opinions
and recommendations of stakeholders.
3.2.3 Interview with structural questionnaires
A structured questionnaire was designed to collect socio-economic information of PAH at post-
project. In addition, some indicators to be compared are also included in the questionnaire to
collect the necessary information. Details of the questionnaire are at the annex of this report.
3.2.4 Site observation
During the monitoring and evaluation process, direct observation methods were often applied.
EMA directly observed the site clearance, examined the living conditions of PAHs and visited
the project site. The information collected from this method was stored by writing, direct voice
recording and photo taking.
3.3 Sampling household survey
Sampling household survey has been conducted in accordance with the TOR: (i) For partially
affected households: the sampling rate is 20%; (ii) With severely affected households (relocated
households, households losing more than 10% of total production land): the sampling rate is
100%. EMA also surveyed 100% of vulnerable households. The sampling rate for survey in this
evaluation is shown in the following table.
16
Table 8. Sampling household survey
No. Affected household Total PAH Surveyed PAHs Percentage
1 Partially affected HHs 375 80 21%
2 Relocated HHs 474 474 100%
3 SAP due to loss of agricultural
land.
1,044 1,044 100%
4 Vulnerable groups (poor
households, female headed
households, disabled household
heads, ethnic minority
households, preferential-treated
households, etc.)
150 150 100%
Total 2,043 1,748
Surveyed time: January 05th, 2015 – February 13rd, 2015.
IV. EVALUATION ON RP IMPLEMENTATION
4.1. Personnel for implementation of resettlement plan
4.1.1 Participation of local authorities
There are many different agencies involved in RP implementation: (i) PPCs; (ii) Departments of
Natural Resources and Environment, Department of Finance; (iii) District People's Committee;
(iv) District Compensation committees; (v) Commune People's Committee and village
representatives. Among these agencies, the role of the District Compensation committees is the
most important as it is directly responsible for the compensation plan. Staffs of the Compensation
Board are those who have participated in many ODA projects (especially in District 9 and
District 2). Thus, they understand the project policies, thereby helping to make better plans.
4.1.2 Participation of HLD-EPMU
HLD-EPMU participates in almost activities during the RP implementation and updating.
Manpower of HLD-EPMU for HLD project includes:
Table 9. Manpower of HLD-EPMU
No Position/department Task
1 Director - General management and direction;
- Solving outstanding issues and attending meeting
with provincial steering committees on RP
implementation 2 Vice-chairman of HLD-
EPMU HLD
- General management and direction;
- Attending meeting with PPC;
- Receiving and informing opinions of the Lender,
investor to PPC, DPC, CPC, DCCs and related
agencies on the project plan, resettlement policies and
other tasks related to RP preparation, update and
implementation 3 Planning and Land Acquisition Department
17
No Position/department Task
3.1 4 office staffs - Co-operating with DCCs in activities related to the RP
preparation, updating and implementation,
disseminating information about the project and
consultation with affected households and stakeholders;
- Monitoring and supervising the preparation, update
and implementation of the approved RP
- Reviewing and commenting all updated RPs,
valuation certificates, RP monitoring reports of EMA
3.2 4 site staffs - Co-operating with DCCs in carrying out the DMS;
- Supporting DCCs and technical assistance consultant
in organizing public consultation meetings about
compensation policies and income restoration
programs;
- Directly supervising the payments;
- Reporting to leaders of HLD-EPMU on progress of
compensation and ground clearance and problems
during the implementation.
4 Finance and accounting
department
- Guiding disbursement procedures receiving
compensation cost from the VEC, following
progress of disbursement and drawing balance-sheet
of compensation cost
With such manpower organization, HLD-EPMU participated in almost activities relating to
RP update and implementation.
4.1.3 Internal supervision of HLD-EPMU
HLD-EPMU assigned 4 staffs to monitor and support RP implementation in localities.
Table 10. Internal supervision staffs of HLD-EPMU
No Name of staff Location of internal
supervision
Duties of internal
supervision
1 Tran Khac Tien District 9, HCMC Participating in DMS, public
consultation meeting,
supervising compensation
payment, site-handing over,
reporting on outstanding
issues during the RP updating
and implementation to leaders
of HLD-EPMU HLD
2 Dang Truong Tuyn Long Thanh district,
Dong Nai province 3 Tran Thanh Phong
4 Do Quoc Tuy Thong Nhat and Cam My
district, Dong Nai province
With the arrangement of 4 site staffs, all issues related to RP implementation are reported to
HLD-EPMU timely for solving.
4.2 Public consultation and information disclosure
Two (2) main activities of the public consultation and information dissemination for the RP
update were done by technical assistance consultant of NIPPON KOEI since August, 2008
18
to April, 2009 including: (i) The public consultation meetings in all affected wards and
communes. At the meetings, the consultant introduced about the project, scope of land
acquisition and social impacts, compensation policies of government, involuntary resettlement
policy of ADB and compensation policy proposed for the project and collected feedbacks of
the participants, (ii) Other consultation meetings were also held after the RP had been approved
to disseminate main information about the RP as policy entitlements, compensation cost,
relocation plan, etc. In general, it could be evaluated that such information of the project,
RP, updated RP was kept updating and satisfied with the requirements of information
disclosure for the project. The public consultation is summarized in the table below.
Table 11. Summary of public consultation
No. Phase
Number
of
meeting
Number of
participant Content of meeting
Number
of HH
received
the
leaflet
Recorded
minutes
of
meeting
1 RP
preparation
91 675 Disseminating to households
the project basic information
and involuntary resettlement
of the project and how to
minimize impacts of land
acquisition in each locality.
675 Yes
2 RP
updating
102 459 Disseminating the draft
compensation plan, getting
comments of PAH on the
resettlement plan, support
and compensation as well as
the livelihood and training
needs set out in the draft
compensation plan.
459 Yes
At the meetings held during preparing RP and updated RP, all AHs were delivered PIB,
including: summary of the project, compensation policy/compensation rates, grievance
mechanism redress.
In addition, information relating to: land acquisition notice, compensation policy, compensation
rates, draft compensation plan ... were all posted at the CPC office as well as one copy for
households (DMS minutes, detailed compensation table). After the households received these
documents, they examined and checked whether their property has been properly compensated
and whether or not it has been sufficient. Some of households, after reviewing these documents,
reported that their assets are missing (missing assets in DMS, applying the incorrect
compensation rates) or applying unsuitable prices and they noted their comments on the draft
compensation plan. The staff of the Compensation Board/Land Development Center received
these comments, then reviewed the records, field surveys in the presence of households. In the
1 9 meetings were held at People's Committees of communes / wards in September 2007: Tam An commune (01);
Long An commune (2); An Phuoc commune; Long Thanh town, Phuoc Thien commune, Long Truong ward,
Long Phuoc ward, Phu Huu ward and Truong Thanh ward (one each). 2 10 meetings were held at Commune People's Committee from March to June 2009.
19
case of shortcomings, an additional compensation plan should be prepared for the household. In
fact, tally counts have occurred, especially in Long Thanh district, and then there are additional
plans for households.
4.3. Adequacy of the compensation
To assess the adequacy of the compensation, EMA focus on following issues: (i) Entitlement
policy of the project: (ii) validity of the compensation document; (iii) adequacy of the affected
assets; (iv) adequacy of the compensation cost and; (v) timeliness of compensation.
a) Entitlement policy of the project
In the previous monitoring reports, EMA mentioned in details the entitlement policies applied
for the project, per that, All the entitlements of the project were fully applied, such as
compensation cost was replacement cost, allowances for life rehabilitation, job change/ creation,
self-relocation...all compensation and allowances were fully paid for PAHs.
b) Validity of compensation document
A profile of each PAH has a lot of documents but EMA focused on inspecting following
documents: (i) Minutes of DMS; (ii) compensation spread sheet; (iii) Status drawing of the
acquired land plot and structures on it; (iv) the decision of compensation payment; (v) bill of
compensation payment. In addition to these papers, some others are also considered as
compensation option, decision of compensation cost … The monitoring results showed that: (i)
the compensation profile had full of requested documents; (ii) time was valid; (iii) data among
document matched one another; (iv) document had full of signature/ stamp of PAHs, stakeholder;
(v) compensation profile was kept individually and filed for management.
c) Adequacy of the compensated asset
EMA compared the number of affected assets in the minutes of DMS and the status drawing
with the compensated assets in the detailed compensation option of each PAH. Reviewing results
showed that all the affected assets in the minutes of DMS were calculated in the compensation
spread sheet for each PAH. Besides, EMA also compared the approved price with that in the
spreadsheet. All the data was consistent with one another.
Thus, it can be concluded that the adequacy of the number of assets on documents is ensured.
d) Assessment of the PAHs about the adequacy of compensated asset
The adequacy of compensation was also reviewed via interviewing PAHs. The interview results
from 1,748 PAHs showed that the adequacy of the compensation asset was complied. All PAHs
were informed in advance the DMS time, representative of PAHs participated in DMS and signed
in the minutes of DMS. Some PAHs found missing of affected assets and requested the DMS
team to measure again. Finally, all the missing assets were supplemented. After DMS finish, a
spreadsheet was sent to each PAH for reviewing. All the interviewed PAHs said that they
reviewed, compared data in the minutes of DSM with the spread sheet and found the data was
correct.
20
e) Adequacy of compensation cost
Under the donor's policy, the compensation rates of the project must be the replacement cost.
Through monitoring, it was found that from the initial time, local authorities had recruited
independent valuation consultants to carry out replacement cost surveys to submit to provincial
People's Committee for approval. After the replacement cost has been approved, the Board of
Compensation/Compensation Council has imposed a price on the basis of the replacement cost.
Therefore, compensation rates paid to households are compensation rates based on the results of
independent appraisal.
In the previous monitoring reports, EMA mentioned in details the compensation cost via
reviewing, comparing the compensation cost with compensation cost annually applied within the
province; The monitoring results revealed the compensation cost was replacement cost. The
interview results of 1,748 PAH also showed they received full compensation/ allowances per
their spreadsheet and they were satisfactory with the compensation cost.
f) Timeliness of the compensation
After the detailed compensation plan were approved, Compensation Board/Compensation
Council implemented the compensation payment for AHs. This is one time payment based on
approval.
The results from interviews show that: (i) 1,725 out of 1,748 interviewed households (99%) said
that they received compensation before site handover; (ii) 23 households had not yet received
the compensation but had handed over the site for construction. These cases were agreed and
permitted by the PAHs with the witness of the Commune People's Committee (with the minutes).
To date, all 1,748 households have received full compensation.
4.4 Other applied supporting policies
At this project, a lot of PAHs received supporting policies much better than other project.
Namely:
- Life subsistence: For this project, livelihood subsistence was applied for households lost from
10% of their agricultural land. While for other projects, this support was only applicable for
households lost from 30% of their agricultural land;
- Allowances for job change/ creation according to Decree No. 69: This allowance was applied
to households whose agricultural land was acquired and these households directly engaged in
agricultural production. For households who had been approved for detailed compensation plan
before October 1, 2009, the allowance for job change was VND 4,600,000 / person. With
households approved for the compensation plan after October 1, 2009, the support level was 1.5
times of acquired agricultural land cost. Obviously this subsistence was significant because it
was much higher than the land price;
- Income restoration program: Difference with other projects, the households who were affected
by HLD and acquired more than 10% of their agricultural land and vulnerable households were
entitled to participate in the income restoration program. A total of 300 households participated
in the income restoration program.
The table below highlights some supporting policies better than those of other projects.
21
Table 12. Better supporting policies
Type of support Supporting amount
Life subsistence for
households lost from 10%
of their agricultural land
- Non-displaced households: 30 kg of rice / person / month x
3 months
- Non-relocated households: 30 kg of rice / person / month x 6
months
Allowances for job
change/ creation
- For households whose compensation plan was approved
before 01/10/2009: VND 4,600,000 VND / person
- For households whose compensation plan was approved after
01/10/2009: 1.5 times cost of f acquired agricultural land.
4.5 Preparation of resettlement site
In the initial stage of DMS implementation, localities have collected the aspirations of the
households on choosing of resettlement option (relocation to resettlement area or self relocation).
Based on the selection of relocated HHs, localities have also started the construction of
resettlement sites/available land bases (plot, apartment); and informed to people about
resettlement sites: location, area, unit price of plot/apartment, time of payment. Resettlement
sites for households are those that have adequate infrastructure (electricity, water, roads, etc.).
Households claimed that the resettlement price is reasonable because they are purchased at
preferential prices (infrastructure fee is not charged for eligible resettlement households).
For relocated households, the DCC invited households to discuss resettlement options. In these
conversations, households were informed about the information of the resettlement sites, price
of land plot/ apartment, condition to receive a land plot / apartment, the policy of self-relocation
assistance in case PAHs did not want to relocate to resettlement site. If a household was
interested in resettlement sites, districts will arrange them into residential planning areas or
resettlement sites in localities that had been or were being developed locally. Particularly, it was
as below:
- District 9, HCMC, Ho Chi Minh City: PAHs were arranged into Lot L of Long Buu - Long
Binh resettlement site, District 9 and C4 area in Hiep Phu Ward. These were residential areas in
District 9 that already had infrastructure such as electricity, water, internal roads and 4-5km from
their acquired land.
- Long Thanh district was the district with the most of relocated HHs (305 households) and 294
of them selected RS. These households were located at Lien Kim Son resettlement site and
resettlement site in Long An commune:
- Thong Nhat district had 6 HHs who were relocated to resettlement site of Ho A Hamlet, Hung
Loc Commune, Thong Nhat District, Dong Nai Province. This area was adjacent to Highway
1A, very convenient for traveling and with available infrastructure such as electricity, water,
internal roads.
- Cam My District: There were only 5 relocated households and all selected self-relocation
allowances; therefore, no resettlement site was built.
4.6 Grievance and grievance redress
According to RP, grievance redress procedure includes 4 following steps:
22
Step 1: Complaint is sent verbally or in written tovthe Commune’s People’s Committee (CPC).
Step 2: If no understanding or amicable solution can be reached or if no response is received
from CPC, the PAH can appeal to DPC.
Step 3: If the PAH is not satisfied with the decision of District PC or in the absence of any
response, the PAH can appeal to the Provincial Compensation Committee.
Step 4: If the PAH is still not satisfied with the decision of Provincial People’s Committee or in
the absence of any response within the stipulated time, the PAH may submit his/her case to the
Court. Decision of the Court on the appeal will be the official legal base which forces
stakeholders to comply with.
In fact, actual complaint procedures were similar to the proposed procedures in the RP. However,
a minor difference was at the district level, the district inspectorate who directly received and
solves complaints, not DCC as stated in RP. District inspector received complaint records,
consulted with DCCs and then responded PAHs. No complaint had been sent to the
provincial/municipal level. Should the grievance redress mechanism of other projects follow
this.
Complaints of this project were mostly redressed at the district level. When the household sent
a complaint, the District People's Committee would assign the district inspectorate to coordinate
with the relevant agencies (DCC, DONRE, Commune People's Committee, etc.) to review the
complaint, the application of policies. The district inspectorate would then advise DPC to issue
a complaint settlement decision to the household.
As mentioned in item 4.2: In the process of preparing and updating RP, households have been
disseminated about the grievance mechanism redress. Overall assessment of the time to resolve
the complaint in this project, up to 90% of cases settled complaints with compliance time as in
the RP; The remaining cases are delayed more than the prescribed time due to the settlement of
complaints involving many agencies, especially complaints related to the origin of the land,
riverside alluvial grounds ... Up to 95% of households are satisfied with the grievance redress
mechanism, 5% of households said that they need to speed up the time to settle complaints.
By the time of the last monitoring, there was only 01 pending complaint - [This information
has been removed as it falls within exceptions to disclosure specified in paragraph 97,
(exception (x) Information that, if disclosed, would or would be likely to endanger the
life, health, safety, or security of any individual, or safety or security of ADB assets, or
to prejudice the defense or national security of a member) of ADB’s Public
Communications Policy (2011).]- Village 6, Song Nhan commune, Cam My district. This
PAH leased state land for rubber plantation and when land was acquired, Dong Nai PPC
calculated the level of support for land for this household at VND 30,000 / m2 (the allowance
was equal to the compensation price. However, if the household was compensated for land, they
would receive an additional 1.5 times of the unit price. This PAH did not accept this but requested
compensation for the entire leased area. The policy of this project stated, "Those who do not
have any affected land use rights, including displaced tenants and illegal land users, are not
entitled to be compensated for land but they have the right to receive compensation for other
property and life rehabilitation assistance as before the project." Thus, the implementation of
23
compensation - support for this household was in accordance with the regulations. The
requirement of the household was not appropriate. Local authorities also issued redress
decisions. However, this PAH still did not agree and also has not filed a lawsuit. Local authorities
also continue to propagandize this household to receive allowance, and this amount was sent to
escrow account at Vietinbank - Thong Nhat Branch.
V. ASSESSMENT ON THE INCOME RESTORATION PROGRAM
5.1 Information dissemination
During community consultation meetings on compensation and site acquisition; Households
were informed about the income restoration program and those who were entitled to participate
in the income restoration program (households lost more than 10% of their productive land and
vulnerable households).
After entitled HHs were verified, the Project Support Consultant cooperated with the Farmers'
Association and the District Vocational Training Center to invite these PAHs to the Commune
People's Committee to attend the meeting about activities of the income restoration program
which included: (i) agricultural models; (ii) industrial extension models; (iii) vocational training
activities. Since at the beginning there was no official document on the use of fund for the income
restoration program, it was informed that households would receive a non-interest loan to
develop agricultural models, industrial extension. This also limited the number of households
participating in the income restoration program.
5.1 Results of the income restoration program
Activities of the income restoration program include: (i) agricultural models; (ii) industrial
extension models; (iii) vocational training activities.
5.1.1 Agricultural models
The main agricultural models were beeves, breeding cow model (44%) and pig (40%). In
addition, the rest raised porcupines, chickens and ducks. Results of these agricultural models
were as below:
- Phase 1: The average income of the participants increased 26% (from VND 3.2 million to VND
4.2 million), particularly in Nhon Trach district, the average income of participants increased
53%. The interview showed that 71% of interviewed HHs satisfied with the IRP implementation
while only 5%3 did not. Detailed results of IRP in phase 1 are shown in the table below.
3 The households did not satisfy with the IRP because (i) the supplied livestock slowly grew up; (ii) during raising
there were disease (especially foot and mouth disease for pigs and cattle). (iii) At the time of selling animals, price
was low so it was not profitable.
24
Table 13. Results of income restoration program in phase 1
District Participated
HHs
Average
persons per
household
Income
before IRP
(VND 1,000)
Income at
interview
time (VND
1,000)
Income
increment
(percentage)
District 9, HCM city 6 1.5 4,000 5,000 25%
Nhon Trach district 6 1.8 2,833 4,333 53%
Long Thanh district 23 1.4 4,517 5,150 14%
Cam My district 11 1.6 3,557 4,329 23%
Thong Nhat district 9 1.9 1,671 1,929 15%
Total 55 1.7 3,205 4,206 26%
Source: report of HLD-EPMU in January 2016
- Phase 2: 68% of interviewed HHs said that they satisfied with the IRP and 26% did not. The
reason of unsatisfactory was due to insufficiency of investment capital and models. 53% said
that their average income was higher or/and unchanged in comparison with the one before IRP.
47% of participated HHs whose income was lower than that before IRP. The main income source
of most of these HHs was not from IRP activities but from the others. Currently, most of HHs
stabilized and restored their income. There remained only 3 HHs who have not yet restored their
income with the reasons: (i) 01 HH before IRP had so high income (VND 30 million a month –
rice noodle making), now that business is more competitive so income of this HH reduces, not
by impacts of the project; (ii) 01 HH retired, so they did not continue to participate in the IRP
and; (iii) 01 HH whose income was from lower agricultural production, not due to the IRP
activities.
5.2.2 Industrial extension
Industrial extension models included provision of equipment for PAHs opening of stores such
as beauty shops, food and beverage outlets, electronics and mechanics repair shops. A total of
36 households chose small trade, mainly grocery stores (28%), food stores (15%), beauty shops
(20%) and motorcycles repair (20%) and other small shops. The number of participated women
was 59%.
90% of interviewed participants satisfied with small trade model. Average income of the HHs
who attended small trade model was higher than that of vocational training and equal to the one
of agricultural model, in particular, there were HHs who income reached VND 9 million a month
(motorbike repair).
5.2.3 Vocational training
The results of vocational training were favorable. More than 70% of participants had stable job
in: trading (34%), technical worker, technician (33%), and accounting (16%). Their average
income was VND 3,242 million, that amount was equal to average income of worker in the
region.
5.3 Evaluation of implementation of income restoration program
5.3.1 Satisfaction of participants
25
Satisfaction of the participants was high with 70% for both phase 1 and 2.
5.3.2 Average income of the participants
The average income was VND 4.2 million for the agricultural model, VND 3.2 million for the
vocational training model and VND 4.2 million for the small trade model. The average income
of participants of 03 models is VND 3.87 million. That amount was equal to the average income
of workers in surrounding industrial zones.
5.3.3 Non-restored income households
The survey results showed that only 3 HHs who had not yet restored their income because: (i)
01 HH had so high income before IRP (VND 30 million a month – rice noodle making), later
that job was more competitive so that HH had not yet restored income; (ii) 01 HH retired, so
they did not continue to participate the IRP and (iii) 01 HH whose income was from the lower
agricultural production, not due to the IRP activity. In comparison with the total number of
participant in IRP (300 HHs), those 03 HHs of lower income with different reasons occupied
only 0.01% (3/300). In addition, the main income of these HHs was not from IRP.
5.3.4 Participation of female in the income restoration program
62 (59.6%) females attended the vocational training courses and 23 females attended the small
trade model. It shows that the IRP activities attracted and facilitated project affected female to
participate in effective manner and supported them to have income and stable life. It also created
the favorable condition for the affected female n to continue developing small trade activity and
other jobs with the related skills, knowledge they got from from the training courses and actual
activities of IRP in order to have more income and better life in the future.
5.4 Causes that PAHs did not participate in the IRP
Per the project policy, all severely affected households and vulnerable households are entitled to
participate in the income restoration program. The statistical data indicated 1,044 entitled
severely affected households and 150 vulnerable households of this project. However, the
number of households participating in the IRP program in two phases was 300 households, in
which 168 households participated in phase 1 and 132 households in the phase 2. The causes that
entitled PAHs did not participate in the IRP are:
- The dissemination of capital for IRP in the initial stage: Households are entitled to have an
interest-free loan and will have to pay back after the production cycle. This made PAHs fear
because they must pay back the loan4 . This was the main reason for many households did not
participate in the income restoration program.
- Some households did not want to participate in IRP because their economy was relatively well-
off; their main source of income was not from acquired land, especially in District 9;
- Some households had no more agricultural land to participate in agricultural models so they
did not register to participate in IRP, especially relocated households. They also did not
participate in vocational training activities because they were over working age;
4 In fact, after the income restoration program had been being implemented, VEC officially announced that the
fund for IRP was non-refundable assistance.
26
- Some households did not interest much in the income restoration program despite they were
being invited to participate in many community consultation meetings. In addition, they were
afraid of complying with legal procedures to participate in IRP;
- The period from household registered to participates in IRP until its approval and disbursement
was so long leading to the actual implementation was not appropriate (such as at the time of
disbursement, breeding was in epidemic period, price was down, ...). This also reduces the
interest of households participating in activities of IRP.
VI. EVALUATION LIFE REHABILITATION OF AFFECTED HOUSEHOLDS
6.1 General evaluation
Land acquisition of the project has significantly affected the lives of the households. With the
efforts of the stakeholders through the development and implementation of RPs, the lives of AHs
have been stable. The rehabilitation of the affected households was mainly because of the
appropriate entitlement policy of the project.
For the general assessment of the change in the lives of the households, EMA based on: (i)
Compliance with the entitlement policy, with particular emphasis on the replacement cost
principle; (ii) job change; (iii) income change and; (iv) possession of family facilities. All of
these factors create a general picture of the lives of the households and thus allow a general
assessment on lives of the households.
6.2 Compliance with entitlement policy of RP
Through previous 14 monitoring times and mid-term, final evaluation times, we can conclude
that project entitlements were complied with. All the entitlements that have been indicated in the
entitlement matrix of the agreed RP have been fully provided to the eligible households.
Compensation rate for affected land and assets is the replacement cost.
The sufficiency was shown through quantity of compensated assets and compensation cost. Via
review of DMS minutes and compensation spreadsheet, it revealed that all affected assets were
compensated. For some HHs complaining about insufficient assets, DCCs verified and
supplemented.
According to RP, compensation cost of the project must be the replacement one. The replacement
cost was surveyed by external agencies in HCMC and in Dong Nai province before being
approved by ADB and by competent agencies. Only few HHs complained about compensation
price but not many and have been redressed by DCCs and local authorities in accordance with
the grievance redress procedure.
Thus, sufficient quality of compensated assets and compensation at replacement cost are two
main factors which help to stabilize life of PAHs.
6.3 Job change
Survey data showed a significant job change of PAHs, especially in agricultural production. Prior
to the project, the number of households working in agriculture was 523 households. However,
after the project, the number of households decreased to 104 households (decrease 23.3%). There
was also a marked increase in the number of households working in trade / service sector after
the project (increase 21.1%). This change was more prevalent among relocated households, after
27
their agricultural land and houses was being acquired, they relocated to the resettlement site /
buy land for housing and switch to small businesses, service. The households said that after they
received the compensation, apart from buying land for building houses, they saved a small
amount to invest in small businesses or open services such as beauty make-up, motor bicycle
repair ... According to these households, this new occupation was harder than the previous
farming and the income also increased.
Thus, land acquisition of this project has a clear impact on employment of PAHs. Some
households have shifted from farming to semi-farming, commerce, services, and workers. Job
change is one of the causes of household income fluctuations.
Table 14. Job of PAHs at pre-project and post-project
Time Locality
Occupation5
Agriculture Official or
employee
Trading/
service Worker
Part-
time
hired
labor
Other
Pre-
project
District 9 41 87 94 62 39 23
District 2 21 59 98 49 18 21
Nhon Trach 22 9 5 9 3 9
Long
Thanh 240 98 130 88 102 65
Cam My 110 17 17 12 29 18
Thong Nhat 89 13 17 11 14 9
Total 523 283 361 231 205 145
Post-
project
District 9 25 92 105 63 35 26
District 2 15 59 101 52 18 21
Nhon Trach 16 13 9 16 3 0
Long
Thanh 193 103 164 94 104 65
Cam My 81 17 30 17 29 29
Thong Nhat 71 15 28 13 14 12
Total 401 299 437 255 203 153
Increase(+)
Decrease(-) (-)23.3% (+)5.7% (+)21.1% (+)10.4% (-)1.0% (+)5.5%
5 Surveyed the occupation of household head
28
Figure 1. Chart of job change at pre-project and post-project
6.4 Income change
Comparison of average income of households before and after implementation of RP can see the
level of average income fluctuations of households.
Table 15. Monthly income per capita of PAHs at pre-project and post-project
Time Locality
Monthly income per capita of PAHs
< VND 500,000 VND 500,000 –
VND 1,000,000
> VND
1,000,000
Pre-project District 9 43 113 190
District 2 29 156 81
Nhon Trach 14 27 16
Long Thanh 113 354 256
Cam My 58 70 75
Thong Nhat 29 75 49
Total 286 795 667
Post-project District 9 17 52 277
District 2 19 147 100
Nhon Trach 6 21 30
Long Thanh 81 312 330
Cam My 23 70 110
Thong Nhat 19 60 74
Total 165 662 921
Increase (+)
Decrease (-) (-)42.3% (-)16.7% (+)38.1%
0
100
200
300
400
500
600
Agriculture Official oremployee
Trading/service
Worker Part-timehired labor
Other
Pre-project
Post-project
29
Figure 2. Chart of monthly income of PAHs at pre-project and post-project
From the above table and chart, some comments can be as below:
- Before the project, the number of people earning from VND 500,000 to 1,000,000 monthly,
accounts for 45%, followed by the number of people earning over VND 1,000,000/ month (38%)
and the last is less than VND 500,000 / month accounting for 16%.
- After the project, the number of people earning from VND 500,000 to 1,000,000 monthly
prevails with 45%, followed by the number of people earning over VND 1,000,000/ month (38%)
and the last is less than VND 500,000 / month accounting for 9%.
- There is a noticeable change in the income less than VND 500,000 / person / month and VND
1,000,000 / person / month: (i) After the project, the number of people earning less than VND
500,000 / month dropped significantly (reduce 42.3%); (ii) After the project, the number of
people with income over VND 1,000,000 / month increases by 38.1%. This shows that after the
project, average per capita income in all districts increased.
Per the discussion with PAHs, some causes of income increase were revealed:
- Some households received compensation high price and allowances with rather big amount,
they bought more agricultural land, invested in new fertilizers / trees and breeding livestock to
increase income from this activity.
- Some other households invested in small businesses and services, which made their income
higher than before. Others (especially in District 2 and District 9) invested in land to get profit;
- Some households, in addition to compensation and allowances, also participated in the income
restoration program. This IRP also contributes to increase household income.
The survey results also showed that all households have recovered their income and tended to
develop more than before. The reason is that the households are receiving compensation at
0
100
200
300
400
500
600
700
800
900
1000
< VND 500,000 VND 500,000 – VND 1,000,000 > VND 1,000,000
Montly income per capita of PAHs at pre-project and post-project
Pre-project Total Post-project Total
30
relatively high prices, conditions for investment in agricultural production/trading business to
get more income. Up to now, there have been no cases acquired by the project, but the income
is reduced compared to the original time.
6.5 Change in housing and life facility of PAHs
Change in housing and life facilities of PAHs were surveyed and summarized as bellows:
Table 16. Change in housing and life facilities of PAHs
No. Description Surveyed
PAHs
Pro-project Post-project
PAHs % PAHs %
1 Area of the main house 1,748
- < 20 m2 53 3% 0 0%
- 20- 40 m2 203 12% 117 7%
- 40-60 m2 679 39% 689 39%
- 60-100 m2 652 37% 749 43%
- > 100 m2 161 9% 193 11%
- Average area (m2) 70.1 86.4
2 Structure of the main house 1,748
- Temporary house 176 10% 36 2%
- Grade 4 1,572 90% 1,712 98%
3 Car 142 8% 169 10%
4 Motor bicycle 1,587 91% 1,693 97%
5 Television 1,601 92% 1,723 99%
6 DVD/VCD player 1,594 91% 1,711 98%
7 Washing machine 794 45% 1,296 74%
8 Refrigerator 899 51% 1,357 78%
9 Gas cooker 1,296 74% 1,644 94%
10 Electric fan 1,687 97% 1,746 100%
Comments:
Through interviews, EMA found that:
- Housing: There was a significant improvement in the housing of the PAH. From the condition
of the cramped and temporary houses, thes PAHs built / repaired houses more stable, spacious
and better: (i) House area: The house area after the project was more spacious (86.4 m2 versus
70.1 m2). It was a good signal and after the project, no household had an area of less than 20
m2; (ii) Structure of the house: From 176 PAHs (10%) who owned temporary houses before the
project, the quality of these houses at post-project was improved significantly when only 36
households (2%) owned temporary houses. The number of PAHs with grade 4 house increased
from 90% to 98%. The average area of each house also increased due to house expansion, repair
or construction. Some households said that thanks to the compensation of the project they could
have better homes. All 474 relocated households have stable housing and most of them selected
self-relocation (buying land to build house or buying available house, especially for PAHs in
District 2 and District 9). For PAHs relocated to the resettlement site, the number of PAHs
31
actually received land plot and built house was not many (only 45%). These households either
had other land for rebuilding their houses or buying other land to build their houses. These
households said that they used to live in a large space with gardens, they did not want to move
into resettlement site The reason that they received the relocation was mainly because they want
to re-sell it to get profit or to save it for children later.
Family facilities: Survey results showed that the number of living facilities of households also
changed. Households used compensation to purchase additional living facilities such as
televisions, refrigerators, washing machines, motorbikes ... It also demonstrated that the quality
of life of PAHs were gradually improved.
VII. CONCLUSION AND RECOMMENDATION
7.1 Conclusions
Via the results of the monitoring and evaluation on RP implementation and income restoration
program, it could be concluded as follows:
7.1.1 RP implementation arrangement
The project owner and stakeholders have complied with requirements stated in RP and updated
RP, namely:
(i) Information dissemination
The information dissemination was implemented continuously from the RP preparation to RP
update with many public consultation meetings with PAHs in affected communes/wards. The
leaflets with information about the project, entitlement policies, and grievance redress
mechanism were delivered to PAHs. The results of monitoring shows that most of PAHs
understood the entitlement policies stated in RP and updated RP;
(ii) Sufficiency of the affected assets
Affected assets were measured sufficiently with presence of PAHs and their signatures in DMS
minutes. HHs who complained about insufficient measurement had been verified and paid
additionally by HLD-EPMU.
(iii)Replacement cost
The compensation cost complied with regulations of the investor that must be replacement cost.
The compensation cost had been surveyed and updated continuously by 02 independent
valuation consulting agencies and approved by Dong Nai PPC and HCMC’s PC. HHs also
agreed with the compensation cost.
(iv) Other support policies
The compensation plan was calculated and paid sufficiently.
(v) Housing of the relocated HHs
There are many options for relocated HHs at relocation sites. The timeliness of compensation
and relocation were complied with RP, it means that relocated HHs were arranged to relocate
before land acquisition. Currently, relocated HHs all have stable life in new house in the
32
resettlement site with better infrastructure than before the subproject such as electricity, water
supply, internal roads, etc.
(vi) Relocation of the public structures
Due to discrepancy in understanding of loan procedure and regulation for the public structures
between the Owner and ADB, until now, ADB have not approved to provide loan for relocation
of those public structures. By studying annex 4 of Loan agreement, social safeguard policy of
ADB and the actual implementing process of the public structures relocation, EMA has some
comments as follow:
- Per document dated November 17, 2016 issued by the ADB, in section 2, ADB had
quoted annex 4 of the Loan agreement, regulating procurement and consulting
procedures as a basic for disapproval of loan for relocation.
- Annex 4 of the Loan agreement regulates and guides the procurement and consulting
procedures applied to the civil works of the project under the Loan agreement. The basic
for implementing compensation and site clearance is unclear.
- Meanwhile, in nature, the implementation of public structures relocation is a part of the
compensation for timely handing over sites to the contractors to construct the civil works
of the project.
- The list of all public structures to be relocated for handing over sites for the civil works
has been reported and submitted by the Owner to ADB for approval before implementing
the public structures relocation.
- The relocation of public structures was implemented and completed in proper manner,
ensuring timely handing over sites for the civil works of project.
- Thus, applying regulations in annex 4 of the Loan agreement for the public structures
relocation may be uncertain and unsuitable for ADB to consider not providing loan for
the implementation of the public structures relocation while public structures relocation
was implemented for site clearance of the project.
- As mentioned above, EMA suggested ADB should re-study and appraise the suitability
of applied bases and the nature of public structures relocation and approve for loan of
those public structures relocation as a portion of site acquisition, compensation,
resettlement of the project under Loan agreement per the spirit of the loan agreement,
ADB’s regulation and the willingness of the ADB as well as efforts of the HLD-EPMU
and local authorities in implementing social safeguard policies in compliance with RP to
hand over sites timely for construction of the project
(vii) Grievance procedure
All HHs were disseminated on grievance procedure via public consultation meetings during
preparing and updating RP; HHs had also informed information of the project via leaflets. The
district inspectorate verified and consulted for DPC to issue the documents to redress all the
grievances of the HHs. One case ([This information has been removed as it falls within
exceptions to disclosure specified in paragraph 97, (exception (x) Information that, if
disclosed, would or would be likely to endanger the life, health, safety, or security of any
33
individual, or safety or security of ADB assets, or to prejudice the defense or national
security of a member) of ADB’s Public Communications Policy (2011).]household): the
amount of compensation has been transferred to the custody account of VietinBank and will
invite people to receive money in November 2017.
7.1.2 Income restoration program
The income restoration program aimed to support the severely affected households, and
vulnerable HHs in life stabilization and income restoration. With successful implementation of
the program as summarized and evaluated above, the PAHs, particularly the severely affected
households and vulnerable households had received attention of the ADB, project Owner, HLD-
EPMU, local authorities and other stakeholders. It could be said that the income restoration
program helped PAHs restore their life rapidly and have better life than before the project.
7.1.3 Life of affected households
The entitlement policy of the project as mentioned in RP had complied with approved RP
including sufficiency of the affected assets, compensation cost at replacement cost and
allowances. Fully compensation and allowances according to entitlement policy are prerequisite
in life rehabilitation of PAHs. The life of majority of PAHs had been stable and restored. As a
result, the objective of RP which is to ensure the PAHs having equal or better life had met the
requirement.
7.2 Learnt lesson
The compensation and income restoration program implementation of the project had been
implemented well. However, there were some shortcomings needed to learn from experience,
namely:
* Compensation and site acquisition
The capacity of officials in DMS team is needed to strengthen before carrying out of the DMS
to avoid insufficient inventory or entitlements (especially allowances). This will help to reduce
the grievances of HHs as well as accelerate the progress of payment and handing over sites.
The cooperation in grievance redress between involved agencies should be strengthened and
indicated in the RP. When HHs had grievances, the district inspectorates will handle, review,
and consult with DPC to have the response document to redress grievances. However, the
cooperation between district inspectorates and agency who prepared the compensation plan was
not good, the information exchange did not happen frequently, leading to situation that the
agency did not know whether the grievance was redressed and whether it affected the progress
of site clearance or not. Thus, for large-scale projects, the establishment of grievance redresses
board and monthly meeting arrangement to redress grievances should be considered (in case of
need, meetings could be held more frequency).
* Income restoration program
- The dissemination of support for income restoration program (interest-free loan or non-
refundable loan) is needed to be done from the initial phase to help HHs decide to
participate in the program or not;
34
- It is necessary to reconsider the criteria for HHs participating in the income restoration
program, and focus on the groups of HHs who have needs and who have poor economic
conditions, vulnerable HHs as well as increase the level of support to help these HHs
restore their income quickly;
- The disbursement procedures should be minimized to deploy the models quickly to avoid
reducing the effectiveness of the model.
- The proposed activities, in particular vocational training activities, should be
implemented, so that after training, trainees will have jobs immediately.
- Veterinarians supporting agricultural models should be more active in monitoring the
disease situation to have timely intervention.
35
VIII. ANNEX
8.1 Some photos at site
[This information has been removed as it falls within exceptions to disclosure specified in paragraph 97, (exception (x) Information that, if disclosed, would or
would be likely to endanger the life, health, safety, or security of any individual, or safety or security of ADB assets, or to prejudice the defense or national security of a
member) of ADB’s Public Communications Policy (2011).] at the newly bought house
House of Mr[This information has been
removed as it falls within exceptions to
disclosure specified in paragraph 97,
(exception (x) Information that, if
disclosed, would or would be likely to
endanger the life, health, safety, or
security of any individual, or safety or
security of ADB assets, or to prejudice the
defense or national security of a member)
of ADB’s Public Communications Policy
(2011).]built on the remaining agricultural
land after land acquisition
Part of the water shop in front of [This information has been removed as it falls within exceptions to disclosure specified in paragraph 97, (exception (x) Information that, if disclosed, would or would be likely to endanger the life, health, safety, or security of any individual, or safety or security of ADB assets, or to prejudice the defense or national security of a member) of ADB’s Public Communications Policy (2011).]household was rebuilt
36
House of Mr. [This information has been
removed as it falls within exceptions to
disclosure specified in paragraph 97,
(exception (x) Information that, if
disclosed, would or would be likely to
endanger the life, health, safety, or
security of any individual, or safety or
security of ADB assets, or to prejudice the
defense or national security of a member)
of ADB’s Public Communications Policy
(2011).]newly built.
Mrs. [This information has been removed as it falls within exceptions to disclosure specified in paragraph 97, (exception (x) Information that, if disclosed, would or would be likely to endanger the life, health, safety, or security of any individual, or safety or security of ADB assets, or to prejudice the defense or national security of a member) of ADB’s Public Communications Policy (2011).]and her newly built house on the
bought land
House of Mr. [This information has been
removed as it falls within exceptions to
disclosure specified in paragraph 97,
(exception (x) Information that, if
disclosed, would or would be likely to
endanger the life, health, safety, or
security of any individual, or safety or
security of ADB assets, or to prejudice the
defense or national security of a member)
New apartment of Mr. [This information has been removed as it falls within exceptions to disclosure specified in paragraph 97, (exception (x) Information that, if disclosed, would or would be likely to endanger the life, health, safety, or security of any individual, or safety or security of ADB assets, or to prejudice the defense or national security of a member) of ADB’s Public Communications Policy (2011).]in Nam
Long residential area and his groceries shop.
37
of ADB’s Public Communications Policy
(2011).]built on the remaining agricultural
land after land acquisition.
House of Mrs. [This information has been
removed as it falls within exceptions to
disclosure specified in paragraph 97,
(exception (x) Information that, if
disclosed, would or would be likely to
endanger the life, health, safety, or
security of any individual, or safety or
security of ADB assets, or to prejudice the
defense or national security of a member)
of ADB’s Public Communications Policy
(2011).]was newly built on bought garden
land.
House of Mr. [This information has been removed as it falls within exceptions to disclosure specified in paragraph 97, (exception (x) Information that, if disclosed, would or would be likely to endanger the life, health, safety, or security of any individual, or safety or security of ADB assets, or to prejudice the defense or national security of a member) of ADB’s Public Communications Policy (2011).]built on
the remaining agricultural land after land
acquisition.
House of Mr. [This information has been
removed as it falls within exceptions to
disclosure specified in paragraph 97,
(exception (x) Information that, if
disclosed, would or would be likely to
endanger the life, health, safety, or
New house of Mr. [This information has been removed as it falls within exceptions to disclosure specified in paragraph 97, (exception (x) Information that, if disclosed, would or would be likely to endanger the life, health, safety, or security of any individual, or safety or
38
security of any individual, or safety or
security of ADB assets, or to prejudice the
defense or national security of a member)
of ADB’s Public Communications Policy
(2011).]built on the remaining garden land
after land acquisition.
security of ADB assets, or to prejudice the defense or national security of a member) of ADB’s Public Communications Policy (2011).]similar
with a villa.
Houses in Lien Kim Son and Long An resettlement sites.
39
8.2 List of households affected by land erosion
PAHs
Total
affected
area (m2)
Residential
land
Affected
agricultural
land
(uncultivated
land)
Affected structures Affected tree
Received
compensation
allowances
Date of
compensation PAH
Area
(m2) PAH
Area
(m2) PAH Area (m2) PAH Quantity
9,659.7 0 0 8 9,659.7 1
Embankment,
concrete garden,
water tank
3 414
Ngo Thi Nguyen 2,183.2 424,656,840 26/1/2016
Vu Thi Ly 750.0 150,670,000 26/1/2016
Ma Kieu Yen Ngoc 294.1 75,147,460 26/1/2016
Huynh Thi Mai Nguyen Anh 83.0 27,974,840 26/1/2016
Vu Minh Hoang 2,126.7 405,439,500 26/1/2016
Dao Thi Thanh Hang 3,513.0 672,679,800 6/4/2016
Unnamed land plot (land plot no 362). 407.6 36,608,0006 9/8/2016
Unnamed land plot (land plot no 363). 302.1 28,168,0007 9/8/2016
6 This PAH has not received compensation, allowances and this amount was sent at escrow account at Vietinbank – Long Thanh branch. 7 This PAH has not received compensation, allowances and this amount was sent at escrow account at Vietinbank – Long Thanh branch.