59943 ELECTRICITY CORPORATION OF VIETNAM (EVN) TRUNG SON HYDROPOWER PROJECT MANAGEMENT UNIT =================================================== Inception Report INDEPENDENT RESETTLEMENT MONITORING Construction ­ Operation Road to Trung Son Hydropower Plant Implemented and reported by: Centre for Community Development Studies - CECODES Independent Monitoring Organization - IMO Hanoi, February 2009 Table of Contents ABBREVIATION ........................................................................................................................... 1 I. INTRODUCTION ....................................................................................................................... 2 1.1 Scope of Trung Son Hydropower Project ........................................................................ 2 1.2 Construction ­ Operation road of Trung Son hydropower plant ...................................... 2 1.3 Magnitude of impacts to be caused by this road construction .......................................... 2 1.4 Status of resettlement implementation ............................................................................. 4 1.5 Independent monitoring organization (IMO) ................................................................... 4 II. MONITORING OBJECTIVES AND TASKS OF IMO ................................................................ 4 2.1 Monitoring objectives ....................................................................................................... 4 2.2 Scope of works of the consulting services........................................................................ 4 III. PROJECT COMPENSATION POLICY ...................................................................................... 6 IV. MONITORING METHODS AND IMPLEMENTATION ARRANGEMENT ..................................... 6 4.1 Monitoring methods ......................................................................................................... 6 4.2 Monitoring and evaluation implementation arrangement ................................................ 7 APPENDIX ............................................................................................................................... 9 Appendix 1: Term of Reference.............................................................................................. 9 Appendix 2: ........................................................................................................................... 14 QUESTIONNAIRE FOR AFFECTED HOUSEHOLD ...................................................... 14 Appendix 3: Monitoring and Evaluation Report .................................................................. 18 ABBREVIATION AH Affected Household AP Affected Person CECODES Center for Community Support Development Studies CP Compensation Plan CPC Commune People's Committee DMS Detailed Measurement Survey DRC District Resettlement Committee EVN Electricity of Vietnam GoV Government of Vietnam HCMC Ho Chi Minh city HH Household IBRD International Bank for Reconstruction and Development IMO Independent Monitoring Organization PMB Project Management Unit PPC Provincial People's Committee RP Resettlement Plan VND Vietnam Dong WB World Bank 1 I. INTRODUCTION 1.1 Scope of Trung Son Hydropower Project 1. Trung Son Hydropower Project is located in the main stream of Ma river in Trung Son commune, Quan Hoa district, Thanh Hoa province. The reservoir covers in Quan Hoa, Muong Lat districts in Thanh Hoa province and a part of Moc Chau district in Son La province. The task of the project is to generate and upload electricity to the national grid with the installation capacity of Nlm=260MW, averaged annual quantity of electricity of E0=1,055.33 million kWh. In addition, when the plant becomes operation with the flood control volume of 150 x 106m3 it will contribute significantly to flood control in downstream, meanwhile, additionally supply water for industry, agriculture, water transportation, tourism and aquaculture. 2. On September 16th 2008, Prime Minister issued the Decision 1532/TTg-QHQT approving the Trung Son hydropower project that is proposed for the credit from World Bank and assigning the Board of Directors of Electricity of Vietnam (EVN) to appraise, decide the investment of the project. The project shall be financed by the credit provided by the World Bank through the International Bank for Reconstruction and Development (IBRD) and the counterpart fund provided by EVN. The total project investment sums up 6,450,375.60 million VND. 3. The Project comprises of 3 main components: (i) Reservoir, headworks and other auxiliary works; (ii) construction ­ operation road; and (iii) transmission line. 1.2 Construction ­ Operation road of Trung Son hydropower plant 4. The construction ­ operation road on the left side is the only road connecting to the National road No. 15A, crossing the National Road 15A at Co Luong T-junction. The road alignment starts at Co Luong ­ QL15A T-junction (Co Luong bridge) and ends at Co Me village (Co Me bridge), therefore, it is abbreviated as Co Luong ­ Co Me road. The total length of the road is 22 km. All equipments, machines (including super-length, super-load) for the construction of Trung Son hydropower plant are all transferred and transported on this road. Presently, this road is a small and narrow earth-road without bridges at the both ends, therefore, it is necessary to build up this road in advance in order to facilitate the construction of the headworks of Trung Son hydropower plant. 5. The road runs through 5 communes in 2 districts, i.e. Quan Hoa district (Thanh Hoa province) with 3 communes (Trung Son, Thanh Son and Phu Thanh), and Mai Chau district (Hoa Binh province) with 2 communes (Mai Hich and Van Mai). According to the technical design, the road shall be widened, 15 m more to both sides, starting from the road centerline. It is planned to start the construction of this road in October 2009. 1.3 Magnitude of impacts to be caused by this road construction 2 6. Because the construction is on the existing road alignment so the scope of land acquisition is not significant, mainly the land strips along road sides to widen the road. The land area to be acquired permanently totals 35.14 ha (reducing 10,73ha compared with RP), of which the proportions of land to be acquired are: agricultural land: 2.5 ha, residential land: 2.3 ha, forestry land: 29.2 ha, and other land: 1.1 ha. The land area to be acquired temporarily totals 14.1 ha, including: agricultural land: 0.6 ha (making up 3.96%), forestry land: 8.4ha (59%), residential land: 2.6 ha (18.1%), specialized land and other land: 2.7 ha (18.94%). Households to be affected total 568 AHs (increasing 117 AHs compared with RP) with 2,564 APs, and none of them loss more than 25% of productive land. There are 87 HHs were affected houses and shops, of which 70 AHs (reducing 15 AHs compared with RP) have to relocate in the remaining land or resettle in the same village, and 17 AHs lose their shops. About 60% of AHs are Thai and Muong ethnic people (Table 1). Table 1: Classification of AHs and assets affected by the road Province Number of AHs #Severe AHs #Marginal AHs Total #AHs #AHs lost #AHs lost Total #AHs lost #AHs lost Total #AHs #APs losthouses shops > 25% houses but < 25% and of Agr. not of Agr. relocated land relocated land Thanh 62 16 0 78 11 382 382 444 2.043 Hóa Hòa Bình 8 1 0 9 14 115 124 124 521 Total 70 17 0 87 25 497 506 568 2.564 Acquired land Area Total Province Residential Garden land Forest land Aquar. land Other (ha) land (ha) (ha) (ha) (ha) (ha) Thanh Hóa 1,8 0,6 26,3 0,02 0,4 29,12 Hòa Bình 0,43 1,93 2,97 0 0,69 6,02 Total 2,23 2,53 29,27 0,02 1,09 35,14 Affected assets Province House Shops Crops Trees (m2) (m2) (m2) (unit) Thanh Hóa 5.068m2 of house and kitchen; 617m2 breeding facilities, 450,25 11.985,8 73.005 stores; 146m3 of foundation and yard Hòa Bình 1.397,6m2 of 24.649 (trees) house; 476,7m3 of 19,2 6.362,23 21.476 stone foundation, (m2/brushwood) bricks. Source:DMS data provided by Project Management Unit 6. According to PMB, the reason the number of AHs and acquired land area of DMS is different from that of RP was that RP was prepared without cadastral map and landmark, whereas DMS was based on cadastral map of each AHs and landmarks which were put based 3 on detailed design. Therefore, the number of AHs and acquired land area in RP was estimated only. The DMS data will be used to apply compensation prices. 1.4 Status of resettlement implementation 7. Currently, the Resettlement Committees (RC) of Quan Hoa and Mai Chau districts completed the DMS process, measuring land, inventorying affected assets on the land to be acquired and the resettlement plans are being prepared to submit to the District People's Committee for approval. It is planed that the delivery of compensation and assistance to AHs shall be completed in September 2009. The construction of road is planed to start in October 2009. 1.5 Independent monitoring organization (IMO) 8. Trung Son hydropower project management unit selected the Center for Community Development Studies (CECODES) as the independent monitoring organization (IMO) to monitor the project resettlement implementation. IMO was mobilized immediately after the Contract signed to undertake the tasks as specified in the Terms of Reference (TOR). 9. IMO assigns 4 experienced specialists who were proposed in the Technical Proposal to participate in the contract implementation. In addition, the office - backup group is also set up to support these specialists in implementing the Contract. II. MONITORING OBJECTIVES AND TASKS OF IMO 2.1 Monitoring objectives 10. Monitoring the implementation of land acquisition, resettlement, compensation and APs assistance in the road is to: (i) Independently monitor the implementation of land acquisition, resettlement, compensation and assistance to households who are affected by the road in order to make sure that the RP implementation is complied with the RP approved by the Vietnamese and WB. The IMO, if necessary, shall provide technical assistance and professional supports to DRC and the project implementing agencies; (ii) Timely contribute with appropriate recommendations to solve up pending and potential issues that may incur in the cause of road construction; and (iii) Evaluate the achievement of RP objectives, i.e. restoration of living conditions of affected households which shall be at least equal to or better than those in the pre-project conditions. 2.2 Scope of works of the consulting services a) Tasks 11. The independent monitoring of RP implementation is an indispensable requirement in ODA funded projects. As specified in the TOR stated in the Appendix A of the Contract, IMO 4 should monitor the compliance with the RP update and implementation, including the following tasks: (i) The Consultant shall undertake the evaluation on applied compensation rates in compensation plans to make sure that the compensation rates are replacement rates. If recommended compensation rates are not consistent with replacement rates, the Consultant, then, shall recommend Trung Son Hydropower Project Management Unit and Provincial People's Committees (PPC) with appropriate adjustments. (ii) Evaluate the implementation of resettlement and compensation activities in all levels, focusing on DRCs in order to ensure the effectiveness of and the compliance with the RP . (iii) Evaluate the DMS results and compensation rates. The monitoring also includes the completeness and accuracy of documents and compilations related to the land acquisition, resettlement and compensation, including DMS records, compensation plans (CPs), decisions approving CPs, internal monitoring reports, and other related documents. (iv) Carry out site surveys by investigating about 20% of marginal AHs and 100% of severe AHs (who to be relocated, affected shops and acquired more tham 25% of productive land) to collect information on resettlement implementation. Organize meetings with representatives of CPCs in communes affected, social organizations in the locality and district DRCs in order to assess the coordination between various levels in supporting AHs to restore and rehabilitate their lives and incomes quickly. (v) Evaluate impacts on socioeconomic changes of AHs after 06 months upon the completion of RP implementation in order to assess the achievement of RP objectives. Make necessary recommendations of solutions for adjustment, if any. b) Monitoring and evaluation indicators 12. From the above objectives and tasks, the following indicators shall be monitored and evaluate: (i) Information dissemination and public consultation, awareness of APs about resettlement policies and their entitlements; (ii) Land acquisition process and procedures of hand-over of land (including inventory of losses, preparation of RP , consultation with APs about RP , compensation delivery and hand-over of land); (iii) Building new houses and structures on resettlement area or on the remaining land plot; (iv) Satisfaction of AHs about RP implementation; (v) Grievance and grievance redress (procedures, process and solution); (vi) Effectiveness of livelihood recovery programs and capacity of rehabilitation/recovery of living standard of AHs, particularly severe AHs and vulnerable groups; necessity of additional adjustment in policy; 5 (vii) Resettlement issues of relocation households, including issuance of land-use right certificates for them. (viii) Additional impacts during construction process; (ix) Participation of AHs in RP implementation process; and (x) Compliance of resettlement activities to construction plan. III. PROJECT COMPENSATION POLICY 13. Because there were 568 AHs with more than 2,000 APs, the level of impacts caused by the road is ranked significant, in accordance with OP4.12 on Involuntary resettlement of the World Bank, a full Resettlement Plan (RP) was prepared for this road. The main objective of RP is to ensure that all households affected by the Project shall be compensated for their losses so such losses can be replaced and AHs shall be provided with rehabilitation measures in order to help them improve, or at least, maintain the living conditions and incomes compared with the pre-project conditions. 14. This RP is established with a matrix on resettlement and compensation policy which provides a ground for application in RP preparation. This RP was approved WB and GoV. Therefore, all resettlement and compensation activities of the Project shall comply with the policies specified in RP . IMO shall also monitor the RP implementation based on this RP . IV. MONITORING METHODS AND IMPLEMENTATION ARRANGEMENT 4.1 Monitoring methods a) Method of project document analysis 15. IMO shall collect documents of resettlement and compensation implementation of the entire project to review, analyze and evaluate the resettlement implementation of the road. These documents will be collected at the project management offices and the RCs of districts, , including RP, implementation progress reports, DMS records, compensation plans, grievance mechanism, and rehabilitation measures of livelihoods and life for AHs. The qualitative and quantitative methods shall be applied for collecting information on the land acquisition, resettlement and compensation of the road. b) Qualitative method 16. In-depth interviews and group discussions with officers involved in the project RP implementation process from the district and commune levels and PMB shall be carried out during the monitoring mission. Similarly, group discussions with AHs (distinguished by targeted-groups focusing in gender issue) shall be carried out in order to understand their opinions and expectations in the RP implementation, resettlement and life recovery. In addition, monitoring team shall visit the site of civil works to inspect the scope and level of impacts. Guidelines and questionnaires for in-depth interviews and group-discussions shall be prepared by the IMO specialists to monitor the sites (Refer to Appendix 3). 6 17. IMO will incorporate the contents of replacement cost appraisal in proposed in-depth interviews and group discussions. Meanwhile, IMO shall undertake a rapid assessment with non- AHs in the project site, including building material merchants, to understand and get information on this matter. c) Quantitative method 18. One sampling survey shall be carried out in each monitoring mission. Samples shall be selected at random, comprising of 20% of marginal AHs and 100% of severe AHs. The Consultant prepared a questionnaire to collect necessary information from interviewed HHs (Refer to Appendix 2). d) Information processing and reporting 19. Information collected from the site monitoring shall be processed with specialized software, i.e. SPSS (quantitative) and NVIVO (qualitative). The information, after being processed, shall be extracted to monitoring reports. Each monitoring mission shall produce one report (in English and in Vietnamese) to jointly submit to PMB and WB. The report outlines and contents are presented in Appendix 4. 4.2 Monitoring and evaluation implementation arrangement 20. When the contract was signed, IMO has worked with Trung Son PMB to collect the RP implementation information and progress and discuss about monitoring initiation. According to the Contract, IMO shall undertake one final monitoring and evaluation on RP implementation of the overall project. This Contract is scheduled for 01 year. However, to ensure that all problems raised during resettlement implementation will be solved up timely, IMO could provide additional monitoring. 21. Based on the DMS and compensation progress of the road alignment, IMO prepares a monitoring implementation plan as presented in Table 2. This plan shall be adjusted to match with the actual implementation progress. 7 Table 2: Monitoring and evaluation plan 2009 2010 T2 T3 T4 T5 T6 T7 T8 T9 T1 T1 T1 T1 T2 T3 0 1 2 Signing contract. Collecting information and studying related documents, preparing monitoring tools (questionnaires, guidelines). Preparing Inception report Updating RP implementation progress Training and preparing for site monitoring Monitoring at site Processing data, preparing and translating report into English Monitoring implementation of life and livelihood rehabilitation process for AHs Undertaking final monitoring and evaluation. Processing data, preparing and translating report into English. Checking and accepting reports, completing the contract. 22. IMO assigns 04 experienced specialists to undertake the monitoring and evaluation tasks and one office-backup group to assist these specialists in processing data and other clerical works. The implementation organization applied for this Contract is as below: Personal arrangement and monitoring activities of IMO PMB CECODES District RCs IMO team leader Specialists Office back-up group 8 APPENDIX Appendix 1: Term of Reference I. INTRODUCTION Trung Son hydropower project: 1. Trung Son Hydropower Project is located in the main stream of Ma river in Trung Son commune, Quan Hoa district, Thanh Hoa province. The reservoir covers in Quan Hoa, Muong Lat districts in Thanh Hoa province and a part of Moc Chau district in Son La province. The task of the project is to generate and upload electricity to the national grid with the installation capacity of Nlm=260MW, averaged annual quantity of electricity of E0=1,055.33 million kWh. In addition, when the plant becomes operation with the flood control volume of 150 x 106m3 it will contribute significantly to the flood control in downstream, meanwhile, it will partially supply water for industry, agriculture, water transportation, tourism and aquaculture. 2. On September 16th 2008, Prime Minister issued the Decision 1532/TTg-QHQT approving the Trung Son hydropower project that is proposed for the ODA financed by World Bank and assigning the Board of Directors of Electricity of Vietnam (EVN) to appraise, decide the investment of the project. The project is financed by the credit provided by the World Bank through the International Bank for Reconstruction and Development (IBRD) and the counteRP art fund provided by EVN. The total project investment sums up 6,450,375.60 million VND. Construction ­ Operation road of Trung Son hydropower plant 3. The construction ­ operation road on the left side is the only road connecting to the National road No. 15A (crossing the National Road 15A at Co Luong T-junction). All materials, machines (including super-length, super-load) for the construction of Trung Son hydropower plant are all transferred and transported on this road. This road is abbreviated as Co Luong ­ Co Me road, comprising of: (1) Co Luong bridge (connecting with National Road 15A); (2) Co Me bridge at construction site; and (3) the road connecting Co Luong bridge with Co Me bridge) with a total length of 22 km. Presently this road is a small and narrow earth-road without bridges at the both ends therefore, it is necessary to build up this road in advance in order to facilitate the construction of the headworks of Trung Son hydropower plant. 4. Presently, the land acquisition, resettlement and compensation in Quan Hoa and Mai Chau districts is completed with the inventory of losses. The application of compensation prices and RP preparation is ongoing. It is planed that the RP implementation and hand-over of land to contractors shall be completed by April 30th 2009, the construction shall be started by May 30th 2009, and the construction of the road shall be in 15 months. 9 5. In order to meet with the requirements on land acquisition, resettlement and compensation to AHs as specified in RP , in addition to the internal monitoring, the external monitoring of RP implementation is also proceeded as specified in RP . Therefore, Trung Son PMB, representing for EVN, shall procure one RP independent monitoring consultant (referred to as `the Consultant') to monitor the RP implementation in the area that is affected by the construction of the Construction ­ Operation road of Trung Son hydropower plant. II. SCOPE OF IMPACTS 6. This road is built on the existing earth road which presently does not meet the transport requirements of heavy facilities. Therefore, the scope of land acquisition is not significant, mainly the land strips along road sides to widen the road. The land area to be acquired permanently totals 45.87ha, of which the proportions of land to be acquired are: agricultural land: 1.59 ha, residential land: 6.44 ha, forestry land: 29.60 ha, and other land: 8.24 ha. Households to be affected total 433 AHs and none of them is severely affected (losing more than 25% of productive land or relocation). Most of AHs are ethnic, making up 60%. The following table provides for more details. Summary of AHs in this road AHs losing <25% of AHs losing >25% of productive land productive land Item Thanh Hoa Thanh Hoa Total Hoa Binh Total Hoa Binh (HHs) (HHs) (HHs) (HHs) Total 433 319 114 0 0 0 1 Relocation AHs 85 71 14 2 Non-relocation AHs 348 248 100 III. OBJECTIVES 7. Monitoring the implementation of land acquisition, resettlement, compensation and assistance in the road is to: (i) Independently monitor the implementation of land acquisition, resettlement, compensation and assistance to AHs in the road package in order to make sure that the RP implementation is complied with the RP approved by the Vietnamese and WB. The RP independent monitoring, if necessary, shall provide technical assistance and professional supports to DRCs and the project implementing agencies; (ii) Timely contribute appropriate recommendations to solve up pending and potential issues that may incur during the construction of road; and (iii) Evaluate the socioeconomic conditions of AHs and of the affected area upon the completion of RP implementation in order to evaluate the achievement of the resettlement principles, i.e. the living conditions of AHs shall be at least equal to or better than those in the pre- project conditions. IV. SCOPE OF WORKS OF THE CONSULTING SERVICES 10 8. The Consultant shall undertake the evaluation on recommended compensation rates in RP to make sure that the compensation rates are replacement rates. If recommended compensation rates are not consistent with replacement rates, the Consultant, then, shall recommend Trung Son PMB and PPC with appropriate adjustments. 9. Evaluate the performance of resettlement and compensation activities in all levels, focusing on DRCs in order to ensure the effectiveness of and the compliance with the RP and EMDP. 10. Evaluate DMS process and entitlements of APs. The evaluation also includes the adequacy and accuracy of documents related to the land acquisition, resettlement and compensation, including DMS records, RP s, decisions approving RP s, internal monitoring reports and other related documents. 11. Evaluate socioeconomic impacts to AHs (refer to item (iii), para. 7 above). 12. Undertake a site survey and investigation to AHs as mentioned in para. 14. Organize meetings with representatives of affected CPCs, social organizations in the locality and District LACRBs. V. MONITORING METHOD a. Monitoring methods 13. Data collection: The Consultant shall collect data and information from: Trung Son PMB, LACRBs, CPCs in affected communes. 14. Data collected from AHs: Based on the inventory data on AHs, the Consultant shall carry out one random sampling survey to interview with questionnaires and 20% (random selection) of non-relocation AHs and 100% of relocation AHs. In addition, the Consultant may organize in-depth interviews or group-discussion with targeted AH groups (women- headed group, relocation group, the poor group, representative of CPCs in affected communes, District LACRBs) to collect more information. 15. Data processing, analysis and storage: All information and data collected shall be processed and analyzed by the Consultant in one database which provides a base for future monitoring and evaluation. The ownership of such data and information belongs to PMB and is transferred to PMB upon the completion of the Contract for consulting services. b. Monitoring indicators 16. The Consultant should monitor the entire process of RP implementation, compensation, support, resettlement and life rehabilitation for AHs, the monitoring indicators shall include, but not limited, the followings: (i) Implementation arrangement of land acquisition, resettlement and compensation 11 (ii) Compensation payment (in cash or in kind). a. All AHs shall be compensated adequately, satisfactorily and timely in compliance with RP in order to replace assets affected before land is taken. b. Compensation for land acquired with replacement prices and compensation for affected houses/ architectural works with prices sufficient to build new houses/ architectural works with similar structure without depreciation of materials or deduction of salvaged materials. (iii) Information dissemination and AH consultation a. AHs shall be informed and consulted sufficiently about the land acquisition, compensation policy, support, resettlement, life rehabilitation, grievance redress. b. The Consultant shall organize meetings with AHs to collect information on AH consultation process and solutions for their concerns. (iv) Recovery of livelihood activities: The Consultant shall monitor the recovery process of production activities of AHs, particularly of relocation AHs. (v) Level of satisfaction a. Evaluate the level of satisfaction of AHs on various aspects of RP (information dissemination, public consultation, DMS, compensation payment, compensation price, life and livelihood recovery measures). b. Evaluate the level of satisfaction of AHs on grievance redress mechanism and grievance redress situation. (vi). Compliance between resettlement activities and construction progress: The land acquisition and resettlement activities in any component of works must be completed before the construction starts. 6. REPORTING REQUIREMENTS 17. The Consultant is required to submit the following reports: a. Inception report 18. One month upon the signing of the Contract for Consulting services, the Inception report shall be submitted. The Inception Report shall describe (i) comments on the RP document reviews, particularly the organization of the implementing agencies, compensation rates, and RP costs; (ii) monitoring methods; (iii) monitoring organization; (iv) work-plan and outputs of each monitoring mission of the Consultant; and (v) initial recommendations, if any. c. Monitoring report 19. 20 days upon the completion of the site monitoring, the Consultant shall jointly submit the PMB and WB a report on monitoring results. The contents of the monitoring report include, but not limited to, the followings: 12 a. Implementation of compensation and resettlement policies specified in RP and any deviation, if any. b. Identification of pending issues and recommendation of solutions c. Status and level of grievance redress for AHs d. Satisfaction of AHs on the resettlement and compensation e. Compliance between the RP implementation progress and civil works plan of the project f. Conclusion and comments of the Consultant on the compliance of resettlement policies as specified in RP and recommendations (if any). d. Final report: 20. Within 6 months upon the completion of the entire resettlement program, the Consultant shall carry out the final monitoring and prepare a comprehensive report to submit to PMB and WB. This report shall provide a detailed evaluation on the achievement of resettlement objectives specified in RP and pending issues that need address (if any) in order to fulfill the RP objectives. 13 Appendix 2: QUESTIONNAIRE FOR AFFECTED HOUSEHOLD A. General information of affected household 1. Name of householder:................................................................., age................... Sex: Male Female. 2. Address: Hamlet..........................................Commune:................................................ District...................................................Province............................................................... 3. Ethnic group:........................, 4. Living standard level: a. Fair, rich b. Medium c. Poor 5. Social objects (war invalid, Martyr, Revolutionary household, VN heroic mother, alone elderly, ethnic minority, dioxin infected, woman headed household, illiteracy, poor)? Yes (specify)............................................. No 6. Interviewer identifies household impact degrees based on APs list: Severe Marginal Household members' information (specify) Nr Relation with Sex Birth Married Educatio Occupations Monthly householder 1. M year status n level average 2. F (4 (past or Main Sec. digital) current occupation occupation income highest (> 50% of level. working time for the job) 1 Householder 2 Wife/husband of householder 3 4 5 6 7 8 9 10 Code: (Fill by word first, then by relevant digital). Relation with Married status Education level of members Occupations householder of householder 1. never schooling 1. Farming (cultivation, husbandry) 1. Wife/husband 1. single 2. primary school 2. Business, services 2. son/daughter 2. married 3. secondary school 3. Worker, handicraft 3. son/daughter in law 3. widow 4. high school 4. state staff 4. grandchild 4. separated 5. college/ university or higher 5. soldier/police 5. father/mother 5. divorce 8. irrelevant (< 6 years old) 6. Pupil/student 6. father/mother in 7. retire/elderly law 8. No job 98. irrelevant, < 15 years old 14 B. Information on compensation 1. Do you know any information about constructing this road? a. No move to question 4 c. Yes 2. How do you know (tick possible options)? a. APs meeting b. leaflet delivery c. Mass media d. all e. Others (specify)........................................................................................................................ 3. What information of the project did you receive? a. Objectives of the project b. Compensation policy c. Compensation prices d. Rehabilitation of life. Inventory and payment schedule f. Grievance mechanism. Others (specify)........................................................................................................................... 3. What are your assets affected by the project? Assets Unit Quantity Notes Permanent Temporary Land m2 Rice land/crops Forest land Residential land Garden land Pond Others (specify) House m2 Main house Shops Structures Others (specify) Trees Wooden trees tree Fruit trees tree Industrial trees tree Bonsai tree Flower m2 Others (specify) Crops m2 Rice Corn Cassava Sweet potato Beans Sugar cane Others (specify) Graves unit Earth tomb Brick tomb Ashlar paving stone tomb Others (specify) Other assets (specify) 5. Did you or your family member participate in inventory process of affected assets? a. Yes b. No 6. Do you agree with the inventory results of your affected assets? 15 a. Yes b. No why?.............................................................................. 7. Are you provided an inventory record and project ìnormation documents to restore? a. Yes (require to show all project documents they have)) b. No 8. Were inventory and compensation price application results posted publicly in the commune office? a. Yes b. No c. Don't know 9. Do you agree with the application of price for your affected assets? a. Yes b. No why?................................................................................. 10. Were you informed the location, time and date of compensation payment? a. Yes b. No c. Don't know 11. Did you receive compensation sufficiently? a. Not yet why?............................................................................................ ................................................................................... ................................................................ b. Yes c. A part, why?............................................................................... ..................................................................................................................................................... 12. Did you satisfy with compensation payment procedures? a. Yes b. No why?...................................................................................................... ..................................................................................................................................................... 13. Were you consulted in compensation prices? a. Yes b. No 14. Were you informed about the date to hand over your land for the project? a. Yes b. No c. Don't know 15. Were you received any allowance from the project? a. Not any, because of not meet criteria b. Yes: please list Allowances Tick Allowances Tick Transportation Woman headed household Subsistence Illiteracy eradication Business Social allowance (specify) Vocational training Housing rent Ethnic minority Others (specify) ............................................... Note: If the household is marginally affected, then move to question 20, if the household is severely affected, then continue asking all below questions. FOR SEVERELY AFFECTED HOUSEHOLD (losing > 20% of total agri. landholding/or/and >50% of main house/or/and >20% of income/or/and relocation) 16. Was your family relocated? a. No move to question 18 16 b. Yes 17. What resettlement options do you like? a. In resettlement site b. Self-relocation c. Re-organise on remaining land 18. Do you and your family members have to change occupations? a. No Move to question 20 b. Yes 19. What occupations would you and your family members like to shift? a. Continue current job b. Business/services c. Hired labor c. Worker e. Don't know f. Others (specify)............................................. 20. What are your comments and assessments on the activities of project resettlement plan implementation? (on project information disclosure, inventory, compensation price, compensation payment, rehabilitation measures, and potential difficulties after land acquisition) Notes: Focus on severe affected households ..................................................................................................................................................... ..................................................................................................................................................... ...................................................................................................................................................... ...................................................................................................................................................... ...................................................................................................................................................... ...................................................................................................................................................... ...................................................................................................................................................... ...................................................................................................................................................... ...................................................................................................................................................... ...................................................................................................................................................... ...................................................................................................................................................... ...................................................................................................................................................... ...................................................................................................................................................... ...................................................................................................................................................... Thank you for your corporation 17 Appendix 3: Guidelines on in-depth interview and group discussion GUIDELINE FOR INDEPTH INTERVIEW OF AFFECTED PEOPLE 1. Objectives. Indepth interview relocating APs aims to explore: Satisfaction level of APs on resettlement and compensation implementation; Livelihood activities of APs and relations between livelihood activities and current land use situation; Life stabilization and livelihood rehabilitation of APs after project. Advantages and disadvantages effect life and livelihood of APs after project. 2. Basic information of interviewee. 1. Name, age, education level, marriage, occupation, income, number of family members, occupation and education level of members. 2. Current home address (hamlet, commune, district, province) and the beginning year of living in this location. 3. Contents of interview. Contents of interview should be focused on main issues: Current livelihood activities of APs and their family members; Project impacts on assets and livelihood of APs. Degree of impact (severe and unsevere) and activities of livelihood rehabilitation; Assessment of APs on compensation and resettlement implementation (including: project information dissemination, community consultation, inventory, compensation prices, compensation payment, measures of livelihood rehabilitation, and resettlement). Satisfaction of APs on each activitiy; Livelihood plans of APs and their family after constructing the road and connecting national electric system; Advantages and disadvantages in life and livelihood activities befoere and after project; Suggestions (if any). GUIDELINE FOR GROUP DISCUSSION OF APs 1. Objectives. Group discussion of APs aims to explore: Current livelihood activities of local people in general and of APs in particular. Relation between livelihood activities and using natural resources (land, water, forest...) Socioeconomic and cultural factors impact local people's lives and production; Project impacts on life and livelihood of APs and rehabilitation of livelihood of APs; Assessment of APs on resettlement implementation and their satisfactory. 18 2. General information of participants. 1. Name, age, ethnic, education, occupation, income, marriage, number of family members, age, education and occupation of members; 2. Current address (hamlet, commune, district, province). The beginning year living here. 3. Contents. Group discussion of APs should be concentrated on the following issues: Current livelihood activities of local people and APs. Situation of using land and other resources; Socioeconomic and cultural aspects impact livelihood of APs. Advandtages and disadvantages to livelihood activities of APs; Adverse impact of the project on APs' lives and livelihoods. Measures and competence of livelihood rehabilitation of APs after project. APs' assessment on resettlement activities (including: project dissemination and community consultation, DMS, compensation prices, compensation payment, resettlement and measures of livelihood rehabilitation) and APs' satisfactory of those activities. Suggestion and expectation of APs for PMU and local authorities. Appendix 4: Structure and content of monitoring and evaluation report I. Project overview II. Summary of project implementation progress 2.1 Project implementation progress (summarizing the implementation progress and procurement and bidding plan, civil works plan of the project updated to the monitoring mission). 2.2 RP implementation progress (Summarizing the progress and plan on the project DMS updated to the monitoring mission. III. RP independent monitoring (evaluation) methodologies 3.1 Methodologies 3.2 Implementation organization IV. Monitoring (evaluation) results against the RP implementation details in each subproject 4.1 Evaluation of in-door monitoring results 4.2 Information dissemination and APs consultation 4.3 DMS (DMS procedures, public announcement of DMS results, occupation of a DMS copy by AHs, AH participation in DMS process) 4.4 RP (RP preparation and approval, consultation with AHs about application of compensation prices, applied measures for life recovery (rehabilitation), any deviation about applied compensation policies to the compensation policies specified in RP ). 19 4.5 Compensation payment (compensation payment procedures, time of compensation payment, number of AHs received compensation up to the time of monitoring, number of AHs who have not yet received compensation and reasons). 4.6 Resettlement arrangement and land acquisition (construction of resettlement area and movement of AHs, compliance of land acquisition plan and resettlement plan) 4.7 Life rehabilitation of AHs (recommended and applied solutions, supports that entitled by AHs, job training) 4.8 Level of satisfaction of AHs about the compensation prices, compensation policies as well as RP implementation activities. 4.9 Grievance redress mechanism. V. Pending issues 5.1 Issues (mentioning issues and analyzing their reasons) 5.2 Recommended solutions (presenting specific measures, responsibilities of relevant parties, and solution time-frame) VI. Conclusions and recommendations 6.1 Conclusions 6.2 Recommendations Appendix: Summary of AHs and assets affected Application of compensation prices 20