RESETTLEMENT PLAN (RP)

Type of document: Resettlement plan (RP)

XUAN MINH HYDROPOWER CONSTRUCTION

PROJECT

Thuong Xuan Distric – Thanh Hoa Province

Xuan Minh Hydropower JSC

April 2017

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ABBREVIATION

AHH Hộ BAH Affected household

AP Người BAH Affected person/people

CPC UBND xã Commune people’s committee

DMS Detailed measuring survey

DPC UBND huyện District people’s committee

DRC Hội đồng ĐB-TĐC District resettlement and compensation board

EMPF Khung Chính sách Ethnic Minority Policy Framework

EMDP

Kế hoạch phát triển

DTTS Ethnic Minority Development Plan

GOV Chính phủ Vietnames Government

HH Hộ Household

IOL Inventory of losses

LAR Land acquisition and resettlement

LURC Giấy CNQSDĐ Land use right certificate

MOF Bộ TC Ministry of Finance

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

NGO Tổ chức phi chính phủ Non-governmental organisation

HPW CTTĐ Hydropower Work/plant

OP 4.12 Operational Policy 4.12 by the World Bank

PPC UBND tỉnh Provincial People’s Committee

RAP Kế hoạch TĐC Resettlement action plan

TOR Terms of Reference

USD Đô la United State dollar

VND Đồng Vietnamese dong

WB NHTG (Ngân hàng) World Bank

AH Hộ BAH Hộ bị ảnh hưởng

AP Người BAH Người bị ảnh hưởng

CPC UBND xã Ủy ban nhân dân xã

DMS Điều tra kiểm đếm chi tiết

DPC UBND huyện Ủy ban nhân dân huyện

DRC Hội đồng ĐB-TĐC Hội đồng đền bù tái định cư cấp huyện

EMPF Khung Chính sách Khung chính sách về dân tộc thiểu số

EMDP

Kế hoạch phát triển

DTTS Kế hoạch phát triển dân tộc thiểu số

GOV Chính phủ Chính phủ Việt Nam

HH Hộ Hộ

IOL Kiểm đếm tài sản bị ảnh hưởng

LAR Thu hồi đất và tái định cư

LURC Giấy CNQSDĐ Giấy chứng nhận quyền sử dụng đất

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MOF Bộ TC Bộ Tài chính

MOLISA Bộ LĐ-TB-XH Bộ Lao động, Thương binh, Xã hội

NGO Tổ chức phi chính phủ Tổ chức phi chính phủ

CTTĐ Công trình thủy điện

OP 4.12 Chính sách tái định cư bắt buộc của NHTG

PPC UBND tỉnh Ủy ban nhân dân tỉnh

RAP Kế hoạch TĐC Kế hoạch hành động tái định cư

TOR Đề cương tham chiếu

USD Đô la Đô la Mỹ

VND Đồng Đồng Việt Nam

NHTG Ngân hàng Ngân hàng Thế giới

WEIGHT AND INDEX EQUIVALENTS

ha – Hectare

km - Kilometer

m - meter

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DEFINITION OF TERMS

Affected person

(AP/Affected

Household)

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

public institution that, on account of changes resulting from

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

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

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

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

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

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

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

habitat are adversely affected, with or without displacement.

In the case of affected household, it includes all members

residing under one roof and operating as a single economic

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

components.

Cut-off date

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

the project area makes residents in the area recognized as

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

eligible for compensation and other entitlements, unless they

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

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

requirements on the affected assets after completion of the

social census and the IOL and before conduct of the detailed

measurement survey (DMS).

Detailed

Measurement Survey

(DMS)

- With the aid of the approved detailed engineering design,

Detailed Measurement Survey will finalize and/or verify the

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

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

preparation. The final cost of resettlement can be determined

after completion of the DMS.

Entitlement - Refers to a range of measures comprising compensation,

income restoration support, transfer assistance, income

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

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

their economic and social base.

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

resettlement or relocation site.

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

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livelihood of the affected households.

Inventory of loss

(IOL)

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

residence, commerce, agriculture, including ponds; dwelling

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

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

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

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

exact location pinpointed, and their replacement costs

calculated. Additionally, the severity of impact to the affected

assets and the severity of impact to the livelihood and

productive capacity of APs will be determined.

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

or private institution is compelled by a public agency to

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

ownership and possession of that agency for public purposes

in return for compensation at replacement costs.

Rehabilitation

- This refers to additional support provided to APs losing

productive assets, incomes, employment or sources of living,

to supplement payment of compensation for acquired assets,

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

project living standards and quality of life.

Relocation

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

project place of residence and/or business

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

affected assets and/or cover transaction costs necessary to

replace the affected assets without depreciation for such assets

as well as material advantage, taxes and/or travel expenses.

Replacement cost

Study

- A process related to evaluating alternative replacement cost

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

follows:

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

production-forest) based on market prices that reflect recent

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

productive value;

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

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

on similar location attributes;

(iii) Houses and other related structures based on current

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market prices of materials and labor without depreciation nor

deductions for salvaged building materials;

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

at the time of compensation;

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

current market value given the type, age and productive value

(future production) at the time of compensation.

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

market prices.

Resettlement

- This includes all measures taken to mitigate any and all

adverse impacts of a project on AP property and/or

livelihoods, including compensation, relocation (where

relevant), and rehabilitation as needed.

Resettlement Plan

(RP)

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

compensation and resettlement, ethnic minority strategies,

objectives, entitlement, actions, responsibilities, monitoring

and evaluation.

Severely affected

households

-

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

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

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

sources due to the Project.

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

disproportionately or face the risk of being further

marginalized from social development by the effects of

property loss and land or other project impacts. The

resettlement plan (RP) determines vulnerable households

specifically include: (i) female headed households with many

dependants and without support, (ii) illiterate; headed

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

falling under the generally accepted indicator for poverty

promulgated by Ministry of Labour, Invalids and Social

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

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

Severely affected households

Practical

consultation

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

and consecutively continued during project progress; (ii)

which includes timely disclosure of related project

information which is understandable and easy to access by the

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

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

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met gender sensitive issues, adjusted as per required by the

disadvantaged and vulnerable groups; and (v) creates

conditions to include related view points of affected people

and other stakeholders into decision making process like

project design, mitigation measures, sharing interest and

development opportunities, and implementation issues.

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INDEX

EXECUTIVE SUMMARY ........................................................................................ xii

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

A. Overview of Renewable Energy Development Project ............................................. 1 B. Introduction of Xuan Minh Hydropower Project ..................................................... 2 C. Mục tiêu của kế hoạch tái định cư ......................... Error! Bookmark not defined. D. Mitigation measure to reduce the impact of the construction .................................... 7

II. IMPACT AREA OF XUAN MINH HYDROPOWER PLANT ................................. 9

A. Impact on land ..................................................................................................... 9 B. Impacts on crops and trees .................................................................................. 11 C. Impacts on works and architectural objects ........................................................... 12 D. Impacts on income and livelihood ....................................................................... 13 E. Impacts on vulnerable households ....................................................................... 13

III. SOCIO-ECONOMIC INFORMATION OF AFFECTED COMMUNITY ................ 14

A. General socio-economic characteristics in project area .......................................... 14 Thuong Xuan district ............................................................................................. 14 B. Socio-economic information of affected community ............................................. 15

IV. INFORMATION DISCLOSURE, CONSULTATION AND PARTICIPATION ....... 20

A. Information disclosure ........................................................................................ 20 B. Public consultation and participation ................................................................... 20 C. Results of information dissemination and Public consultation ................................ 21

V. LEGAL FRAMEWORK AND ENTITLEMENT ................................................... 23

A. Policy requirements of WB ................................................................................. 23 B. Vietnam policy framework ................................................................................. 23 C. Regulations on compensation, assistance and resettlement by the local authority ..... 24 D. Some regulations applied in compensation, assistance of Xuan Minh Hydropower

project ..................................................................................................................... 25

VI. RESETTLEMENT, COMPENSATION AND ASSISTANCE STRATEGY ............. 39

A. Thủ tục chi trả đền bù ......................................................................................... 39 B. Replacement cost ............................................................................................... 39 C. Compensation for impacts and entitlement ........................................................... 39

VII. INSTITUTION ARRANGEMENT AND IMPLEMENTATION SCHEDULE ....... 46

A. Implementation schedule .................................................................................... 46 B. Institutional arrangements ................................................................................... 46

VIII. GRIEVANCE REDRESS MECHANISM ...................................................... 48

IX. MONITORING AND REPORTING ..................................................................... 50

A. Internal Monitoring ............................................................................................ 50 B. External Monitoring ........................................................................................... 50

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X. BUDGET AND FINANCIAL SCHEDULE .......................................................... 55

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LIST OF TABLES

Table I-1: Main specifications and parameters of Xuan Minh Hydropower plant ............... 4

Table II-1: Land Area And The Number Of AHHs in the project Area ............................... 9

Table II-2: Classification of affected land acquired permanently by the work (m2) ............. 9

Table II-3: Classification of land affected by the items of the work (m2) .......................... 11

Table III-1: The number of affected households and ethnic group ..................................... 15

Table III-2 Education level of surveyed HHs in affected communes ................................. 15

Table III-4: Income per capita of AHHs ............................................................................. 16

Table III-5 Average Expenditure of Surveyed HHs (%) ..................................................... 16

Table III-6: The number of schools in all levels in Xuan Cao and Xuan Cam ................... 18

Table III-9: Labor allocation in families in terms of gender in AHHs ............................... 18

Table IV-1: Concerns of affected community and commitment of the investor ................ 21

Table V-1: Entitlement matrix for Xuan Minh HPP .......................................................... 26

Table VI-1: Total compensation for AHHs ......................................................................... 40

Table VI-2: Compensation for affected trees, crops ........................................................... 40

Table IX-1 Monitoring and Evaluation Indicators .............................................................. 52

Table X-1: Summary of resettlement costs ......................................................................... 55

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ANNEXES

ANNEX 1 LIST OF AHS – XUAN MINH HYDROPOWER PROJECT

ANNEX 2 PROJECT INFORMATION BOOKLET (PIB)

ANNEX 3 TERMS OF REFERENCE

ANNEX 4 CONSULTATION MEETING MINUTES

ANNEX 5 SOME PHOTOS OF CONSULTATION MEETINGS

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EXECUTIVE SUMMARY

Introduction

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

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

sources on a commercially sustainable basis in an environmentally and socially

sustainable manner.

2. Xuan Minh Hydropower plant, invested by Xuan Minh Hydropower JSC, is

located on Chu River, in the area of Xuan Minh village, Xuan Cam commune, Thuong

Xuan district, Thanh Hoa province. The Chu River is the largest tributary of Ma River,

originating from the mountainous area which is higher than 2,000 m in the northwest of

Sam Nua in Laos, flows from northwest to southeast through Nghe An and Thanh Hoa

provinces and flows in the the right bank of Ma river in Nga Ba Giang which is 25 km

from the estuary. Ma river originates from the northwestern part of Vietnam in Lai Chau

province, flows through Son La province, Lao PDR, Nghe An province and Thanh Hoa

province and then flows into South China Sea. Ma River has two major tributaries, Chu

River and Buoi River. Chu River is 325 km in the length in which 160 km of the river is

in Vietnamese territory. The plant is about far 60 km away from Thanh Hoa city in the

southwest, 3km away from Thuong Xuan district in the South-Southwest. The plant is in

Chu river hydropower terraces, located in the downstream of Cua Dat hydropwer plant

with geographic location: 19o52’50” North latitude ,105o20’08” East longtitude.

3. Installation capacity of Xuan Minh hydropower plant is Nlm = 15MW, average

annual output is Etb = 65,06.106kWh. Xuan Minh is cross-dam hydropower plant with

ensure capacity is Nđb = 4.56MW, catchment area to the slected route: 6,315km2, total

average annual flow is Qo: 122.2 m3/s; normal water level NWL is 27.5 m; dead water

level is 27.0m; volume of reservoir is: 8.1 million m3, useful volume is: 0,71x106m3, dead

volume is 7,39 x106 m3, reservoir area correspending to NWL: 1.65 km2, the largest flow

through the plant Q max: 199.2 m3/s, height of spillway dam: 25.2m, weir height: 13.4m,

ensure flow Q đb 67,8 m3/s, voltage: 110 kV.

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

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

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

resettlement activities must be prepared and executed with sustainable development

programs and sufficiently provided investment supports, enabling displaced people to

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

participate in preparing and implementing activities in Resettlement Plan.

Area of impact

5. Xuan Minh Hydropower Plant will permanently occupy 1685,270.40 m2 of land in

Xuan Cao, Xuan Cam and Van Xuan communes, Thuong Xuan district (specifically Van

Xuan commune is only affected with river and stream land managed by CPC). No

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household must relocate. The detailed information on area of each type of land and the

number of AHHs will be shown in the next sections.

Social-economic information

6. Socio-Economic Survey on the area and affected households was held in February

2014 with 100% of participants (115 households). The main income source of affected

households is from agriculture (114/115 households). Due to weather dependent

agriculture and limited land, income of the households is quite low (most of AHHs have

average income of 20-40 million VND/year), poor households accounts for 9.6% (11/115

households).

7. The contruction area has quite good infrastructure. The affected villages are

located in inter-communal roads, near primary school, secondary school, preschool and

medical center. 100% of households can use national electrici grid.

Information dissemination and public consultation

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

local governmental authority and affected people were held in February 2017 to

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

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

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

plan.

9. Public consultation meetings have been organized in Xuan Cao, Xuan Cam

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

the communes and local officers.

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

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

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

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

stage or at necessary point of time.

Legal Framework and Entitlement

11. Xuan Minh Hydropower Plant is under Renewable Energy Development Project,

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

principles defined in Resettlement Framework agreed between Ministry of Industrial and

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

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

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

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

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

province

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

properties basing on replacement cost. Compensation implementation and providing

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

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

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

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

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

Institutional Arrangement and Implementation Plan

13. The project shall be implemented for 2.5 years, open in September 2016, and

complete in the end of first quarter 2019.

14. Xuan Minh Ltd company is responsible for all project implementation

components, including preparing and implementing RP as well as monitoring, evaluating

this RP. Being as a project implementation agency, Xuan Minh Hydropower will have

following main responsibilities: (i) updating and implementing RP in coordination with

related people’s committees at levels and provincial and district Compensation,

Assistance and Resettlement Board (CARB) and submitting to MOIT and WB for

approval; (ii) ensuring government capital available for implementation of RP and

availability and sufficiency of funds for resettlement (money for compensation and other

assistances).

Grievance Mechanism

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

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

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

the project area.

Monitoring and Evaluation

16. Xuan Minh Ltd company shall provide the services of an independent internal

monitoring agency. Therefore, Xuan Minh Hydropower JSC shall collect and record

entire site documents, including the database on affected HH and submit quarterly reports

to the project management Unit (MOIT) and WB.

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

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

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

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

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

WB.

Internal and external independent monitoring system shall be set up including

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

community development and ethnic minorities, in which, Xuan Minh Ltd company shall

be responsible for internal monitoring; monthly and quarterly monitoring reports shall be

submitted to PMU and WB. The EMA shall be selected for implementing independent

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monitoring and independent evaluation shall be made on annual basis, except for the first

stage semi-annual evaluation may be required

Budget and Disbursement Plan

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

Minh HPP is 25,159,646,744 VND (equal to 1,105,432 USD, foreign exchange rate is

22,760). Implementation cost shall be paid by Xuan Minh Ltd Company.

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I. GENERAL INTRODUCTION

A. Overview of Renewable Energy Development Project

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

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

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

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

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

channel development component.

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

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

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

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

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

renewable energy projects in compliance with international practices. This component

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

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

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

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

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

with Renewable Energy Development Project criteria including environmental and

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

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

participated commercial banks.

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

the eligible Renewable Energy subprojects proposed by the investors and

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

banks. The participating banks will lend subprojects under commercial term

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

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

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

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

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

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

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

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

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

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

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

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

output.

• Technical assistance for implementation of investment projects: the technical

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

2

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

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

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

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

through loan processing and negotiation.

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

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

management and considering social and environmental safeguard. The

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

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

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

TA shall also assist PMU in management of REDP.

B. Introduction of Xuan Minh Hydropower Project

1. Legal basis

- Decision No. 1938 / QD-BCT dated 20/4/2010 by Minister of Industry and Trade

on supplemently approving Ma River hydropower terrace planning; Decision No.

3840 / QD-BCT dated 01/8/2011 by Minister of Industry and Trade on approving

the adjustment of Ma River hydropower terrace planning;

- Document No. 4354 / UBND-CN dated 12/5/2015 of Thanh Hoa province People's

Committee approving the policy to assign Xuan Minh Hydropower Joint Stock

Company as the investor to implement Xuan Minh Hydropower Project in Thuong

Xuan district;

- Decision No. 2591/QD-UBND dated 15/7/2015 of Thanh Hoa province People's

Committee approving Report on the Environmental Impact Assessment of Xuan

Minh Hydropower Project in Thuong Xuan District, Thanh Hoa province;

- Document No. 2903 / EVN NPC-KDĐN dated 20/7/2015 of Northern Electricity

Corporation on approval of purchasing power from Xuan Minh hydropower

project in Thanh Hoa province;

- Document No. 7327 / UBND-CN dated 27/7/2015 of Thanh Hoa province People's

Committee on approval of content and implementation of Xuan Minh hydropower

project;

- Certificate of investment registration No. 1661326561 dated 04/8/2015 of

Department of Planning and Investment of Thanh Hoa province granted to Xuan

Minh Hydropower Joint Stock Company;

- Document No. 732 / SCT-MĐT dated 28/7/2015 of Thanh Hoa Department of

Industry and Trade about the comments on basic design of Xuan Minh hydropower

project;

- Decision No. 25/2015 / QĐ-HDQT dated 10/8/2015 by Board of Directors of Xuan

Minh Hydropower Joint Stock Company on approval of project and investment in

construction of Xuan Minh Hydropower Plant;

- Document No. 109 / SCT-MĐT dated 13/01/2016 of Thanh Hoa Department of

Industry and Trade announcing results of technical design verification for Xuan

Minh hydropower project;

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- Long-term credit contract No. 016 and 018/2016/HDTDT-PS/SHB.110600 dated

18/01/2016 between Xuan Minh Hydropower Joint Stock Company and Saigon -

Hanoi Commercial Joint Stock Bank (SHB), Thang Long Branch for funding Xuan

Minh Hydropower Project;

- Decision No. 01 / QD-HDQT dated 19/01/2016 of Board of Directors of Xuan

Minh Hydropower Joint Stock Company on approval of technical design for the

construction of Xuan Minh hydropower plant;

- Construction License No. 3721/GPXD-SXD dated 14/7/2016 of Thanh Hoa

Department of Construction granted to Xuan Minh Hydropower Joint Stock

Company;

- Decision No. 2331 / QD-UBND dated 01/7/2015 of Thanh Hoa province People's

Committee for Xuan Minh Hydropower Joint Stock Company to lease land for

Xuan Minh Hydropower project in Thuong District Xuan, Thanh Hoa province;

- Decision No. 2901 / QĐ-BCT dated 11/7/2016 of Ministry of Industry and Trade

on approving, adjusting and supplementing electricity development in Thanh Hoa

province in 2011-2015 with a vision to 2020;

- Document No. 12/08/2016 dated 12/08/2016 of Northern Electricity Corporation

on agreement about the connection between Xuan Minh hydropower plant and

Thanh Hoa;

- Certificate of land use rights No. CD 012598 dated 30/8/2016 granted by Thanh

Hoa province People's Committee to Xuan Minh Hydropower Joint Stock

Company.

2. Characteristics of the plant

20. Xuan Minh Hydropower plant, invested by Xuan Minh Hydropower JSC, is

located on Chu River, in the area of Xuan Minh village, Xuan Cam commune, Thuong

Xuan district, Thanh Hoa province. The Chu River is the largest tributary of Ma River,

originating from the mountainous area which is higher than 2,000 m in the northwest of

Sam Nua in Laos, flows from northwest to southeast through Nghe An and Thanh Hoa

provinces and flows in the the right bank of Ma river in Nga Ba Giang which is 25 km

from the estuary. Ma river originates from the northwestern part of Vietnam in Lai Chau

province, flows through Son La province, Lao PDR, Nghe An province and Thanh Hoa

province and then flows into South China Sea. Ma River has two major tributaries, Chu

River and Buoi River. Chu River is 325 km in the length in which 160 km of the river is

in Vietnamese territory. The plant is about far 60 km away from Thanh Hoa city in the

southwest, 3km away from Thuong Xuan district in the South-Southwest. The plant is in

Chu river hydropower terraces, located in the downstream of Cua Dat hydropwer plant

with geographic location: 19o52’50” North latitude ,105o20’08” East longtitude.

Installation capacity of Xuan Minh hydropower plant is Nlm = 15MW, average annual

output is Etb = 65,06.106kWh. Xuan Minh is cross-dam hydropower plant with ensure

capacity is Nđb = 4.56MW, catchment area to the slected route: 6,315km2, total average

annual flow is Qo: 122.2 m3/s; normal water level NWL is 27.5 m; dead water level is

27.0m; volume of reservoir is: 8.1 million m3, useful volume is: 0,71x106m3, dead volume

is 7,39 x106 m3, reservoir area correspending to NWL: 1.65 km2, the largest flow through

4

the plant Q max: 199.2 m3/s, height of spillway dam: 25.2m, weir height: 13.4m, ensure

flow Q đb 67,8 m3/s, voltage: 110 kV (The main parameters of the plant is shown in Table

I-1)

Table I-1: Main specifications and parameters of Xuan Minh Hydropower plant

No. Specification Unit Value

I Catchment

1 Catchment Area km2 6315

2 Including catchment area on Laos’ territory km2 4817

3 Length of the main river km 258

4 Average width of the catchment km 22.7

5 The average annual rainfall mm 1600

6 Average annual water flow Qo m3/s 122.2

7 Flow module l/s/km2 19.8

8 Total annual rainfall flow Wo 109m3 3.854

9 Highest flood flow corresponding to frequency

10 Qp= 0.01% (lũ tần suất KT CĐ+KT khu giữa) m3/s 11928

11 Qp = 0.1% (lũ tần suất TK CĐ+TK khu giữa) m3/s 8312

12 Qp = 0.5% (lũ tần suất KT khu giữa) m3/s 3534

13 Qp = 1.5% (lũ tần suất TK khu giữa) m3/s 3466

14 Qp = 5% m3/s 3394

15 Qp = 10% m3/s 3353

II Reservoir

1 Check flood level (P=0,01%) m 36.12

5

No. Specification Unit Value

2 Design flood level (P=0,1%) m 33.38

3 Check flood level (P=0,5%) m 29.18

4 Design flood level (P=1,5%) m 29.13

5 Normal water level (NWL) m 27.5

6 Dead water level (DWL) m 27.0

7 Total volume Wtb 106m3 8.1

8 Useful volume Whi 106m3 0.71

9 Dead volume Wc 106m3 7.39

10 Reservoir area correspending to NWL Km2 1.65

III Flow and water column

1 Ensure flow Qđb m3/s 67.8

2 The highest flow Qmax m3/s 199.2

3 Maximum water column Hmax m 10.1

4 Minimum water column Hmin m 6.73

5 Calculated water column Htt m 8.5

IV Maximum downstream water level at the plant

1 Flood with frequency of P = 0.01% m 32.73

Flood with frequency of P=0.1% m 30.39

Flood with frequency of P=0.5% m 25.65

Flood with frequency of P=1.5% m 25.56

2 Running with maximum flow Qmax m 18.59

6

No. Specification Unit Value

3 Running with minimum flow Qmin capacity of 1

turbine m 17.69

V Capacity

1 Installation capacity Nlm MW 15

2 Ensure capacity Nđb frequency of 85% MW 4.56

VI Energy criteria

1 Average annual electricity output Etb 106kWh 65.06

2 Electricity output in dry season (average/year) 106kWh 35.78

3 Electricity output in rainy season (average/year) 106kWh 29.28

4 Number of hour using installation capacity hour 4337

VII Total investment (after tax) 109VNĐ 522,311

1 - Cost of construction 109VNĐ 215,345

2 - Cost of equipment 109VNĐ 200,991

3 - Compensation for site clearance 109VNĐ 9,333

4 - Cost of project management 109VNĐ 5,290

5 - Investment cost of building 109VNĐ 22,095

6 - Other costs of the project: 109VNĐ 34,155

+ Other costs 109VNĐ 6,953

+ Cost of borrow interest 109VNĐ 27,202

7 - Contingency cost 109VNĐ 35,102

VIII Economic criteria

1 Net investment capital 109VNĐ 451,685

7

No. Specification Unit Value

2 EIRR % 13.88

3 B/C 1.34

4 NPV 109VNĐ 136.32

IX Financial criteria ( 5.31 cent/kWh )

1 Net investment capital 109VNĐ 451,685

2 FIRR % 14.69

3 B/C 1.27

4 NPV 109VNĐ 143.8

5 Price dong/kWh 936.16

6 Payback time year 12

C. Objectives of resettlement plan

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

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

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

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

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

with sustainable development programs and sufficiently provided investment supports,

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

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

Resettlement Plan.

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

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

before constructing Xuan Minh HPP.

D. Mitigation measure to reduce the impact of the construction

The catchment from Cua Dat Hydropower to river section of research area has total

length of about 9km with a basin area of 280 km2 meanwhile the total basin area from the

catchment to Cua Dat is 6000 km2. Therefore the different in basin area for each research

section is insgnificant; the flow in this section is almost level. Therefore, the closer the

research route towards Bai Thuong dam is, the higher the capacity and energy will be. On

the other hand, to minimize the impact of flooding on residential areas and other

economic projects based on the results of topographical survey and field research, it is

8

shown that the section of Xuan Minh hydropower plant is the most reasonable area for the

construction of a hydropower plant on Chu River, in Xuan Minh village, Xuan Cam

commune on the left bank, and Xuan Minh Xuan Cao commune on the right bank, far

about 3km away from Thuong Xuan town in the West.

During the technical design stage of Xuan Minh hydropower plant, we have

reviewed two routes in Chu river section, which are about 300m apart.

Lower route segment: The coordinates of the two terminals of route center (get the

midline segment of the route) are: Left shoulder X = 535 058.82 Y = 2 199 483.79. Right

shoulder X = 535 315.52 Y = 2 199 231.41

Upper route segment: is 300m from middle route toward the upstream. The

coordinates of the two terminals of route center are: Left shoulder X = 534 829.34 Y = 2

199 310. 65. Right shoulder X = 535 037.14 Y = 199 199 041.54

By geological analysis, it can be seen that the second option is more favorable than

the option 1. Therefore, The selected route is upper route.

Choose normal water level:

NWL of Xuan Minh reservoir calculated according to the option with NWL = 26.5-

28.5m with different flow rates Q = 40 m3/s (Qirrigation) -156 m3/s (Qmax of Cua Dat

HPP) has shown that with FSL of ≤27.5m, the overflow water from Xuan Minh Reservoir

can be restricted from flooding and does not affect Cua Dat hydropower plant which is

about 7km from Xuan Minh dam. Therefore, selected NWL is 27.50m

Selected dead water level of Xuan Minh hydropower plant is DWL = 27.0m

9

II. IMPACT AREA OF XUAN MINH HYDROPOWER PLANT

23. Xuan Minh Hydropower Plant will permanently occupy 1685,270.40 m2 of land in

Xuan Cao, Xuan Cam and Van Xuan communes, Thuong Xuan district (specifically Van

Xuan commune is only affected with river and stream land managed by CPC). No

household must relocate. The detailed information on area of each type of land and the

number of AHHs will be shown in the next sections.

A. Impact on land

According to inventory of loss (IOL), 1,685,270.40 m2 land of all types are permanently

acquired for the work items, in which 190,963.97 m2 belongs to households, 1,486,621.79

m2 is public land. Table II-1 provide detailed information on affected land area and the

number of AHHs in the construction area.

Table II-1: Land Area And The Number Of AHHs in the project Area

No.

Commune

Total affected

area (m2)

Area of permanently acquired land

AHHs

Land of

AHHs

Land managed

by CPC

1 Xuan Cam 1,511,734.60 84 125,949.29 1,380,642.13

2 Xuan Cao 145,392.80 31 65,014.68 77,836.66

3 Van Xuan 28,143.00 0 0.00 28,143.00

Total 1,685,270.40 115.00 190,963.97 1,486,621.79

24. Total area of permanently acquired land is 1,685,270.40m2, most of them are forest

land, alluvial land managed by CPC (1,486,621.79 m2, accounting for 88.2%) the rest is

land for rice and upland, productive forest land... (see table II-2 for more detail).

Table II-2: Classification of affected land acquired permanently by the work (m2)

N

o

.

Name of

commune Total

Land

for rice

(LUC)

Upland

BHK/C

LN

Rural

reside

ntial

land

(ONT

)

Produ

ctive

forest

land

(RSX)

Land

for

aquac

ulture

(TSN)

River

and

stream

land

(manage

d by

CPC)

1 Xuan Cam

1,511,734

.6

83,841.7

3

33,552.4

6

8,555.

10 0.0

5,143.

18

1,380,642

.13

2 Xuan Cao 145,392.8

25,800.0

6

27,885.1

0 93.52

11,236

.0

2,541.

46 77,836.66

3 Van Xuan 28,143.0 0.00 0.00 0.00 0.0 0.00 28,143.00

Total

1,685,270

.4

109,641.

79

61,437.5

6

8,648.

62

11,236

.0

7,684.

64

1,486,621

.79

10

25. According to inventory of loss (IOL), as a part in 1,685,270.4 m2 permanently

acquired land, most of the area is for reservoir (89.4%), the rest is for building main

works and auxiliary works (10.6%). Table (II-3) provides information on classification of

land affected by the construction.

11

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

N

o

. Work items

Total

affected

land

The

nu

mb

er

of

AH

Hs

Land

for rice

(LUC)

Uplan

d

BHK/

CLN

Rural

reside

ntial

land

(ONT

)

Pro

duct

ive

fore

st

land

(RS

X)

Land

for

aquac

ulture

(TSN)

River

and

stream

land

(manage

d by

CPC)

I

Permanentl

y affected

land

1,685,27

0.4 115

109,64

1.79

61,437

.56

8,648.

62

11,2

36

7,684.

64

1,486,62

1.79

1

Main and

auxiliary

works

179,296.

3 25

1,886.5

0

47,765

.90 93.52

11,2

36 0,00

118,314.

38

2 Reservoir

1,505,97

4.1 90

107,75

5.29

13,671

.66

8,555.

10 0

7,684.

64

1,368,30

7.41

I

I

Temporaril

y affected

land 0

1

Main and

auxiliary

works 0

2 Reservoir 0

Total

1,685,27

0.4 115

109,64

1.79

61,437

.56

8,648.

62

11,2

36

7,684.

64

1,486,62

1.79

B. Impacts on crops and trees

26. According to the survey results, 182,315.35 m2 land for annual crops, perennial

crops... will be affected by the construction, including rice, maize, cassava, and other

perennial crops (detail on the loss of crops is shown in Table II.4).

Table II-4: Loss of crops by Xuan Minh HPP

No. Items Unit Total Xuan Cam Xuan Cao

I

Main works and

auxiliary works m2 60.888,40 21.767,30 39.121,10

1 Annual crop (BHK) m2 47.601,42 19.880,80 27.720,62

2 Perennial crop (CLN) m2 164,48 0,00 164,48

3 Rice (LUC) m2 1.886,50 1.886,50 0,00

4

Productive forest land

(RSX) m2 11.236,00 0,00 11.236,00

II Reservoir m2 121.426,95 95.626,89 25.800,06

12

1 Annual crop (BHK) m2 13.671,66 13.671,66 0,00

2 Annual crop (CLN) m2 0,00 0,00 0,00

3 Rice (LUC) m2 107.755,29 81.955,23 25.800,06

4

Productive forest land

(RSX) m2 0,00 0,00 0,00

III Total 182.315,35 117.394,19 64.921,16

C. Impacts on works and architectural objects

27. Xuan Minh HPP only affects some works and architectural objects of the

households (Table II.5), does not affect houses, no househould has to replace.

Table II-5 Loss of works and architectural objects by Xuan Minh HPP

No. Items

Uni

t Total

Xuan

Cam

commun

e

Xuan

Cao

commun

e

I Main works and auxiliary works

1

Warehouses, temporary houses

(Fiprociment roofing tents, stalls) m2 17.00 0,00 17.00

2 Barn (pigsty) m2 25.83 0.00 25.83

3 Concrete yard m2 50.69 0.00 50.69

II Reservoir

1

Warehouses, temporary houses (made

of bamboo, straw, ground floor) m2 139.31 139.31

0.00

2 Digging ponds m3

13,301.5

1 8,494.53 4,806.98

3

Pond embankment with stone,

pebbles m3 116.94 116.94

0.00

4

rice drying ground (made of cement

on ground floor) m2 26.70 26.70 0.00

5 Plastic pipe PVC 32 m 7.00 7.00 0.00

6 Concrete roads M200 m3 69.51 69.51 0.00

7

Fence wall made of concrete block

brick m2 200.59 200.59 0.00

8 Stone wall foundation m3

7.25 7.25 0.00

9 Reinforced concrete column m3

4.16 4.16 0.00

13

D. Impacts on income and livelihood

28. Land acquisition, especially land for cultivation will have impact on the

livelihoods and income of the households. According to the survey, the construction will

affect 115 households due to permanently acquired agricultural land in the communes

Xuan Cao, Xuan Cam, Van Xuan. The impact levels are shown in Table II – 6.

Table II-6 Impact levels on agricultural land

No. Commune <10% 10% - 30% 30% -

70% >70% Total

1 Xuan Cao 5 12 11 3 31

2 Xuan Cam 18 40 24 2 84

Total 22 52 35 5 115

E. Impacts on vulnerable households

29. The socio-economic survey at the time of reporting has shown that, as a part of 115

affected households, 11 households are the poor, 4 households headed by single women

with dependents, 1 household headed by the single elderly more than 70 years-old, 70

HHs are ethnic people. These HHs shall be further assisted in compliance with the project

guidelines and more details shall be described in the next chapters.

Table II-7: Groups of vulnerable households

No. Commune Poor

households

Households

headed by

single

women

with

dependents

Household

headed by the

single elderly

more than 70

years-old

HHs are ethnic

people

1 Xuan Cao 3 0 1 23

2 Xuan Cam 8 4 0 84

Total 11 4 1 107

14

III. SOCIO-ECONOMIC INFORMATION OF AFFECTED COMMUNITY

A. General socio-economic characteristics in project area

30. Xuan Minh hydropower plant is located in Thuong Xuan district, Thanh Hoa

province. Three communes Xuan Cao, Xuan Cam, and Van Xuan are directly affected by

the construction. However, Van Xuan commune is only affected by river and stream land

managed by CPC, private lands in Van Xuan are not affected.

Thuong Xuan district

31. Natural area: 1,113.81 km2 - Population: 83,670 people (2012) – Administrational

units: 16 communes and 1 town.

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

Natural area: 1,113.81 km2 - Population: 83,670 people (2012) - About 60 km from

Thanh Hoa City. The district has border with Lang Chanh, Ngoc Lac districts in the north;

with Que Phong district, Nghe An province and Sam To district, Hua Phan province, Lao

PDR in the west; with Tho Xuan district, Trieu Son district in the east, with Nhu Xuan

and Nhu Thanh districts in the south.

33. The district has 16 communes, 01 town with 143 villages, and 05 towns; 20,445

households with 85,893 people, the number of people in working age is 43,736 people.

Ethnic groups in the district are Thai, Kinh and Muong: Thai: 45,523 people, accounting

for 53%; Kinh: 37,192 people, accounting for 43.3%; Muong ethnic group (3,178 people)

accounts for 3.7% (Population data on 31/12/2011). The population is distributed

unevenly, mainly in the lowland, the higher the terrain is, the sparser distribution is; The

average population density is 76 people/km2, the highest density is in Thuong Xuan town

with 1750 people/km2. The average population density in the highlands is 55 people/km2.

Natural population growth rate is 0.97%/year.

34. Thuong Xuan is an upland district, located in the southwest of Thanh Hoa city,

Thuong Xuan district is ranked as one of the most difficult provinces of Thanh Hoa

province. Thuong Xuan town is the economic and cultural center of the district, located

on Ho Chi Minh Road, Highway 15A, Provincial Route 507. With this position, Thuong

Xuan has become the key district of Thanh Hoa province for forestry development, where

three ethnic groups, Thai, Muong, Kinh have economic and cultural exchanges.

Xuan Cao commune

35. Xuan Cao commune is located in the south of Thuong Xuan district, 11 km from

the district center. Xuan Cao has border with Xuan Cam commune, Tho Thanh district,

Thuong Xuan district in the north, with Van Xuan commune in the west, with Luan Khe

commune in the south, with Xuan Phu commune, Tho Xuan district in the east. Total

natural area is 3642 ha, population is 1300 households with 6300 people. There are three

ethnic groups living in the commune: Thai ethnic group: 750 households, Kinh: 375

households, Muong ethnic group: 375. Xuan Cao is an agricultural commune with

average income of 16.6 million VND/person/year, the rate of poor households is 16.9%.

Xuan Cam commune:

36. Xuan Cam Commune is located in the west of Thuong Xuan District, 2km from

the district center. Xuan Cam commune has border with Ngoc Phung in the north, with

15

Van Xuan commune in the west, with Xuan Cao commune in the south, with Thuong

Xuan town in the east. Total natural area is 4542 ha, population is 896 households with

4890 people. There are 3 ethnic groups living in the commune: Thai ethnic group: 762

households, Kinh ethnic group: 90 households, Muong ethnic group: 44 households. Xuan

Cam is an agricultural commune with average income of 21 million VND/person/year,

the rate of poor households is 13.6%.

B. Socio-economic information of affected community

1. Affected households are ethnic minorities

37. According to IOL, as a part of 115 AHHs in 2 communes Xuan Cao and Xuan

Cam, 107 HHs are Thai ethnic group, 8 HHs are Kinh people. Table III-1 shows the

number of affected households and ethnic group in each commune.

Table III-1: The number of affected households and ethnic group

Commune Ethnic group

Total of AHHs Thai Kinh

Xuan Cao 23 8 31

Xuan Cam 84 0 84

Total 107 8 115

2. Family size and number of family member

38. Total number of land acquired by the construction is 115 housholds with 524

people, averagely each household has 4.6 people. The number of AHHs headed by

women is 15, accounting for 13%.

3. Main occupation of household head

39. Apart of 115 AHHs, only 1 household headed by a teacher, the remaining 114

housholds are headed by farmers with main income source from agriculture.

4. Education level of AHHs

40. Apart of AHHs in 2 communes, no case of illiteracy in children and adults has been

recorded. According to the survey result, only 16 household heads (13,9%) finished

high school, 38 household heads (33,0%) finished secondary school, 37 household

heads (32,2%) finished elementary school, the remaining 24 household heads (20,9%)

did not finish secondary school. (Table III-2).

Table III-2 Education level of surveyed HHs in affected communes

Commune No/

unfinished

elementary

school

Graduate

from

elementary

school

Graduate

from

Secondary

school

Graduate

from High

school

Total

Xuan Cao 6 11 10 4 31

Xuan Cam 18 26 28 12 84

Total 24 37 38 16 115

16

5. Job and income

41. Among 115 AHHs, only 1 household headed by preschool teacher, the remaining

114 housholds are headed by farmers with main income source from agriculture.

42. The main income source of AHHs is from agriculture. The key food crop of the

people is rice. Maize and cassava are planted for sale and breeding. Averagely, each

household has about 500-100m2 land of paddy rice which supplies 300kg of rice/year,

1500-2000m2 land of maize and cassava gives income of 3-4 million VND/year. In

addition, the people plant sugarcane to provide material for Lam Son sugar factory.

Income from sugarcane is relatively high, about 40-50 million VND/ha, however due to

limited land aream each household only owns 1500-4000m2 to plant sugarcane which can

give 6-24 million VND/year.

43. Most of the households in the project area are raising chicken, buffaloes, cows and

poultry which are used for food, and earn money, the income from livestock production is

from 3 to 15 million VND/household/year.

44. Some affected households plant acacia. Acacia can be harvested after 7 years with

output of 60 million/ha.

45. In addition to farming, some households participate in seasonal jobs for manual

labor such as farming, gardening, construction workers. The daily income of these jobs is

about 100,000-200,000 VND, depending on the specific job.

46. Income of the households in mountainous areas in the North of Central Vietnam in

general and income of affected households in the project area in particular is low, income

of affected households in Xuan Cam commune (mainly Kinh people) is higher than the

income of affected households in Xuan Cao commune (Thai people) because they have

higher qualifications, they calculate and arrange their work much better. The following

income per capita of AHHs provides detailed information about income of surveyed

households in affected communes and poverty rate in the communes affected by the

construction.

Table III-3: Income per capita of AHHs

Commune

Average income/person/month

Total 10-20 million

VND

20-40 million

VND

>40 million

VND

Xuan Cao 3 28 0 31

Xuan Cam 8 70 6 84

Total 11 98 6 115

47. The expenditures for daily needs of households vary by income. The expenditure

often includes food, clothes, power and water bill, tuition, health care and travel. AHHs in

Xuan Cam commune have higher expenditure than AHHs in Xuan Cao commune because

they have higher income. The detailed expenditure of the households is described in Table

III-5.

Table III-4 Average Expenditure of Surveyed HHs (%)

17

No.

Monthly expenditure

Xuan

Cao

(VND)

Rate

(%)

Xuan

Cam

(đồng)

Rate

(%)

1 Grain (rice, maize, cassava…) 600,000 19.4 600,000 15.2

2 Food 800,000 25.8 1,100,000 27.8

3 Clothes 100,000 3.2 250,000 6.3

4 Utilities (power, mobile phone) 250,000 8.1 350,000 8.9

5

Travel fee (petrol, motorbike

maintenance) 150,000 4.8 150,000 3.8

6 Furniture items 200,000 6.5 300,000 7.6

7

Education (all levels from pre-

school to university and

vocational education) 250,000 8.1 300,000 7.6

8 Health care 200,000 6.5 250,000 6.3

9 Wedding or funeral 200,000 6.5 200,000 5.1

10 Tet and celebrations 150,000 4.8 200,000 5.1

11 Others 200,000 6.5 250,000 6.3

12

Total expenditure for each

household 3,100,000 100.0 3,950,000 100.0

13 Expenditure per capita 673,913 858,696

6. Infrastructure and social service

48. The affected villages are located in the places with traffic advantages. The affected

villages are located nearly at inter-commune roads. Xuan Minh and Xuan Cam villages

are far 2.5km away from provincial highway No. 519. The distance between Xuan Minh

1, Xuan Cao commune to Ho Chi Minh highway is 10km. The roads from the affected

villages to the commune centers are concrete.

49. All affected communes have national power grid, 100% AHHs are using electricity

as energy for lighting.

50. Regarding fuel sources for daily cooking, most of the affected households use

firewood as the main energy source.

51. 100% AHHs use domestic water from dug well.

7. Environmental and hygiene conditions

52. The local people have not cared about sanitation problem due to their low

awareness of environmental hygiene. According to survey results, 12 AHHs have toilets,

85 AHHs have temporary toilets, 7 households do not have toilet.

53. In the project area, all communes have no waste collecting and disposal system;

waste is usually burn or buried in the garden

8. Education system

54. According the data in 2016, Xuan Cao commune has 1 kindergarten, 2 elementary

schools, 1 secondary school, Xuan Cam commune has 1 kindergarten, 2 elementary

schools and 1 secondary school. In addition, there is a kindergarten in every village. At

pre-school age, all villages have classes right in the village; elementary and secondary

18

schools concentrate in the commune center, about 7km from affected villages. To go to

high school, the students have to go to the district center at a distance of 7 km. Table III-6

provides information on the number of schools in Xuan Cao and Xuan Cam communes

Table III-5: The number of schools in all levels in Xuan Cao and Xuan Cam

Commune Kindergarten Elementary Secondary Total

Xuan Cao 1 2 1 3

Xuan Cam 1 2 1 3

9. Health service

55. The communes in the project area have health centers located in the commune

center. The local people often come to health centers to get simple medical care such as

immunization, vitamin supplementation, maternal health care and drug treatment for

common illnesses (colds, headache, and stomach). For more important treatment demand,

they will come to hospital in the districts or provinces.

10. Gender and gender equality

56. At the communes in project area, gender equality has been more concerned, the

proportion of girls in school has been higher, all the girls in the age are going to school,

education universalization program at secondary school has been completed, 100% of

children, both male and female, graduates from secondary school.

57. Regardless of gender, most of people in the affected commune come to commune

health center to treat the common and come to district or province hospital if the illness is

more serious. The poor households can get benefits from medical insurance cards

program.

58. In working and job, the time of earning of male and female is equal, however,

women spend more time than men in housework. In this area, men have the habit of

drinking until drunk especially on festivals or fairs, then all the burdens of work and

families are on woman's shoulder.

59. Due to advocacy, education, now women in the project communes can equally

participate in social work, have the right to participate in deciding the important issues in

their home or participate in local organizations. In affected communes, the wives

participate more often in these activities because their husbands go to work away from

home, on the fields or remote forests.

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

Work to be done apart from house works

Husband

(%)

Wife

(%)

Working on the fields 50 50

Working on upland, plantation 70 30

Housework

Taking care of children 30 70

19

Cooking 30 70

Clean house 40 60

Participating in public and social work

Participating in the public consultation

meeting 30 70

Participating in making decision 50 50

Joining with local organizations 50 50

20

IV. INFORMATION DISCLOSURE, CONSULTATION AND

PARTICIPATION

A. Information disclosure

60. Communicate the information to affected people and related agencies is an

important part of project preparation and implementation. Consultation to the affected

people and their active participation will minimize the probability of conflict and delays.

This allows implementing unit to design a resettlement and rehabilitation program in line

with the needs of affected people, thereby maximize the economic and social benefits of

the investment. The objectives of information diclosure and community consultation are:

(i) ensure that local authorities and representatives of the affected people can participate

in the planning and decision-making stages of the project; (ii) share information on

project components and construction activities with affected people; (iii) obtain

information on the expectation of affected people to develop appropriate policies and

actions; (iv) encourage the involvement of affected people and the community in planning

and implementation of resettlement plans, and (v) ensure transparency in all activities

related to land acquisition, resettlement and restoration.

61. Xuan Minh Hydropower Limited Company together with group of consultants

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

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

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

Plan (EMDP) rectified by MOIT and WB. List of land affected HHs who lost land and

property on land with compensation payments shall be indicated clearly.

B. Public consultation and participation

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

with affected ethnic minority people were taken place in February 2016 to disseminate

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

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

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

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

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

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

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

for affected people, grievance redress mechanism, monitoring and evaluation etc.. Notices

and related documents shall be posted at affected commune people’s committees

(CPC)/or community cultural house or posted at easily seen places. Project information

booklet (PIB) shall be provided to affected HHs and is available at CPC, hamlet cultural

house. (PIB is described in details in Appendix 2. Meeting minutes, list of participants

and photos of the consultation meetings are shown in Appendix 4 and 5.

21

63. Methodologies used in public consultation are meeting, individual interview and

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

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

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

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

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

C. Results of information dissemination and Public consultation

64. Public consultation meetings on RAP and EMDP with participation of

representatives of Truong Minh Limited Company and consultant team and local

communities were held during the survey process. This resettlement plan will be posted

publically in project area and in Wolrd Bank. The opinions and desire of the households

on Xuan Minh HPP are shown below.

65. Consultation meetings were held on February 17, 2017 in Xuan Minh Village,

Xuan Cam Communes with 26 households (6 females and 20 males) and Xuan Minh 1

Village, Xuan Cao Commune with 13 households ( 3 females, 10 males), all relevant

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

affected by the project, therefore countermeasures are discussed to avoid or minimize

impacts of the construction works on the public living environment and working

conditions. Table III-2 below describes details of community concerns and solutions

committed to be implemented by the investor during the project construction process.

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

No. Community’s concerns Commitments of the investor

The construction process makes rock and

soil fell to the field, I cannot cultivate.

The process of building electricity breaks

the my fences which has not been

compensated.

I have a plot of land near the mouth of a

sewer which was flooded and cannot use

for cultivation.

The construction process causes a lot of

air pollution.

My sugarcane field area is flooded and

rotten.

Next week we will have meeting with

local people and check the situations

directly, if any damage, it will be

compensated.

We will build new underground sewers

to prevent flooding

We are about to diverse the river flow

so that the fields will be flooded. After

the project is completed, the flow will

not affect the cultivation. Damage will

be recorded and fully compensated.

The construction process will have a

negative temporary effect, we will try

to apply mitigation measures,

hopefully local people can

sympathize.

It is recommended that the investor

supports the program of fish cage along

The investor would like to

acknowledge and have developed

22

No. Community’s concerns Commitments of the investor

the river to improve living standard of

local people.

compensation plans, resettlement

report, ethnic development report to

support their livelihoods and soon

stabilize their lives.

The pure water supply system for the

cultural center and preschool of Xuan

Minh village, Xuan Cam commune is

deteriorating and it is proposed that the

investor support drilling wells to supply

water to children.

The roads to end of the village is soil

roads, it is recommended that the

company use waste rock to improve the

road to the end of Xuan Minh village -

Xuan Cam commune and 800m from the

inter-commune road to Ngon Ho (village

road) in Xuan Minh 1 village, Xuan Cao

Commune

We will provide support gradually to

the local people when the construction

is stabile.

After we have rock, we will improve

the roads for local people

23

V. LEGAL FRAMEWORK AND ENTITLEMENT

66. In the framework of REDP, compensation, assistance and resettlement plan for

Xuan Minh HPP has been prepared based on principles of resettlement framework

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

compensation, assistance and resettlement include (i) involuntary resettlement policy by

WB; (ii) present policies and regulations on compensation assistance and resettlement by

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

resettlement of the provincial authority (Thanh Hoa province). They are:

A. Policy requirements of WB

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

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

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

lowest possible extent by selecting appropriate design options;

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

prepared and executed with sustainable development programs and sufficiently

provided investment supports, enabling displaced people to benefit from the

subproject. The displaced people will be fully consulted and allowed to participate

in preparing and implementing activities in Resettlement Plan.

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

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

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

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

even higher than that.

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

• Consulting project affected people viable solutions for resettlement and livelihood

restoration;

• Providing affected people options of resettlement and livelihood restoration;

• Compensating entire replacement cost for damages and loss;

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

similar to their existing place ;

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

during the transitional period;

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

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

finally succeed.

B. Vietnam policy framework

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

assistance and resettlement have been rectified and come into effect (since 1st July 2014)

which shall solve issues that differ from practice of payment for compensation and

assistance to land acquired people. That is Land Law 2013 (No.45/2013/QH13) has been

24

rectified and issued to replace the previous 2003 Land Law, therefore, some decree's

guiding implementation are also issued, including:

• Decree 01/2017/ND-CP dated 06/01/2017 by the Government amending and

supplementing a number of decrees detailing the Land Law.

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

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

(replacement of Decree No.181/2004/NĐ-CP; Decree No.17/2006/NĐ-CP; Decree

No.84/2007/NĐ-CP; Decree No.69/2009/NĐ-CP; and Decree No.88/2009/NĐ-

CP).

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

land prices. (Replacement of Decree No.188/2004/NĐ-CP and Decree

No.123/2007/NĐ-CP)

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

collecting land use fee.

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

collecting land leasing fee, water surface leasing fee.

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

compensation, assistance and resettlement when the State acquired land.

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

70. 2013 Land Law and Decree guiding implementation mentioned above become

effective from 1st July 2014.

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

authority

71. The current regulations on the implementation of compensation, assistance and

resettlement of Thanh Hoa province and Thuong Xuan proposed to be applied are:

72. Decision No. 3162/2014 / QD-UBND dated 26/9/2014 of Thanh Hoa province

People's Committee on the issuance of regulations on compensation, support and

resettlement when the State acquires land in Thanh province;

73. Decision No.4545 / 2014 / QD-UBND dated 18/12/2014 of provincial People's

Committee on the price of land in the period 2015-2019 in Thanh Hoa province;

74. Decision No. 829/2015 / QD-UBND dated 13/03/2015 of Thanh Hoa province

People's Committee on issuance of the price list for construction of houses, temporary

houses and architectural works as basis for determination of compensation value and

support when the state acquires land in Thanh Hoa province;

75. Decision No. 830/2015 / QD-UBND dated 13/3/2015 of Thanh Hoa province People's

Committee on issuance of compensation unit price for damage to crops and livestock

when the State acquires land in Thanh Hoa province. ;

76. Decision No. 1614 / QĐ-UBND dated 12/8/2015 by Thuong Xuan District People's

Committee on the establishment of Compensation and Resettlement Committee of

Xuan Minh Hydropower Project in Thuong Xuan District;

77. Decision No. 2240 / QD-UBND dated 14/10/2015 by Thuong Xuan District People's

Committee on land recovery of organizations, households and individuals in Xuan

Cam and Xuan Cao communes for construction of public works. Xuan Minh

Hydropower Project - main and auxiliary works;

25

D. Some regulations applied in compensation, assistance of Xuan Minh

Hydropower project

78. Để kết hợp hài hòa giữa chính sách của WB, Chính phủ Việt Nam và các quy định

về bồi thường, hỗ trợ và tái định cư của địa phương, các nguyên tắc chung của Khung

chính sách Tái định cư thuộc Dự án phát triển năng lượng tái tạo đã được thống nhất giữa

Hội đồng đền bù giải phóng mặt bằng huyện Thường Xuân, chủ đầu tư công trình Thủy

điện Xuân Minh, chính quyền các xã Xuân Cao, Xuân Cẩm, cụ thể như sau:

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

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

Resettlement Framework for the REDP have been agreed between Thuong Xuan district

PCARB, investor of Xuan Minh Hydropower project, CPC of Xuan Cao and Xuan Cam,

including:

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

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

the people as much as possible.

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

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

improvement of their livelihood at least equal status before being impacted by the

project, including income and other livelihood development opportunities.

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

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

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

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

assistance, the ethnic minority development plan shall be implemented with close

and regular public consultation to affected people.

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

compensated equal to replacement costs, without deduction of depreciation value,

transfer value or any type of deduction.

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

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

give other supports depending on results from the public consultation with these

groups of HHs.

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

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

entitlement matrix for HHs affected by Xuan Minh Hydropower project is prepared with

details in table IV-I below. The entitlement shall be updated if during the process of

implementation, there will be new Thanh Hoa provincial regulations to be issued

26

Table V-1: Entitlement matrix for Xuan Minh HPP

No. Type of

Loss/Impacts

Application Eligible

Persons

Entitlement applied in Xuan Minh

Hydropower project

Issues during

implementation

1. Productive land

(agriculture land,

aquaculture land,

forestry land,

garden)

Less than

10% of total

agricultural

land in use of

the HH to be

a loss

Owners with

LURC over

the land or

eligible

property

rights to be

recognized by

the

regulations

• For the permanently acquired

land, cash compensation equal to

replacement cost.

• Without mentioning temporary

use of land; but normally in

Vietnam contractors cannot use

any private property without prior

agreement with the owner of such

property.

• Adjustment of free of charge

possession right for land owner

for the remaining land which still

in use.

• For non-land properties, see

section 3-6 below.

• Providing assistance in livelihood

restoration in terms of HHs in the

vulnerable group (item 12)

• Providing progress bonus

(item13)

• If value of the remaining

land is lower than regulatory

minimum level, entire area

of such land lot shall be

acquired and the affected

people shall be categorized

in other level of being

affected and entiled to

further compensation.

The same

applies as

above

Affected

households

with long

term lease

agreement

• For the permanently acquired

land, cash assistance equal to

30% of replacement cost (this is

considered as cost invested into

the land, improvement, upgrading

• In case remain portion of

investment is higher than

30% of replacement cost,

DCARB shall recalculate

for identification of

27

No. Type of

Loss/Impacts

Application Eligible

Persons

Entitlement applied in Xuan Minh

Hydropower project

Issues during

implementation

over the

affected land

etc.)

• For affected trees, crops,

compensation on market price

and yield to be calculated as the

average of the last 3 years

reasonable assistance (or

refund such remain portion

of investment + assistance

for the leasee for his

income impacted.)

The same

applies as

above

Owners

without

acceptable

proof of

ownership

over the land

(illegally

appropriated

land)

• Not entitled to compensation for

land, but for crop, trees as equal

to replacement cost.

• Provided assistance for livelihood

restoration in terms of HHs in

vulnerable group (item 12)

Loss more

than 10%

total land in

use of the HH

Owners with

LURC over

the land or

eligible

property

rights to be

recognized by

the

regulations

• Cash compensation equal to

replacement cost or “land–for-

land” compensation

• Adjustment of free of charge

possession right for land owner

for the remaining land which still

in use.

• For non-land properties, see

section 3-6 below.

• Assistance for severe damage, see

item 9 and 11 below.

• Providing progress bonus

(item13)

• If value of the remaining

land is lower than regulatory

minimum level, entire area

of such land lot shall be

acquired and the affected

people shall be categorized

in other level of being

affected and entiled to

further compensation.

• If “land–for-land”

compensation is applied,

both wife and husband

shall have equal rights to

possess the land

28

No. Type of

Loss/Impacts

Application Eligible

Persons

Entitlement applied in Xuan Minh

Hydropower project

Issues during

implementation

The same

applies as

above

Land lease

and

permanent

land lease

• For the permanently acquired

land, cash assistance equal to

30% of replacement cost (this is

considered as cost invested in the

land, improvement, upgrading

etc.)

• For affected trees, crops,

compensation on market price

and yield to be calculated as the

average of the last 3 years

• Affected people shall be

informed 4 months prior to the

implementation of land

acquisition for the project.

• In case remain portion of

investment is higher than

30% of replacement cost,

DCARB shall recalculate for

identification of reasonable

assistance (or refund such

remain portion of investment

+ assistance for the lease for

his income impacted.)

The same

applies as

above

Owners

without

acceptable

proof of

ownership

over the land

(illegally

appropriated

land)

• Not entitled to compensation for

land, but for crop, trees as equal

to replacement cost.

• Affected people shall be

informed 4 months prior to the

implementation of land

acquisition for the project.

• Provided assistance for livelihood

restoration for AHHs in the

vulnerable group (item 12)

2.

Residential land

Light

damage (for

Owners of the

land with

• Similar to affected production

land

29

No. Type of

Loss/Impacts

Application Eligible

Persons

Entitlement applied in Xuan Minh

Hydropower project

Issues during

implementation

ex.: being

able to stay

on remaining

portion of

land, no need

to relocate);

eligible

possession

right or

possession

right

acceptable to

the law

• Providing progress bonus

(item13)

Light

damage (for

ex.: being

able to stay

on remaining

portion of

land, no need

to relocate);

Owners of the

land with

eligible

possession

right or

possession

right

acceptable to

the law

• Similar to affected production

land

• Providing progress bonus

(item13)

3. Houses and shops Light

damage (for

ex.: being

able to stay

on remaining

portion of

house, no

need to

relocate);

Owners of the

structures

with or

without

acceptable

proof of

ownership

over the land;

with or

without

• Cash compensation equal to

replacement cost (without

depreciation or deduction of

salvage material) for the affected

structure portion.

30

No. Type of

Loss/Impacts

Application Eligible

Persons

Entitlement applied in Xuan Minh

Hydropower project

Issues during

implementation

building

permit.

Severe

damage (for

ex.: Not being

able to stay

on the

remaining

portion of the

house

or be acquired

entire

structure)

Owners of the

structures

with or

without

acceptable

proof of

ownership

over the land;

with or

without

building

permit

• Cash compensation equal to

replacement cost (without

depreciation or deduction of

salvage material) for the affected

structure portion.

• Regarding to assistance, see item

10 below.

4. Other structures To be

destructured

or damaged

Owners of the

structures

with or

without

acceptable

proof of

ownership

over the land;

with or

without

building

permit

• Cash compensation equal to

market price for material and

labor without considering

depreciation and deduction of

salvage material.

5 Graves Affected

graves

Affected

owner

• Compensation for all costs of

digging, exhumation,

• During implementation

process, if any gave is

31

No. Type of

Loss/Impacts

Application Eligible

Persons

Entitlement applied in Xuan Minh

Hydropower project

Issues during

implementation

transporting for reburial for the

affected HHs

• Graves shall be excavated and

haulage in compliance with

traditional manner and custom

found ownerless, CPC will

be responsible for

relocation of it with costs

to be paid from land

acquisition budget of the

project.

6 Crops and trees Affected

Crops and

trees

Owners

regardless of

tenure status

• Affected people are entitled to

cash compensation for affected

crops equal to market price.

• Affected people are entitled to

cash compensation for affected

trees equal to the market price as

per tree type, age and production

values. If affected trees can be

removable, compensation will be

equal to cost for removement and

actual damage.

• Affected people shall be

noticed some months prior

to commencement of

construction. Trees and

crops are grown after the

notice date will not subject

to compensation.

7 Public facilities Works,

structures,

community

forest/pasture

for animal/or

other types of

land/

irrigation

system to be

affected as

temporary or

Village, ward,

governmental

administrative

units

• Restoration of building,

community structures at least to

its originated conditions, or

• Replacement in the dedicated

area with consultation of the

affected community and relevant

authorized agencies, or

• Compensation equal to

replacement cost without

considering depreciation, but

deduction salvage material.

• If damage on income is

estimated (for Ex.

Irrigation system,

community forest,

community pasture for

animal), hamlets are

entitled to compensation to

total damages on

production, this

compensation will be

collectively used for

32

No. Type of

Loss/Impacts

Application Eligible

Persons

Entitlement applied in Xuan Minh

Hydropower project

Issues during

implementation

permanent

use of land or

landfill of

solid waste.

solutions of restoration of

income and/or new

infrastructure.

8 Temporary

impacts during

project

construction

process

Agriculture

land to be

temporarily

impacted

The affected

land owner is

• Compensation for loss of net

income during impacted period of

construction.

• Recovery to the same or better

condition than before with

methods of soil quality

improvement

Temporary

impact of

residential

land

Owner of

affected land

• Compensation for the property

impacted equal to replacement

cost

• Recovery of soil to its previous

conditions

Damages

caused by the

contractor to

the public or

private owned

structures or

land

Owner or

who has land

use right

• The contractor shall be requested

to compensate immediately to the

affected HHs, groups,

communities or state agencies.

• Damaged properties shall be

recovered to their original

conditions.

9 Loss in

income/livelihood

due to land lost

Severely

affected due

to loss equal

to or more

than 10% of

Land owners

with LURC;

or in the

process of

acquiring

Allowances for stabilizing

livelihood

• Assistance to HHs whose total

area of agricultural land is

acquired from 0% to 10% is

33

No. Type of

Loss/Impacts

Application Eligible

Persons

Entitlement applied in Xuan Minh

Hydropower project

Issues during

implementation

productive

land and

income

LURC; and

those covered

by customary

rights, such as

members of

ethnic

minority

groups.

Affected

households

with lease

agreement

over the

affected land

equal to 3 months in case of non-

relocation, 6 months in case of

relocation). Assistance in cash is

equal to 30kg of rice

/member/month. Assistance is

provided for 6 months basis.

• In addition, further assistance to

HHs whose total area of

agricultural land is acquired from

10% to 70% is equal to 6 months

in case of non-relocation, 24

months in case of relocation;

whose total area of acquired

agricultural land is more than

70% is equal to 12 months in case

of non-relocation and 36 months

in case of relocation. Assistance

in cash is equal to 30kg of rice

/member/month. Assistance is

provided for 6 months basis.

Allow for changing and creating

jobs:

• Assistance equal to 5 times of

agricultural land price for entire

acquired land – regardless the

rate of land loss (area to get

assistance is not exceeded local

land handing limit).

34

No. Type of

Loss/Impacts

Application Eligible

Persons

Entitlement applied in Xuan Minh

Hydropower project

Issues during

implementation

By land support.

Affected HHs are compensated in

land, assistant rate for production

is VND5,000,000/labor, for the

HHs with more than one at

working age, the second one

onward will get the assistance of

VND2,000,000/labor.

In case land is used for agriculture,

forestry, aquaculture purpose in form

of fixed rate (excluding special use

forest land, protection forest land)

handed by land using organizations

to their staff and officer who are still

working or retiring, retiring early,

leaving job but entitled to support;

and who are directly involve in

agriculture production for main

income, then assistance is equal to

100% of agriculture land price

against actual measured acquired

area but not exceeding local land

handing limit.

10 Impacts on

houses and will

require relocation

Severe impact

on houses

Relocating

households

regardless of

Material Transportation

allowance

• If households must be relocated

35

No. Type of

Loss/Impacts

Application Eligible

Persons

Entitlement applied in Xuan Minh

Hydropower project

Issues during

implementation

tenure status within the province/city not

exceeding 20km, they shall

receive a support of VND

3,000,000/HH

• If households must be relocated

within the province/city

exceeding 20km, they shall each

receive a support of VND

5,000,000 /HH

• If households must be relocated to

another province in the north,

they shall each receive a support

of VND 8,000,000 /HH; in the

central and southern region, they

shall each receive a support of

VND 10,000,000 /HH.

House leasing assistance

• House leasing assistance in cash

includes: (i) for HH with 5 and

less than 5 members: VND

800,000 /month; (ii) for HH with

more than 5 members: VND

1,000,000/month; and single

member HH: VND 600,000

/month.

• Period of time to get assistance is

from land handing to the investor

to receive land for resettlement.

36

No. Type of

Loss/Impacts

Application Eligible

Persons

Entitlement applied in Xuan Minh

Hydropower project

Issues during

implementation

Assistance to house leasing HHs

Relocation assistance fee: VND

2,000,000 /HH and transition

subsistence allowance in cash equal

to 30kg of rice/member/month for 3

month period.

11 Loss of income/

livelihood due to

relocation of

business

Severe impact

on shop

Relocating

affected HHs,

shop owners

(house and

shop)

regardless of

tenure status

Economic organizations, family

business enterprises with registered

industries are to stop production due

to land acquisition for the project,

they are entitled to get assistance

equivalent to 30% of 1 year’s income

after taxes, calculated according to

the average income level for last

three years.

12 Higher risks of

impoverishment

/hardship due to

loss of resource

base

Loss of Land

and Non-

Land Assets

Affected

vulnerable

groups

regardless of

severity of

impacts

Assistance policy of the project:

• Support to transform jobs and

recover income by training on

livestock and farming/cultivating

technique.

• These assistances will be

deployed in Ethnic

Minorities Development

Plan

13 Providing

progress bonus

Damage and

loss of land

and property

on land

Owner with

affected

properties

• The bonus rate of VND 2,000/m2

for agriculture land being

acquired and handing in a timely

manner of progress as requested

by the DCARB, max. VND

2,000,000/HH

• Bonus to owners whose house,

37

No. Type of

Loss/Impacts

Application Eligible

Persons

Entitlement applied in Xuan Minh

Hydropower project

Issues during

implementation

residential land, business and

non-agriculture land, structures

are destructed entirely or

partially. Then:

• Removement, handing the site at

least 15 days prior to dedicated

date, the bonus will be VND

5,000,000/HH.

• Removement, handing the site

within 15 days prior to dedicated

date, the bonus will be VND

4,000,000/HH.

• Removement, handing the site on

time, the bonus will be VND

3,000,000/HH.

• Bonus to land ownership, HH

whose land is partially acquired,

but no destruction of their house,

structures on land, then:

• Removement, handing the site at

least 15 days prior to dedicated

date, the bonus will be VND

3,000,000/HH.

• Removement, handing the site

within 15 days prior to dedicated

date, the bonus will be VND

2,000,000/HH.

• Removement, handing the site on

38

No. Type of

Loss/Impacts

Application Eligible

Persons

Entitlement applied in Xuan Minh

Hydropower project

Issues during

implementation

dedicated date, the bonus will be

VND 1,000,000/HH.

39

VI. RESETTLEMENT, COMPENSATION AND ASSISTANCE STRATEGY

A. Thủ tục chi trả đền bù

Compensation process includes 5 steps:

Apply the price list agreed by AHHs on the results of loss investigation (affected

households confirmed that the results are accurate).

Publicize the result of applying compensation price for each household at public

place.

Submit it to Thuong Xuan District People's Committee for approval (compensation

plan).

Publicize compensation plan approved by the district.

Compensation is paid in the community.

According to the proposed plan, the payment of compensation and assistance to

affected households will be carried out in two rounds, the first round is for 25

households in July 2016, the second round is in April 2017. The households received

compensation in the first round will receive full assistance, land price difference, loss

of assets and crops according to the Resettlement Plan approved by World Bank.

B. Replacement cost

81. Survey on market prices of land, trees, buildings, land, labor and construction material

prices in the affected area and surrounding was taken by a group of representatives

from the investor, farmer union, women's union, compensation committee of Thuong

Xuan district and representatives of affected households. The survey results show that

in the affected area, there is no market price, people do not trade in land, houses or

trees (most of people leave some land, houses for their children, grandchildren when

their family members get married). Therefore, compensation rates for land and

property is based on Decision No. dated 18/12/2014 of provincial People's Committee

on the price of land in the period 2015-2019 in Thanh Hoa province, Decision No.

830/2015 / QD-UBND dated 13/3/2015 of Thanh Hoa province People's Committee

on issuance of compensation unit price for damage to crops and livestock when the

State acquires land in Thanh Hoa province. The consultation and communication

discussed with the affected household and discussions show that the price in these

provisions is relatively consistent with the level of investment in land (including labor

for planting) and were agreed by the representatives of the affected households.

82. Compensation price was publicized in public consultation meetings and all AHHs

agreed.

C. Compensation for impacts and entitlement

1) Compensation for affected land

40

According to inventory of loss (IOL), 1,685,270.40 m2 land of all types belonging to 115

households and CPC in Xuan Cao, Xuan Cam, Van Xuan communes are permanently

acquired for the construction. The total compensation cost for these lands is estimated at

3,828,977,180.00VND. The compensation price rate for affected land is the replacement

price rate, the households will receive support for life stabilization and recovery of

income while waiting for harvesting of the next crop (Table VI-1 )

Table VI-1: Total compensation for AHHs

No. Items Area (m2) Amount (VND)

I Main and auxiliary works 179,296.30 1,227,941,340.00

1 Xuan Cam commune 124,042.20 435,346,000

2 Xuan Cao commune 55,254.10 792,595,340

II Reservoir 1,505,974.10 2,601,035,840.00

1 Xuan Cam commune 1,387,692.40 2,033,751,340

2 Xuan Cao commune 90,138.70 567,284,500

3 Van Xuan commune 28,143.00 0

III Total 1,685,270.40 3,828,977,180.00

2) Compensation for affected trees, crops

83. First of all, the policy of the project is to closely cooperate with local authorities in

preparation for the construction, to facilitate local people to harvest on acquired land. In

the case the land is acquired before harvest to implement the work, all impacts on the crop

must be compensated at market rates. According to result of Inventory of Loss (IOL) the

entire crop is not at harvest and the estimated cost of compensation is 10,377,880,688.98

VND.

Table VI-2: Compensation for affected trees, crops

No. Items Unit Quantity

Unit

price Amount (VND)

I Main and auxiliary

works 1,647,321,424.00

1 Xuan Cam commune 929,474,031.00

Fruit tree Cây 2,446.00 71,362,000.00

Timber tree Cây 15,170.0 327,784,500.0

Bamboo Cây 3,668.0 48,665,000.0

41

No. Items Unit Quantity

Unit

price Amount (VND)

Industrial crops (tea,

palm, rubber,

cinnamon ...)

Cây 4,352.0 138,088,000.0

Rice m2 1,886.5 4,125.00 7,781,812.50

Other annual trees

(sugarcane, corn,

cassava ...)

m2 69,590.8 335,792,718.6

2 Xuan Cao commune 717,847,393.00

Fruit tree Cây 112.0 3,101,500.0

Timber tree Cây 11,118.0 408,549,500.0

Bamboo Cây 11,748.0 170,485,000.0

Industrial crops (tea,

palm, rubber,

cinnamon ...)

Cây 1,709.0 66,620,000.0

Other annual trees

(sugarcane, corn,

cassava ...)

m2 11,213.4 47,263,393.0

Banana, papaya Cây 509.0 21,828,000.0

3 Van Xuan commune 0,00

II Reservoir

8,730,559,264.98

1 Xuan Cam commune 8,326,434,054.98

Fruit tree Cây 2,209.0 67,116,000.0

Timber tree Cây 65,164.0 1,131,154,500.0

Bamboo Cây 14,246.0 249,940,000.0

Industrial crops (tea,

palm, rubber,

cinnamon ...)

Cây 109,566.0 4,080,536,500.0

42

No. Items Unit Quantity

Unit

price Amount (VND)

Other annual trees

(sugarcane, corn,

cassava ...)

m2 531,371.8 2,758,037,055.0

Banana, papaya Cây 1,575.0 39,650,000.0

2 Xuan Cao commune 404,125,210.00

Fruit tree Cây 66.0 1,894,000.0

Timber tree Cây 1,086.0 39,168,000.0

Bamboo Cây 2,550.0 33,614,000.0

Industrial crops (tea,

palm, rubber,

cinnamon ...)

5,665.0 224,520,000.0

Rice m2 24,779.0 4,125.00 102,213,210.00

Pennisetum

purpurrerum m2 156.0 3,500.00 546,000.00

Banana Cây 92.0 2,170,000.0

3 Van Xuan commune 0.00

III Total 10,377,880,688.98

3) Compensation, assistance for affected architectural objects

According to IOL, Xuan Minh HPP affects some works and architectural objects fo

the households, does not affect houses. Total compensation replacement cost for these

lands is estimated at 696,945.26 VND. The compensation cost is shown in table V-3

Table VI-3 Compensation cost for affected architectural objects

No. Commune Unit Quantity Unit price

Thành tiền

(VNĐ)

I Main and auxiliary

works 67,484,900.00

1 Xuan Cam commune 57,934.000,00

- Build grave cái 1 9,934,000.00 9,934,000.00

- Covered grave cái 8 6,000,000.00 48,000,000.00

43

2 Xuan Cao commune 9,550,900.00

-

Warehouses, temporary

houses (Fiprociment

roofing tents, stalls)

m2 17.00 155,000.00 2,635,000.00

- Barn (pigsty) m2 25.83 150,000.00 3,874,500.00

- Concrete yard m2 50.69 60,000.00 3,041,400.00

3 Van Xuan commune 0.00

II Reservoir 629,460,363.00

1 Xuan Cam commune 456.409.083.00

- Digging ponds m3 8,494.53 36,000.00 305.803.152.00

- Pond embankment with

stone, pebbles m3 116.94 280,000.00 32,743,480.00

-

Warehouses, temporary

houses (made of bamboo,

straw, ground floor)

m2 139.31 55,000.00 7,662,050.00

-

rice drying ground (made

of cement on ground

floor)

m2 26,70 20,000.00 534,000.00

- Plastic pipe PVC 32 m 7.00 15,000.00 105,000.00

- Concrete roads M200 m3 69.51 880,000.00 61,168,800.00

- Fence wall made of

concrete block brick m2 200.59 210,000.00 42,123,690.00

- Stone wall foundation m3 7.25 480,000.00 3,480,000.00

- Reinforced concrete

column m3 4.16 671,000.00 2,788,910.85

2 Xuan Cao commune 173,051,280.00

- Digging ponds m3 4,806.98 36,000.00 173,051,280.00

3 Van Xuan commune 0.00

III Total 696,945,263.00

4) Compensation for AHHs

Assistance cost for AHHs is 8,078,541,010 VND. The applied assistance is described as

following:

Table VI-2: Assistance cost for AHHs

No. Items Quantity

(HH)

Unit

Price

(VNĐ)

Assistance Cost

(VND)

1 Stabilizing lives

93 958,500,000

44

2

Transforming jobs and creating jobs 115 6,676,041,010

3

Assistance for vulnerable

households 22 2000000 214,000,000

5 Assistance for giving land on time 115 2000000 230,000,000

Total 8,078,541,010

84. The assistance costs in Table VI-2 in Entitlement matrix; however, all households

affected by Xuan Minh HPP are households whose agricultural lands are acquired.

Therefore, this section only focus on describing the assistance costs to HHs whose

agricultural lands are acquired. Specifically:

Support to stabilize lives:

85. Assistance to HHs whose total area of agricultural land is acquired from 10% to

30% is equal to 3 months in case of non-relocation, 6 months in case of relocation.

Assistance in cash is equal to 30kg of rice /member/month (450,000 VND). Assistance to

HHs whose total area of agricultural land is acquired from 30% to 70% is equal to 6

months in case of non-relocation, 24 months in case of relocation; whose total area of

acquired agricultural land is more than 70% is equal to 12 months in case of non-

relocation and 36 months in case of relocation. Assistance in cash is equal to 30kg of rice

/member/month

Assistance for giving land on time:

Rewards 2,000 VND/m2 of agricultural land which is acquired and handed over on

schedule as the request of compensation comittee, the total amount shall not exceed

2,000,000 VND/HH.

Tranforming jobs and creating jobs

86. Support by 1.5 times the price of agricultural land for the entire acquired area - not

dependent on the rate of land loss (assisted area does not exceed the limit of land

allocation).

Assistance to vulnerable groups

Assistance for poor households, households headed by single women with

dependents, households headed by single elderly more than 70 years old, ethinic

people households with the amount of 2,000,000 VND/HH.

5) Income rehabilitation program

87. As described in Chapter II, the construction of Xuan Minh HHP was calculated

carefully to avoid and minimize the impact on productive land and the lives of the people.

However, during construction, the impacts on production and living habits of the

community are unavoidable. Measures have been discussed and proposed via public

consultation meetings with local authority and affected HHs, specifically:

Fish cage model:

45

The project will support each household 10 million VND as initial costs (cage, fish

seed and food). Priority is given to the households losing more than 70% agricultural

land. Department of agriculture and veterinary station of Thuong Xuan district will

participate in the program. The project will provide technical assistance within 1 year.

Fish cage training costs for affected households is 20,000,000 VND. Initial assistance for

households affected more than 70%: 50 million VND.

Model of goat raising for meat and breeding:

Technical training will be provided to all affected households, priority will be

given to households losing 10-15% agricultural land, they will receive a pair of goat

parents. Cost of technical training: 20,000,000 VND, cost buying goats parents:

194.000.000 VND (97 households)

Labor training when the plant goes into operation.

- Assistance for training workers when the plant goes into operation, with priority

given to children of severely affected households and poor households.

Training cost for operator: 50.000.000 VND (5 persons)

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

Development Plan)

46

VII. INSTITUTION ARRANGEMENT AND IMPLEMENTATION

SCHEDULE

A. Implementation schedule

88. The project shall be implemented for 2.5 years from openning in September 2016.

During detailed engineering design, updating RP shall be done. As soon as updated RP is

completed, it will be submitted by Xuan Minh Hydropower JSC to WB for review and

approval. All resettlement activities shall be interacted with construction schedule. Xuan

Minh Hydropower JSC shall not allow any construction work on site before all

resettlement activities have satisfactorily completed and no more obstacles to the site for

construction.

B. Institutional arrangements

92. Xuan Minh Hydropower JSC shall be responsible for every project component

implementation, including preparation and implementation of RP and monitoring and

evaluation of this RP. Woking as a project executing agency, Xuan Minh Hydropower

JSC shall have key responsibilities as follows:

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

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

DCARB and submitting to MOIT and WB for approval;

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

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

payment of compensation and other assistances) timely and sufficiently;

• Assisting in solving complaints and claims by affected HHs

The responsibilities include:

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

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

including preparing, updating and implementing RP, if necessary;

• Coordinating with PPC, PCARB, DCARB;

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

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

information and discussion with affected people and other project stakeholders.

• Coordinating with relevant provincial/district agencies to promptly allocate

land for affected people who are subject to compensation in land.

• Monitoring and supervising updating and implementation of RP.

• Preparing quarterly report on RP preparation and implementation and

submitting RP to MOIT and WB. In the report it also includes resettlement

audit of the budget for resettlement allocated and the amount of money

disbursed.

Provincial People’s Committee shall take general responsibilities on resettlement

activities within its discretion, including:

47

• Ensuring updating of unit prices for individual and communal properties

affected by the project to reflect replacement cost, when necessary;

• Monitoring and giving approval to RP;

• Guiding preparation and implementation of RP

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

within its discretion, including:

• Assigning a district officer updating and implementing RP.

• Identifying replacement land for affected HH.

• Assisting in the resolution of complaints and claims.

• Reviewing RP prior to approval by PPC.

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

• Assigning commune officer to assist DCARB in preparation and

implementation of RP

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

• Identifying land replacement cost for AHHs

• Signing compensation contract forms with affected people.

• Assisting in solving complaints and claims.

48

VIII. GRIEVANCE REDRESS MECHANISM

89. Grievances related to any aspect of Xuan Minh Hydropower project will be handled

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

stages before these could be elevated to a court of law as a last resort. To ensure that

all grievances of those affected on any aspect of land acquisition, compensation,

relocation, and determination and payment of entitlements are resolved in a timely and

satisfactory manner.

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

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

procedures for hearing and redressing grievances, including appeal processes, will be

made public through an effective public information campaign.

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

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

Vietnamese.

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

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

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

People’s Committee (CPC). The complaint will be discussed in an informal meeting with

the APs and the CPC. It will be the responsibility of the CPC to resolve the issue within

15 days from the date the complaint is received.

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

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

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

Assistance and Resettlement Board (CARB) to try to solve within 15 days from the date

of receipt the complaint. The APs must lodge the complaint within 30 days of registering

the original complaint, and must produce documents that support his/her claim.

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

response, the APs can appeal to the Provincial People’s Committee (PPC). With

consultation provided by the Provincial Resettlement and Compensation Committee

(PRCC), PCARB and Provincial Department of Natural Resources and Enevironment

(DONRE), Provincial Department of Finance (DOF), PPC will provide a decision on the

appeal within 30 days from the day it is received.

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

absence of any response within the stipulated time, the APs as a last resort, may submit

his/her case to the Provincial Court.

49

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

resolution of complaints and denounce in Viet Nam. However, this system mainly

refers to civil disputes between citizens, but not to disputes between citizen and

governmental authority. In this view, within internal system of monitoring and

evaluation, PMU and PCARB need to records in writing complaints and claims that

affected people (APs) have brought forward and final solution on such complaint and

claims. In addition, APs shall be exempted every fee relating to administrative and

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

fees for submission.

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

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

grievances and complaints. The EMA may recommend further measures (if necessary) to

be taken to redress unresolved grievances.

50

IX. MONITORING AND REPORTING

95. The implementation of resettlement will be monitored regularly to help ensure that

the RP is implemented as planned and that mitigating measures designed to address

adverse social impacts are adequate and effective. Towards this end, resettlement

monitoring will be done by an internal body and by an external organization.

A. Internal Monitoring

104. Xuan Minh Hydropower JSC will serve as the Project’s internal monitoring body.

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

database on the affected households. Its internal monitoring unit will submit a

quarterly monitoring report to the PMU starting from the commencement of RP

updates, which coincides with the conduct of the detailed measurement survey (DMS)

and other RP updating activities. The PMU in turn will include updates on

resettlement in its regular Project reports to MOIT and WB. Social monitoring reports

will be made available to the affected households and will be submitted to WB for

web posting.

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

Compensation and other entitlements are computed at rates and procedures as

provided in the approved RP, with no discrimination according to gender,

membership in an ethnic group or other relevant factors;

Affected households are paid their compensation and other entitlements as per

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

agreed, including compensation in cash or in kind, allowances, replacement land,

resettlement sites developed and people moved into them;

Public information, public consultation and grievance redress procedures are

followed as described in the approved updated RP;

Affected public facilities and infrastructure are restored promptly; and;

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

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

satisfactorily compensated, resettled and income restoration programs in place

B. External Monitoring

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

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

living standards and livelihoods; (iii) restoration of the economic and social base of the

affected people; (iv) effectiveness, impact and sustainability of entitlements and income

restoration programs; and (v) the need for further improvement and mitigation measures.

Strategic lessons for future policy formulation and planning will also be drawn from the

monitoring and evaluation of resettlement. The draft TOR for external monitoring

consultant is in Appendix 3

107. The external monitoring agency or EMA, conducted by an experienced

resettlement and social development consultant and selected by PMU (under MOIT).

51

External monitoring, inspection and evaluation will be made on a yearly basis, except for

the first stage, it is requested to be made twice/year. All external monitoring reports will

be made available to the affected households by placing reports in the commune / ward

and field offices and will be uploaded on WB website.

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

compensation and resettlement activities include:

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

is finalized and staked to the ground by Xuan Minh Hydropower JSC and CARB,

data collection from all APs to establish their eligibility and entitlements will be

carried out. The data that will be entered into a database to document the

following: a) socio-economic status of affected households; b) nature and extent of

losses; and c) entitlements to compensation and other assistance. These data will

be made available to the EMA, to enable them to establish a baseline for

monitoring and evaluating project benefits. During the conduct of the DMS, the

EMA will also monitor the DMS process to determine and assess if DMS activities

are being carried out in a participatory and transparent manner

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

comparison of the success and/or failure of the resettlement program to restore

their livelihoods and living standards. In general, if a lag of 3-5 years or more

occurs between census and SES and actual land acquisition, demographic and

socio-economic factors may change significantly. In this Project, if land

acquisition is not carried out within two years after SES, Xuan Minh Hydropower

JSC and CARBs will carry out another SES. A post resettlement survey will also

be undertaken by the EMA 6-12 months following completion of resettlement

activities. Special attention will be paid to the inclusion of women, ethnic groups,

the very poor, the landless and other vulnerable groups, with set questions for

women and other target groups; and, the database disaggregates information by

gender, vulnerability and ethnicity.

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

information, identifying problems and finding solutions through participatory

means including: a) key informant interviews; b) focus group discussions on

specific topics such as compensation payment, income restoration and relocation;

c) community public meetings to discuss community losses, integration of resettled

households in host communities or construction work employment; d) structured

direct field observations, for example, of resettlement site development; e) formal

and informal interviews with affected households, women, ethnic minority, and

other vulnerable groups; and, f) in-depth case studies of problems are identified by

internal or external monitoring and required special efforts to resolve

Verification of Replacement cost survey: The EMA will also verify whether

compensation paid were at replacement cost. A special market study to validate

whether the rates used in compensation in land and other non-land assets were at

replacement cost will be undertaken.

52

96. After being submitted, the EMA reports will be brought out for discussion at

meetings between EMA, Xuan Minh Hydropower JSC and CARBs. Necessary remedial

actions will be taken and documented.

Table IX-1 Monitoring and Evaluation Indicators

Type Indicator Examples of Variables

Process

Indicators

(By district

and

commune)

Staffing The number Xuan Minh Hydropower JSC staff and

field staff on Project assigned by job function; and

The number of other line agency officials available

for tasks

Consultation,

Participation and

Grievance

Resolution

The number of consultation and participation

programs held with various stakeholders;

Separate consultation with women (Kinh), female

headed households and ethnic minority women;

Grievances by type and resolution;

The number of field visit by EPMU staff; and

The number of local organizations participating in

project

Procedures in

Operation Review of DMS , including

verification/quantification procedures in place and

effectiveness of compensation delivery system;

The number of land transfer taking effect; and

Coordination among Xuan Minh HHP, relevant

provincial departments, and provincial and district

officials,

Output

Indicators

(By district

and

commune)

Acquisition of Land Area of productive land assets acquired (crop land,

aquaculture ponds, garden land, etc.);

Area of residential and other non-agricultural lands

acquired;

Area of communal/government lands acquired; and

Area of other lands acquired.

Structures Quantity, type and size of private structures

acquired;

Quantity, type and size of community structures

acquired; and

Quantity, type and size of government structures

acquired.

Trees and Crops Quantity and type of private crops and trees

acquired;

Quantity and type of government/community crops

53

Type Indicator Examples of Variables

and trees acquired; and

Destroyed crops by area, type and the number of

owner.

Compensation and

resettlement The number of household affected (for land,

buildings, trees, crops);

The number of owner compensated by type of loss;

Amount compensated by type and owner;

Quantity and amount of allowances paid;

The number of replacement houses constructed by

concerned owners;

The number of replacement business constructed by

concerned owners;

The number of owner requesting assistance to

purchase replacement land, and the number of

successful purchase;

The number of individual site and levels of

development of sites;

The number of entitlement delivered;

The number of entitlement used by APs;

Suitability of entitlements to affected households

as per RP objectives;

The number of non-titled AHH receiving

replacement land; and

The number of severely affected, very poor or other

vulnerable household receiving special assistance

and participating in income restoration programs.

Impact

Indicators

(by district

and

commune)

Household Earning

Capacity Employment status of economically active

members;

Landholding size, area cultivated and production

volume, by crop;

Selling of cultivation land;

Changes to livestock ownership – pre- and post

disturbance;

Changes to income-earning activities (farm and off-

farm) – pre- and post disturbance; and

Amount and balance of income and expenditures.

Changes to Status of

Women Commune/Village Resettlement Committees

include Women’s Union and Women from affected

households;

Involvement of women in the process of preparation

54

Type Indicator Examples of Variables

of IOL;

The number of grievance complaint filed by women

and resolution

The number of woman (including female headed

households and ethnic minority women) negotiated

compensation effectively;

Joint registration of land in the name of husband

and wife;

The number of meeting held by women from

affected households in planning of livelihood

activities;

The number of woman engaged in gainful

livelihood activities/income earning

activities/employment in Industrial zones (including

female headed households and ethnic minority

women);

The number of woman participated in capacity

building workshop/ training;

The number of woman understand the process of

resettlement activities (entitlement, compensation

process, etc);

The number of woman participated in discussion of

resettlement site selection;

Participation in commercial enterprises; and

Participation in community decision-making

Changes to Status of

Children School attendance rates (male/female); and

Participation in plant construction.

Settlement,

Community and

Population

Growth in number and size of settlements;

Growth in market areas;

Influx of new settlers, including those with and

without land rights;

Changes in economic activities and income-

generation opportunities; and

Changes in social, cultural and community

conditions.

55

X. BUDGET AND FINANCIAL SCHEDULE

97. Total compensation and assistance cost or impacts caused by Xuan Minh

Hydropower project construction is 25,159,646,744 VND (equivalent to 1,105,432 USD,

foreign exchange is 22.760), including (i) compensation for affected land, (ii)

Compensation for crops and trees, (iii) Assistance cost for architectural objects, (iv)

Assistance for AHHs, (v) Implementation and Management cost 2%, (vi) Contingency

cost 10%, (vii) independednt monitoring cost.

98. All cost for the implementation of the resettlement plan will be paid by Xuan Minh

Hydropower JSC. Table X-1 describes the details of the compensation cost for the

impacts from the project.

Table X-1: Summary of resettlement costs

No. Items Unit

1 Compensation for affected land 3,828,977,180

2 Compensation for crops and trees 10,377,880,689

3

Compensation for assets, architectural

objects 696,945,263

4 Assistance for AHHs 7,908,541,010

Stablizing lives, production 958,500,000

Tranforming jobs and creating jobs 6,676,041,010

Assistance for vulnerable households 214,000,000

Assistance for giving land on time 230,000,000

5

Implementation and Management cost

(2%) 445,707,978

6 Contingency cost (10%) 2,228,539,888

7 Independent monitoring cost 200,000,000

Total cost 24,969,246,744

56

ANNEXES ATTACHED TO EMDP

ANNEX 1 LITS OF AHHs – XUÂN MINH HYDROPOWER PLANT ......................................... 57

ANNEX 2 LIST OF THE HOUSEHOLD PARTICIPATING IN THE MEETING ...................... 12

ANNEX3 CONSULTATION MEETING MINUTES ...................................................................... 66

ANNEX 4 SOME PHOTOS OF PROJECT .................................................................................... 668

57

ANNEX 1 LITS OF AHHs – XUAN MINH HYDROPOWER PLANT

No. Name of household head Village Age Peoples/

household Ethnic

Vulnerable households Affected agricultural land area

Poor

household

Households

headed by

single

women

with

dependents

Household

headed by

the single

elderly

more than

70 years-

old

Household

head is

ethnic

people

Total

area (m2)

Affected

area (m2)

impact

levels (%)

I.1 Xuan Cam commune

1 Lương Văn Chính 1983 4 Thái 12/12 x 2.300,00 47,61 2,07

2 Lương Văn Lâm 1969 3 Thái 7/10 x 8.500,00 236,00 2,78

3 Vi Văn Thắng 1966 4 Thái 3/10 x 21.688,00 820,72 3,78

4 Cầm Bá Tiếp 1963 6 Thái 7/10 x 4.891,20 193,40 3,95

5 Lương Văn Thắng 1960 6 Thái 7/10 x 9.500,00 436,30 4,59

6 Cầm Bá Lặm 1965 6 Thái 5/10 x 5.000,00 234,70 4,69

7 Hà Thị Linh 1968 5 Thái 4/10 x 8.000,00 386,24 4,83

8 Vi Văn Quyết 1975 4 Thái 1/12 x 3.500,00 201,18 5,75

9 Hà Văn Thường (K) 1975 4 Thái 7/12 x 2.933,90 178,60 6,09

10 Lương Văn Tùng 1991 6 Thái 9/12 x 7.200,00 456,00 6,33

11 Hà Ngọc Toàn 1944 4 Thái 10/10 x 3.400,30 231,10 6,80

12 Hà Minh Tiến 1975 5 Thái 12/12 x 7.200,00 490,76 6,82

13 Lương Thị Tỷ 1964 4 Thái 4/10 x x 7.200,00 503,70 7,00

58

No. Name of household head Village Age Peoples/

household Ethnic

Vulnerable households Affected agricultural land area

Poor

household

Households

headed by

single

women

with

dependents

Household

headed by

the single

elderly

more than

70 years-

old

Household

head is

ethnic

people

Total

area (m2)

Affected

area (m2)

impact

levels (%)

14 Hà Văn Minh 1975 4 Thái 4/12 x 6.100,00 440,00 7,21

15 Cầm Bá Tiếp 1964 4 Thái 4/10 x 7.200,00 590,78 8,21

16 Hà Tôn Thắng 1949 2 Thái 10/10 x x 9.975,30 838,81 8,41

17 Hà Văn Thắng 1969 9 Thái 5/10 x 9.000,00 880,32 9,78

18 Vi Văn Thị 1950 6 Thái 3/10 x 5.403,10 533,01 9,86

19 Cầm Bá Chon 1977 7 Thái 3/12 x 4.500,00 470,40 10,45

20 Cầm Bá Hội 1958 5 Thái 4/10 x 5.000,00 534,44 10,69

21 Hà Thị Sáu 1968 5 Thái 4/10 x x 7.200,00 774,08 10,75

22 Lương Văn Chon 1977 4 Thái 5/12 x 6.200,00 729,30 11,76

23 Lương Văn Phiệt 1979 6 Thái 7/12 x 5.690,80 675,00 11,86

24 Hà Văn Khiêm 1968 7 Thái 1/10 x 3.200,00 390,40 12,20

25 Lương Công Bình 1969 4 Thái 7/10 x 8.200,00 1.009,16 12,31

26 Hà Văn Liêm 1973 5 Thái 4/12 x 7.400,00 1.015,20 13,72

27 Cầm Bá Hậu 1961 5 Thái 3/10 x 8.500,00 1.226,26 14,43

59

No. Name of household head Village Age Peoples/

household Ethnic

Vulnerable households Affected agricultural land area

Poor

household

Households

headed by

single

women

with

dependents

Household

headed by

the single

elderly

more than

70 years-

old

Household

head is

ethnic

people

Total

area (m2)

Affected

area (m2)

impact

levels (%)

28 Hà Văn Châu 1967 4 Thái 5/10 x 8.400,00 1.215,00 14,46

29 Vi Văn Thơ 1970 4 Thái 3/10 x 4.000,00 630,75 15,77

30 Lương Minh Thìn 1965 4 Thái 7/10 x 7.500,00 1.185,60 15,81

31 Cầm Bá Bùn 1986 4 Thái 10/12 X x 5.000,00 838,32 16,77

32 Cầm Bá Thích 1966 3 Thái 6/10 x 4.000,00 671,81 16,80

33 Cầm Bá Thân 1968 3 Thái 6/10 x 8.500,00 1.439,96 16,94

34 Hà Văn Khăm 1965 6 Thái 4/10 x 7.200,00 1.276,94 17,74

35 Hà Văn Bảy 1975 6 Thái 4/12 x 12.000,00 2.135,96 17,80

36 Vi Văn Thông 1978 5 Thái 12/12 x 4.500,00 827,10 18,38

37 Lương Thị Đoạt 1968 4 Thái 4/10 X X x 3.400,00 626,40 18,42

38 Vi Văn Thành 1983 6 Thái 4/12 X x 2.500,00 491,07 19,64

39 Hà Minh Đức 1966 4 Thái 7/10 x 2.860,80 573,80 20,06

40 Hà Thị Thanh 1956 3 Thái 7/10 x 2.642,20 534,30 20,22

41 Cầm Bá Tuấn 1982 4 Thái 5/12 x 5.400,00 1.123,30 20,80

60

No. Name of household head Village Age Peoples/

household Ethnic

Vulnerable households Affected agricultural land area

Poor

household

Households

headed by

single

women

with

dependents

Household

headed by

the single

elderly

more than

70 years-

old

Household

head is

ethnic

people

Total

area (m2)

Affected

area (m2)

impact

levels (%)

42 Vi Văn Ký 1975 3 Thái 5/12 x 5.458,20 1.179,56 21,61

43 Lương Văn Tùng 1991 6 Thái 9/12 x 7.200,00 1.616,88 22,46

44 Lương Văn Mạnh 1990 3 Thái 12/12 x 5.200,00 1.193,10 22,94

45 Vi Xuân Tỉnh 1957 6 Thái 7/10 x 4.223,40 975,20 23,09

46 Cầm Văn Phức 1975 5 Thái 4/12 x 8.200,00 1.896,96 23,13

47 Hà Ngọc Kỳ 1960 2 Thái 6/10 x 8.200,00 1.930,83 23,55

48 Hà Văn Thường (Q) 1965 6 Thái 7/10 x 3.862,90 928,95 24,05

49 Cầm Bá Bành

1966 2 Thái 1/10 x

6.500,00 1.575,48 24,24

50 Hà Văn Chỉnh

1982 4 Thái 4/12 x

6.300,00 1.638,50 26,01

51 Cầm Xuân Tiến 1965 4 Thái 4/10 x 7.200,00 1.895,80 26,33

52 Vi Hồng Thương 1984 4 Thái 9/12 X x 3.000,00 809,60 26,99

53 Cầm Bá Dậu 1966 5 Thái 4/10 x 5.200,00 1.404,95 27,02

54 Lữ Thị Lan 1963 4 Thái 2/10 X x 9.309,10 2.521,92 27,09

55 Hà Tôn Cường 1978 4 Thái 10/12 x 1.046,50 289,80 27,69

61

No. Name of household head Village Age Peoples/

household Ethnic

Vulnerable households Affected agricultural land area

Poor

household

Households

headed by

single

women

with

dependents

Household

headed by

the single

elderly

more than

70 years-

old

Household

head is

ethnic

people

Total

area (m2)

Affected

area (m2)

impact

levels (%)

56 Hà Văn Thìn (Hợp) 1964 4 Thái 4/10 x 6.200,00 1.720,68 27,75

57 Hà Ngọc Duyên 1958 6 Thái 4/10 x 8.500,00 2.463,80 28,99

58 Hà Minh Tấn 1985 3 Thái 12/12 X x 5.400,00 1.617,80 29,96

59 Hà Thanh Hiền 1965 4 Thái 7/10 x 2.747,00 836,80 30,46

60 Cầm Xuân Định 1964 6 Thái 10/10 x 2.469,30 757,60 30,68

61 Hà Văn Hoa 1983 6 Thái 9/12 x 4.162,30 1.320,55 31,73

62 Lương Thanh Hồ 1977 4 Thái 12/12 x 8.200,00 2.686,28 32,76

63 Hà Văn Hoa 1983 6 Thái 9/12 x 4.162,30 1.414,40 33,98

64 Lương Văn Sao 1980 6 Thái 9/12 x 4.500,00 1.555,40 34,56

65 Cầm Bá Bảy 1971 5 Thái 4/12 x 8.500,00 3.094,58 36,41

66 Lương Thị Thiên 1954 4 Thái 6/10 X x 5.500,00 2.052,51 37,32

67 Lương Văn Thắng 1960 6 Thái 7/10 x 9.500,00 3.585,50 37,74

68 Lương Văn Lâm

1969 3 Thái 7/10 x

8.500,00 3.279,18 38,58

69 Lương Văn Quyên 1988 4 Thái 10/12 x 2.400,00 940,80 39,20

62

No. Name of household head Village Age Peoples/

household Ethnic

Vulnerable households Affected agricultural land area

Poor

household

Households

headed by

single

women

with

dependents

Household

headed by

the single

elderly

more than

70 years-

old

Household

head is

ethnic

people

Total

area (m2)

Affected

area (m2)

impact

levels (%)

70 Lương Thị Trái 1947 2 Thái 4/10 X X x 5.200,00 2.044,43 39,32

71 Lương Minh Tám

1967 6 Thái 7/10 x

15.500,00 6.403,28 41,31

72 Hà Văn Chon 1985 3 Thái 9/12 x 2.926,60 1.231,80 42,09

73 Lương Minh Tiến 1949 5 Thái 7/10 x 5.000,00 2.177,80 43,56

74 Hà Thị Cao 1983 4 Thái 6/12 x 8.200,00 3.610,45 44,03

75 Hà Văn Chực 1965 8 Thái 1/10 x 12.000,00 5.322,49 44,35

76 Lương Văn Kiên 1993 4 Thái 9/12 x 5.200,00 2.575,70 49,53

77 Lương Thị Huệ 1968 2 Thái 7/10 X x 5.001,00 2.652,00 53,03

78 Lương Văn Thái 1982 4 Thái 12/12 x 5.200,00 2.948,10 56,69

79 Hà Văn Tuấn 1988 2 Thái 11/12 X x 2.888,50 1.638,50 56,72

80 Hà Văn Quê 1977 4 Thái 5/12 x 8.500,00 4.914,46 57,82

81 Cầm Bá Hiệp 1971 5 Thái 4/12 x 5.200,00 3.179,74 61,15

82 Lương Văn Tuân 1979 4 Thái 10/12 x 3.865,20 2.445,30 63,26

83 Hà Văn Tình 1990 5 Thái 12/12 x 5.000,00 3.610,00 72,20

63

No. Name of household head Village Age Peoples/

household Ethnic

Vulnerable households Affected agricultural land area

Poor

household

Households

headed by

single

women

with

dependents

Household

headed by

the single

elderly

more than

70 years-

old

Household

head is

ethnic

people

Total

area (m2)

Affected

area (m2)

impact

levels (%)

84 Hà Thị Lanh 1970 2 Thái 12/12 X x 14.682,95 11.286,75 76,87

II.2 Xuan Cao Commune x

1 Ngân Văn Hiền 1969 7 Thái 6/10 x 5.000,00 253,38 5,07

2 Hà Thanh Sao 1956 3 Thái 7/10 x 5.000,00 443,22 8,86

3 Hà Xuân Quảng 1963 5 Thái 3/10 x 4.500,00 399,52 8,88

4 Hà Ngọc Mai 1952 5 Thái 8/10 X x 3.000,00 285,25 9,51

5 Trịnh Văn Dũng 1.992 5 Kinh 9/12 44.288,80 4.288,80 9,68

6 Hà Ngọc Thân 1975 4 Thái 12/12 x 4.000,00 510,00 12,75

7 Lương Thanh Hồng 1971 6 Thái 7/12 x 5.000,00 681,91 13,64

8 Dương Thị Tính 1.940 2 Kinh 2/10 X 8.597,00 1.326,40 15,43

9 Trịnh Văn Long 1.982 4 Kinh 10/12 18.239,63 3.239,63 17,76

10 Hà Ngọc Thêm 1985 4 Thái 9/12 x 3.500,00 638,12 18,23

11 Hà Ngọc Chung 1986 3 Thái 9/12 x 3.500,00 645,12 18,43

12 Hà Văn Thức 1987 3 Thái 12/12 x 2.000,00 396,20 19,81

13 Hà Văn Giáo 1962 4 Thái 6/10 x 5.000,00 1.232,50 24,65

64

No. Name of household head Village Age Peoples/

household Ethnic

Vulnerable households Affected agricultural land area

Poor

household

Households

headed by

single

women

with

dependents

Household

headed by

the single

elderly

more than

70 years-

old

Household

head is

ethnic

people

Total

area (m2)

Affected

area (m2)

impact

levels (%)

14 Ngân Văn Toàn 1965 6 Thái 7/10 x 5.000,00 1.268,25 25,37

15 Hà Văn Hòa (óc) 1975 4 Thái 6/12 x 3.500,00 933,07 26,66

16 Vi Văn Tư 1973 6 Thái 6/12 X x 4.500,00 1.205,55 26,79

17 Hà Ngọc Quang (Hồng) 1984 6 Thái 12/12 x 5.000,00 1.460,50 29,21

18 Ngân Xuân Hòa 1949 6 Thái 6/10 x 5.000,00 1.550,25 31,01

19 Hà Đức Thanh 1966 7 Thái 12/12 x 5.000,00 1.617,71 32,35

20 Lương Xuân Hòa 1966 4 Thái 7/10 x 5.000,00 1.940,38 38,81

21 Lê Thị Bằng 1.963 2 Kinh 6/10 9.382,00 3.845,86 40,99

22 Nguyễn Văn Thức 1.977 3 Kinh 3/12 8.216,00 3.940,00 47,96

23 Hà Thái Hiêm 1.948 7 Thái 7/10 x

5.602,00 2.945,00 52,57

24 Vi Thị Biên

1966 7 Thái 7/10 X x

5.000,00 2.849,66 56,99

25 Hà Văn Xuân 1964 3 Thái 6/10 x 5.000,00 2.851,92 57,04

26 Vi Xuân Lan 1950 5 Thái 2/10 x 3.839,00 2.203,82 57,41

27 Lê Văn Hữu 1.979 4 Kinh 5/12 7.109,00 4.104,00 57,73

28 Hà Sỹ Phong 1965 6 Thái 6/10 X x 5.000,00 3.322,80 66,46

65

No. Name of household head Village Age Peoples/

household Ethnic

Vulnerable households Affected agricultural land area

Poor

household

Households

headed by

single

women

with

dependents

Household

headed by

the single

elderly

more than

70 years-

old

Household

head is

ethnic

people

Total

area (m2)

Affected

area (m2)

impact

levels (%)

29 Nguyễn Văn Nhanh 1.968 6 Kinh 5/10 13.903,50 11.236,00 80,81

30 Vi Văn Biên 1964 3 Thái 3/10 x 2.000,00 1.652,40 82,62

31 Trịnh Văn Thuận 1.987 3 Kinh 9/12 4.834,93 4.288,93 88,71

66

ANNEX 2 LIST OF THE HOUSEHOLD PARTICIPATING IN THE MEETING

67

68

ANNEX 3 CONSULTATION MEETING MINUTES

69

70

71

72

73

ANNEX 4 SOME PHOTOS OF PROJECT

Consultant meeting with affected household in Xuan Cam commune

74

Consultant meeting with affected household in Xuan Cao commune

Area of auxiliary works

Project site

75