SFG1717 REV SOCIALIST REPUBLIC OF VIET NAM MINISTRY OF AGRICULTURE AND RURAL DEVELOPMENT ============================================= MEKONG DELTA INTEGRATED CLIMATE RESILIENCE AND SUSTAINABLE LIVELIHOODS PROJECT (MD-ICRSL) RESETTLEMENT POLICY FRAMEWORK (RPF) Prepared by: Central Project Office (CPO) 23 Hang Tre, Hanoi Vietnam March, 2016 Table of Contents Table of Contents ....................................................................................................................... i Definition of Terms ..................................................................................................................iii I. INTRODUCTION ................................................................................................................. 1 1.1. Project overview ......................................................................................................... 1 1.2. Resettlement Policy Framework (RPF) ........................................................................... 1 1.3. Potential land acquisition/resettlement impacts of first year subprojects ........................ 3 II. LEGAL FRAMEWORK FOR THE RESETLEMENT POLICY FRAMEWORK .......... 6 2.1. The Legal framework of the Government of Vietnam ............................................... 6 2.2. The World Bank’s Operation Policy on Involuntary Resettlement (OP 4.12) ........... 8 2.2.1. The WB’s involuntary resettlement policy objectives ........................................... 8 2.3. Comparison between Government of Vietnam and World Bank approaches ............ 9 III. PRINCIPLES AND POLICIES FOR RESETTLEMENT, COMPENSATION AND REHABILITATION .............................................................................................................. 15 3.1. General principles ..................................................................................................... 15 3.2. Compensation Policies ............................................................................................. 16 3.3 Resettlement and Income Restoration Strategy ........................................................ 40 IV. ELIGIBILITY CRITERIA AND ENTITLEMENTS................................................... 41 V. PARTICIPATION, CONSULTATION AND INFORMATION DISCLOSURE .......... 43 VI. IMPLEMENTATION ARRANGEMENTS .................................................................. 45 6.1. Organizational Arrangements ........................................................................................ 45 6.2. Preparation and Approval procedures for a Resettlement Action Plan (RAP) during project implementation .......................................................................................................... 47 6.3. Replacement Costs Survey .............................................................................................. 48 VII. GRIEVANCE AND REDRESS MECHANISM .......................................................... 48 VIII. SUPERVISION, MONITORING AND EVALUATION .......................................... 50 IX. COSTS AND BUDGET ................................................................................................... 51 Annexes: .................................................................................................................................. 52 Annex 1: The following information will be given to PAPs in the project leaflet or in consultation meeting. .............................................................................................................. 52 Annex 2: The indicators for monitoring and evaluation..................................................... 53 i Abbreviation AP Affected person CPO Central Project Office DARD Department of Agriculture and Rural Development DCLFD District Center for Land Fund and Development DMS Detailed Measurement Survey DPC District People's Committee DRC District Resettlement Committee EMPF Ethnic Minorities Policy Framework EMDP Ethnic Minorities Development Plan ESMF Environmental and Social Management Framework GoV Government of Vietnam HH Household IOL Inventory of Losses IMC Independent Monitoring Consultant WB World Bank LAR Land Acquisition and Resettlement LURC Land Use Right Certificate MOF Ministry of Finance MOLISA Ministry of Labor, Invalids, and Social Affairs NGO Non-governmental Organization OP Operating Policy PAD Project Appraisal Documents PPC Provincial People’s Committee PPMU Provincial Project Management Unit PRA Participatory Rapid Assessment REA Rapid Environment Assessment RAP Resettlement Action Plan RPF Resettlement Policy Framework TOR Terms of Reference USD United States Dollar VND Vietnamese Dong WB World Bank ii Definition of Terms Project impacts Any impacts relating directly to land acquisition or limit using legal areas or protected areas Affected persons Any person who, as a result of the implementation of a project, loses the right to own, use, or otherwise benefit from a built structure, land (residential, agricultural, or pasture), annual or perennial crops and trees, or any other fixed or moveable asset, either in full or in part, permanently or temporarily. Cut-off-date Is the date when the PPC issues the Notification of Land acquisition for the relevant project (Article 67.1 of Land Law 2013) before implementation of detailed measurement survey. A census survey will be done before the cut-off date is announced to establish a list of potential affected households. Eligibility Any person who used the land affected by the project and listed before the cut-off-date: (i) with formal legal right to land; (ii) without formal legal right to land but have a claim to such land or assets recognized under the laws of the country (iii) without recognizable legal right or claim to the land they are occupying. Replacement cost For agricultural land, the replacement cost is the pre-project or pre-displacement, whichever is higher, market value of land of equal productive potential or use located in the vicinity of the affected land, plus the cost of preparing the land to levels similar to those of the affected land, plus the cost of any registration and transfer taxes. For land in urban areas, it is the pre-displacement market value of land of equal size and use, with similar or improved public infrastructure facilities and services and located in the vicinity of the affected land, plus the cost of any registration and transfer taxes. For houses and other structures, it is the market cost of the materials to build a replacement structure with an area and quality similar to or better than those of the affected structure, plus the cost of transporting building materials into the construction site, plus the cost of any labor and contractors’ fees, plus the cost of any registration and transfer taxes. In determining the replacement cost, depreciation of the asset and the value of salvage materials are not taken into account, nor is the value of benefits to be derived from the project deducted from the valuation of an affected asset. Resettlement Covers all direct economic and social losses resulting from land taking and restriction of access, together with the consequent iii compensatory and remedial measures. Resettlement is not restricted to its usual meaning-physical relocation. Resettlement can, depending on the case, include (i) acquisition of land and physical structures on the land, including businesses; (ii) physical relocation; and (iii) economic rehabilitation of affected persons (APs), to improve (or at least restore) incomes and living standards. Entitlements Include compensation and assistance for APs based on the type and extent of damage. Inventory of Losses Is process of accounting for physical assets and income (IOL) affected by project. Socio - Economic A socio-economic baseline survey of households, businesses, Baseline Survey or other project-affected parties needed to: identify and (BLS) accurately compensate or mitigate losses, assess impacts on household economy, and differentiate affected parties by level of impact. Vulnerable groups People who by virtue of gender, ethnicity, age, physical or mental disability, economic disadvantage, or social status may be more adversely affected by resettlement than others and who may be limited in their ability to claim or take advantage of resettlement assistance and related development benefits, include: (i) women headed household (single, widow, disabled husband) with dependents, (ii) disables (loss of working ability), the elderly alone, (iii) poor and near poor household, (iv) the landless, (v) ethnic minority groups and (vi) The social- aided households . Livelihood Economic activities and income streams, usually involving self- employment and or wage employment by using one’s endowments (both human and material) to generate adequate resources for meeting the requirements of the self and household on a sustainable basis. Income restoration Re-establishment of sources of income and livelihoods of the affected households. Stakeholders Any and all individuals, groups, organizations, and institutions interested in and potentially affected by a project or having the ability to influence a project. iv I. INTRODUCTION 1.1. Project overview 1. The Government of Vietnam and the World Bank is preparing the “ Mekong Delta Integrated Climate Resilience and Sustainable Livelihoods Project ”. The Project Development Objective is to enhance tools for climate-smart planning, and improve climate resilience of land and water management practices in selected provinces of the Mekong Delta in Vietnam. The project will directly or indirectly benefit over one million people living in the three sub-regions: (a) the upper delta (An Giang, Dong Thap and Kien Giang); (b) the peninsula (Ca Mau, Bac Lieu and Kien Giang); and (c) the coastal estuary (Ben Tre, Tra Vinh and Soc Trang). Additional rural and urban households and agribusiness in upstream and downstream regions also directly or indirectly benefit from the project intervention. 2. The project is envisioned to be the first phase of a long-term World Bank engagement in the Mekong Delta to strengthen integrated climate resilient management and development, across different sectors and institutional levels. More specifically, it will support information systems, the institutional arrangements, and the roadmap for building regional and provincial-level planning capacity for sustainable Delta-wide development. In parallel, the Project will also seek opportunities for 'low regret' investments and scope out longer term development options to be financed under future phases. The project would comprise of a combination of structural and non-structural investments, and will be informed by the World Bank financed Building Resilience in the Mekong Delta TA (P149017). The Project is proposed to span a period of 6 years, with the financing of US$ 376 million ($300 m from IDA; $76 m from GoV). 3. The project concept and approach builds up from the vision articulated in the Mekong Delta Plan developed by the Dutch, whereby the delta was viewed as different hydro-ecological zones cutting across provinces and sectors. During the scoping of the proposed project, the task team has placed heavy emphasis on coordination with other Bank projects, and those of other development partners. 4. The five components proposed under the project are: Component 1: Enhancing Monitoring, Analytics, and Information Systems (Estimated US$52 million, of which US$47.5 million will be financed by IDA). Putting the Mekong Delta on a more sustainable and resilient trajectory in the face of climate change, upstream Mekong basin development, and environmentally damaging practices within the Delta itself, will require investments in both infrastructure and the enhanced capacity to monitor, plan, and manage the Delta’s land and water resources. Component 1 provides the framework for ensuring the capacity to undertake “smart investments” and cope with anticipated wide -scale environmental changes. Component 2: Managing Floods in the Upper Delta (Est. US$ 101 million, of which US$ 79.1 million will be financed by IDA). The primary objective of this component is to protect and/or reclaim the benefits of controlled flooding (flood retention) measures while increasing rural incomes and protecting high value assets in An Giang and Dong Thap provinces. This will potentially consist of: i) modifying water and agricultural infrastructure to allow for more beneficial flooding (expanding flood retention capacity) in rural areas and offer new agricultural/aquaculture cropping alternatives; ii) providing livelihoods support measures to farmers so they have alternatives to the wet season rice crop, including aquaculture; iii) 1 constructing/upgrading infrastructures for protecting select high value assets; and iv) facilitating agricultural water use efficiency in the dry season. Component 3 : Adapting to Salinity Transitions in the Delta Estuary (Est. US$ 109.1million, of which US$ 82 million will be financed by IDA). This component aims to address the challenges related to salinity intrusion, coastal erosion, sustainable aquaculture and improved livelihoods for communities living in the coastal areas of Ben Tre, Tra Vinh, and Soc Trang provinces. This will potentially consist of: i) construction of coastal defenses consisting of combinations of compacted earth embankments and coastal mangrove belts; ii) modification of water and agricultural infrastructure along the coastal zone to allow flexibility for sustainable aquaculture activities and adapt to changing salinity levels; iii) support to farmers to transition (where suitable) to more sustainable brackish water activities such as mangrove- shrimp, rice-shrimp, and other aquaculture activities; and iv) supporting climate smart agriculture by facilitating water use efficiency in the dry season. Component 4: Protecting Coastal Areas in the Delta Peninsula (Est. US$ 101.4 million, of which US$82.2 million will be financed by IDA). This component aims to address the challenges related to coastal erosion, groundwater management, sustainable aquaculture, and improved livelihoods for communities living in the coastal and river mouth areas of Ca Mau and Kien Giang. This will potentially consist of: i) restoration of coastal mangrove belts and construction/ rehabilitation of coastal dikes in erosion areas; ii) modification of water control infrastructure along the coastal zone to allow flexibility for sustainable aquaculture activities; iv) control of groundwater abstraction for agricultural/aquaculture and development of freshwater supplies for domestic use; v) support to farmers to practice more sustainable brackish water activities such as mangrove-shrimp and other aquaculture activities; and vi) supporting climate smart agriculture by facilitating water use efficiency. Component 5: (Est. US$ 12.1 million, of which US$9.2 million will be financed by IDA). Project Management and Implementation Support. This component will be split into project management support and capacity building for MONRE and MARD. This component is expected to provide incremental running costs and consultant and advisory services for overall project management, financial management, procurement, safeguards and monitoring and evaluation. 1.2. Resettlement Policy Framework (RPF) 5. This RPF is prepared based on the World Bank’s OP 4.12 Involuntary Resettlem ent (December, 2001) and the Vietnam’s relevant laws and regulations. The objective of this RPF is to establish resettlement principles, organizational arrangements, funding mechanisms, and design criteria to be applied to subprojects to be prepared during project implementation (OP 4.12, paragraphs 26-28). This RPF will be applied to all activities of this project that result in involuntary resettlement, regardless of the source of financing. Subproject RAPs consistent with the policy framework will be submitted for the World Bank for clearance after specific planning information becomes available (OP 4.12, paragraph 29). 6. All non-Bank funded activities that in the judgment of the Bank are (i) directly and significantly related to the Bank-assisted project; (ii) necessary to achieve its objectives as set forth in the project documents; and (iii) carried out, or planned to be carried out, contemporaneously with the project, are subject to the applicability of this Resettlement Policy Framework. To this end, screening will be done during preparation of Resettlement Action Plan (RAP) of each subproject and where relevant, mitigation measures will be subsequently developed and integrated in the said RAP. 2 1.3. Potential land acquisition/resettlement impacts of first year subprojects 7. The first year investments include subprojects in Kien Giang, An Giang, Ben Tre and Tra Vinh/Vinh Long provinces. Those investments, including the construction of sluice gates, upgrading/reinforcement of dikes and embankments to control floods and salt water intrusion, or construction of various other infrastructures, may cause land acquisition and resettlement impacts. According to the social screening and the socio-economic baseline survey (BLS) conducted for the first year sub-projects, except in An Giang Province, land acquisition/resettlement impacts are generally manageable. Income restoration programs for HH losing productive land will however be necessary for some sub-projects. The impacts summaries of first year subprojects is provided in tables 1 and table 2. 8. Three Resettlement Action Plans (RAP) for Kien Giang, An Giang, Tra Vinh/Vinh Long for the first year subprojects were prepared in accordance to the provisions set forth in this RPF. RAP for Ben Tre subproject is not required as the land acquisition for the 5 proposed sluice gates have been completed in another Bank funded project closed in 2013 (Vietnam Natural Disaster Risk Management Project – P073361) 3 Table 1 – Summary description of the first year subprojects Sub-projects Province Objectives Key investments related to land acquisition Infrastructure for Climate Kien Giang  Construction/ rehabilitation of coastal defenses  Construction of the remaining 13 of the total Change and Sea Level Rise consisting of combinations of compacted earth 28 sluice gates Resilience” in An Minh and embankments and coastal mangrove belts; An Bien, Kien Giang  Modification of water control infrastructure province along the coastal zone to allow flexibility for sustainable aquaculture activities; Enhancing the ability of An Giang  Building and modifying the infrastructure to  Reinforcement of existing low embankments adaptation and water allow for more beneficial flooding (flood 37,82km (August dykes); management for the upper retention and flood exit system), exploiting the  Construction of 23,13km high embankments part of Bassac River” in An advantage of high-level water season for with several 200-300m spillways; Phu District, An Giang agricultural production; province  Construction of 15 sluice gates;  Offering new agricultural/aquaculture cropping alternatives; Infrastructure to develop Ben Tre  Construction of coastal defenses consisting of  Construction of remaining 5 sluicegates. stable livelihoods for people combinations of compacted earth in the coastal area in Ba Tri embankments and coastal mangrove belts; Ben Tre to adapt to climate  Modification of water and agricultural change infrastructure along the coastal zone to allow flexibility for sustainable aquaculture activities and adapt to changing salinity levels; Infrastructure to control Tra Vinh &  Construction of coastal defenses consisting of  Construction of 3 sluice gates: Vung Liem, spring tide and salinity to Vinh Long coastal mangrove belts; Bong Bot, Tan Dinh; support agricultural activities  Modification of water and agricultural and adapting to climate infrastructure along the coastal zone to allow change in districts of Cau Ke flexibility for sustainable aquaculture activities (Tra Vinh province), Tra On and adapt to changing salinity levels; and Vung Liem (Vinh Long province) 4 Table 2 – Summary of estimated land acquisition impacts of first year sub-projects Ethnic Subprojects General minorities Permanent impacts Temporary impacts No Province Name of subproject Total Number of Number Agriculture Residential Number of Number of Number of Number of Temporary . number of affected of land land affected relocated affected HH affected land affected household affected acquisition acquisition graves household household by land acquisition household household (m2) (m2) acquisition (m2) 1 Kien Giang Infrastructure for 58 0 58 132.240 6.882 0 58 0 0 108.000 Climate Change and Sea (public Level Rise Resilience land) 2 An Giang Enhancing the ability of 752 0 752 1.100.000 0 23 0 153 153 150.000 adaptation and water management for the upper part of Bassac River 3 Tra Vinh- Infrastructure to control 13 0 13 17.734 3.190 5 12 0 0 0 Vinh Long spring tide and salinity to support agricultural activities and adapting to climate changein districts of Cau Ke (Tra Vinh province), Tra On and Vung Liem (Vinh Long province) Total 823 0 823 1,249,974 10,072 28 70 153 153 258,000 Source: IOL October and November 2015, FSs 5 II. LEGAL FRAMEWORK FOR THE RESETLEMENT POLICY FRAMEWORK 9. This Resettlement Policy Framework was prepared in compliance with the applicable and relevant law of the Government of Vietnam related to land acquisition, compensation, support, and resettlement, and in compliance with the World Bank’s Operational Policy 4.12 on Involuntary Resettlement. 2.1. The Legal framework of the Government of Vietnam 10. The principal legal documents applied for this RPF include the followings: 11. The Constitution of the Socialist Republic of Viet Nam (2013, effective from 01 January, 2014) confirms the right of citizens to own and protects the ownership of house and production materials of citizens, compensation by market rate is made for impacts by the projects implementing for the purposes of national defense, security or public benefits (Article 32). Similarly, organizations and individuals have land use rights certificates and the rights are protected by laws and the in-case of land recovery for the purposes of national defense, security and socioeconomic development, compensation shall follow provisions of laws (Article 54). 12. In addition to the constitution, the Government has enacted a number of laws, decrees and regulations that constitute the legal framework for land acquisition, compensation and resettlement. The principal resettlement documents include the Land Law No. 45/2013/QH13; the Decree No. 43/2014/NĐ-CP on Detailed Regulations on Implementation of the Land Law No. 45/2013/QH13; the Decree No. 47/2014/ NĐ-CP on Compensation, Assistance, and Resettlement when the State Recovers Lands; the Decree No. 44/2014/NĐ- CP on Land Prices; the Circular No. 37/2014/BTNMT on Detailed Guidance on Compensation and Assistance when the State Recovers Land; and Circular No. 36/2014/TT- BTNMT on specifying detailed methods of valuation of land prices, construction, adjustment of land prices; specific land prices valuation and land prices valuation consulting service. These are the key legal documents that applied to land recovery and resettlement. 13. The Land Law 2013 provides a comprehensive framework for land acquisition and resettlement. The main points of the Law are summarized below: - The organization in charge of compensation and site clearance has to prepare a plan for compensation, support and resettlement The approved plan for resettlement must be posted at commune/ward People's Committee office and at common public places where land is recovered (Article. 69). - Under Art, 69, agencies in charge of resettlement implementation have also to conduct consultations on compensation plan through meetings with affected HH; compensation plans have to be posted at ward/commune PC office; the consultation results must be recorded in minutes which are certified by local authorities and affected HH;. Opinions from AH have to be compiled; consultation has to be conducted with HH who have objections on the plan for compensation, support and resettlement and for improving the plan 6 - The Law identifies principles and methods of land valuation with principle of market rate (Art. 114 3). - Resettlement sites must be developed and fully completed before relocation of APs. Land recovery can only be conducted after the construction of houses and infrastructure in the resettlement area is completed. (Article 85). - Support for training, career change and facilitating job searching have to be provided for HH losing agriculture land (Article 84). - Structures and other non-land assets are not compensated for the following cases: i) illegally established; ii) located on land not used in accordance with the land purpose are not compensated; and iii) built after the cut-off date (Article 92). - For agricultural land which was used before 01st July, 2004 , HH without LURC or not eligible to LURC, compensation is done for land currently used for cultivation and without exceeding the land allocation standards (Art, 77.2). - Monitoring and evaluation is required in a more general basis and is not specific to resettlement; it includes all aspects of the implementation of the Land Law (Art. 200); 14. Decree No. 47/2014/ND-CP on compensation, support and resettlement upon land recovery by the State is the main implementing Decree. Main content is summarized below: - For HH directly engaged in agricultural production ineligible for compensation under the Land Law PPC shall consider support for them (Art. 24); - Support for stabilization of livelihood is based on severity of impacts on agriculture land (Art. 19); - Support for resettlement in case of recovery of residential land. HH receiving an amount of compensation for land lower than the value of the minimum resettlement lot are entitled to support for the difference between the minimum resettlement lot value and the amount of compensation for land. In addition to compensation for land, relocated HH are entitled to a resettlement support amount (Article 22.); - Resettlement areas shall be established for one or more than one project. Houses and residential land in resettlement areas shall be arranged in different grades and areas suitable to different levels of compensation and payment capacity of resettled persons (Article 26 3); - Consultation plans on compensation, support and resettlement shall be posted up to get opinions of for at least 20 days from the starting date of posting (Article 28); - For projects requiring relocation of the whole community, affecting the livelihood, socioeconomic situation and cultural tradition of the community, investors have to elaborate a policy framework on compensation, support and resettlement. (Art. 17.1). 15. Decree No. 44/2014/NĐ-CP identifies mechanism for compensation at market rates. Compensation rates for land must be based on investigation, information on land plots, market rates and suitable valuation method; Decree 44 identified several methods for land valuation. Circular No. 36/2014/TT-BTNMT specifies detailed methods of valuation of land prices, construction, adjustment of land prices; specific land prices valuation and land prices valuation consulting service. 16. Circular No. 37/2014/BTNMT identifies the contents of plans on compensation, support and resettlement elaborated, must have the following principal contents: i) area of each category of land to be recovered; ii) estimated number of AH; iii) estimated amounts of 7 compensation and settlement support; iv) expected resettlement areas; v) budget and funding sources; vi) Schedule of plan implementation; time-bound implementation schedule (Art. 10). 17. Each province Peoples’ Committee issued decisions on compensation, assistance and resettlement when the State acquires land, based on the Land Law and implementing decrees. The policies which will apply for resettlement for the proposed subprojects are the ones prepared by each province. 2.2. The World Bank’s Operation Policy on Involuntary Resettlement (OP 4.12) 2.2.1. The WB’s involuntary resettlement policy objectives - Involuntary resettlement should be avoided where feasible, or minimized by exploring all viable alternative project designs; - Where it is not feasible to avoid resettlement, resettlement activities should be conceived and executed as sustainable development programs, providing sufficient investment resources to enable the PAPs to share in the project benefits. The PAPs should be meaningfully consulted and should have opportunities to participate in planning and implementing the resettlement programs; - PAPs should be assisted in their efforts to improve their livelihoods and standards of living or at least to restore them, in real terms, to pre-displacement levels or to levels prevailing prior to the beginning of project implementation, whichever is higher. 2.2.2. Required measures for the best resettlement results - Consulting PAPs/DPs about feasible measures for compensation and resettlement plans; - Providing PAPs/DPs with options for resettlement and recovery; - Offering PAPs/DPs opportunities to participate in and choose planning options; - Compensating fully at replacement costs for losses attributable to the project; - Resettlement sites must be provided with fundamental infrastructure and services same as the DPs’ previous residential areas at least; - Providing DPs with allowances, supports, vocational training and income assistance to facilitate their relocation; - Identifying special supports for vulnerable groups and; - Setting up an institutional structure to ensure the successful compensation and resettlement. 2.2.3 Compensation Criteria and Eligibility 18. The eligibility for obtaining entitlements to compensation follow the principles below: i. Those who have formal legal rights to land (including customary and traditional rights recognized under the laws of the country) – in the instance, it is also useful to document how long they have been using the land or the assets associated with it; 8 ii. Those who do not have formal legal rights to land at the time the census begins but have a claim to such land or assets, provided that such claims are recognized under the laws of the country or become recognized through a process identified in the resettlement plan; iii. Those who have no recognizable legal right or claim to the land they are occupying. iv. Persons encroaching land after the cut-off date determined in the project RP are not entitled to any compensation or assistance from the project. 2.2.4 Valuation and compensation for losses 19. Methods used for the valuation of losses in WB funding projects are based on full replacement costs. For this project, the losses consist of damages to land, structures and other assets and these replacement costs will be evaluated as follows: - The full replacement cost of land includes the land value as defined in accordance with the prevalent market price plus administration fees (i.e. costs for transaction, LURC etc.). - For affected houses and other structures, the valuation is based on the market prices of construction materials and labor costs to build a replacement house of equal or better quality and area to the affected one. 20. For works partly or wholly affected by the project, the compensation includes the market price of building materials plus costs for transportation, labor and contractor fees, registration fees and transfer taxes. Asset depreciation and value of salvaged materials are not deducted. 2.3. Comparison between Government of Vietnam and World Bank approaches 21. The GOV’s policies and practices both in resettlemen t and compensation are mostly compatible with the WB’s guidelines. There are several differences between the GOV’s regulations and WB’s policies in terms of compensation, assistance resettlement and livelihood rehabilitation for PAPs. The summary of differences of the two policies and a harmonizing policy with the proposed measures to close the gaps between two policies to be applied for this project, are presented in Table 3. 22. As a WB member country, the GOV has committed that, should the international agreements signed or acceded to by GOV with the WB contain provisions different from those in the present resettlement legal framework in Vietnam, the provisions of the international agreements with the WB shall prevail. According to Clause 2 of Article 87 of the Land Law 2013, “for the projects using loans from foreign and international organizations for which the State of Vietnam has committed to a policy framework for compensation, support, resettlement, the framework is applied". 23. This RPF confirms that in committing to this instrument, the GOV and the PPC grant the waivers to the relevant articles in various Vietnamese laws that contradict or are not consistent with the objectives set forth in this RPF. The measures taken to address the differences and comply with the WB policy are addressed under this RPF. 9 Table 3 - Comparison of Vietnam’s and World Bank’s Policies related to Involuntary Resettlement Subjects Bank’s OP 4.12 Government of Vietnam Project Measures 1. Land Property 1.1.Policy PAPs (Project Affected Persons) Not mentioned. Livelihoods and income sources will be objectives should be assisted in their efforts However, there is a provision of support to restored in real terms, at least, to the pre- to improve their livelihoods and be considered by PPC to ensure they have a displacement levels or to levels prevailing standards of living or at least to place to live, to stabilize their living and prior to the beginning of project restore them, in real terms, to pre- implementation, whichever is higher. production. (Article 25 of Decree 47). displacement levels or to levels prevailing prior to the beginning In case the amount of compensation/support of project implementation, is not enough for resettled people to buy a whichever is higher minimum resettlement plot/apartment, they will be financially supported to be able to buy a minimum resettlement plot/apartment (Article 86.4 of Land Law 2013 and Article 27 of Decree 47) Agricultural land used prior to 1/7/2004 is 1.2.Support for Financial assistance to all supported with an amount of equal to affected project affected persons to achieve Only agricultural land used before July 1, 100% of the land at full replacement cost; households who the policy objective (to improve 2004 is eligible for compensation. Other have no their livelihoods and standards of Agricultural land used after 1/7/2004 will cases may be considered for assistance by recognizable living or at least to restore them, be supported with an amount of 80% of the PPC if needed. land value legal right or in real terms, to pre-displacement claim to the land levels or to levels prevailing prior they are to the beginning of project Residential land and non-agricultural land 10 Subjects Bank’s OP 4.12 Government of Vietnam Project Measures occupying implementation, whichever is will be supported with an amount of at higher) least 60% of the land at the replacement cost For residential land, in case, the relocated PAP belongs to poor or vulnerable groups or HHs, the project will provide assistance to ensure that the PAP is able to relocate and re-establish themselves to a new site. . 1.3.Compensation Compensation at full cost for all No compensation Compensation at full replacement cost will for illegal structures regardless of legal be given for all structures affected, structures status of the PAP’s land and regardless of legal status of the land and structure. structure. 2. Compensation 2.1.Methods for Compensation for lost land and Compensation for lost assets is calculated at Independent appraiser identifies determining other assets should be paid at full price close to transferring the assets in local replacement costs for all types of assets compensation replacement costs, markets or the cost of newly-built structures. affected, which are appraised by land rates Provincial People’s Committees are granted appraisal board and approved by. to identify compensation prices for different Provincial People’s Committees to ensure categories of assets. Independent land full replacement costs. valuator can be used to determine land prices, which will be appraised by land 11 Subjects Bank’s OP 4.12 Government of Vietnam Project Measures appraisal board before Provincial People’s Committee approval. 2.2.Compensation Loss of income sources should be Assistance in respect of income loss is given All income losses are to be compensated for loss of income compensated (whether or not the only for registered businesses. Assistance and, where necessary to achieve the sources or means affected persons must move to measures to restore income sources are objectives of the policy, development of livelihood another location) provided. assistance in addition to compensation will be provided. It is good practice for the Not addressed. Social assessment has been undertaken 2.3.Compensation borrower to undertake a social and measures identified and being for indirect assessment and implement implemented to minimize and mitigate impact caused by measures to minimize and mitigate adverse impacts, particularly upon poor land or structures adverse economic and social and vulnerable groups. taking impacts, particularly upon poor and vulnerable groups. 2.4. Livelihood Provision of livelihood restoration Livelihood restoration and assistance Provision of livelihood restoration and restoration and and assistance to achieve the measures are provided. No follow-up for full assistance measures to achieve the policy assistance policy objectives. livelihood restoration after resettlement objectives. These will be monitored as completion. detailed in the RAP 2.5.Consultation Participation in planning and Focus mostly on consultation during Consultation and participation and disclosure implementation, specially planning (consultation on draft plan of incorporated into RAP design, along with confirming the eligibility criteria compensation, support and resettlement and information sharing with PAPs and for compensation and assistance, plan for training, career change and stakeholders. 12 Subjects Bank’s OP 4.12 Government of Vietnam Project Measures and access to Grievances Redress facilitating job searching); information Mechanisms sharing and disclosure. 3. Grievance redress mechanism PAPs are entitled to send Grievance redress mechanism More effective Grievance and Redress complaints/grievances of any issues related should be independent to the compensation, assistance and mechanisms are to be established, built on resettlement to the competent agencies to be the existing governmental system, with handled the grievances at the first and monitoring by an independent monitor second steps. At the same time, complainants can go to court at any steps as PAP wishes (Articles 28, 32, 33 of Law on Grievance No. 02/2011/QH13 dated 11 November, 2011 4. Monitoring & Evaluation Internal and Both internal and external (independent) independent Citizens are allowed to supervise and report monitoring are required on breaches in land use and management onmonitoring is to be regularly maintained their own (or through representative (on a monthly basis for internal and bi- organizations), including land recovery, annual basis for independent monitoring). compensation, support and resettlement An end-of-project report will be done to (Article 199, Land Law 2013). confirm whether the objectives of OP 4.12 There is no explicit requirements on were achieved. monitoring of the resettlement works, including both internal and independent 13 Subjects Bank’s OP 4.12 Government of Vietnam Project Measures (external) monitoring 14 III. PRINCIPLES AND POLICIES FOR RESETTLEMENT, COMPENSATION AND REHABILITATION 3.1. General principles 24. All projects affected people (PAP) who have assets within or reside within the area of project land-take before the cut-off date are entitled to compensation for their losses. Those who have lost their income and/or subsistence will be eligible for livelihood rehabilitation assistance based on the criteria of eligibility defined by the project in consultation with the PAPs. If, by the end of the project, livelihoods have been shown not to be restored to pre- project levels, additional measures will be provided. - The compensation rates will be determined based on the results of independent appraisal of the land/crops/assets (associated with the land) in a timely and consultative manner. All fees and taxes on land and/or house transfers will be waived or otherwise included in a compensation package for land and structures/or houses or businesses. The local authorities will ensure that PAP choosing relocation on their own, obtain, without additional costs, the necessary property titles and official certificates commensurate with similar packages provided to those who choose to move to the project resettlement sites. - Land will be compensated “land for land”, or in cash, according to PAP’s choice whenever possible. The choice of land for land must be offered to those loosing 20% or more of their productive land. If land is not available, Project Management Unit (PMU) must assure itself, that this is indeed the case. Those loosing 20% or more of their land will have to be assisted to restore their livelihood. The same principles apply for the poor and vulnerable people losing 10% or more of their productive landholding. - PAPs who prefer “land for land” will be provided with land plots with the equiv alent productive capacity for lost lands or a combination of land (a standard land plot) in a new residential area nearby for residential land, and cash adjustment for difference between their lost land and the land plots provided. The resettlement area will be planned properly and implemented in consultation with the PAPs. All basic infrastructures, such as paved roads, sidewalks, drainage, water supply, and electricity and telephone lines, will be provided. - PAPs who prefer “cash for land” will be compensated in cash at the full replacement cost. These PAPs will be assisted in rehabilitating their livelihoods and making their own arrangements for relocation. - Compensation for all residential, commercial, or other structures will be offered at the replacement cost, without any depreciation of the structure and without deduction for salvageable materials. Structures shall be evaluated individually. Any rates set by category of structure must use the highest value structure in that group (not the lowest). 15 - Households whose income generation activities, or livelihoods are affected as a result of construction (temporary impact) will be compensated for at replacement costs principle. - As for the displaced households affected with shelter (displaced from existing residential land because the remaining land area is not feasible for building house or entire land acquisition), the local resettlement board needs to conduct consultations and makes agreed solutions to assist for new shelter for affected households. - The displaced households affected with shelter that capable of building house on the remaining land (not subject to displacement) will be applied general policies of the project in accordance with the agreed entitlement matrix. - The PAPs will be provided with full assistance (including a transportation allowance) for transportation of personal belongings and assets, in addition to the compensation at replacement cost of their houses, lands and other properties. - Compensation and rehabilitation assistance must be provided to each PAP at least 30 days prior to the taking of the assets for those who are not to be relocated and 60 days for those who will have to be relocated. Exceptions should be made in the case of vulnerable groups who may need more time. - If, by the end of the project, livelihoods have been shown not to be restored to pre- project levels, additional measures will be provided. - Additional efforts, such as economic rehabilitation assistance, training and other forms of assistance, should be provided to PAPs losing income sources, especially to vulnerable groups, in order to enhance their future prospects toward livelihood restoration and improvement. 3.2. Compensation Policies 25. All APs who are identified in the project-impacted areas on the cut-off date will be entitled to compensation for their affected assets, and rehabilitation measures sufficient to enhance, or at least restore their livelihoods in real terms relative to pre-project levels; and to improve the standards of living of the affected poor and other vulnerable groups. The cut-off date will be the date when the PPC issues the Notification of Land acquisition for the relevant project (Article 67.1 of Land Law 2013) before implementation of DMS. A census survey will be done before the cut-off date is announced to establish a list of potential affected households. Those who encroach into the investment area or building their new assets (rehabilitation, construction of houses/structures, new tree planting) after the cut-off date will not be entitled to compensation or any other assistance. 3.2.1. Compensation Policy for Permanent Impact For Loss of Agricultural land 26. Legal land users: 16 If the lost area represents less than 20% of a Household’s (HH’s) land holding (or less than 10% for poor and vulnerable groups), and the remaining area is economically viable, compensation in cash will be at 100% replacement cost for the lost area. If the lost area represents 20% or more of the HHs’ land holding, (or 10% or more for the poor and vulnerable groups) or the remaining area is economically not viable, then “land for land” compensation should be considered as the preferred option. If no land is available, then PMU must demonstrate this to the World Bank’s satisfaction before proceeding. If land is not available, or if the PAP prefers cash compensation, then cash compensation will be provided for the lost area at 100% of land replacement cost, and the PAP will be provided with rehabilitation measures to restore the lost income sources, such as agricultural extension, job training, provision of non-agricultural land at a location appropriate for running off-farm business or services. If the PAPs wish, and there is land of similar value elsewhere, the project should also assist these PAPs to visit these areas and help with legal transactions should they wish to acquire them. For agricultural land lying intermixed with residential areas, and garden and pond land lying adjacent to residential areas, apart from compensation at the price of agricultural land having the same use purpose, monetary support shall also be provided; with the prices for such support being equal to between 50% and 70% of the prices of adjacent residential land; and with the specific support levels being decided by the Provincial People's Committees (PPC) to suit local conditions. 27. Users with temporary or leased rights to use communal/public land (PAPs who rent communal or public land): Cash compensation at the amount corresponding to the remained investment put on the land or corresponding to the remained value of the land rental contract, if it exists. For PAPs currently using land assigned by State-owned agricultural or forestry farms on a contractual basis for agricultural, forestry, or aquaculture purposes (excluding land under special use forests and protected forests), compensation shall be provided for investments made on the land, but not for the land itself, and these PAPs will also receive additional support for income rehabilitation if they are directly involved in agricultural activities as per Government’s regulations. Where PAPs receive land on a contractual basis but are other than the individuals specified as above, they shall only receive compensation for investments made on the land. 28. Land Users who do not have formal or customary rights to the affected land. Instead of compensation, these PAPs will receive rehabilitation assistance at 80% of the land value in cash. Agricultural land used before July 1, 2004 will be compensated at 100% as per Article 77.2 of the land law. These PAPs will be entitled to the rehabilitation measures mentioned above, to ensure that their living standards are restored. In cases where the land is rented through civil contracts between individuals, households or organizations, then the compensation for crops, trees or aquaculture products will be paid to the affected land users and PMU shall assist the renter to find similar land to rent. 17 In cases when PAPs utilize public land (or protected areas), with an obligation to return the land to the Government when requested, the PAPs will not be compensated for the loss of use of the land. However, these PAPs will be compensated for crops, trees, structures and other assets they own or use, at full replacement cost. The social and baseline assessment should consider if a physical impediment caused by the MD-ICRSL Project (such as a new public safety restriction) will impose additional costs on PAPs, and whether additional compensation is required to offset these costs. For Loss of Residential Land 29. Loss of residential land without structures on it: for legal and/or legalizable land users, all compensation for loss of land will be made in cash at full replacement cost. For land users who have no recognizable land use right, financial assistance will be provided. The amount will be determined by the respective PPC. 30. Loss of residential land with structures built thereon, where the remaining (non- acquired) land is adequate to rebuild the structure (reorganizing PAP) : Compensation for loss of land will be made in cash at (i) full replacement cost for legal and legalizable land users; (ii) Financial assistance of an agreed amount will be provided to land users who do not have recognizable land use rights. 31. Loss of residential land with structures built thereon, and the remaining land is not adequate to rebuild the structure (relocating PAP): (i) For PAPs who have legal or legalizable rights to the affected land:  A land plot of equivalent size and quality, in a well-developed resettlement site. Where land is not available, an apartment will be provided to the PAP. This will be done in consultation with the PAP. Full ownership title to the land or apartment will be given at no cost to the PAP. OR,  On request of and with full consultation with the PAP, cash compensation at full replacement cost, plus the amount equivalent to the value of the infrastructure investments calculated as an average for each household in a resettlement site. In this case, the household will be expected to relocate themselves. In the event that the compensation amount to be paid is less than the cost of a minimum land plot /apartment in the project’s resettlement site, PAPs will be given the support needed to allow them to acquire the new land plot/apartment at no additional cost to them. If a land plot/apartment in the resettlement site is not PAP’s chosen option, a financial assistance, equivalent to the difference in the value of the chosen and actually received land plot/apartment will be provided to them. (ii) PAPs who do not have formal or customary rights to the affected land:  The households whose land is affected will be assisted in cash with an amount of 60% of the land at the replacement cost. 18  If the PAP has no place to move, a land plot or an apartment satisfactory to them will be provided in the resettlement site and they can either pay in installment or rent it for living. In case the relocated PAPs belong to poor or vulnerable groups or households, additional assistance (in cash and kind) will be provided to ensure that they are able to fully relocate to a new site. For Loss of House/Structures 32. Compensation or assistance in cash will be made for all affected private-owned houses/structures, at 100% of the replacement costs for materials and labor, regardless of whether or not they have title to the affected land or a construction permit for the affected structure. The compensation/assistance amount will be sufficient to rebuild the affected house/structure of the same quality. As per OP 4.12 cash compensation will be at full replacement cost in local markets. No deductions will be made for depreciation or salvageable materials. If the house/structure is partially affected, a financial assistance will be provided to enable PAPs to repair the affected house/structures to restore it to the former condition, or better, at no additional cost to them. 33. Tenants  Tenants of state-owned or organization-owned houses will be: (i) entitled to rent or buy a new apartment of an area at least equal to their affected ones or (ii) provided a financial assistance equivalent to 60% of replacement cost of the affected land and houses. The affected structures built at the PAP’s own costs will be compensated for at full replacement costs.  Tenants who are leasing a private house for living purposes will be provided with transportation allowance for moving assets, and will be assisted in identifying alternative accommodation. For Loss of Standing Crops and Trees or aquaculture products 34. For annual and perennial standing crops, trees or aquaculture products, regardless of the legal status of the land, cash compensation at full replacement cost will be paid to the affected persons who cultivate the land. The compensation will be sufficient to replace the lost standing crops, trees or aquaculture products at local market rates. Perennial crops or trees will be compensated at a rate calculated on their life time productivity. Where affected trees can be removed and transported, compensation will be paid for the loss of the tree plus the transportation cost. For Loss of Income and/or Business/Productive Assets 35. For PAPs losing income and/or business/productive assets as a result of land acquisition, the mechanism for compensating will be:  Allowance for stable production, business: All affected businesses and production households whose income is affected will be compensated and/or supported for losses 19 in business equivalent to 30% of their actual annual income: (i) For licensed businesses the compensation will be based on their average yearly income as declared with the taxation agency over the previous three years, and (ii) For unregistered affected businesses but have made their tax obligations the compensation will be supported by 50% of the specified support.  Employees who are affected by acquisition of residential/commercial land acquisition, public land or land of enterprises: Allowance equivalent to the minimum salary as per the regulations to affected employees during the transition period which can be for a maximum of 6 months. Assistance in finding alternative employment will also be given.  If the business has to be relocated, the project will assist in finding an alternative site with location advantage and physical attributes similar to the land lost, and with easy access to a customer base, satisfactory to the PAP. Alternatively, the PAP will receive compensation in cash for the affected land and attached structures at replacement cost, plus transportation allowance for movable assets. Compensation for Graves 36. Compensation for the removal of graves/ tombs will include the cost for buying of land for re-burial, excavation, relocation, reburial and other related costs which are necessary to satisfy customary requirements. Compensation in cash will be paid to each affected family or to the affected group as a whole as is determined through a process of consultation with the affected community. The level of compensation will be decided in consultation with the affected families/communities. Household and individual graves are considered physical cultural resources (PCR) and even though the costs associated with their relocation will be covered in the resettlement plan, the WB OP 4.11 on Physical Cultural Resources should be triggered and relevant cross references should be made to the Environmental Management Plan or Project Implementation Manual. Compensation for other assets 37. In the case of the affected households is equipped with telephone system, water meter, electric meter, cable TV, internet access (subscription), shall be compensated according to unit price of installing new units offer service announcement or relocation costs due to service providers regulations. Compensation for Loss of Public Structures 38. In cases where community infrastructure such as schools, factories, water sources, roads, sewage systems, medical centers, distribution/transmission, communication and fiber cable are damaged and the community wishes to reuse them, the project will ensure that these are restored or repaired as the case may be, at no cost to the community. Public infrastructure directly related to people’s livelihoods and developmental needs, such as irrigation canals, school, clinic, etc. will be restored/rebuilt to pre-project or higher quality levels or compensated at replacement cost, as determined through consultation with the affected community. 20 39. Land acquisition for the safety corridor of construction, AHs have houses and constructions on the land in safety corridor of construction, to be considered, assessed on impacts level and compensated and assisted in accordance with the policy of the project. 3.2.2. Compensation Policy for Temporary Impact during Construction 40. When PAPs are adversely impacted by project works on a temporary basis, they are entitled to the following:  Compensation for all affected assets/investments made on the land, including trees, crops etc., at full replacement cost;  Cash compensation for rental loss, which is at least equivalent to the net income that would have been derived from the affected property during the period of disruption; Damages caused by contractors to private or public structures: 41. Damaged property will be restored to its former condition by contractors, immediately upon completion of civil works. Under their contract specifications, the contractors will be required to take extreme care to avoid damaging property during their construction activities. Where damages do occur, the contractor will be required to repair the damage and may also be required to pay compensation to the affected families, groups, communities, or government agencies at the same compensation rates that are applied to all other assets affected by the Project. Secondary PAPs: 42. This refers to PAPs affected by development of individual resettlement or group resettlement sites. Because all secondary PAPs are likely to be affected in similar ways as primary ones, they will be entitled to compensation and rehabilitation assistance in accordance with the impacts on them and according to the same compensation rates and procedures that apply to all PAPs affected in this project. Compensation for Loss of Community Assets: 43. In cases where community infrastructure such as schools, bridges, factories, water sources, roads, sewage systems are damaged, the project will ensure that these will be restored or repaired at no cost for the community, and be done to a standard that meets the community’s satisfaction. Any other impacts that may be identified during implementation 44. Any other impacts identified during project implementation will be compensated in accordance with the principles of this RPF and World Bank OP 4.12. Any disruption of business will be compensated in accordance with the principles of this RPF. 21 45. Households whose income generation activities, or livelihoods are affected as a result of construction (temporary impact) will be compensated for at replacement costs principle. In process of assistance plan development, it needs to determine and consult fully with AHs. 3.2.3. Allowances and Rehabilitation Assistance 46. Besides the compensation for affected assets, PAPs will be provided with financial assistance to cover their expenses during the transition period. The assistance levels will be adjusted, taking into account inflation factor and price increase to be appropriate to the payment time. They include, but are not limited to: For Impacts on Residential Land a. Transportation Allowance to relocating PAP: The support level moving to new location: moving in the city will be decided by PPC. b. Removal Support: Organizations and PAPs that are allocated or leased land by the state or are lawfully using land and have to relocate their productive and/or business establishments are entitled to financial support for dismantling, relocating and re- installation of the establishment. Support levels will be determined by actual costs at the time of removal, based on self-declaration of the organizations and verification by the agency in charge of compensation. This will then be submitted to the relevant authorities for approval. c. House Renting Allowance or temporary accommodation will be provided to PAPs who may be forced to relocate from their original homes and are still awaiting the replacement land plots or apartments. In the case of replacement land plots, the rental allowance will extend to the period during which the new house is being built. For Impacts on Agricultural Land:  Allowance for Loss of Livelihood (during transition period): (i) PAPs losing 20 - 70% of their agricultural landholding (or 10 - 70% for the poor and vulnerable groups) will be provided with compensation by 30 kg of rice /person/month for 6 months if they do not have to relocate, and for 12 months in case of relocation. In some special cases, in extremely difficult areas, the compensation may be provided for a maximum of 24 months; (ii) PAPs losing more than 70% of their agricultural landholding will be assisted at the above rate for a period of 12 months if they do not have to relocate, and 24 months in case of relocation. In some special cases, in extremely difficult areas, the compensation may be provided up to a maximum of 36 months; (iii) Households affected by loss of less than 20% of land, where the remain ing land is rendered unviable for continued use, will be assisted with the above support plus any additional support as determined, for a period of 12 months. In case of land-for-land compensation, PAPs will be assisted with seedlings, agricultural-forestry extension programs, husbandry etc.  Vocational conversion assistance: The project will offer a range of training options in consultation with the affected PAPs and relevant to the market demand and needs of 22 the area. The financial compensation will from 1.5 to 5 times the agricultural land prices established by PPC of the acquired agricultural land, but subject to the local land allocation limit as per Government’s regulations.  Support for training, apprenticeships on vocational training establishments: At least one member of each affected household will be entitled to vocational training and assistance in getting employment in the PPC. The PAPs participating in such training programs will be exempted from payment of tuition fees. After finishing training courses, they will be given priorities to be recruited in local manufacturing industries. The cost to support each student shall comply Decision No. 46/2015/QD-TTg, dated on September 28, 2015, on the Policy provisions training support primary level, training under 03 months;  Assistance for agricultural, garden and pond land adjacent to, but not included in the category of residential land: Additional assistance (equivalent 40% of the cost of compensation for the adjacent residential plot) for garden land and pond land; and (at 50% of the cost of compensation for the adjacent residential plot) for agricultural land. Other allowances/ assistance:  Incentive Bonus: All PAPs who vacate the affected land immediately after receiving compensation and allowances will be given an incentive allowance consistent with each province.  Repair Allowance: If house/structure is partially affected and the remaining structure is viable for continued use, the project will provide a repair allowance equivalent to 20% of the compensation for the affected part of the structure, to enable PAPs to restore it to former or better conditions.  Relocated households which eligible for resettlement, but self - accommodation: an amount supported for investment in infrastructure cost/m2 announced by the Ministry of Construction, the land area to support is the actual recovery land but not exceeding the limit of land allocation in accordance with regulations.  Households relocating with school-going children will be supported with 1- year tuition as regulated by the Ministry of Education Allowances/ Assistance Targeted to Vulnerable Households:  For landless households: Assistance through provision of an apartment with either payment by installment to buy it or rent it for living (at PAP’s choice). Additional assistance will be considered if needed to ensure the PAP have a place to live.  Social Policy: (i) Relocated Households which included heroic mothers, heroic armed force, heroic labor, war veterans, wounded or dead soldiers; (ii) Poor Relocated Household or Poor Household whose 10% or more of their productive land affected or where <10% land affected but the remaining land will be provided with support as regulated by the PPCs (to be certified by local authority).  Other vulnerable groups: Female headed households with dependents, household with disabled persons, elderly without any source of support, poor and ethnic minority 23 households will get the same additional support given to poor households in accordance with the provincial policy.  PAPs who will lose income sources will be entitled to take part in Income Restoration Programs. Rehabilitation measures like agricultural extension services, job training and creation, credit access and/or other measures as appropriate will be given to PAPs losing income sources to ensure their livelihood could be restored to the pre-project level. Apart from the assistances mentioned above, based on the actual situation, the Project may consider other assistances to secure life stabilization, culture, production and livelihoods of APs. 24 Table 4- Matrix of Entitlements Type of Loss/ Impacts Application Entitlements Implementation Arrangements 1. Productive Legal land users Cash compensation at replacement cost (free - Affected households to be notified at land 1 (Agricultural, from taxes and transaction costs) for the least ninety days before land recovery 1.1. Marginal loss (< 20% of garden, pond land, etc.) affected area of the land. by the Project. land holding or < 10% for either in or out of the vulnerable group) The - The owner of land will hand over the residential area. remaining area of affected land within 20 days from the date plot is still economically District Compensation Board fully viable for use or meets the pays compensation for land. expected personal yield. 1.2. Loss of no less than Land for land compensation should be as the - Other assistance options which city 20% or no less than 10% preferred option. If land is not available, or at could decide based on the locality for vulnerable groups the PAP’s choice, cash compensation can be conditions. provided for the lost area at 100% of land - Affected households to be notified at replacement cost. The PAP will be provided least ninety days before land recovery with the additional rehabilitation measures to by the Project. restore the lost income sources. - The owner of land will hand over the land within 20 days from the date District Compensation Board/ has paid 1The sub-categories of productive land such as agricultural, forestry, garden, aquaculture and pond will be compensated at different rates. These will be specified and detailed in the Resettlement Action Plans to ensure the compensation is reflective of current rates and takes into account geographic variation. Land on which businesses are located will be compensated as detailed in the section on relocation of business. 25 Type of Loss/ Impacts Application Entitlements Implementation Arrangements compensation and other allowances in full. - For poor, vulnerable and severely affected farmers, including landless, allocation of arable land equal to per capita arable land in commune, or if there no land available for allocation or, on the PAPs request through informed choice, training/ rehabilitation programs will be provided to at least restore, if not improve, their income and living standards. Land Users with temporary Cash compensation at the amount or leased rights to use land. corresponding to the remaining investment on the land. Land Users who do not PAPs will receive assistance corresponding to have formal or customary 80% of land replacement cost. Agricultural rights to the affected land land used before July 1, 2004 will be compensated at 100% as per Article 77.2 of the land law. In addition to above, rehabilitation/training assistance will be provided. 26 Type of Loss/ Impacts Application Entitlements Implementation Arrangements In case the PAP uses public land where there was previous agreement to return the land to the Government when so requested, they will not be compensated for the acquired public land but will be compensated for structures, crops, trees and other assets on the land at 100% of the replacement cost. 2. Residential land 2.1. Marginal loss (i.e., land Compensation for loss of land in cash at (i) - Affected household to be notified at is still viable for use and not replacement cost to the legal and legalizable least 180 days before land recovery by requiring relocation). land users; (ii) If affected lands are not entitled the Project. to the compensation, PAPs will be assisted in - The owner of land will hand over the cash with an amount of 60% of the land at the land within 20 days from the date replacement cost. District Compensation Board/ has paid If PAPs have to rebuild their houses, they will compensation in full. receive a house rental allowance for 3 months in recognition of the time needed to rebuild their houses. 2.2. Relocated PAPs (i) Legal or legalizable land users: - Affected household to be notified at A land plot in a resettlement site or apartment least 180 days before land recovery by will be provided to the PAP, in consultation the Project. with them. They will have full land title or - The process of compensation for a apartment ownership title without any cost to plot/apartment for legal and legalizable PAPs at the resettlement 27 Type of Loss/ Impacts Application Entitlements Implementation Arrangements them. site will be as follows: Or, on request of the PAPs through informed - If the selling cost of minimum choice, cash compensation at full replacement plot(s)/apartment at the new site is cost plus the amount equivalent to the value of more than the value of the affected the infrastructure investments calculated residential land, PAPs receive new averagely for each household in a resettlement plot/apartment at no additional cost. site. In this case, they will be expected to - If the plot(s)/apartment at the new relocate themselves. site is equal the value of affected If the compensation amounts is less than the residential land, PAPs receive new cost of a minimum land plot/apartment in the plot/apartment at the new site without project’s resettlement site, PAPs will be any balance. provided additional supported to enable them to - If the plot(s)/apartment at the new acquire the land plot/apartment (or cash site is less than the value of affected assistance will be provided equivalent to this residential land, PAPs will receive difference for self-relocated PAPs). plot/apartment and the difference in (ii) PAPs who do not have formal, or cash. customary rights to the affected land: The planning and detailed design for If affected lands are not entitled to the the relocation sites will be done by compensation, PAPs will be assisted in cash consultant of DCB in consultation with an amount of at least 60% of the land at with stakeholders and then approved the replacement cost.. by the PPC. In case the relocated PAP belongs to poor or Detailed regulation on plot/apartment vulnerable groups or HHs, the project will allocation will be developed by DCB 28 Type of Loss/ Impacts Application Entitlements Implementation Arrangements provide assistance to ensure that the PAP is through consultation with commune able to relocate and re-establish themselves to a and PAPs, followed by approval of new site. PPC. For relocating households, assistance is in form of land-for-land of similar characteristics with title at no cost. The replacement land is no less than 40m2, or compensation in cash with equal value if PAPs for self-relocation. Area and number of land plot/apartment in resettlement sites will be decided in consultation with PAPs. For poor or vulnerable PAPs who have no other residential land in the same as their affected commune, the project will provide an apartment and the PAPs can either pay in installment to buy or rent it for living. 3. Houses 3.1. Partial impact: - If house/structure is partially affected and the The calculation of rates will be based remaining structure is viable for continued use, on the actual affected area and not the Unaffected portion of the house is still viable for use the project will provide a house/structure repair useable area. cost, in addition to the compensation for 29 Type of Loss/ Impacts Application Entitlements Implementation Arrangements and could be remained from affected portion at replacement cost, to enable the technical viewpoints, PAPs to restore it to former or better therefore, require no conditions. relocation. - Compensation for other structures/fixed assets will be at full replacement cost and will be in cash. 3.2. Full impact (i.e., house - Compensation in cash for entire affected The calculation of rates will be based is partially acquired by the structures will be provided at 100% of the full on the actual affected area and not the project but no longer viable replacement cost for materials and labor, useable area. for continued use or the entire regardless of whether or not they have title to structure is acquired). the affected land or permit to build the affected structure. The amount will be sufficient to rebuild a structure the same as the former one at current market prices. No deductions will be made for depreciation or salvageable materials. - Compensation for other structures/fixed assets will be at full replacement cost and will be in cash. Tenants of state or organization’s houses will be: (i) entitled to rent or buy a new apartment of the area at least equal to their affected ones; or (ii) provided an assistance equal 60% of replacement cost of the affected land and houses. Any investments such as structures, trees, crops etc. made on the land by 30 Type of Loss/ Impacts Application Entitlements Implementation Arrangements the PAPs will be compensated at their full replacement cost. The tenants who are leasing a private house for living purposes will be provided with transportation allowance for moving their assets. They will also be assisted in identifying alternative accommodation. 4. Crops and Trees, Owners regardless of tenure For annual and perennial standing crops or PAPs will be given notice several aquaculture products status trees, aquaculture products regardless of the months in advance regarding legal status of the land, compensation in cash evacuation. Crops grown after will be paid to the affected persons, who issuance of the deadline will not be cultivate the land, at full replacement cost in compensated. local markets to ensure the compensation is sufficient to replace the lost standing crops, trees or aquaculture products. 5. Public structures Loss of, or damage to assets Either in (i) cash compensation to cover the For public structures, the displacement cost of restoring the facilities or (ii) in kind will be carried out by the owners prior compensation based on the negotiation between to the start of works. District Compensation Board and owners of assets. 6. Communal-owned Loss of, or damage to assets Either (i) cash compensation to cover the cost For the communal owned assets assets, collective assets of village, ward, commune, of restoring the facilities or (ii) in kind directly affecting lives and production 31 Type of Loss/ Impacts Application Entitlements Implementation Arrangements district, provincial compensation based on the negotiation between activities of the community, government unit. DCB and owners of assets. restoration must be done prior to the start of works. 7. Graves Have to move the graves or - All costs of excavation, relocation and tombs reburial will be reimbursed in cash to the affected family. - Graves to be exhumed and relocated in culturally sensitive and appropriate ways. 8. Loss of Income/ Impacts due to permanent - Allowance for Loss of Livelihood: Affected Livelihood due to loss of loss of 20% or more of their person will be compensated with 30kg of productive land total productive land or where rice/person/month, including: <20% land affected but the (a) : Affected households losing 20% to 70% of remaining land is rendered their agricultural land will be assisted for 6 unviable. months if the remaining land is viable for (Legal, legalizable land users continued use, and for 12 months in case the and PAPs with lease remaining land is rendered unviable and entire agreement over the affected land is acquired by the project. In some special land) cases, in extremely difficult areas, the assistance may be given up to a maximum of 24 months; (b) Affected households losing more than 70% of their agricultural land acquired will be 32 Type of Loss/ Impacts Application Entitlements Implementation Arrangements assisted for 12 months if the remaining land is viable for continued use, and for 24 months in case the remaining land is rendered unviable and entire land is acquired by the project. In some special cases, in extremely difficult areas, the assistance may extend to a maximum of 36 months; In addition, these PAPs will be targeted for livelihood restoration program; (c) households affected by loss of <20% of land and the remaining land is rendered unviable for continued use, the PAPs will be provided assistance for 12 months; Assistance for agricultural, garden and pond land in the residential area adjacent to residential land, but not recognized as residential land: Additional assistance (40% of the cost of compensation for the adjacent residential plot) for garden land and pond land; and (at 50% of the cost of compensation for the adjacent residential plot) for agricultural land. In case of land-for-land compensation, PAP will be assisted with seedlings, agricultural- forestry extension programs, husbandry etc. Vocational conversion assistance : Every PAP 33 Type of Loss/ Impacts Application Entitlements Implementation Arrangements affected by loss of productive land, irrespective of the degree of impact, will be provided with additional assistance equivalent to at most 5 times the agricultural land price established by PPC. Support for vocational training and job creation: At least one member of households affected by loss of productive land will be entitled to vocational training and assistance in getting employment in the province. The PAPs participating in such training programs will be exempted from payment of tuition fees course will be paid directly to the vocational training centers. After finishing training courses, they will be given priority to be recruited in local manufacturing industries. 9. Loss of Income/ Marginal impacts Livelihood due to relocation of business 34 Type of Loss/ Impacts Application Entitlements Implementation Arrangements Owner of the affected For PAPs losing income and/or business and employees business/productive assets as a result of land acquisition, the mechanism for compensating will be: (i) Allowance for Business Loss: All affected businesses and production households whose income is affected will be compensated or supported for losses in business equivalent to 50% of their actual annual income: (a) For licensed businesses the compensation will be based on their average yearly income declared with the taxation agency over the previous three years, and (b) For unregistered affected businesses but have made their tax obligations the compensation will be supported by 50% of the specified (ii) Employees who are affected by acquisition of residential/commercial land acquisition, public land or land of enterprises: Allowance equivalent to the minimum salary as per the provincial regulations to affected employees during the transition period for a maximum of 6 months, and will be assisted in finding alternative employment. 35 Type of Loss/ Impacts Application Entitlements Implementation Arrangements Relocating shop owners If the business has to be relocated, the project PAPs will be given priority for regardless of tenure status. will provide alternative site with local business relocation at conveniently advantage and physical attributes similar to the located in order to maximize their land lost with easy access to customers base, benefit from business opportunities. At satisfactory to the PAP, OR compensation in the time of compensation, allowances cash for the affected land and attached will be adjusted to account for structures at replacement cost, plus inflation. transportation allowance for movable attached assets. 10. Allowances Loss of land and non-land Specific assistance to vulnerable groups would - Allowance for households as per /Assistance Targeted to assets be as follows: Government regulation (social policy Vulnerable Households Affected vulnerable groups - For landless households, assistance through households, heroic mothers, wounded, dead soldiers). If the household regardless of severity of provision of an apartment that PAP can either eligible to more than one additional impacts. The vulnerable pay in installment to buy or rent it for living. support allowance for the vulnerable groups were defined as in -Social Policy: (i) Relocated Households that people, only one package with the Terms of Terminology include heroic mothers, heroic armed force, highest value will be applied heroic labor, war veterans, wounded or dead soldiers families will be provided with support as regulated by the PPCs; (ii) Poor Relocated Households or Poor Households where 20% or more of their productive land is affected or where <20% land is affected but the remaining land is rendered unviable and to be certified by 36 Type of Loss/ Impacts Application Entitlements Implementation Arrangements local authority). - Other vulnerable groups affected by the Project, whether they have to relocate or not, (female headed households with dependents, households with disabled persons, elderly without any source of support, ethnic minority households) will get the same support given to poor households in accordance with the provincial policy. - These households are entitled to take part in the Income Restoration Program 11. Other Allowances/ Loss of land and non-land Incentive Bonus: All PAPs who vacate the Assistances assets affected land immediately after receiving compensation and allowances will be given an incentive allowance in accordance with the provincial policy. Repair Allowance: If house/structure is partially affected and the remaining structure is viable for continued use, the project will provide a repair allowance equivalent of 20% of compensation for the affected part of the structure to enable PAPs to restore it to former or better conditions. 37 Type of Loss/ Impacts Application Entitlements Implementation Arrangements The relocating households with children who are going to schools will be supported with 1- year tuition as regulated by the Ministry of Education Based on the actual situation of the locality, the PPC Chairman issues other allowances to ensure accommodation and livelihood restoration for PAPs. 12. Temporary impacts Temporary loss of land Compensation for all damaged or lost assets, If the quality of land is radically including trees, crops at full replacement cost changed when returned to PAPs, and assets. requiring PAPs to change in the types Rental in cash for the land acquired at a rate which will be no less than the net income that of land use; then PAPs should be compensated for all envisaged cost of would have been derived from the affected losses. property during disruption; Restoration of the land within 3 months after use: The contractor is expected to return the land in its original condition within 3 months of the termination of the civil works. Households whose income Compensation for all lost will be at People to be assisted must be specified generation activities, or replacement costs. and consulted fully. livelihoods are affected as a Priority of participation in agricultural result of construction extension, and other assistance of local. 38 Type of Loss/ Impacts Application Entitlements Implementation Arrangements (temporary impact) 13. Any other impacts Individuals, organizations Entitlements to compensation and other In case of impacts on livelihoods of that may be identified in the project area assistance would be provided in accordance PAPs, the contractors, construction during implementation with the compensation policy. units have to agree with the Secondary impacts on production and business households on payment for disruption of business. or PAPs isolated from access to resources temporarily have to be compensated and supported in accordance with RAP. 39 3.3 Resettlement and Income Restoration Strategy 47. For households with affected residential land and have to resettle. Households that have to resettle, relocate, will be paid in cash and receive other necessary assistance for income restoration. 48. For households with acquired agricultural land . Apart from the compensation and assistance foresaid, they are entitled to assistance policy for job creation and vocational training for the persons at the working age (Decree 52/2012, Decree 47/2014, and Decree 46/2015). They will be provided with assistances:  Assistance for vocational training including: short-term vocational training courses (primary level and vocational training of less than 3 months) or vocational training at mid-level and college levels and the local authority pays tuition for one training course. The expenditure for vocational training is taken from total expenditure of the investment project or the approved plan on compensation, assistance and resettlement;  Assistance for job creation in the country: providing consultation on vocational training, free introduction of jobs at the job introduction centre under DOLISA. The businesses receive many labors whose agricultural land is acquired will be entitled to preferential policy on land, credit and taxes as regulated by the laws. 49. Besides, the AHs who are severely affected (losing more than 20% (or 10% for vulnerable group) of total land holding) will be provided with the following support: Assistance for plant varieties and animal breeds for agricultural production, agriculture and forestry services, plant protection services, veterinary medicine, cultivation techniques, breeding techniques and professional techniques for production and business. Each subproject RAP will include an appropriate livelihood restoration programs prepared in consultation with the APs and key stakeholders. 40 IV. ELIGIBILITY CRITERIA AND ENTITLEMENTS Project affected people 50. People directly affected by a project through the loss of land, residences, other structures, business, assets, or access to resources, specifically are:  Persons whose agricultural land will be affected (permanently or temporarily) by the Project;  Persons whose residential land/houses will be affected (permanently or temporarily) by the Project;  Persons whose leased-houses will be affected (permanently or temporarily) by the Project;  Persons whose businesses, farming activities, occupations. or places of work will be affected (permanently or temporarily) by the Project;  Persons whose crops (annual and perennial)/ trees will be affected in part or in total by the Project;  Persons whose other assets or access to those assets, will be affected in part or in total by the Project; and  Persons whose livelihoods will be impacted (permanently or temporarily) due to restriction of access to protected areas by the Project.  Persons whose will be impacted due to stopping irrigation water supply when construction Identification of vulnerable groups or Households (HHs) 51. The initial rapid socioeconomic surveys, the vulnerable groups will generally include the following:  Poor households as identified by MOLISA and according to local regulations;  Landless and land poor households who have limited productive land (this will be determined by the minimum amount of farm land needed to be a viable farmer in the project area);  Ethnic minority Households;  Mentally and physically handicapped people or people in poor physical health; infants, children and women without assistance;  Poor women-headed households or women-headed households with dependents and with no other support;  The social-policy households as per PPC policy;  Other PAP identified by the project management unit and who may not be protected through national land compensation or land titling; or 41  Any additional groups identified by the socio economic surveys and by meaningful public consultation. Eligibility 52. The eligibility for entitlement to compensation is determined by asset ownership criteria: (i) Those who have formal legal rights to land (including customary and traditional rights recognized under the laws of the country. In the consideration, it is also useful to document how long they have been using the land or the assets associated with it); (ii) Those who do not have formal legal rights to land at the time the census begins but have a claim to such land or assets provided that such claims are recognized under the laws of the country or become recognized through a process identified in the resettlement action plan; (iii) Those who have no recognizable legal right or claim to the land they are occupying. Persons covered under (i) and (ii) are provided compensation for the land they lose, and other assistance. Persons covered under (iii) are provided resettlement assistance in lieu of compensation for the land they occupy, and other assistance, as necessary, to achieve the objectives set out in this policy, if they occupy the project area prior to a cut-off date established by the GoV and acceptable to the Bank. Persons who encroach on the area after the cut-off date are not entitled to compensation or any other form of resettlement assistance. All persons included in (i), (ii), or (iii) are provided compensation for loss of owned or used assets other than land. Entitlements 53. With respect to a particular eligibility category, entitlements are the sum of compensations and other forms of assistance provided to project affected persons. Please refer the Entitlement Matrix. New households after the cut-off-date 54. Those households splitting from the large families after the cut-off-date who meet the following conditions will be eligible for resettlement benefits as stand-alone households and are recognized as PAPs: a. Households splitting from a family with minimum of two couples and having minimum of six persons; and b. Endorsement by the District authority, with verification of commune’s People’s Committee that the household has split. 55. Newly born children, spouses of persons named in the household registration books, people who have completed military service, and people who have just returned from schools to live with the affected households prior to the cut-off date will be entitled to the compensation and support measures outlined in this document. 42 V. PARTICIPATION, CONSULTATION AND INFORMATION DISCLOSURE 56. Disseminating information to people affected by the project and the involved agencies is an important part in the work of project preparation and implementation. The consultation with affected persons and the active participation of APs will reduce the potential conflict and risk of slowing the project. This allows the project to design a resettlement and rehabilitation program as a general development program, in accordance with the needs and priorities of affected people and therefore, maximizes economic and social efficiency of investment. Objectives of the information and community consultation program include: (i) Ensuring that local competent authorities as well as representatives of affected persons will be involved in the planning and making decisions. The PPMUs will work closely with the district/commune PCs during the sub-project implementation. The participation of affected persons in implementation stage will be continued by requesting each district/commune to invite representatives of affected persons to play as members of the Council/Board of Compensation and Resettlement of the district and participate in resettlement activities (property evaluation, compensation and resettlement and monitoring). (ii) Sharing all information about planned work items and activities of the sub-project with the affected people. (iii) Collecting information on needs and priorities of affected persons as well as receive their response information on planned policies and activities. (iv) Ensuring that affected persons can be informed fully the decisions which directly affect their income and living standard and they have the opportunity to participate in the activities and make decisions about issues directly affecting them. (v) Gaining the cooperation and participation of affected persons and communities in the activities, which are necessary for planning and implementing the resettlement. (vi) Ensuring the transparency in all activities related to land acquisition, compensation, resettlement and restoration. 57. Participation and consultation activities will be continuously conducted throughout various stages of the RAPs implementation (e.g. planning, implementation, monitoring). During these processes, public information and consultation will be conducted to gather information for assessing the project resettlement impacts and to provide recommendations on possible alternative technical options to reduce and/or mitigate potential negative resettlement impacts on local population and to proactively address issues or problems that may emerge during implementation. Local authorities, affected communities and APs will be informed about the project proposal, its objectives and proposed activities, at an early stage of project preparation. The key discussion points will be focused on the development needs and priorities of local locality and their perception toward the project objectives. APs will also be 43 consulted on project potential impacts and possible measures to reduce potential negative impacts, and improve benefits for local people. 58. Meaningful consultation will be conducted through open public consultation to achieve the following objectives: (i) involvement of APs and stakeholders in resettlement planning and enable them to participate in the assessment of impacts and risks; (ii) participation in making decision that affects their lives; (iii) transparency in information of benefits and entitlements and (iv) understanding the role of stakeholders and APs in the implementation of RAPs. The consultation methods will be tailored to each targeted group, including (but not limited to) participatory rapid appraisal, stakeholder consultations through site and household visits, public meetings, focus group discussions and the household socio-economic survey. 59. At subproject level, the respective RAP will define specific actions defining how each DP will be fully informed and consulted by the project management unit and the relevant District Peoples' Committee (DPC) and/or Communes Peoples' Committees (CPC) of their entitlements and resettlement choices. The participation of women in consultation process will be prioritized. Implementing Agencies (IAs) are responsible for establishing and maintaining suitable tools/instruments to ensure that all activities related to consultation, participation and disclosure will be properly tracked and documented. 60. As per Bank’s requirement (OP 4.12, paragraph 29), the RPF will be disclosed in Vietnamese at local level, particularly at the office of PMU, District PCs, Ward/Commune PCs and the World Bank’s Vietnam Development Information Center (VDIC) in Hanoi before and after it is approved by the Government of Vietnam. The English version of this RPF will be also disclosed at the World Bank Info Shop in Washington D.C. prior to project appraisal. Specifically, the Vietnamese version of the RPF was disclosed on Website of Central Project Organization, the English version was disclosed at the World Bank Info Shop in Washington D.C. 44 VI. IMPLEMENTATION ARRANGEMENTS 61. The implementation of resettlement activities requires the involvement of agencies and organizations at the national, provincial, district and commune level. Each provincial people's committee will take general responsible for the implementation of the general policy framework and specific resettlement plan of the sub-project of that province. Compensation, Assistance and Resettlement Committees shall be established at district/province level according to the provisions of Decree 47/2014/CP. The provisions and policies of the RPF and the RAPs will form the legal basis for the implementation of compensation and resettlement activities in the MD-ICRSL Project. 6.1. Organizational Arrangements At Central Level 62. The Ministry of Agriculture and Rural Development (MARD), on behalf of the Government, is the project owner, has overall responsibility for the whole project. The provincial governmental authorities of the project provinces are the Employers of the sub- projects, has responsibility for investment decisions under sub-projects managed by the Ministry and the provinces. A Project Steering Committee (PSC) will be established, including representatives of the MARD, relevant Ministries and sectors, the provincial governmental authorities of the project provinces, to be responsible for frequent monitoring and managing the Project during its implementation process. 63. The Central Project Office (CPO) in the MARD will take the overall responsibility to supervise and monitor the resettlement activities in order to assure the compliance with RPF: - Cooperate with PPCs to conduct compensation and resettlement to assure compliance with RPF and suit with construction progress; - Organize training and building capacity for project implementing agencies (PPMU and Resettlement Committee) on implementation procedure of RPF and RAP; - Cooperate with PPMU to monitor internally compensation and resettlement of overall project; - Select and coordinate the independent monitoring consultants for overall project; - Report periodically on resettlement to MARD and WB. Provincial Level (Provincial People’s Committees -PPC): 64. PPCs take the overall responsibility for compensation, site clearance, and resettlement within the province. The PPCs are responsible for: - Inform or authorize DPCs to announce about land acquisition when the sub-project location is selected; - Issue decision on land acquisition to land-owners; - Approve RAPs of their respective sub-projects; - Approve overall plan on land acquisition; 45 - Instruct DPCs to implement compensation, resettlement, and site clearance; - Provide adequate funds for compensation in a timely manner; - In special cases, the provincial authority’s approval is needed for compensation plans, the provincial authority establishes an appraisal council at provincial level to appraise the compensation plans submitted by the DRCs so that advice will be provided for the provincial authority to approve such plans in accordance with the Government’s regulations on compensation, assist ance and resettlement, and the WB’s involuntary resettlement policy (OP4.12) applied to the project; PMU level 65. Subproject owner shall be responsible for managing compensation and site clearance of their respective sub-projects, encompassing: - Prepared and update of RAP; - Submit sub-project RAPs to the PPCs before making compensation payment; - Co-operate closely with Departments, agencies, sectors, and the project DPCs in implementing resettlement and site clearance to ensure that the implementation of compensation and resettlement is in line with the construction schedules; - Monitor internally implementation of compensation and resettlement of the sub- projects, preparing quarterly reports on implementation progress of compensation and resettlement of the sub-projects to CPO. District Level (District People’s Committee): 66. District People’s Committees (DPCs) are responsible for : - Approving compensation plans prepared by DCLFDs and submitting to PPC for endorsement; - Issuing decisions on land acquisition from individuals and households; - Settling complaints and grievances of the APs within jurisdiction. 67. District Center for Land Fund and Development (DCLFD) or District Resettlement Committee (DRC), according to each province situation, shall take responsibility for implementation of compensation and site clearance for works located in their respective districts, including: - Preparing compensation plans to submit to DPCs for approval; - Implementing the approved plan on compensation and site clearance. Commune/Town Level (Commune People’s Committee): 68. Commune/ Town People’s Committees (CPCs) are responsible for: - Disseminating and mobilizing people to implement RPF; - Planning land use and protecting public safety corridors; 46 - Providing cadastral maps for DCLFD/DRC, determining the origin of land use and mobilizing their staffs to be members of DMS teams; - Co-operating with DRCs in delivering information and organizing community consultation; - Settling APs’ queries relating to inventory of their assets; - Facilitating and assisting APs in restoring their livelihoods, incomes, and stabilizing their lives. 6.2. Preparation and Approval procedures for a Resettlement Action Plan (RAP) during project implementation 69. Where land acquisition/resettlement is required for the implementation of a subproject identified during project implementation, a RAP will be prepared in accordance to the requirements/guidance of this RPF, and in consultation with PPC and relevant departments, District PC(s). The following section presents typical elements that would be required for a RAP, and steps in RAP preparation. 70. Depending on the scope of land acquisition impact, a full RAP or an abbreviated RAP could be prepared. Where impacts on the entire affected population are minor 2, or fewer than 200 affected people, an abbreviated resettlement plan will be applied. Where impacts on the entire affected population are significant 3, or equal to or higher than 200 people are affected, a full resettlement plan will be applied. 71. Abbreviated RAPs will include at least the following elements: (i) A description of the project and the socio-economic conditions of the community and households affected in the sub-project area; (ii) legal framework, resettlement policy and the rights of the affected people; (iii) the results of the census and inventory of affected people (BLS); (iv) impacts caused by land acquisition (especially on livelihoods and income); (v) results of consultations, (vi) entitlements and assistance to be provided for AHs/APs; (vii) arrangements for organization and implementation; (viii) grievance redress mechanism; (ix) budgets and cost estimates; and (x) an implementation timetable. 72. Full RAP will include: (i) Introduction; (ii) Results of socio-economic survey of people affected; (iii) The scope and the impacts of land acquisition; (iv) Legal framework; (v) RAP Implementation and timetable; (vi) Entitlements and measures to restore their livelihoods and income; (vii) Information dissemination and community consultation; (viii) Grievance Redress Mechanism; (ix) Organization and implementation; (x) Cost estimates and budgets; and (xi) Monitoring and evaluation. 2 Minor impact: as defined under the OP 4.12, where the affected people are not physically affected and less than 10% (for this project: 20% applied for non-vulnerable groups, and 10% for vulnerable groups and poor affected households) of their productive assets are lost or fewer than 200 people are affected, 3 Significant impact: as defined under the OP 4.12, where the investment may result in displacement of equal to or higher than 200 people are affected or more than 10% (for this project: ≥20% applied for non-vulnerable groups, and ≥10% for vulnerable groups and poor affected households) of their productive assets are lost. 47 73. A RAP prepared for the project must be in accordance with this RPF. Once the RAP document is finalized, it should be sent to CPO and the World Bank for review and No Objection. After that, PPC will be responsible for approval of the RAP and all resettlement- related issues, to enable RAP implementation. The WB shall not approve any civil works contracts for any project’s sections to be financed from the loan unless the compensation payment and provision of rehabilitation measures in the respective sections have been satisfactorily completed, in accordance with the project’s RPF. 6.3. Replacement Costs Survey 74. As required by the World Bank’s OP 4.12 on Involuntary Resettlement, Replacement Costs Survey (RCS) will need to be done to establish basis for calculation of replacements costs for all the lands/crops/structures/assets that will be affected by the Project. An independent price appraisal consultant is specialized in assessing costs of land/crops/assets/structures to be affected under the Project, will be engaged by PMU to conduct replacement costs survey. 75. District People’s Committee and DRC will ensure compensation payment proposed to affected households is at the replacement costs (for land and structures), and at market prices (for crops/trees). Replacement costs survey will be conducted in the participatory manner with relevant stakeholders. VII. GRIEVANCE AND REDRESS MECHANISM 76. APs are entitled to the complaints regarding their interests and responsibilities in the Project implementation including but not limited to entitlements, compensation policy, unit prices, land acquisition, resettlement and other entitlements related to the recovery support programs. Complaints can also concern issues related to construction safety and nuisances caused by construction. Grievance procedures should be affordable and accessible procedures for third party settlement of disputes arising from resettlement; such grievance mechanisms should take into account the availability of judicial recourse and community and traditional dispute settlement mechanisms. 77. The steps of Grievance Redress Mechanism are as follows: First Stage - Commune/Ward People’s Committee An aggrieved APs may bring his/her complaint to the One Door Department of the Commune/Ward People’s Committee, in writing or verbally. The member of CPC/WPC at the One Door Department will be responsible to notify the CPC/WPC leaders about the complaint for solving. The Chairman of the CPC/WPC will meet personally with the aggrieved APs and will have 30 days following the receiving date of the complaint to resolve it. The CPC/WPC secretariat is responsible for documenting and keeping file of all complaints handled by the CPC/WPC. Second Stage - At District People’s Committee (DPC) 48 If after 30 days the aggrieved affected household does not hear from the CPC, or if the APs is not satisfied with the decision taken on his/her complaint, the APs may bring the case, either in writing or verbally, to any member of the DPC or the DRC of the district. The DPC in turn will have 30 days following the receiving date of the complaint to resolve the case. The DPC is responsible for documenting and keeping file of all complaints that it handles and will inform the DRC of district of any decision made. Affected households can also bring their case to Court if they wish. Third Stage - At Province People’s Committee (PPC) If after 30 days the aggrieved PAP does not hear from the DPC, or if the PAP is not satisfied with the decision taken on his/her complaint, the PAP may bring the case, either in writing or verbally, to any member of the PPC or lodge an administrative case to the District People’s Court for solution. The PPC has 45 days within which to resolve the complaint to the satisfaction of all concerned. The PPC secretariat is also responsible for documenting and keeping file of all complaints that it handles. Affected households can also bring their case to Court if they want. Final Stage - Court of Law Decides If after 45 days following the lodging of the complaint with the PPC, the aggrieved PAP does not hear from the PPC, or if he/she is not satisfied with the decision taken on his/her complaint, the case may be brought to a court of law for adjudication. Decision by the court will be the final decision. 78. Decision on solving the complaints must be sent to the aggrieved APs and concerned parties and must be posted at the office of the People’s Committee where the complaint is solved. After three days, the decision/result on solution is available at commune/ward level and after seven days at district level. 79. At the beginning of the project implementation, Grievance Redress Committees will be established from communal to provincial levels based on the existing structures consisting of concerned departments, mass organizations, women and ethnic representatives. At the communal level the community-based organization will incorporate the existing grievance mechanisms that will be chaired by leader of Communal People’s Committee (CPC). The grievance mechanism and procedures will resolve complaints, and with the availability of local resources resolve conflicts not only on safeguard issues but also others during project implementation. Based on this structure, the community-based organization would assist during the project preparation, design, implementation, and future developments. The grievance mechanism will be applied to persons or groups that are directly or indirectly affected by a project, as well as those that may have interests in a project and/or have the ability to influence its outcome either positively or negatively. 80. In order to minimize complaints to the provincial level, PMU will cooperate with the District Resettlement Committee to participate in and consult on settling complaints. Staff, assigned by PMU, will formulate and maintain a database of the APs’ grievances related to the Project including information such as nature of the grievances, sources and dates of 49 receipt of grievances, names and addresses of the aggrieved PAPs, actions to be taken and current status. In case of verbal claims, the reception board will record these inquiries in the grievance form at the first meeting with affected people. 81. The grievance resolution process for the Project, including the names and contact details of Grievance Focal Points and the Grievance Facilitation Unit (GFU), will be disseminated through information brochures and posted in the offices of the People’s Committees at the communes and districts and PMU. All complaints and grievances will be properly documented and filed by the commune and district PCs as well addressed by PPMUs through consultations in a transparent and proactive manner. These grievance documents and report will be made public accessible. All costs associated with grievance handing process incurred by the claimant and/or her/his representatives are to be covered by the project developer. To ensure that the grievance mechanism described above are practical and acceptable by APs, it were consulted with local authorities and communities taking into account of specific cultural attributes as well as traditional-cultural mechanisms for raising and resolving complaints and conflicting issues. 82. An escrow account for resettlement payments should be used when grievance is resolving to avoid excessive delay of the project while ensuring compensation payment after the grievance has been resolved. 83. Communities and individuals who believe that they are adversely affected by a World Bank (WB) supported project may submit complaints to existing project-level grievance redress mechanisms or the WB’s Grievance Redress Service (GRS). The GRS ensures that complaints received are promptly reviewed in order to address project-related concerns. Project affected communities and individuals may submit their complaint to the WB’s independent Inspection Panel which determines whether harm occurred, or could occur, as a result of WB non-compliance with its policies and procedures. Complaints may be submitted at any time after concerns have been brought directly to the World Bank's attention, and Bank Management has been given an opportunity to respond. For information on how to submit complaints to the World Bank’s corporate Grievance Redress Service (GRS) , please visit http://www.worldbank.org/GRS. For information on how to submit complaints to the World Bank Inspection Panel, please visit www.inspectionpanel.org. VIII. SUPERVISION, MONITORING AND EVALUATION 84. Implementation of RPs will be periodically supervised and monitored by the respective PMUs in a close coordination with the respective Peoples' Committees at different administrative units and independent monitoring agencies. The findings will be recorded in quarterly reports to be furnished to CPO, and World Bank. 85. Internal monitoring and supervision will: 50 (a) Verify that the baseline information of all APs has been carried out and that the valuation of assets lost or damaged, and the provision of compensation, resettlement and other rehabilitation entitlements has been carried out in accordance with the provisions of this Policy Framework and the respective RAP. (b) Oversee that the RAPs are implemented as designed and approved. (c) Verify that funds for implementing the RAPs are provided to the respective PMBs in a timely manner and in amounts sufficient for their purposes, and that such funds are used by the respective PMB’s in accordance with the provisions of the RAP and policy framework. (d) Record all grievances and their resolution and ensure that complaints are dealt with in a timely manner. 86. Independent Monitoring: An independent agency or agencies or individual consultant will be retained by PMUs to periodically carry out external monitoring and evaluation of the implementation of RAPs. The independent agencies would be an academic or research institutions, non-Governmental Organizations (NGO) or independent consulting firms, all with qualified and experienced staff and terms of reference acceptable to the World Bank. Depending on the magnitude of project impact, borrower with consultation from Task’s Team of the World Bank will decide the extent of using independent monitoring consultant. In addition to verifying the information furnished in the internal supervision and monitoring reports of the respective PMBs, the external monitoring agency will collect information from affected households. 87. A Resettlement Plan cannot be considered complete until a completion audit or survey confirms that all entitlements have been received by beneficiaries and livelihood restoration is progressing on schedule. If possible, the (internal/external) monitoring activities of RAPs could be considered to be combined with similar action under Ethnic Minority Development Plan of the same subproject. IX. COSTS AND BUDGET 88. In order to prepare the budget for the project costs, it is necessary to make preliminary cost estimation, to ensure the AP's livelihood restoration. Cost for RAP of each sub-project will be calculated based on updated compensation unit prices and cost for organization of compensation, assistance and resettlement according to the RPF. The project’s land valuation will be at replacement cost, and which will follow an independent land appraiser recommendations. These unit prices must reflect market replacement costs of all affected assets at the time of RAP implementation. Budget for compensation and resettlement for the sub-projects, independent land appraiser will be taken from the project counterpart fund of WB. Training cost for RAP implementation, and cost for independent RAP monitoring will be taken from the IDA loan. 51 Annexes: Annex 1: The following information will be given to PAPs in the project leaflet or in consultation meeting. Project components and projects. This includes the places where they can obtain more detailed information about the Project. Project impacts. Impacts on the people living and working in the affected areas of the project, including explanations about the need for land acquisition for each project. PAPs rights and entitlements. These will be defined for PAPs. A cut-off date will be announced to establish eligibility. The rights and entitlements for different impact on PAPs, including the entitlements for those losing businesses, jobs and income will be explained. Available options include for land-for-land and cash compensation, options regarding reorganizing and individual resettlement, provisions and entitlements to be provided for each PAP, entitlement to rehabilitation assistance and opportunities for project-related employment will all be discussed and explained. Grievance mechanism. PAPs will be informed that the project policies and procedures are designed to ensure their pre-project living standards are restored. PAPs will also be informed that if there is any confusion or misunderstanding about any aspect of the Project, the resettlement committee can help resolve problems. If they have complaints about any aspect of the land acquisition, compensation, resettlement, and rehabilitation process, including the compensation rates being offered for their losses, they have the right to make complaints and to have their complaints heard. PAPs will receive an explanation about how to access grievance redress procedures. They will be given information with details of which office to contact and local contact points for grievance redress. Right to participate and be consulted. The PAPs will be informed about their right to participate in the planning and implementation of the resettlement process. The PAPs will be represented in District’s resettlement committees, and the representative for the PAP will be present whenever commune/district/provincial committees meet so that their participation in all aspects of the project is assured. Resettlement activities. PAPs will be given an explanation regarding compensation calculations and compensation payments; monitoring procedures which will include interviews with a sample of PAPs; relocation to an individual location/self-relocation; and preliminary information about physical works procedures. Organizational responsibilities. PAPs will be informed about the organizations and levels of Government involved in resettlement and the responsibilities of each, as well as the names and positions of the government officials with phone numbers, office locations, and office hours if available. Implementation schedule. PAPs will receive the proposed schedule for the main resettlement activities and informed that physical works will start only after the completion of all resettlement activities and clearance. It will be clarified that they will be expected to move only after receiving full payment of compensation for their lost assets. Implementation schedules and charts will be provided to resettlement committees at all levels. 52 Annex 2: The indicators for monitoring and evaluation Type of Indicators Information Required in Monitoring and Evaluation Indicators  Number of CPMU; PMUs and district staff/social Staffing development and resettlement specialist assigned for project implementation.  Number of consultations and participation programs Consultation, held with PAPs and various stakeholders; Participation,  Number and types of grievances received from and Grievances beneficiaries and PAPs and the number of days Resolution consumed in resolving them by concerned GRCs;  Number and names of representatives who participated in the consultations and in the implementation of the investment project.  Types of forms used in recording the activities undertaken in the project implementation;  Efficiency of coordination with PMUs, district authority; Operational PAPs and other institutions/stakeholders; Procedures  Efficiency of CPMU; PMUs. and district government staff;  Efficiency of compensation payment system;  Adequacy of logistical support for implementing the investment project; Process Indicators  Assess if the project policies in RAPs have adequately been complied with.  Indicate the issues and problems encountered in staffing, during consultations and grievances resolution, and in the execution of operational procedures.  Number of PAPs awarded with housing units, if any;  Indicate if the type of compensation delivery is either one time or installment; Compensation  Indicate the number of PAPs engaged transform crops/ and Entitlement livelihood, whose income generation activities, or livelihoods are affected as a result of construction;  Indicate if the number of relocated PAPs provided with transportation assistance;  Indicate if food assistance were given to PAPs who transferred to staging area or to other destinations;  Indicate if the PAPs were given allowance/assistance for the dismantling and reconstruction of their housing units in as well as for the dismantling of their structures upon transfer.  Indicate the number of person avoidance of potential Social losses of agricultural production and farm income Rehabilitation resulting from floods and Salinity Transitions;  Indicate if the PAPs at the downstream will be safety through avoidance of potential flood damage to houses, farm areas and infrastructures;  Indicate the number of person (attention to women) that attended the livelihood, Participatory Irrigation 53 management (PIM), Integrated Crop Management (ICM) trainings;  Indicate the number of PAPs, especially women, who have improving livelihood after the training on livelihood development. Issues and  Indicate the issues and problems encountered in the Problems implementation of investment/s, payment of Encountered compensation and entitlement and social rehabilitation of PAPs. Household  Present income as compared to income from pre-project Earning level; Capacity  Employment of affected household members in investment construction; Impact Indicators  Change in income of farming households;  Increased agricultural area; Health and  Problems/issues on waste management disposal; Environment  Improved access to safe fresh water;  Improvement on health conditions of women and children. Changes in  More women participating in PIM and training for ICM; Socio-cultural Pattern 54 Annex 3: Summary of consultation Undertaken during RAP Preparation Consultation during RAP Preparation 1. Two rounds of consultation took place during RAP preparation. The first round was conducted in October and November 2015 and the second round, after disclosure, on 29 January 2016. 2. Table 1 summarizes the dates, locations and participants of these public meetings. Table 1: Date, Location and Participants to Public Consultation Sub-project Date Commune Participants First round - AHs Ben Tre 5/11/2015 An Hoa Tay - Farmer Union, Women Union, Fatherland Front; - Local authorities of all communes 26/10/2015 - Affected HHs’ representatives Kien Giang Van Khanh - Commune PC 27/10/2015 - Affected HHs’ representatives Tan Thanh - Commune PC 28/10/2015 - Affected HHs’ representatives Nam Thai - Commune PC Tra Vinh Long 9/11/2015 An Phu Tan - Affected HHs’ representatives - Village head; 10/11/2015 Tich Thien, - Farmer Union, Women Union, 11/11/2015 Trung Thanh Dong Fatherland Front; 12/11/2015 Trung Thanh Tay - Commune PC 29/10/2015 Phu Huu - Affected HHs’ representatives An Giang 30/10/2015 Vinh Loc - Commune PC 31/10/2015 Vinh Hau - Second round - Representatives of MARD, of each All Sub-projects 29/01/2016 Can Tho province (PPC, DONRE, DARD,) - Representatives of affected districts (DPC) and communes 3. The following information was disseminated during these meetings: a) Introduction about the sub-project; b) Preliminary design and demand for land acquisition for subprojects; c) The results of IOL for acquired land and other assets on acquired land; d) The policy of Vietnamese Government for resettlement and compensation as well as WB policy for involuntary resettlement; e) The estimated compensation unit price and the proposed entitlements; f) The procedures for payment of compensation and resettlement activities; g) The Grievance Redress Mechanism Concerns of affected HH 55 4. The main concerns of the participants, for each sub-project, for the first round of consultation are summarized below. These concerns have been taken into account in the preparation of the resettlement plans. 5. Ben Tre Sub-Project  Compensation/entitlements • The two households agreed to receive compensation in cash for loss of land, structures and trees. • The two households indicated that for the trees a new assessment has to be done before site clearance, as the trees will grow from now to the site clearance; consultant answered that a DMS will be conducted before land clearance; 6. Kien Giang Sub-Project  Support to the Project • Participants indicated that the project has many positive impacts on improving local’s social-economic development and improving transportation; • Participants hope the project will be implemented soon; the sluice gates will help to prevent saline intrusion as well as to keep fresh water for people to do 2 crops easily • Currently, saline intrusion is a main problem, people find hard to do 2 crops stably.  Compensation/entitlements • A large number of households are affected and HH have to be relocated; they agree on proposed compensation measures and all of them opted for self- relocation; • Beside appropriate compensation, the project also need to create employment opportunities for affected people and Ethnic Minority HHs; training classes about career development to create jobs for the young EM have to be established.  Ethnic Minorities • EM people, in the sub-project area, mainly work as hired labors and collect crabs and snails, thus, their income is unstable and faced underemployment. • EM People live in temporary houses, so they need help to stabilize their lives. • Most of EM people are living on public land along the dike; they are poor HHs having neither residential nor production land, besides, their education level is also very low partly because of transportation difficulties, so children don’t always go to school; 7. Tra Vinh – Vinh Long Sub-Project  Impacts during construction • Construction firms should have suitable equipment for environmental protection during construction time, such as: watering, use of canvas for material covering;  Compensation/entitlements • It is necessary to have proper compensation policy for affected crop, asset;  Information • Need to inform PAPs about the work plan of resettlement and compensation implementation; information has to be disclosed; 56  Resettlement Process • Commune needs to know detailed plan of the project activities, scope of land acquisition for transferring information to local people. The plan of land acquisition, compensation, resettlement and implementation of income restoration should be disclosed to affected people as soon as possible so they can take the initiative in resettlement  Relocation • The physically displaced HHs needs to be resettled near the current area in order to avoid social impact to households 8. An Giang Sub-Project  Support to the Project • The participants strongly support the implementation of the project; they believe the project will bring large benefits on agricultural development to ensure the economic and social security for the people over the project area. The APs also expressed their desire that the project will start soon.  Compensation/entitlements • Some APs have no Land Use Right Certificate but can be legalized. The APs asked what they have to do for being legalized and/or to be provided a LURC before compensation; they are concern about the compensation in case of absence of LURC; • Almost of the APs claimed that prices now being applied by the province are fairly lower in comparison with the market prices and other provinces prices. • AHs are concerned that the remaining land, after land acquisition, will be with irregular shape and difficult to cultivate; • APs asked when the payment of compensation will be made once DMS done and which prices will apply? Aps are concerned about the potential increase of the price of land in the sub-project area due to the announcement of the project and they may have difficulties to buy new land; compensation should be done as soon as RAP is updated.  Resettlement planning • Graves’s removal will take long time as it should be waiting until the end of the lunar year for graves owners to move the graves. This should be carefully considered in making project implementation schedule and various stages of compensation and land acquisition;  Information • The APs highly recommended that the procedures and plans for compensation, land handover and land clearance should be widely disclosed and APs could consult them to be well informed and to be prepared for their livelihoods. • The plan for land recovery, compensation, resettlement and implementation of income restoration and livelihoods development should be disclosed to affected people as soon as possible so they can take the initiative in resettlement.  Income Restoration • Some APs prefer to receive cash for livelihood restoration as it is more convenient; • The APs are also concerned that income restoration program should be well prepared in consultation with the relocated APs to ensure their life (mainly mere farmers) will be restored as soon as possible because the time to recover may be long and AH very be vulnerable to the changes and negative impacts. 57 • It was proposed that the project should create favorable advantages to local employments to be involved and recruited in construction works and/or manual works for them to get more income during the transition period; 9. A second round of consultation took place in Can Tho City, on 29 January 2016, following disclosure of draft Resettlement Policy Framework, Resettlement Plans and Regional Social Assessment (RSA). Representatives of MARD, of each province (PPC, DONRE, DARD,) and affected districts (DPC) joined the workshop. 10. The following comments and concerns were provided by the participants:  Provinces have experience with ODA project and understand WB policy on resettlement;  Some provinces, wanted to have information on the definition of illegal land users; the definition was clarified;  All provinces confirmed that they already provide livelihood support for farmers losing agriculture land;  Provinces also implement programs for poor households;  For reinforcement of dykes, if HH are partially affected, it is difficult for them to stay there; we should consider to acquire all the land;  Regarding livelihood restoration activities, it is more useful to create jobs than to propose microcredits programs; 58