World Bankdocuments.worldbank.org/curated/en/861131468177864788/... · Web view2016/05/20 · According to guidelines under OP4.12 by World Bank (WB) on involuntary resettlement,

RESETTLEMENT PLAN (RP)

Type of document: Resettlement plan (RP)

COC SAN HYDROPOWER PLANT INVESTMENT &CONSTRUCTION PROJECT

In Sa Pa, Bat Xat Districts– Lao Cai Province

Lao Cai Renewable Energy (Vietnam) Joint Stock Company

SFG2158 V3

ABRREVIATION

AHH Hộ BAH Affected householdAP Người BAH Affected person/peopleCPC UBND xã Commune people’s committeeDMS Detailed measuring survey DPC UBND huyện District people’s committeeDRC Hội đồng ĐB-TĐC District resettlement and compensation boardEMPF Khung Chính sách Ethnic Minority Policy FrameworkEMDP Kế hoạch phát triển DTTS Ethnic Minority Development PlanGOV Chính phủ Vietnamese GovernmentHH Hộ HouseholdIOL Inventory of lossesLAR Land acquisition and resettlementLURC Giấy CNQSDĐ Land use right certificateMOF Bộ TC Ministry of FinanceMOLISA Bộ LĐ-TB-XH Ministry of Labour, Invalids and Social Affairs NGO Tổ chức phi chính phủ Non-governmental organisationHPW CTTĐ Hydropower Work/plantOP 4.12 Operational Policy 4.12 by the World Bank PPC UBND tỉnh Provincial People’s CommitteeRAP Kế hoạch TĐC Resettlement action planTOR Terms of ReferenceUSD Đô la United State dollarVND Đồng Vietnamese dongWB NHTG (Ngân hàng) World Bank

WEIGHT AND INDEX EQUIVALENTS

ha – Hectare

km - Kilometer

m - meter

ii

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.

Inventory of loss (IOL)

- This is the process where all fixed assets (i.e., lands used for residence, commerce, agriculture, including ponds; dwelling units;

iii

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 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

iv

(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 dependents 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 disadvantaged and vulnerable groups; and (v) creates conditions to include related viewpoints of affected people and other stakeholders into decision making process like project design, mitigation measures, sharing interest and development opportunities, and implementation issues.

v

INDEXEXECUTIVE SUMMARY ix

I. GENERAL INTRODUCTION 1

A. Overview of Renewable Energy Development Project 1B. Coc San Hydropower Plant 2C. Objectives of Resettlement Plan 6D. Measures to be taken for mitigating impacts caused by the works 6

II. IMPACT AREA OF COC SAN HYDROPOWER PLANT 8

A. Impact on land 8B. Impacts on crops and trees 10C. Impacts on works and architectural objects 11D. Impacts on income and livelihood 11E. Impacts on vulnerable households 11

III. SOCIO-ECONOMIC INFORMATION OF AFFECTED COMMUNITY 12

A. General socio-economic characteristics in project area 12B. Socio-economic information of affected community 13

IV. INFORMATION DISCLOSURE, CONSULTATION AND PARTICIPATI 21

A. Information disclosure 21B. Public consultation and participation 21C. Results of information dissemination and Public consultation 22C. Regulations on compensation, assistance and resettlement by the local authority 27D. Some regulations applied in compensation, assistance of Coc San Hydropower project 28

VI. RESETTLEMENT, COMPENSATION AND ASSISTANCE STRATEGY 42

A. Legal basis for calculating compensation prices 42B. Replacement cost identification 42C. Compensation for impacts and entitlement 42

VII. INSTITUTION ARRANGEMENT AND IMPLEMENTATION SCHEDULE 45

A. Implementation schedule 45B. Institutional arrangements 45

V. GRIEVANCE REDRESS MECHANISM 47

VI. MONITORING AND REPORTING 49

A. Internal Monitoring 49B. External Monitoring 49

VIII. BUDGET AND FINANCIAL SCHEDULE 54

vi

LIST OF TABLES

TableI-1: Main specifications and parameters of Coc San HPP 4

TableII-1Land area and the number of AHHs in the construction area 8

TableII-2Classification of affected land acquired by the work (m2) 9

TableII-3: Classification of affected land acquired by the work (m2) 9

TableII-4: Rate of loss of HHs’ land acquired by the work (m2) 10

TableII-5 Affected land area for annual crops and perennial crops 10

TableIII-1: The Number of Household and Ethnic Minority Household 13

TableIII-2: Education level of surveyed HHs in affected communes (%) 14

TableIII-3Main income source of ethnic minority AHHs 14

TableIII-4: Income per capita of AHHs 15

TableIII-5Average Expenditure of Surveyed HHs 16

Table III-6: The number of school at all levels in Bat Xat district and Sa Pa 17

Table III-7: The number of kindergarten and elementary school in affected villages 18

Table III-8General information on gender rate in the affected communes 19

TableIII-9Labor allocation in families in terms of gender 19

TableIV-1: Concerns of affected community and commitment of the investor 22

TableV-1Entitlement matrix 30

TableVI-1Total compensation for AHHs42

TableVI-2: Compensation for affected trees, crops 43

TableVI-3: Assistance cost for stabilizing lives, production and training 43

Table IX-1Monitoring and Evaluation Indicators 51

TableX-1 Summary of resettlement costs 54

vii

ANNEXES

ANNEX 1 LIST OF AHs – COC SAN 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

viii

EXECUTIVE SUMMARY

Introduction1. 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.2. Coc San Hydropower Plant (HPP) use water from Ngoi Dum stream, secondary tributary of Hong River in Lao Cai Province. The stream originates from the mountain which is 2235.5m in height, flows in the southeast and connects to Hong River in Lao Cai city. Coc San HPP is located in the middle of Ngoi Dum’s midstream, between Mong Sen (headwork) and Coc San (plant area).

3. The headwork is far 2 km away from 4D National Road from Lao Cai to Lai Chau, and far 20 km away from Lao Cai city in the southwest. The entire reservoir and headwork route of Coc San HPP are located in three communes which are Coc San, Tong Sanh under Bat Xat District and Trung Chai under Sapa District, Lao Cai Province.

4. Catchment area of Mong Sen dam is 99.6km2, average annual flow at the dam is approximately 4.61m3/second; total average annual flow is approximately 145x 106 m3; design flood with frequency of 1% is 1264m3/second; design flood water level with frequency of 1% is 705.66m; check flood flow at Mong Sen dam with frequency of 0,2% is 1540m3/second, check flood flow at the plant with frequency of 0.5% is 1.531 m3/second; check flood water level (p=0.2%) is 706.14m; Normal water level (NWL) 7022m; the full volume is 506.2x 103m3; Reservoir area at normal water level is 45.300m2, volume of reservoir at NPL is 231,6x 103 m3; Useful volume is 121x 103m3; the length of energy route is 5.7km, including 5.68km of tunnel; Installed capacity of the plant is 29.7 MW, including 3 units; average annual output is approximatetly 127.89x106

kwh, total construction time is 25months, total investment is 46x106 USD, excluding cost for clearance compensation.

5. 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 impact6. Coc San HPP will permanently occupy 526.862m2 of land belonging to 116 households and Communal People Committees of three communes: Trung Chai under Sa Pa district; Coc San, Tong Sanh under Bat Xat district (the detailed information on area of

ix

each type of land and the number of AHHs will be shown in the next sections). There is no impact on architactural works and secondary structures of the households

Information dissemination and public consultation7. A lot of public consultation meetings, discussions with stakeholders, especially local governmental authority and affected people were held January, February 2013, August 2015to disseminate to them sufficient information relating to the project and its activities 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.8. Public consultation meetings have been organized in Trung Chai, Tong Sanh, Coc San, which are affected by the construction with AHHs in the communes Trung Chai, Tong Sanh, Coc San and local officers.9. 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 Entitlement10. Coc San 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 Lao Cai province.

11. 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 Plan12. Construction project should be in 2.5 year, including last 6 months of 2013, and recommenced in December 2013, the construction is expected to be completed in 2nd

Quarter of 2016.

x

13. Lao Cai Renewable Energy (Vietnam) Joint Stock Company (formerly Colben Energy (Vietnam) 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, Lao Cai Renewable Energy (Vietnam) Joint Stock Companywill have following main responsibilities: (i) updating and implementing RP in coordination with related people’s committees at levels and 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 Mechanism14. 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 Evaluation15. Lao Cai Renewable Energy (Vietnam) Joint Stock Company shall provide the services of an independent internal monitoring agency. Therefore, Lao Cai Renewable Energy (Vietnam) 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.

16. 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.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 Plan17. The total estimated cost of compensation and assistance against impacts caused by

Coc San HPP is 7,297,977,990VND (equivalent to 311,726USD, foreign exchange

xi

rate is VND 22,000) Implementation cost shall be paid by Lao Cai Renewable Energy (Vietnam) Joint Stock Company.

xii

I. GENERAL INTRODUCTION

A. Overview of Renewable Energy Development Project18. 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.19. The investment project implementation component includes (i) commercial banks are allowed to refinance 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 Energy 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 refinanced sum from REDP (WB) via the Ministry of Finance (MOF). Such a refinanced 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 refinancing 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

1

project, reviewing eligibility of the refinanced 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. Coc San Hydropower PlantLegal base(i) Relevant Agreements

1. Decision No. 526/QĐ-NLDK on 2nd Feb 2005 of Ministry of Industry which is about Small and Medium Hydropower Plant Planning of Lao Cai Province;

2. Decision 2221/QĐ-BCT on 10th April 2010 of MOIT on approval of adjustment for Small and Medium Hydropower Plant Planning of Lao Cai Province;

(ii) Agreements about the Project1. Investment Certificate No. 12.1.0.3.2.000 017, third amendment,which Lao cai

PPC licensed Lao Cai Renewable Energy (Vietnam) Joint Stock Company for the construction Chu Linh – Coc San Hydropower project in Lao cai under the form of design-build-own-operate(DBOO) within 50 years.

2. License of using water surface No. 205/GP-BTNMT which Minister of Natural Resources and Environment issued to Colben Vietnam Energy JSC on 29th Jan 2011;

3. Document No. 43/TB-SCT on 7th May 2009 from Department of Industry and Trade of Lao Cai Province to inform the verification of design for Coc San hydro power plant construction.

4. Construction Certificate No. 295/GPXD which Department of Construction and PPC ofLao cai Province issued to Colben Vietnam Energy JSC on 20th April 2010;

5. Construction Certificate No.1692/GPXD which Department of Constructionof Lao Cai Province issued to Lao Cai Renewable Energy Comapny on 18th December 2013 on building transmission lines.

6. Decision No. 107/QĐ-UBND on 15th January 2010 issued by Lao Cai PPC about approving Operation Procedure of Mong Sen reservoir under Coc San HPP in Trung Chai commune (Sa Pa district) and Toong Sanh, Coc San (Bat Xat district) Lao Cai province;

2

7. Decision No. 2183/UBND – CN on 6th November 2008 issued by Lao Cai PPC about approving adjusting installation capacity of Coc San HPP which has been invested by Colben Vietnam Energy JSC.

8. Official document No. 465/EVNNPC-KDĐN on 25th February 2011 from EVN North Power Corporation on purchasing power from Coc San HPP – Lao Cai Province.

(iii) Agreement about land1. Certificates of land use right No. BO 756097 - UBND - the right to use

505.856 m2 land in Trung Chai, Toong Sanh and Coc San commune, Lao Cai Province.

2. Land Lease Contract No. 65/HĐTĐ about leasing 505.856 m2 land in Trung Chai, Toong Sanh and Coc San commune, Lao Cai Province.

3. Certificates of land use right No. BI630407 about the right to use 21.006 m2 land in Trung Chai, Toong Sanh and Coc San commune, Lao Cai Province.

4. Land Lease Contract No. 58/HĐTĐ about leasing 21.006 m2 land in Trung Chai, Toong Sanh and Coc San commune, Lao Cai Province.

5. Decision No. 3282/QĐ-UBND about issuing Certificates of land use right, right to use house and other assets associated with land.

6. Decision No. 1665/QĐ-UBND about approving leasing at the second stage, issuing Certificates of land use right, right to use house and other assets associated with land.

(iv) Agreement about environment1. Environmental standards Registration of VCEH System Pte Ltd (Singapore)on

July 2007 for Chu Linh – Coc San hydropower plant.2. ConfirmationNo. 23/UBND-GXNof Bat Xat district to confirm environmental

protection commitmentregistrations.3. Confirmation No. 1024/UBND-GXN Committee of Sa Pa district to confirm

environmental protection commitment registrations when implementing the construction.

1. Characteristics of the plant20. Coc San Hydropower Plant (HPP) use water from Ngoi Dum stream, secondary tributary of Hong River in Lao Cai Province. The stream originates from the mountain which is 2235.5m in height, flows in the southeast and connects to Hong River in Lao Cai city. Coc San HPP is located in the middle of Ngoi Dum’s midstream, between Mong Sen (headwork) and Coc San (plant area).

21. The headwork is far 2 km away from National Highway 4D from Lao Cai to Lai Chau, and far 20 km away from Lao Cai city in the southwest. The entire reservoir and headwork route of Coc San HPP are located in three communes which are Coc San, Tong Sanh under Bat Xat District and Trung Chai under Sapa District, Lao Cai Province.

22. Catchment area of Mong Sen dam is 99.6 km2, average annual flow at the dam is approximately 4.61 m3/second; total average annual flow is approximately 145x 106 m3; design flood with frequency of 1% is 1264 m3/second; design flood water level with

3

frequency of 1% is 705.66m; check flood flow at Mong Sen dam with frequency of 0,2% is 1540m3/second, check flood flow at the plant with frequency of 0.5% is 1.531 m3/second; check flood water level (p=0.2%) is 706.14m; Normal water level (NWL) 7022m; the full volume is 506.2x 103m3; Reservoir area at normal water level is 45.300m2, volume of reservoir at NPL is 231,6x 103 m3; Useful volume is 121x 103m3; the length of energy route is 5.7km, including 5.68 km of tunnel; Installation capacity of the plant is 29.7 MW, including 3 units; average annual output is approximatetly 127.89 x106 kwh, total construction time is 25 months, total investment is 46 x106 USD, excluding cost for clearance compensation.

The main construction items consist of headwork and energy route. The headwork includes weir dam and spillaway damon Ngoi Dum stream. The close energy route includes intake tunnel, intake, surge tank, well, penstock, open-air hydro power plant, discharge the water back to Ngoi Dum stream in the downstream. Reservoir area is in Trung Chai commune, Sa Pa district and the entire energy route is in 2 communes which are Coc San, Tong Sanh, Bat Xat district, Lao Cai province.

TableI-1: Main specifications and parameters of Coc San HPP

No. Specification Unit Value Note

I. Hydrology

1. Catchment area of upstream Km2 99,6

2. Using hydrological data series year 45

3. Average annual water volume 106 m3 145

4. Average annual water flow m3 4,61

5. Checking flood flow

Mong Sen dam route (p=0.2%) m3/s 1.540

Plant (p=0.5%) m3/s 1.531

6. Construction diversion flood flow m3/s 78,4 From November to March of the following year

7. Alluvium

Average annual hovering alluvium 103 t 11,73

Average annual concentration kg/ m3 0,244

II. Reservoir

1. Design flood water level (p=1%) m 705,66

4


2. Checking flood water level (p=0.2%)

m 706,14

3. Normal water level (NWL) m 702

4. Dead water level m 698

6. Reservoir surface area at NWL 103 m2 45,3

7. Volume of reservoir at NWL 103 m3 231,6

8. Useful volume 103 m3 121

III. Hydraulic energy

1. Installed capacity MW 29,7

2. Firm capacity (P=85%) MW 3,10

3. Average annual output 106 KWh 127,89

4. Time using installation capacity h 4.306

IV. Main works and items

IV-1 Weir and culvert

1. Dam type Concrete gravity

2. Dam background Weathered rock

3. Elevation of Dam Crest m 707

4. Length of dam crest m 208

5. Max height of dam crest m 26,0

6. Max flow m3/s 1540

7. Type of spillway WES

8. Number of spillway bays Free flow

9. Width of spillway 84

10. Energy discharge Bottom energy discharge

5


11. Cross section dimensions of discharge culvert at the bottom

m 3,0x3,0

12. Cross section dimensions of water intake

m 2,5x2,5

13. Crest elevation of culvert m 689,5/691,5 Hồ/ cống

IV-2 Energy route

1. Design flow m3/s 8,04

2. Type of water intake Body of dam

3. Plan section dimensions of intake m 4,9x23,1x22 LxWxH

4. Dimensions of water intake m 2,5x2,5

5. Length of tunnel m 5679

6. Rock layer around the tunnel II-III, IV-V

7. Hydraulic mode Tunnel with pressure

8. Section type of tunnel Upside down letter U/ circle

9. Tunnel diameter m 2,5x2,7/D2,5 WxH

C. Objectives of Resettlement Plan23. 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 before constructing Coc San.

6

D. Measures to be taken for mitigating impacts caused by the works25. In order to avoid involuntary resettlement or to minimize impacts caused by Coc San HPP construction, there are two location of dam routes have been proposed: Route 1: Upstream route; Route 2: Downstream route. Slecting Upstream route will make maximum use of existing environmental conditions, minimize the volume of stream bank to be digged and waterproof concrete. At the same time, it is easier and more convenient to connect the plant to National Highway 4D and inter-commune roads. In comparison to Downsream route, selecting Upstream route is more cost effective and the output is higher. Therefore, Upstream route is selected to implement the construction.

7

26.

II. IMPACT AREA OF COC SAN HYDROPOWER PLANT

27. Measures to minimize permanent affected land area have been studied and calculated by the investor of Coc San Hydropower Plant when selecting the best alternative. 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;28. Coc San HPP will permanently occupy 529,418m2 land of many types in Trung Chai (Sa Pa district), Coc San, Tong Sanh (Bat Xat district). The detailed information on area of each type of land and the number of AHHs will be shown in the next sections.

A. Impact on land29. According to inventory of loss (IOL), there is 529,418 m2 land of many types that are affected permanently, including 55,680m2 public land in Bat Xat district which is used for building underground tunnel, 181,806m2 land of AHHs in Trung Chai commune, 139,518m2 land of AHHs in Tong Sanh commune, 100,068m2 land of AHHs in Coc San commune, 52.346 m2 river and stream land. Table II-1 provide detailed information on affected land area and the number of AHHs in the construction area.

TableII-2Land area and the number of AHHs in the construction area

No. Commune

Total affected

area (m2)

Area of permanently acquired land

Total AHHsLand of AHHs

River and stream

land

1Trung Chai commune

234,152 234,152 43 181,806 52,346

2Tong Sanh commune

144,525 139,518 38 139,518

3Coc San commune

100,068 100,068 35 100,068 0

4

Land in Bat Xat district (for underground tunnel)

40,880 0 0 0 0

5

Land in Sa Pa district (for underground tunnel)

14,800 0 0 0 0

8

Total 529,418 473,738 116 421,392 52,346

30. Total area of permanently acquired land is 529,418m2, in which land for rice accounts for 32.6% and land for upland field accounts for 29.4%, the remaining is river land, land for other perennial crops, land of authority office, traffic land.

TableII-3Classification of affected land acquired by the work (m2)

No.Area of permanently acquired land

Type of land Area (m2) Managed by

1 Land for rice 175.049 Household

2 Upland 153.927 Household

3 Land for perennial crops 7.403 Household

4 Forest land 82.190 Household

5 Pond land 2.824 Household

6 River and stream land 52,346 CCP

7 Public land 55,680 CCP

Total 529,418

31. According to inventory of loss (IOL), a part in 529,418m2 is permanently acquired land. Most of the area is for building headwork: 200.380 m2 (accounts for 37,84%), land for building tunnel: 55,680m2 accounts for 10.51%, land for building plant, distribution station, operation management building: 27,496m2 (accounting for 5.19%); land for 110kv transmission lines: 2,500m2, accounts for 0.47%, land for building sub-openning of tunnel: 35,422m2 account for 6.69%,land for building for auxiliary works: 6.707m2, accounts for 1.26%, land for building site road:78,343 m2 chiếm 14.79%, land for waste dunp area: 122,890 m2 (accounts for23.21%). See table (II-3) for classification of affected land acquired by the work.

TableII-4: Classification of affected land acquired by the work (m2)

No. Items Total affected land area

1 Headwork 200,380 2 Tunnel 55,680

3Plant, distribution station, operation management building 27,496

4 110kv transmission lines 2,500 5 sub-openning of the tunnel 35,422

9

No. Items Total affected land area

6 auxiliary works 6,707

7 Site road 78,3438 Waste dunp area 122,890

Total 529,418

32. For rate of lost land of each AHH, 11 HHs lose less than 10% of land (accounting for 9.48% of total AHHs), 21 HHs from 10-30% (accounting for 18.10%), 20 HHs from 30-50% (accounting for 17.24%), 31 HHs from 50-70% (accounting for 26.72%) and 33 HHs more than 70% (accounting for 28.45%).

TableII-5: Rate of loss of HHs’ land acquired by the work (m2)

No. Commune<=10%

>10% -< 30%

30% - 50%

50% - 70% >70% Total

Sa Pa district

1 Trung Chai commune 3 3 11 14 12 43

Bat Xat district

2 Coc San commune 2 9 5 9 10 35

3 Tong Sanh commune 6 9 4 8 11 38

Total 11 21 20 31 33 116

B. Impacts on crops and trees33. According to the survey results, 235,432m2 perennial crop landwill be affected by the construction (include rice, maize, cassava, and 23,807 other perennial crops (Table II.4). Progress of construction works in the district should have close coordination with affected households so they could harvest the crop.

TableII-6 Affected land area for annual crops and perennial crops

No. Items Unit Total Coc San commune

Trung Chai commune

Tong Sanh commune

I Annual crops m2 235,432 52,961 127,96

7 54,50

4

II Perennial crops tree 23,807 12,906 1,05

2 9,84

9

10

C. Impacts on works and architectural objects

34. Coc San HPP does not affect houses, works and architectural objects of households. None of households has to displace.

D. Impacts on income and livelihood35. Land acquisition, especially land for cultivation will have impact on the livelihoods and income of the households. According to the survey, when Coc San hydropower plant is built, it will affect 116 households due to permanent acquired land in Trung Chai (Sa Pa district). Tong Sanh, Coc San (Bat Xat district). 100% of AHHs is ethnic minorities.

E. Impacts on vulnerable households36. The socio-economic survey at the time of reporting has shown that there is 20 poor households in the total 116 AHHs. These HHs shall be further assisted in compliance with the project guidelines and more details shall be described in the next chapters.

11

III. SOCIO-ECONOMIC INFORMATION OF AFFECTED COMMUNITYA. General socio-economic characteristics in project area

37. Coc San HPP is located in Sa Pa and Bat Xat districts, Lao Cai Province. In Sapa, a coomune affected by the construction is Trung Chai; in Bat Xat, two communes affected by the construction are Tong Sanh and Coc San.

Lao Cai Province

38. Lao Cai with 6,384 km2 in area is far 300km away from Hanoi to the North.Lao Cai shares borders with China to the north, Yen Bai to the south, Lai Chau Province to the west and Ha Giang province to the east. Lao Cai has one city (Lao Cai city) and eight administrative districts (including both Sa Pa and Bat Xat districts). Important Road (Highway No. 70) and railway connect to the center of the province. National Highway 4D connecting Lao Cai city with Lai Chau province, passing through Sa Pa town, is the main route for tourists to come to Sapa.

Bat Xat District

39. Bat Xat district is adjacent to Lao Cai city to the southwest, far 20km away from Lao Cai city. The district has area of 1,062 km2, accounts for 16.6% total area of Lao Cai province. Bat Xat has one town and 22 communes. Agriculture is the key in economy of the district, however, in recent years, the income from tourism is higher and higher.

Sa Pa district

40. Sa Pa is far 40km away from Lao Cai city, in the North of Bat Xat district. The district has area of 683 km2, accounts for 10.06% total area of Lao Cai province. The district has one town (Sa Pa town), 17 communes. Pa Sa town and other neighbour villages are good and famouns destinations in Vietnam. Tourisnm plays an very important role to Sa Pa town and other community in neighbour areas, while the economy is mostly agriculture–based in other parts of the district. 41. Trung Chai commune: is the II mountainous area of Sa Pa district. This commune is extremely poor commune in the north of Sa Pa, far 12.2km away from center of the district with area of 0.39km2. The commune has 7 villages, 686 households and 3,773 people. In the commune, there are 4 ethnic minority group living together: H’Mong, Dao, Kinh, Tay, in which 484 households are H’Mông, 180 households are Dao, 20 households are Kinh and 2 households are Tay. As the commune is on high mountain with difficult traffic, Trung Chai is one of the poorest communes in Sa Pa district. The total number of porr household is 201, accounts for 29.3%. Food production per capita is 332kg/person/year. The economy is mainly based on agriculture.42. Tong Sanh commune: in the south of Bat Xat district, far 30km away from the center of the district, adjacent to Trung Chai in the south. The commune has 7 villages,

12

286 households, 1,754 people. The number of poor household in the commune is 106, accounting for 37.0%.43. Coc San commune: in the southeast of Bat Xat district, far 20km away from the center of the district, adjacent to Tong Sanh commune in the west. The commune has 13 villages, 125 households, 4,233 people. Giay (accounting for 53%) and Kinh (43%) are main ethnic minority groups living in the commune. As a plain commune of Bat Xat district with favorable natural conditions for agricultural development, Coc San is one of the communes in this district who have ability to strongly develop economy. In 2014, economic growth is 13%, income per capita reaches 20.56 million VND/person/year, average food consumption per capitais 362.3 kg/person/year. The number of poor household is 34, accounting for 3.1%.

B. Socio-economic information of affected community1. Affected households are ethnic minorities

44. According to IOL, all 9 affected villages in three communes Trung Chai (Sa Pa district), Coc San, Tong Sanh (Bat Xat district) are ethnic minorities. Table III-1 below shows the number of household and the number of ethnic minority household in each commune.

TableIII-7: The Number of Household and Ethnic Minority Household

District/Commune Village Ethnic minority group AHHs

Sa Pa 43

Trung Chai

Vu Lung Sung Dao 20

Po Si Ngai Dao 11

Xin Chai H’Mong 8

ChuLin Dao 4

Bat Xat 73

Tong Sanh 38

Chu Cang Ho Dao 33

KyCong Ho Dao 3

Ta Tong Sanh Dao 2

Coc San 35

Luong Giang Giay 11

Luong Do Giay 24

13

2. Education level of AHHs45. Due to universalized Government education program, no case of illiteracy in children

(> 18 years-old) has been record in three communes, However, most of elderly women were found to be illiterate and re‐illiterate since they mostly use their own languages (ethnic languages) and do not have chance to contact with Kinh people. According to ERM’s socio‐economic survey, approximately half of the adults (>18 years old) in Trung Chai and Tong Sanh did not finish elementary school, while the number for Coc San is less than a quarter (see Table III-2).

TableIII-8: Education level of surveyed HHs in affected communes (%)

Commune No/ unfinished elementary school

Graduate from elementary school

Graduate from Secondary school

Graduate from High school

Trung Chai 47.05 17.65 35.30 0

Tong Sanh 51.76 10.34 31.00 6.90

Coc San 21.20 36.40 12.10 30.30

3. Job and income46. Income of ethnic minority households in project area is mainly from agriculture. Rice, maize, cassava are the main food source for the local people, beside, the people plant other crops, such as vegetables, beans… to increase food source and income. Some households, especially Dao ethnic people plant cardamom and forest. Giay ethnic minority households in Coc San can get income from aquaculture because they live in the place near water source. Most of households in project area breed goat, pig, chicken, cattle, horses, and poultry. However, income from livestock is unstable for these households because in reality these households only sell their animals when they need money for critical expenditure. Water buffalos are only for supporting farming.

TableIII-9Main income source of ethnic minority AHHs

Commune/village Farming (%HH)

Livestock(%HH) Fishery(%HH)

Planting cardamom

(%HH)

Afforestation (%HH)

Trung Chai

Vu Lung Sung 100 100 100 0

Po Si Ngai 100 100 100 0

14

Xin Chai 100 100 100 0

ChuLin 100 100

Tong Sanh

ChuCangHo 100 100 14.3 50 25

KyCong Ho 100 100 0 33 33

Ta Tong Sanh 100 100 50 50

Coc San

Luong Giang 100 75 50 0 25

Luong Do 100 60 40 0 20

47. In addition to farming, some surveyed households do some seasonal jobs for manual labor, such as construction worker, collecting herbs, porters in Lao Cai or border gates. The daily income for these jobs is about 150,000 – 200,000 VND which varies by type of specific job.48. Some households get income by fishing in Dum River. According to the interviews with some village heads, fishing is not a regular activity of the local people and does not provide local people with stable food source. In addition, fish resource in Dum River has been decreasing quickly in recent years because the people use electricity for fishing. 49. The income of AHHs in project area is quite low. The following income per capita of AHHs provides detailed information about income of surveyed households in affected communes. Rice, vegetables and products from livestock are enough only for daily need, they are not included in income estimation of local people.

TableIII-10: Income per capita of AHHs

Commune Average income/person/month Rate of poor household

Trung Chai 116,000 29.3

Tong Sanh 205,000 37.0

Coc San 1,150,000 3.1

50. People in Coc San commune have the highest income; it is 5 times higher than other two communes. The people in Trung Chai have the lowest income. In Coc San, the poor rate is only 3.1%, meanwhile poor rate in Trung Chai and Tong Sanh are 29.3% and 37%, respectively. The reason is that Coc San commune has advantage about valley and low terrain, land and climate is favorable for developing agriculture. In recent years, people in Coc San has transfer from planting rice to breeding fish and planting vegetables,

15

flowers which give more income than planting rice. Trung Chai and Tong Sanh are in mountainous area with poor land, therefore the average income is much lower.

51. The expenditures for daily needs of households vary by income. The expenditure often includes food, clothes, power and water bill, tuition, health care and travel. In Tong Sanh and Trung Chai, the people have just enough food for their family; especially the households having less farming land do not have enough food for their family. Therefore, the people in the two communes spend the most for food. Coc San, due to plain terrain, is a big area of farming with high efficiency and diverse foods in the farm (rice, vegetable, fish…) which meet food need of their family. Due to enough food sources, the expenditure for education of people in Coc San is the highest level in comparison to other communes. Education from pre-school to secondary for Ethnic minorities is supported from the Government. The expenditure for education of surveyed households is mainly for higher education levels (high school, college, university). This proves that they invest more in education above high school. The detailed expenditure of the households is described in Table III-5.

TableIII-11Average Expenditure of Surveyed HHs

No.Monthly expenditure Trung Chai

(VND)

Rate (%)

Tong Sanh

(VND)

Rate (%) Coc San

(VND)

Rate (%)

1 Food(rice, meat and spice) 627,000 44.81 514,000 45.90 580,000 22.7

2 Clothes 320,000 22.90 209,000 18.66 183,000 7.2

3Utilities (power, mobile phone)

170,000 12.15 150,000 13.40 226,000 8.9

4

Travel fee (petrol, motorbike maintenance, public transportation)

272,000 19.44 189,000 16.90 470,000 18.4

5

Education (all levels from pre-school to university and vocational education)

10,000 0 57,000 5.00 1,084,000 42.6

6 Health care 0.70 1,000 0.14 5,500 0.2

7Total expenditure for each household

1,399,000 100 1,120,000 100 2,550,000 100

8 Expenditure per capita 197,000 200.000 512,000

Total 100.00 100.00

4. Infrastructure and social service

52. National Highway 4D linking Sa Pa and Lao Cai pass through three communes in Project area. The CCP’s headquarter is near National Highway 4D, however, there are only few households living near National Highway 4D... Mong Sen dam is 3km far from National Highway 4D, connects to National Highway 4D by a rocky path. In 9 affected communes, there is no commune near National Highway 4D. Roads to center of affected

16

villages in Tong Sanh, Coc San were concreted. Roads to center of villages in Trung Chai are still small, difficult to travel in rainy season.53. Among all villages, Luong Do, Luong Giang Chu, Cang Ho, and Ta Tong Sanh have national grid electricity. 4 villages in Trung Chai commune and Ky Cong village of Tong Sanh commune do not have national grid electricity. In the village without national grid electricity, most of households use power from power generators which use water from streams near their houses. This source is enough for lighting in the houses and sometimes for television in rainy season when water source is full. In dry season, this power source is only enough for basic lighting. Only some households living far from streams us kerosene lamp.54. Regarding fuel sources for daily cooking, most of the affected households use firewood as the main energy source, there are only some households using gas. 55. The households use water mainly from small stream on the hill. In some villages, such as Chu Cang Ho (Tong Sanh commune) and Luong Do (Coc San commune), water is transferred to the village by concrete cannel. Meanwhile in other villages, each household use a small plastic pipe to get water from the streams to their houses. In dry season, only some villages have enough clean water, such as Vu Thung Sung village (Trung Chai commune), Chu Cang Ho and Ky Cong Ho (Tong Sanh communes). Only some communes have enough clean water, such as Vu Lung Sung (Trung Chai commune), Chu Cang Ho and Ky Cong Ho (Tong Sanh commune) and Luong Do (Coc San commune).

5. Environmental and hygiene conditions56. The local people have not cared about sanitation problem due to their low awareness

of environmental protection. According to survey results, the people maintain the habit of grazing livestock, 70% of affected households in Coc San commune have built toilets, and 30% AHHs in Tong Sanh commune, Trung Chai has temporary toilets.

57. In the project area, all communes have no waste collecting and disposal system; waste is usually buried in the garden.

6. Education system58. According the data in 2014, there are 80 pre-schools, elementary schools, secondary schools and high schools in Bat Xat and 67 in Sa Pa district. The number of school in each district is shown in Table III-6.

Table III-12: The number of school at all levels in Bat Xat district and Sa Pa

District Pre-school Elementary school

Secondary school

High school Total

Sa Pa 20 24 21 2 67

Bat Xat 23 29 26 2 80

17

59. At communal level, there is only one school for children from kindergarten to secondary school and there is no high school, if students want to go to secondary school, they must go to the towns of the district. Elementary schools and secondary school of Trung Chai, Tong Sanh and Coc San are located in the centers of the communes. The villages affected by the project is the mountainous rural area (except Luong Do) and transportation is not convenient, therefore, in addition to the elementary school situated in the center of communes, each village has 1- 2 branches of elementary school. Numbers of schools in the affected villages in Trung Chai, Tong Sanh and Coc San communes are shown in Table III-7.

Table III-13: The number of kindergarten and elementary school in affected villages

Commune/Village Kindergarten Elementary

Trung Chai commune 1 1

Vu Lung Sung village 1 1

Po Si Ngai village 1 1

Xin Chai village 1 1

Chu Lin 2 village 1 1

Tong Sanh commune

Chu Cang Ho village 1 1

Ky Cong Ho village 1 1

Coc San commune 1 1

Luong Giang village 0 0

Luong Do village 1 0

60. Field surveys and interviews show that the number of households living in Luong Giang is low and most of the land area is farmland of those who are living in Luong Do, that’s why Luong Giang has no kindergartens and elementary schools. The village Luong Do and Coc San are located in the plains and the elementary school is far 2km from the center of Coc San.

7. Health service61. The communes in the project area have health centers located in the commune center. The local people often come to health centers to get simple medical care such as immunization, vitamin supplementation, maternal health care and drug treatment for common illnesses (colds, headache, and stomach). For more important treatment demand, they will come to Sa Pa Hospital or Lao Cai Hospital.

18

8. Gender, gender equality62. The ratio between women and men in the villages affected by the plant is not much different. In Trung Chai commune, male accounts for 50.83%, female accounts for 49.17%. In Tong Sanh commune, male accounts for 52.6%, female accounts for 47.4%, in Coc San, male accounts for 49.08%, female accounts for 50.92%. (For more detail, see Table III-8).

Table III-14General information on gender rate in the affected communes

No. CommunePopulation Rate (%)

Total Male Total Male1 Trung Chai 3.773 1.918 1.855 50.83 49.172 Tong Sanh 1754 924 830 52.6 47.43 Coc San 4354 2147 2207 49.08 50.92

63. Education situation in affected communes: Gender equality has been more concerned, the proportion of girls in school has been higher, all the girls in the age are going to school, education universalization program at secondary school has been completed, 100% of children, both male and female, graduates from secondary school. 64. Regardless of gender, most of people in the affected commune come to commune

health center to treat the common and come to district or province hospital if the illness is more serious. The poor households can get benefits from medical insurance cards program.

65. In working and job, the time of earning of male and female is equal, however, women spend more time than men in housework, in general, this make the women have an unequal burden.

66. Thanks to advocacy, education, now women in the project communes can equally participate in social work, have the right to participate in deciding the important issues in their home or participate in local organizations. However, in family and assets possession, because of traditional regulations on the roles of men in a family in worshiping parents and ancestors in patriarchy society create gender inequity for women. Most of household in rural area, son have right to inherit most of land, house left by their parents. Labor allocation within a family in ethnic group still appears gender discriminatory treatment

TableIII-15Labor allocation in families in terms of gender

Work to be done apart from house works Both husband & wife (%)

Husband(%)

Wife(%)

Farming 100

Cultivating on hill field 100

Forest care 100Working in town (away from home) 100

House work Both husband & wife (%)

Husband(%)

Wife(%)

Taking care of children 90 0 10

19

Cooking 40 0 60

Clean house 30 0 70

Participating in public and social work Both husband & wife (%)

Husband(%)

Wife(%)

Participating in the public consultation meeting 100Participating in making decision 100Joining with local organizations 100

20

IV. INFORMATION DISCLOSURE, CONSULTATION AND PARTICIPATI

A. Information disclosure

67. Lao Cai Renewable Energy (Vietnam) Joint Stock Company together with group of consultants coordinate with District Compensation, Assistance and Resettlement Board (DCARB) in Sa Pa district, Bat Xat 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.

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

B. Public consultation and participation

69. During preparation of this resettlement plan, several public consultation meetings with affected ethnic minority people were taken place in February 2013 and July 2015 to discuss and evaluate the impacts as well as ensure that comments and opinions from local communities shall be taken in the report.70. The results from discussions with stakeholders during the information disclosure process and public consultation meetings shows that DCARB of Sa Pa and Bat Xat districts and Lao Cai Renewable Energy (Vietnam) Joint Stock Company 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 August 2015. (Minutes of public consultation meetings and participation, meeting pictures taken are attached in Appendix 4 and Appendix 5).

21

71. 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 consultation72. Public consultation meetings on RAP and EMDP with participation of representatives of Lao Cai Renewable Energy (Vietnam) Joint Stock Company and consultant team and local communities were held during the survey process. This Resettlement Plan will be disclosed at project site and at the World Bank as required. The opinions and aspirations of the households on Coc San HPP are shown below

73. 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-1 below describes details of community concerns and solutions committed to be implemented by the investor during the project construction process.

TableIV-16: Concerns of affected community and commitment of the investor

No. Concerns of affected community Commitment of the investor

1 Coc San commune

- The project acquires land; some households lose their farming land which affects their life and income.

- Propose Project to give proper compensation on land and crops to the local people.

Acquiring farming land is unavoidable in hydropower plant project. The investors have developed compensation plan under the provisions of Vietnam and approved by local governments. The compensation level is performed as prescribed by the state. For Coc San HPP, the households who have acquired land will face problem with income and livelihoods. The investors also have resettlement plan and Ethnic Minorities Development Plan to support the people in livelihood which is affected by the project.

- The construction process of the project will affect water quality.

Affecting water quality is unavoidable in hydropower plant project. However, the effect is only in the

22


Water used for feeding fish will be opaque causing uneven growth, illness.

short-term, only occurs during damming the river and in construction process of the project. This effect can be minimized if the investor is strictly compliant to measures outlined in the environmental management plan. After the construction period, when the plant goes into operation, the water quality will gradually be restored. The formation of the reservoir also has a positive effect to aquaculture of the local people.

Tong Sanh commune

In general, the local governments and local people in Tong Sanh commune agreed and supported investors to implement the project. The construction project will bring some real benefits for citizens and improve the quality of regional roads, but the construction process will also affect the environment, such as pollution, dust, dirt water, it is recommended that the investor should notice and solve these problems.

According to the consultant's presentation, project construction will cause some impacts on the surrounding environment such as dust pollution, water pollution... The investor has developed environmental management plan and will try to comply with the mitigation measures outlined in the report. During the implementation process, if the project causes serious pollution to the environment, the local people can contact local government and environmental officers of the investor, we will try to overcome.

Suggest that the investor should increase the compensation to the local people so that the local people are not disadvantaged by the construction project.

The investor have developed compensation plan which is approved by local governments, in the process of marking compensation area, there was participation of the local government. The level of compensation is performed as prescribed by the state. If there is any complaint about the measurement, the investor will coordinate with the commune authorities and the affected households to resolve. About

23


information on the compensation rate, the investor will give the affected households via commune management.

In the construction process of the project, the earthworks and building road will affect water source of local people, the pipes from the stream to their houses can be blocked, it is recommended that the investor should notice and solve this issue.

The investors acknowledge this opinion and will check. If the actually the pipes are blocked, the investor commits to fix, repair and solve the blocked pipes.

It is recommended that the investor facilitate employment for local people, the number of unemployed youths in the area is high, the investor can arrange for them to be admitted to work when factory operations

The investor acknowledges and will try to arrange jobs for local people if possible.

Trung Chai commune

The construction acquires a lot of forest land, which affects the lives of the local people. They cannot graze cattle, collect firewood, and suggest that the investor should support this.

The investor acknowledged this and already built compensation plan, resettlement report, ethnic minority reports to support local people with livelihoods and early stabilize their lives. We wish local people to support the project.

24

V. LEGAL FRAMEWORK AND ENTITLEMENT

74. In the framework of REDP, compensation, assistance and resettlement plan for Coc San HPP 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 (Lao Cai province). They are:

A. Policy requirements of WB 75. 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.

76. 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.

25

B. Vietnam policy framework77. 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 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 Government 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 Government 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 Government regulating on collecting land use fee.

Decree No.46/2014/NĐ-CP dated 15/05/2014 by the Government regulating on collecting land leasing fee, water surface leasing fee.

Decree No.47/2014/NĐ-CP dated 15/05/2014 by the Government regulating on compensation, assistance and resettlement when the State acquired land. (Replacement of Decree No. 197/2004/NĐ-CP) dated 3/12/2004)

78. 2013 Land Law and Decree guiding implementation mentioned above become effective from 1st July 2014. To Coc San Hydropower project, these new legal documents shall be applied for payment for compensation and assistance for survey items to be conducted after 1st July 2014.79. 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;

26

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;

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 promulgating 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;

27

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

80. The current local regulations for implementation of compensation, assistance and resettlement of Lao Cai Province are effective and proposed to apply, including:81. Decision No. 68/2007/QD-UBND on 14th Septmeber 2007 issued by Lao Cai PPC specifyies the provisions on compensation, assistance and resettlement when the State acquires land used for defense, security, national interests, public interests, economic development in Lao Cai province.82. Decision No. 26/2007/QD-UBND on 29th June 2007 issued by Lao Cai PPC on supplymenting, classifying street; ammend and supplyment land prices in urban areas, non-agricultural land for production and agricultural land, forest land, rural land in Lao Cai province.83. Decision No. 66/2008/QD-UBND on 31st December 2008, on prices of land, land classification, land zoning, street classification, land location in Lao Cai province 2009.84. Decision No. 13/2015/QD-UBND on 09th April 2015 issued by Lao Cai PPC stipulating a number of provisions on compensation, assistance and resettlement when the State acquires land in Lao Cai province.85. Decision No. 19/2015/QD-UBND on 25 April 2015 issued by Lao Cai Province on promulgation of provisions on application of price rates for compensation of plants, livestock and aquaculture when the State acquires land in Lao Cai province;86. Decision no. 17/2015/QD-UBND on 22 April 2015 issued by Lao Cai Province on promulgation of provisions on application of price rates for compensation of houses, works attached to land when the State acquires land in Lao Cai province.

D. Some regulations applied in compensation, assistance of Coc San Hydropower project

87. 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 Sa Pa and Bat Xat PCARB, investor of Coc San Hydropower project, CPC of Trung Chai, Tong Sanh, Coc San 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 AHHs having 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.

28

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

88. 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 Coc San 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 Lao Cai provincial regulations to be issued.

29

TableIV-17Entitlement matrix

No. Type of

Loss/Impacts

Scope of application

Eligible Persons

Entitlement applied for Coc San 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 entitled 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 yield to be calculated as the average

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 + assistance for the leasee for

30

No. Type of

Loss/Impacts


Eligible Persons



of the last 3 years 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.


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 entitled to further compensation.

If “land–for-land” compensation is applied, both wife and husband shall have equal rights to possess the land


Land lease and permanent land lease

For the permanently acquired land, cash assistance equal to 30% of replacement cost (this is considered

In case remain portion of investment is higher than 30% of replacement cost, DCARB

31

No. Type of

Loss/Impacts


Eligible Persons



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.

shall recalculate for identification of reasonable assistance (or refund such remain portion of investment + assistance for the lease for his income impacted.)


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)

Light damage Owners of the Similar to affected production land

32

No. Type of

Loss/Impacts


Eligible Persons



(for ex.: being able to stay on remaining portion of land, no need to relocate);

land with eligible possession right or possession right acceptable to the law


3. Houses and shops Light damage (for instance 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

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.

33

No. Type of

Loss/Impacts


Eligible Persons



structure) building permit

4. Other structures To be destroyed 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,

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.

34

No. Type of

Loss/Impacts


Eligible Persons



compensation will be equal to cost for removal and actual damage.

7 Public facilities Works, 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.

Village, ward, governmental administrative units

Restoration of building, community 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.

If damage on income is 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 land quality is unrecoverable when returned to affected people and affected people must change their land use purpose, such affected people will be entitled to compensation for all losses and in case of inability to change land use purpose, the land should be acquired and land-losing people will be entitled to

35

No. Type of

Loss/Impacts


Eligible Persons



compensation.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 agreement

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 relocation; whose total area of acquired agricultural land is

36

No. Type of

Loss/Impacts


Eligible Persons



over the affected land

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 land using organizations to their staff and officer who are still working or

37

No. Type of

Loss/Impacts


Eligible Persons



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

includes: (i) for HH with 5 and less

38

No. Type of

Loss/Impacts


Eligible Persons



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 HHsRelocation 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 impacts

Assistance policy of the project: Support to transform jobs and

recover income by training on livestock and farming/cultivating technique.

These assistances will be deployed in Ethnic Minorities Development Plan

39

No. Type of

Loss/Impacts


Eligible Persons



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 is destructed entirely or partially. Then:

Removal, handing the site at least 15 days prior to dedicated date, the bonus will be VND 5,000,000/HH.

Removal, handing the site within 15 days prior to dedicated date, the bonus will be VND 4,000,000/HH.

Removal, 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:

Removal, handing the site at least 15 days prior to dedicated date, the bonus will be VND 3,000,000/HH.

Removal, handing the site within

40

No. Type of

Loss/Impacts


Eligible Persons



15 days prior to dedicated date, the bonus will be VND 2,000,000/HH.

Removal, handing the site on dedicated date, the bonus will be VND 1,000,000/HH.

41

VI. RESETTLEMENT, COMPENSATION AND ASSISTANCE STRATEGY

A. Legal basis for calculating compensation prices89. Lao Cai 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.

B. Replacement cost identification90. In the work of compensation, supports for the impacts of the construction, replacement cost is identified under the new provisions on land of the province, in addition to taking into account the actual price at the time of determining the prices of trees and crops, architectural works on affected land.

C. Compensation for impacts and entitlement1) Compensation for affected HHs

91. The inventory of losses (IOL) estimated 421,392 m2 of farming land belonging to 116 HHs will be acquired for the construction of the plantThe total compensation cost for these lands is estimated at 4,590,179,310VNĐ (equivalent to US $ 208,645, foreign exchange rate is 22,000). The compensation price rate for affected land is the replacement price rate; the households will receive support for life stabilization and recovery of income while waiting for harvesting of the next crop (Table VI-1).

TableVI-18Total compensation for AHHs

No. Items Volume (m2) Amount (VND)

1 Trung Chai commune 181,806 2,123,237,9002 Coc San commune 100,068 1,025,966,5003 Tong Sanh commune 139,518 1,440,974,910

Total 4,590,179,310

2) Compensation for affected trees, crops92. First of all, the policy of the project is to closely cooperate with local authorities in preparation for the construction, to facilitate local people to harvest on acquired land. In the case the land is acquired before harvest to implement the work, all impacts on the crop must be compensated at market rates. According to result of Inventory of

42

Loss (IOL) the entire crop is not at harvest and the estimated cost of compensation is 313.962.694VND (14,271USD, foreign exchange rate is VND22,000).

TableVI-19: Compensation for affected trees, crops

No. Commune Unit Area Amount (VND)

Total m2 235.432 313,962,694 I Coc San m2 52.961 78,862,990 II Tong Sanh m2 54.504 63,366,000

III Trung Chai m2 127.967 171,733,704

3) Compensation for AHHsThe assistance cost for stabilizing the lives, production; transforming jobs and creating jobs for AHHs is VND1,527,873,200 (equivalent to US$69,448, foreign exchange rate is VND22,000). The applied assistance is described as following:

TableVI-20: Assistance cost for stabilizing lives, production and training

No. Items Assistance Cost (VND)

1 Stabilizing lives 663,148,000

2 Transforming jobs and creating jobs 429,094,006

3 Building infrastructure, assist the community 435,631,200

Total 1,527,873,200

93. The assistance costs in Table VI -2 are stated in Entitlement matrix; however, all households affected by Coc San HPP are households whose agricultural lands are acquired. Therefore, this section only focuses on describing the assistance costs to HHs whose agricultural lands are acquired. To be specific

Support to stabilize lives:94. Support by 5 times the price of agricultural land for the entire acquired area - not dependent on the rate of land loss (assisted area does not exceed the limit of land allocation)

Tranforming jobs and creating jobs- HHs who lose 10–50% agricultural land nông nghiệp, one family member in

working age will be assisted to transform job. - HHs who lose 50–70% agricultural land, 2 family members in working ages

will be assisted to transform jobs.- HHs who lose more than 70% agricultural land, all family members in working

ages will be assisted to transform jobs.

43

Assistance ammount is 450,000VND/ person/month*6months =2,700,000 VND.

Other assistances- In addition to the assistance for AHHs, the project will assist to build

infrastructure, assist the community, including: - Assist to build access road to Chu Cang Ho village: 204,548,000 VND- Assist to improve Van Ho- Ta Le elementary schools in Tong Sanh:

VND87,000,000- Assist to improve Po Xi Ngai primary school in Trung Chai commune:

VND37,512,200- Assist to purchase school supply for kindergraten, elementary school and

secondary school in Trung Chai commune and Tong Sanh commune: 44,244,000 VND

- Assist to provide high yield maize seed, fertilizers and pesticides in Trung Chai and Tong Sanh communes: VND 62,327,000.

4) Income rehabilitation program95. As described in Chapter II, the construction of Coc San HHP was calculated carefully to avoid and minimize the impact on productive land and the lives of the people. However, during construction, the impacts on production and living habits of the community are unavoidable. Measures have been discussed and proposed via public consultation meetings with local authority and affected HHs, specifically, supporting the cropping and livestock models which are:

– Assist building sticky purple corn model – one of specialties of the area: Provide fertilizer and technical training. Funding: 50,000,000 VND.

– Assist building model of breeding reproductive sows: Assist pigs and feed for 1 year, technical training. Funding 100,000,000 VND.

– Assist building model of breeding cows for beef and reproduction under group model, 2 households will feed a sow (fertile cow, at least 1year-old). The priority is given to the poor and who lose more than 70% of land. After the calf is born, it will be permanently owned by the first HH who breeds in the first year, the sow will be transferred to the 2nd household after the calf is capable of separating the mother, at least 6 months old. After the 2 households receive enough cows, the sow will transferred to the other affected households. Support cow, cost: 130 million VND.

(The above assistance cost is deployed as in the content of Ethnic Minorities Development Plan)

44

VII. INSTITUTION ARRANGEMENT AND IMPLEMENTATION SCHEDULE

A. Implementation schedule

96. The project shall be implemented for 2.5 years from recommencement in December 2013 to 2nd Quarter 2016), in which preparation stage is in the last 6 months 2013.During detailed engineering design, updating RP shall be done. As soon as updated RP is completed, it will be submitted by Lao Cai Renewable Energy (Vietnam) Joint Stock Company to WB for review and approval. All resettlement activities shall be interacted with construction schedule. Lao Cai Renewable Energy (Vietnam) Joint Stock Company shall not allow any construction work on site before all resettlement activities have satisfactorily completed and no more obstacles to the site for construction.

B. Institutional arrangements97. Lao Cai Renewable Energy (Vietnam) Joint Stock Company 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, Lao Cai Renewable Energy (Vietnam) Joint Stock Company shall have key responsibilities as follows:

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

Main 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.

45

98. 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

99. 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.

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

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

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.

46

V. GRIEVANCE REDRESS MECHANISM

101. Grievances related to any aspect of Coc SanHydropower 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.102. 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.103. 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.104. 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 Environment (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.

47

105. 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.

106. 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.

48

VI. MONITORING AND REPORTING

107. 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 Monitoring108. Lao Cai Renewable Energy (Vietnam) Joint Stock Company 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.109. 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 Monitoring110. 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

49

drawn from the monitoring and evaluation of resettlement. The draft TOR for external monitoring consultant is in Appendix 3111. 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.

112. 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 Lao Cai Renewable Energy (Vietnam) Joint Stock Company 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, Lao Cai Renewable Energy (Vietnam) Joint Stock Company 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

50

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.

113. After being submitted, the EMA reports will be brought out for discussion at meetings between EMA, Lao Cai Renewable Energy (Vietnam) Joint Stock Company and CARBs. Necessary remedial actions will be taken and documented.

Table VI-21Monitoring and Evaluation Indicators

Type Indicator Examples of VariablesProcess Indicators(By district and commune)

Staffing The number of Lao Cai Renewable Energy (Vietnam) Joint Stock Company staff and field staff on Project assigned by job function; andThe 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; andThe 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; andCoordination among Coc San HHP, 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 and 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; andDestroyed crops by area, type and the number of owner.

Compensation and The number of household affected (for land, buildings,

51

Type Indicator Examples of Variablesresettlement 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; andThe 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; andAmount 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 resolutionThe 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;The number of meeting held by women from affected households in planning of livelihood activities;The number of woman engaged in gainful livelihood

52

Type Indicator Examples of Variablesactivities/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 understanding the process of resettlement activities (entitlement, compensation process, etc.);The number of woman participated in discussion of resettlement site selection;Participation in commercial enterprises; andParticipation in community decision-making

Changes to Status of Children

School attendance rates (male/female); andParticipation 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; andChanges in social, cultural and community conditions.

53

VIII. BUDGET AND FINANCIAL SCHEDULE

114. Total compensation and assistance cost or impacts caused by Coc San Hydropower project construction is 7,297,977,990 VND (equivalent to USD311,726, foreign exchange is VND 22,000), including (i) compensation for affected land, (ii) Compensation for crops and trees, (iii) Assistance cost for stabilizing lives, production and training, (iv) Other assistance cost, (v) Implementation and Management cost 2%, (vi) contingency cost 10%, and (vii) independent monitoring cost.115. All cost for the implementation of the resettlement plan will be paid by Lao Cai Renewable Energy (Vietnam) Joint Stock Company. Table X-1 describes the details of the compensation cost for the impacts from the project.

TableVIII-22 Summary of resettlement costs

No. Items Unit Quantity Amount (VND)

1 Compensation cost for affected communes 4,590,179,310

2 Compensation for crops and trees 313,962,700

Annual trees m2 235,432 56,641,150

Perennial trees tree 23,807 257,321,550

3 Cost for stabilizing lives, production and training 997,514,000

Stabilizing lives, production VND 568,420,000 Trade training VND 429,094,000

4 Assistance cost for alternative livelihoods of community 435,631,200

5 Implementation and Management cost (2%) 115,420,054

6 Contingency cost (10%) 645,270,726 7 Independent monitoring cost 200,000,000

Total cost 7,297,977,990

54

Documents

World Bankdocuments.worldbank.org/curated/en/861131468177864788/... · Web view2016/05/20 · According to guidelines under OP4.12 by World Bank (WB) on involuntary resettlement,