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Updated Resettlement Plan

December 2013

VIE: Ha Noi Metro Rail System Project

Prepared by Hanoi People’s Committee, Hanoi Metropolitan Rail Transport Project Board for the Asian Development Bank. This is an updated version of the draft originally posted in February 2011 available on { http://www.adb.org/projects/40080-013/documents}.

This updated resettlement plan is a document of the borrower. The views expressed herein do not necessarily represent those of ADB's Board of Directors, Management, or staff, and may be preliminary in nature. Your attention is directed to the “terms of use” section of this website. In preparing any country program or strategy, financing any project, or by making any designation of or reference to a particular territory or geographic area in this document, the Asian Development Bank does not intend to make any judgments as to the legal or other status of any territory or area.

Hanoi People’s Committee Hanoi Metropolitan Rail Transport Project Board

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Project: Hanoi Pilot Metro Line, Section Nhon – Hanoi Station

UPDATED RESETTLEMENT PLAN Section:

ACCESS LINE AND DEPOT PHASE II

Hanoi, December 2013

Updated Version December 2013

PREFACE

This Resettlement Plan (RP) updates the draft Resettlement Plan for the Project Hanoi Pilot Metro Line, section Nhon – Hanoi Station prepared in 2011, with respect to the land acquisition and resettlement impacts associated with the access line and Nhon Depot (Phase II) and the land acquired for the resettlement site in Xuan Phuong Commune. This Updated RP is based on the detailed measurement survey and consultations with displaced people in affected communes: Tay Tuu, Minh Khai and Xuan Phuong. The land acquisition and resettlement impacts associated with other components of the Project will be addressed in separate resettlement planning documents.


ABBREVIATIONS

ADB Asian Development Bank

AFD Agence Française de Développement

AH Affected Household

CLFD Center for Land Fund Development

DCB District Compensation Board

DMS Detailed Measurement Survey

DOF Department of Finance

DONRE Department of Natural Resources and Environment

DP Displaced Person

DPC District People’s Committee

EIB European Investment Bank

EMA External Monitoring Agency

HPC Hanoi City Peoples’ Committee

IDA International Development Association

LURC Land Use Right Certificate

MOLISA Ministry of Labour, Invalids and Social Affairs

MRB Hanoi Metropolitan Railway Management Board

PIB Public Information Brochure

RCS Replacement Cost Survey

ROW Right-of-Way

RP Resettlement Plan

SES Socio-economic Survey

SPS Safeguard Policy Statement

TA Technical Assistance

TOR Terms of Reference

VND Viet Nam Dong


DEFINITION OF TERMS

Compensation Payment in cash or kind to which the displaced persons are entitled in order to replace the lost asset, resource or income.

Cut-off date Date that the announcement on land recovery within the project areas is declared by the Ha Noi People’s Committee and published broadly by the District People’s Committee to local communities and displaced persons. Anyone who occupies or encroaches the defined boundaries of the project area after this date will not be compensated by the Project.

Displaced Persons

In the context of involuntary resettlement, displaced persons are those who are physically displaced (relocation, loss of residential land, or loss of shelter) and/or economically displaced (loss of land, assets, access to assets, income sources, or means of livelihoods) as a result of (i) involuntary acquisition of land, or (ii) involuntary restrictions on land use or on access to legally designated parks and protected areas

Eligibility Criteria

Basis used in the Project for determining if a person or entity is entitled to be compensated or assisted in relation to land acquisition and resettlement impacts from the Project.

Encroachers People who move into the project area after the cut-off date and are therefore not eligible for compensation or other rehabilitation measures provided by the project or persons who have trespassed government land, adjacent to his/her own land or asset, to which he/she is not entitled, by deriving his/her livelihood there. Such act is called “Encroachment.”

Entitlement Entitlement means the range of measures comprising compensation, assistances in cash or kind, relocation cost, income rehabilitation assistance, transfer assistance, income substitution, and business restoration which are due to DPs, depending on the type and degree nature of their losses, to restore their social and economic base.

Household Household means all persons living and eating together as a single-family unit and eating from the same kitchen whether or not related to each other. The census used this definition and the data generated by the census forms the basis for identifying the household unit.

Price of Land Use Right/Land Price

The amount of money for a land area unit prescribed by the State or formed in a transaction relating to land use rights.

Income restoration

Income restoration means re-establishing income sources and livelihoods of DPs.

Involuntary Resettlement

Any resettlement, which does not involve willingness of the persons being adversely affected, but are forced through an instrument of law. Resettlement is considered involuntary when displaced individuals or communities do not have the right to refuse land acquisition that result in displacement.

Land acquisition

Land acquisition means the process whereby a person is compelled by a public agency to alienate all or part of the land s/he owns or possesses, to the ownership and possession of that agency, for public purposes in return for fair compensation.

Rehabilitation Assistance provided to displaced persons to supplement their income


losses in order to improve, or at least achieve full restoration of, their pre-project living standards and quality of life.

Replacement Cost

Replacement of loss assets with assets that have similar value (i.e. lands with similar production potential and locational advantages) or cash compensation that includes: (i) market price under normal conditions1; (ii) transaction costs, (iii) interest accrued, (iv) transitional and restoration costs, and (v) other applicable payments. In case of structures, replacement cost refers to current cost of materials (no depreciation) and labor cost. When national laws do not meet the standard of compensation at full replacement cost, compensation under national law is supplemented by additional measures necessary to meet the replacement cost standards.

1 Means the price calculated on a land acreage unit formulated from the results of common actual transactions between a willing buyer and willing seller without being affected by such factors as price rise due to accumulation, change of planning, transfer under conditions of coercion, blood (Decree 188/2004, Article 3). Compensation will not be calculated on the basis of new land price following future land use purpose conversion (Hanoi PC Decision 108/2009, Article 12, item 1)


TABLE OF CONTENTS I. EXECUTIVE SUMMARY ................................................................................................................ 1

II. PROJECT DESCRIPTION ............................................................................................................... 6

III. SCOPE OF RESETTLEMENT IMPACTS ................................................................................ 7

IV. SOCIO-ECONOMIC PROFILE ................................................................................................ 11

V. CONSULTATION, PARTICIPATION, AND DISCLOSURE .................................................... 15

A. OBJECTIVES OF INFORMATION DISSEMINATION AND COMMUNITY CONSULTATION ....................... 15 B. CONSULTATIONS DURING RP PREPARATION AND UPDATING ......................................................... 15 C. DISCLOSURE ................................................................................................................................... 17

VI. GRIEVANCE REDRESS MECHANISM ................................................................................. 19

VII. OBJECTIVES, POLICY FRAMEWORK, AND ENTITLEMENTS ..................................... 20

A. VIET NAM LAWS, DECREES AND DECISIONS .................................................................................. 20 B. ADB SAFEGUARD POLICY STATEMENT .......................................................................................... 20 C. GAP ANALYSIS AND GAP-FILLING MEASURES ............................................................................... 23 D. PROJECT PRINCIPLES ...................................................................................................................... 26 E. PROJECT ENTITLEMENTS ................................................................................................................ 27

VIII. INCOME RESTORATION AND RELOCATION STRATEGY ........................................... 36

A. RELOCATION STRATEGY ................................................................................................................ 36 B. INCOME RESTORATION MEASURES ................................................................................................ 38

IX. BUDGET AND FINANCING ..................................................................................................... 40

X. INSTITUTIONAL ARRANGEMENTS ......................................................................................... 44

A. HANOI PEOPLE’S COMMITTEE ........................................................................................................ 44 B. HANOI METROPOLITAN RAIL TRANSPORT BOARD ......................................................................... 44 C. PEOPLE’S COMMITTEE OF TU LIEM DISTRICT ................................................................................. 45 D. DISTRICT COMPENSATION BOARD AND CENTER FOR LAND FUND DEVELOPMENT ........................ 46 E. COMMUNE PEOPLE’S COMMITTEE .................................................................................................. 46 F. EXTERNAL MONITORING AGENCY ................................................................................................. 47 G. PROJECT SUPERVISION CONSULTANTS ........................................................................................... 47

XI. IMPLEMENTATION SCHEDULE .......................................................................................... 48

XII. MONITORING AND REPORTING ......................................................................................... 52

A. INTERNAL RESETTLEMENT MONITORING ....................................................................................... 52 B. EXTERNAL RESETTLEMENT MONITORING ...................................................................................... 53

ANNEX 1: MINUTES OF THE CONSULTATION MEETING ON RESETTLEMENT - HANOI METRO RAIL SYSTEM PROJECT ....................................................................................................... 55

ANNEX 2: SUPPLEMENTARY ASSISTANCE PLAN FOR THE PROJECT ............................... 69

ANNEX 3: PUBLIC INFORMATION BROCHURE............................................................................. 95

ANNEX 4: OUTLINE OF PROJECT AREA AND LOCATION ....................................................... 100

ANNEX 5: LIST OF LIVELIHOOD IMPROVEMENT SUPPORT IMPLEMENTED IN THE AFFECTED COMMUNES DURING 2010- 2013 ................................................................................. 102


INDEX OF TABLES Table 1. Types of Land Affected by Section/Commune ........................................ 7 Table 2. Affected Primary Structures ...................................................................... 8 Table 3. Affected Secondary Structures and Trees ............................................... 9 Table 4. Impacts on Public Works and Collective Assets .................................... 9 Table 5. Number of Affected Households and Displaced Persons .................... 10 Table 6. Gender Distribution of Members of Surveyed AHs ............................... 11 Table 7. Size of Surveyed AHs .............................................................................. 11 Table 8. Age Distribution of Members of Surveyed AHs .................................... 12 Table 9. Primary Source of Income ....................................................................... 13 Table 10. Monthly Income of Surveyed Households by Commune ..................... 13 Table 11. Living Facilities of HHe ............................................................................ 14 Table 12. Gap Analysis and Gap-Filling Measures ................................................ 24 Table 13. Entitlement Matrix .................................................................................... 29 Table 14. Cost estimate for Depot (phase II) and Access Line ............................. 41 Table 15. Cost estimate for compensation and allowances for Xuan Phuong Resettlement Site ......................................................................................................... 43 Table 16. Updated Implementation Schedule ........................................................ 50

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I. EXECUTIVE SUMMARY

1. Project Background. The Project Hanoi Pilot Metro Line, Section Nhon – Hanoi Station (MRT3) outputs will consist of the construction of approximately 12.5 km in length of MRT Line 3 and depot facilities and electrical and mechanical (E&M) systems and rolling stock. Civil works for MRT3 will start from Nhon depot in the west to Hanoi Central Train Station within the central business area. The MRT3 is 12.5km, of which 3.6 km underground, 8.4 km elevated, and 500 m in ramps. It includes the design and construction of the depot and ancillary buildings, elevated viaducts, transition tunnel portal, cut and cover and bored running tunnels, and 12 stations, with eight (8) elevated and four (4) underground. This includes all civil, structural, building services, architectural/builders work and all necessary utility services to the works. Civil works for the Project is co-financed by the Asian Development Bank (ADB), Agence Française de Développement (AFD), and the European Investment Bank (EIB).Works at the depot is covered under contract packages (CP) 4 and 5 funded by AFD. The access line is part of CP 1 which is funded jointly by AFD and EIB. The construction of 8 elevated stations (CP 2) is also jointly funded by AFD and EIB. ADB finances the construction of the underground section and stations (CP3). The Government of Viet Nam agreed to ensure that all sections of the Project abide by all the requirements under the ADB Safeguard Policy Statement of 2009 (SPS).

2. The depot and access line will be constructed in Minh Khai and Tay Tuu communes of Tu Liem district. The depot will have 14 buildings which will be used for offices and workshops of technical maintenance and reparation. An access railway connects workshops to the main railway. The elevated line with the length of 8.4 km and 8 elevated stations are mainly constructed along the roads going through districts Tu Liem, Cau Giay, and Ba Dinh. This updated resettlement plan (RP) covers impacts related to the construction of the depot (phase II) and access line and the development of a resettlement site at Xuan Phuong. This URP is based on detailed design and final detail measurement survey, census surveys, consultations undertaken in 2012 and 2013.

3. Scope of Resettlement Impacts. A total of 21,824.6 m2 is required for the access line and depot (phase II). This area consists of 16,243.2 m2 of agricultural and 4,839.1 m2 of public land managed by the two communes. The affected public land is used for irrigation and road and is not occupied. Of the affected land registered for agriculture use, 10,505.7 m2 has been changed to residential/commercial use by the affected households themselves without permission from the local government authorities in violation of the approved used of the land. Based on the DMS conducted by the Center for Land Fund Development (CLFD) of Tu Liem district in February-August 2013, 102 households will be affected by land acquisition in the depot (phase II) and access line, of which 92 households have to demolish their structures. Most of the relocating households have permanent houses in the nearby village. Only 23 households have no other place to move and will need to move to a resettlement site. All relocated households built their structures on agricultural land without permission of the local government.

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4. A total of 17,947.3m2 is required for the Xuan Phuong resettlement site. The affected land includes 14,194m2 of agricultural land and 3,695.3 m2 of public land managed by Xuan Phuong commune. The affected public land is irrigation and transport (road) land and is not occupied. Forty-six households are affected by the land acquisition for the Xuan Phuong resettlement site. Most will only lose agricultural land. Eight households will also lose structures. Overall, 148 households will be affected in the depot (phase II), access line and Xuan Phuong resettlement site.

5. Socio-economic Conditions of the Displaced Households. All 102 affected households in the depot (phase II) and access line, and 46 affected households in the Xuan Phuong resettlement site were covered in the DMS. Most of affected households at the depot (phase II) and access line run a business or provide services. Some households plant pomelo and flowers. Most of affected households at the Xuan Phong resettlement site are farmers. They plant rice and vegetables and fruit trees on the affected land. They are also engaged in business and services. Some households rent-out their structure to students since this area is close to many universities.

6. Consultation, Disclosure and Grievance Redress. Center for Land Fund Development (CLFD) of Tu Liem district has been conducting meetings with households to be affected by the depot (phase II) and the access line since 2010. Official public consultations were organized in Minh Khai and Tay Tuu communes in May 2011, and in Xuan Phuong commune in November 2011 and January 2013. DPs were informed and consulted in (i) compensation, relocation and rehabilitation policy, (ii) DMS and asset valuations, (iii) entitlements and special provisions, (iv) grievance procedures, (v) resettlement implementation schedule and timing of payments, and (vi) site clearance schedule. An information leaflet was prepared to deliver to the DPs. The grievance redress mechanism has been designed to ensure that DPs’ concerns and grievances are addressed and resolved in a timely and satisfactory manner. Informal discussions with DPs were also conducted during the conduct of DMS, and socio economic surveys at the Xuan Phuong commune in October 2013.

7. Legal and Policy Framework. The legal and policy framework for compensation, resettlement and rehabilitation under the Project is defined by the relevant laws and regulations of the Government of Viet Nam and the ADB Safeguard Policy Statement. Objectives of the project’s policy are to avoid, if not minimize resettlement impacts, restore livelihoods and improve living standards of affected households, especially poor and vulnerable households. Compensation will follow the principle of replacement cost.

8. Income Restoration and Relocation Strategy. Measures to help DPs to restore their livelihood and living conditions include provision of (i) compensation, assistance for affected land and structures at replacement cost that will enable them to avail of land with similar productive/economic value and construct structures similar to those that will be damaged by the Project, (ii) rehabilitation assistance during the

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transition period which includes transportation support, and house rent allowance for relocating households, (iii) additional assistance to DPs losing 30% or more of their agricultural lands, (iv) additional assistance for households losing less than 30% of their agricultural land but who are fully dependent on the affected agricultural lands, (v) additional assistance for agricultural lands within or adjacent to residential plots/areas, (vi) assistance for income losses of affected businesses, (vii) assistance for displaced workers from affected businesses, (viii) provision of replacement residential land or apartment for physically displaced households if they have sufficient conditions for resettlement, (ix) additional assistance to vulnerable groups (Social Policy Groups), and (x) design and implementation of income restoration programs or measures.

9. Implementation Arrangements. Hanoi People’s Committee (HPC) is the Executing Agency and the Hanoi Metropolitan Rail Transport Project Board (MRB) is the Implementation Agency for this Project. MRB will be responsible for the day-to-day implementation and be accountable for technical, safeguards, and financial reporting. MRB (with support from its consultant) updated the RP in coordination with the CLFD and Compensation Board of Tu Liem district who are mandated by law to handle land acquisition and resettlement.

10. RP Budget2. The Cost of compensation, allowances and resettlement for households affected by the depot and access line is estimated at VND 121,446,820,506 equivalent to USD 5,824,788. The cost of compensation, allowances and resettlement for households affected by Xuan Phuong resettlement site is VND 18,973,871,292 equivalent to USD 910,006. HPC will fund the cost for land acquisition, compensation, and assistance for people displaced by the Project. HPC will ensure timely provision of counterpart funds for compensation, and assistance, and will meet any unforeseen obligations in excess of the resettlement budget in order to satisfy the resettlement objectives. MRB will supervise the funds flow from the city to district and then to DPs.

11. Implementation Schedule. This updated RP is based on the final DMS and census of AHs at the access line, and the depot (phase II) carried out in the beginning of 2013, and on the DMS and socioeconomic surveys at the proposed site of Xuan Phuong resettlement site carried out from August to October 2013. Efforts will be made to complete the agreements for all the individual compensation plans by February 2014 so that compensation payments can be completed by March, 2014. Emerging and temporary land acquisition impacts during construction will only be determined during construction and will be addressed following the same policies/principles in this updated RP.

2 The budget will be updated after HPC approves the new land compensation unit prices and Tu Liem PC approves the detailed/individual land acquisition and compensation plan for each AH.

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Table ES-1 Implementation Schedule

Activities Start date End date1 RP updating, approval and disclosure

Conduct public consultation, disseminate compensation policies, and deliver the format/questionnaires for filling property losses to affected households (AHs) 3-Sep-13 4-Sep-13

Verify land ownership records/history 11-Sep-13 24-Sep-13

Publish the general land acquisition document to AHs 25-Sep-13 1-Oct-13

Appraise of land history and percentage of land loss 2-Oct-13 10-Oct-13

Tu Liem PC issues the land acquisition decision 17-Oct-13 21-Oct-13

Prepare detailed/individual land acquisition and compensation plan for each AH 22-Oct-13 28-Oct-13

Appraise compensation, support and resettlement plan 29-Oct-13 29-Oct-13

Post individual compensation plans for feedback, conduct public consultation on the regulation of drawing the resettlement apartment and land plot 30-Oct-13 26-Nov-13

Complete updating of RP 29-Nov-13 10-Dec-13

Submit updated RP for ADB review 11-Dec 13 11-Dec-13

ADB reviews and approves updated RP 12-Dec 13 31-Jan-14

Endorse URP and approve updated compensation unit rates by Tu Liem DPC and HPC 10-Feb-14 28-Feb-14

Submit to ADB the endorsed updated RP for uploading on the ADB website. 1-Mar-14 1-Mar-14

Finalize agreement on individual compensation plans 1-Mar-14 15-Mar-14

2 RP implementation

Pay compensation/allowances to AHs and AHs handover of their plots to Tu Liem District 16-Mar-14 30-Mar-14

Handover of land to contractors 31-Mar-14 31-Mar-14

Construction of Xuan Phuong Resettlement site (including electricity and water supply system) 16-Mar-14 15-Sep-14

Building of new houses in the resettlement site 16-Sep-14 15-Dec-14

Relocation of households to the resettlement site 16-Dec-14 31-Dec-14

Grievance resolving ongoing ongoing

3 Monitoring

Internal monitoring (monthly) 2-Apr-13 completion of civil works

Independent monitoring : a. compensation payment compliance report b. Semi-annual

31-Mar-14

31-Mar-14 Until completion of civil works

12. Monitoring. MRB will submit monthly progress reports to ADB, AFD and EIB on RP implementation activities. In addition, an external resettlement monitor has been engaged to do compliance review and assessment. The external monitor will submit

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semi-annual monitoring reports to PMU and ADB. All monitoring reports will be uploaded on the ADB website. Monitoring will continue until the completion of the civil works to cover temporary and emerging land acquisition/resettlement impacts during the construction phase.

13. MRB will issue notice-to-proceed (NTP) to contractors for the access line and depot (phase II) only after the head of the resettlement committee or CLFD has officially confirmed in writing that (i) payment has been fully disbursed to the DPs and rehabilitation measures are in place as per this updated RP; (ii) already-compensated DPs have cleared the area in a timely manner; and (iii) the area is free from any encumbrance. No site clearing will be done at the depot (phase II) and access line until the provisions in the approved updated RP have been implemented satisfactorily as verified by an external resettlement monitor.

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II. PROJECT DESCRIPTION

14. The Project “Hanoi Pilot Metro Line, Section Nhon – Hanoi Station”(MRT3) outputs includes the construction of MRT Line 3 and depot facilities and electrical and mechanical (E&M) systems and rolling stock. Civil works for MRT3 will start from Nhon depot in the west to Hanoi Central Train Station within the central business area. The total length of MRT3 is 12.5km, of which 3.6 km underground, 8.4 km elevated, and 500 m in ramps. It includes the design and construction of the depot and ancillary buildings, elevated viaducts, transition tunnel portal, cut and cover and bored running tunnels, and 12 stations, with eight (8) elevated and four (4) underground. This includes all civil, structural, building services, architectural/builders work and all necessary utility services.

15. The Project is financed in parallel by the Asian Development Bank (ADB), Agence Française de Développement (AFD), and the European Investment Bank (EIB). The Government of Viet Nam agreed to ensure that all sections of the Project abide by all the requirements under the ADB Safeguard Policy Statement of 2009 (SPS). Civil works for the Project are divided into contract packages as follows:

Section: Funding Agency:

CP 1 (elevated section, including access-line) - AFD/EIB

CP2 (8 elevated stations) - AFD/EIB

CP 3 (underground section and 4 underground stations) - ADB

CP 4 and 5 (depot site and buildings) - AFD

16. The depot and access line will be constructed in Minh Khai and Tay Tuu communes of Tu Liem district. The depot includes 14 buildings which will be used for offices and workshops for technical maintenance and reparation. An access line connects the workshops to the main line. Works at the depot are divided into two phases. Works have started in 15-ha of the depot (phase I) where land has been cleared and handed-over in 2006. Works in depot (phase II) are on-hold pending the approval and full implementation of this updated RP.

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III. SCOPE OF RESETTLEMENT IMPACTS

17. The scope of land acquisition and resettlement impacts covered under this updated RP include the land acquisition for the access line, depot (phase II) and the land acquired for the resettlement site at Xuan Phuong Commune. It is based on the final-DMS, census and socio economic surveys in 2013.

18. Impact on Land. A total of 22,797.5m2 is required for the civil works for the access line and depot (phase II), including 17,164.9m2 of agricultural land (affecting 102 households) and 5,617.6m2 of public land managed by the two communes. The affected public land is used for irrigation and road. Of the affected agricultural land, 3,076.8m2 has been changed to non-agriculture use by the AHs without permission from the local government authorities in violation of the approved land-use.

19. The Xuan Phuong resettlement site requires a total of 17,947.3 m2. This area consists of 14,194 m2 agricultural land (affecting 46 households) and 3,695.3 m2 public land managed by Xuan Phuong commune. The affected public land is used for irrigation and road and is not occupied. Overall, a total of 39,771.9 m2 of land will be affected. All the 46 households losing land have land use rights on the affected plots. These households are entitled to cash compensation based on current market price under normal conditions and cash assistance for job creation. Table 1 below shows the summary of impacts on land.

Table 1. Types of Land Affected by Section/Commune

Section/ Commune

Total land to be acquired (m2)

Agricultural land allocated following Decree 64/CP(m2)

Agricultural land with changed land use by household without permission* (m2)

Land managed by commune (m2)

Access line Minh Khai 729.2 652.8 205.7 76.4

Tay Tuu 7,542.8 5,785.7 3,800.0 1,014.8

Depot (Phase 2) Tay Tuu 13,552.6 9,804.7 6,500.0 3,747.9

Sub-Total 21,824.6 16,243.2 10,505.7 4,839.1

Resettlement site Xuan Phuong 17,947.3 14,194.0 - 3,695.3

Total 39,771.9 30,437.2 10,505.7 8,534.4

Note: The area of agricultural land that was changed to non-agriculture use by the households (10,505.7 m2) is included in the total area of agricultural land (30,437.2m2)

20. An area of 15ha was acquired for the depot (phase 1) in 2006 (prior to ADB appraisal of the project) in Minh Khai and Tay Tuu Communes. Based on a due diligence review in 2010 of the condition of the AHs under the depot (phase I), a supplementary livelihood development assistance was included as part of the draft RP to assist AHs to restore their livelihood. Since 2011, livelihood activities (i.e. micro-

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credit, small village infrastructure and training) were extended to households in these two communes, including those affected by the depot (phase 1) under the rural development program of Hanoi City. The livelihood supplemental assistance plan was revised to incorporate these activities. Interviewed DPs during a follow-up due diligence review conducted by ADB in early 2013 confirmed that their livelihood situation has improved. This will further be assessed in the external monitoring under this RP. In case some households are identified as still unable to restore their livelihood, further support to be agreed with ADB will be implemented.

21. Impact on Structures. At the access line and depot (phase II) section, a total of 181 primary structures with a combined floor area of 4,876.6 m2 will be affected. These structures are either category 4 or temporary structures. All affected structures are built on land officially registered for agricultural use. Majority of these structures are used as house-cum-shops, and some houses that are rented out to students. These structures are owned by 92 households, some of which own more than one structure. At the Xuan Phuong resettlement site, 8 households have 8 built temporary structures (category 4) with a combined floor area of 600 m2. Overall, 189 structures will be affected. Table 2 below shows details on the affected primary structures.

Table 2. Affected Primary Structures

Section

Total number of affected structures

(Temporary house and house cum shop)

Combined area (m2) Number of HHs owning

the structures

Access line and depot (phase 2)

181 4,276.6 92

Resettlement site 8 600 8

Total 189 4876.6 100

22. Impact on Secondary Structures and Trees. At the access line and depot (phase II), affected secondary structures include trees, crops graves. Eighty-eight households have secondary structures and trees, and crops to be affected. At the Xuan Phuong resettlement site, about 500 pomelo trees, and 6,209 m2 of crops and vegetables will be affected. Moreover, 31 graves will need to be transferred .Secondary structures and trees will be compensated based on compensation prices at the time of compensation. Table 3 below shows the details.

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Table 3. Affected Secondary Structures and Trees

Section Commune

Secondary Structure/Tree

Number of HHs owning the structures

Tree (piece)

Crops (m2)

Other structures -

Graves (units)

Access line Minh Khai 8 536 3 Tay Tuu 3 729 16 12

Depot (phase II) Tay Tuu 15 9,513 27 Xuan Phuong Resettlement site 500 7,300 15 46 Total 526 18,078 31 88

23. Apart from losing 4,837.9 m2 land, the Tay Tuu and Minh Khai communes and Minh Khai and Tay Tuu cooperatives will lose irrigation canal and power lines. These will be compensated based on the cost of a newly built structure following state’s standards (See table 4).

Table 4. Impacts on Public Works and Collective Assets

Commune Affected assets Owners of property Unit Quantity

Tay Tuu

Pond Tay Tuu Commune m2 4,762.7

Land of irrigation canal Tay Tuu Commune m2 Minh Khai 75.2

Public land Minh Khai Commune m2

Power line 110kV Minh Khai and Tay Tuu Cooperatives

24. Relocation Impact. Impact on the house/house-cum-shop structures will result in the physical displacement of 92 households. All these AHs own the structure they live in. None of the households are renters. Twenty-three households do not have other places to stay and will be allocated a plot at the resettlement site. The other 69 households will move back to their primary residence/house in the commune. All relocating households are entitled to displacement support and moving allowance. Details on the assistance to be provided to relocating households are discussed in Chapter VIII (Income Restoration and Relocation Strategy).

25. Impact on Businesses. A number of road-side businesses will be permanently affected at the access line and depot (phase II). These include 103 house-cum-shops. Affected businesses are small businesses selling groceries, bed-space for students, providing services or repairing motorbikes and bicycles. Many of these small shops are movable and can easily re-establish in nearby areas. These businesses are operating without a license or business registration. Ninety two households (with 552 members) own and manage these small businesses. Affected businesses will be provided with cash assistance for job change and other income restoration measures (i.e. assistance to access micro-credit, priority in employment in the Project and vocational training)

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26. Impact on Income of Workers of Affected Businesses. The affected businesses are managed by the households themselves. None of the affected businesses employ workers. Hence, no worker will be affected by the loss of these businesses.

27. Severe Impact on Agricultural land. A total of 119 households will lose 10% or more of their agricultural land as a result of the project. Of these, 12 households will lose between 30-70% of their land, while 12 households will lose more than 70% of their land. Under this project, severely affected households are entitled to additional cash assistance for income restoration.

28. Impact on Vulnerable Households. The project considers social policy (poor) households, and households headed by elderly, disabled or women. Although 3 AHs are registered as headed by women, the DMS/census noted that in reality, these households are in fact headed by another adult member of the family who is the primary income-earner with stable income source. Hence, none of the AHs was identified as actually vulnerable. Further assessment will be done during implementation to confirm this. In case a household is determined to be vulnerable, then such household will be provided additional assistance for vulnerable households.

29. Summary of Affected Households and Displaced Persons. 102 households with about 612 persons will be affected by the works at the depot (phase II) and access line. Of these, 92 households have to demolish their houses, shops, or house-cum-shops, of which 23 households will relocate to the resettlement site. At the Xuan Phuong resettlement site, 46 households with agricultural lands will be affected. None of these 46 households need to relocate, but three households will also lose their structures. A total 119 households (692 people) will lose more than 10% of their agricultural land. See Table 5.

Table 5. Number of Affected Households and Displaced Persons

Section/ Total Impact

Commune Lose Land

Lose Structure Relocate

Lose 10% > of Agri Land

HH DP HH DP HH DP HH DP HH DP

Access Line

Minh Khai 10 60 10 60 8 45 8 45 4 23

Tay Tuu 72 432 72 432 67 365 67 365 72 432 Depot (phase II)

Tay Tuu 60 360 60 360 47 278 47 278 57 342

Subtotal (without double counting) 102 612 102 612 92 552 92 552 98 588 Resettlement site

Xuan Phuong 46 230 46 230 9 52 21 104

Total 148 842 148 842 101 604 92 552 119 692

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Source: DMS/census results, 2013

IV. SOCIO-ECONOMIC PROFILE

30. Socioeconomic information on the affected households is based on the follow-up socioeconomic survey conducted at the access line and depot (phase II) in 2012, latest DMS and census data and socio-economic survey at the Xuan Phuong resettlement site in October 2013. Fifty-four DPs were interviewed for the socioeconomic survey at the access line and depot (phase II), while 36 DPs were interviewed at the Xuan Phuong resettlement site.

31. Minh Khai, Tay Tuu, and Xuan Phuong communes in Tu Liem District are undergoing rapid growth and urbanization due to the industrial zones and city expansion process. The urban traffic system is being planned and expanded, and the small to medium industrial zones, universities and colleges are being built to meet the industrialization and education demands of the capital and neighbouring provinces.

32. There is an almost equal proportion of male and female members in the surveyed AHs, except in Minh Khai where there are slightly more women (See table 6).About 80% of the AHs in Tay Tuu commune have less than four members, while 11% have four to six members. In Minh Khai, 50% of AHs have five to six members. Around 40% have less than 4 members. One AH has more than 6 members, while 6 AHs have only 1 member. In Xuan Phuong commune, about 19 % of the surveyed Ahs have less than 4 members, 39 % have 4-6 members and 42% have more than 6 members (See table 7).

Table 6. Gender Distribution of Members of Surveyed AHs

Commune Male Female

Number % Number %

Tay Tuu 88 51 85 49

Minh Khai 21 44 27 56 Xuan Phuong 108 51 106 49 Total 217 50 218 50

Source: socio-economic survey (2012/2013)

Table 7. Size of Surveyed AHs

Household Size Tay Tuu Commune Minh Khai Commune

Xuan Phuong Commune

HH % HH % HH %

1-3 members 35 79.6 4 40.0 7 19.4

4-6 members 5 11.3 5 50.0 14 38.9

> 6 members 4 9.1 1 10.0 15 41.7

Total 44 100.0 10 100.0 36 100.0 Source: socio-economic survey (2012/2013)

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33. Surveyed AHs in Tay Tuu commune have a combined total of 173 members. Of these, nearly 65% are between 15 to 60 years old, and around 25% is under 15 years of age. In Minh Khai, surveyed AHs have 48 members, of which 75% belong to the 15 to 60 age group. Surveyed AHs in Xuan Phuong commune has 214 members. Of the total, 81.8% are between 15 to 60 years old. Around 17% are under 15 years of age, while less than1% are more than 60 years old (See table 8).

Table 8. Age Distribution of Members of Surveyed AHs

Age Tay Tuu Commune Minh Khai Commune

Xuan Phuong Commune

Person % Person % Person %

Under 15 years old 43 25 10 21 37 17

15 to 60 years old 112 65 36 75 175 82

Over 60 years old 18 10 2 4 2 1

Total 173 100 48 100 214 100


34. Education. In Tay Tuu, most of the household members have some form of formal education (82%). Around 32% have reached secondary education, while 20% attained the primary level. Sixteen %have reached college level and above. In Minh Khai, 28% of members of the AHs have a college level education and above. Twenty percent are in primary school. The same percentage reached high school. In Xuan Phuong commune 47.9% of the households members have secondary education, 36.6% has junior high school education and about 7% has a degree in college or higher education. Around 8.5 % are in primary school.

35. Poor and Vulnerable Households. Commune records show 16 vulnerable households in Tay Tuu. These include mostly households with an elderly. The rest are households headed by women and poor households. In Minh Khai commune, there are 4 social policy households. Xuan Phuong commune has 13 households who belong to poor and vulnerable groups. Of these, 53.8 % are headed by a woman, 38.5% are poor households and one household with a head who is over 60 years old. However, none of the AHs are included in the list of vulnerable households in the 3 communes.

36. Source of Income. Among the surveyed households, 171 AH-members in Tay Tuu, 48 AH-members in Minh Khai, and 172 AH-members in Xuan Phuong belong to the working age population. In Tay Tuu, almost half (49%) of the AH-members within the working age are seasonal hired laborers, while about 27% are engaged in animal husbandry and farming. Almost 5% are state employees. Similarly, the majority of household members work (52%) as seasonal hired laborers. Meanwhile, 31% are engaged either in trade or the services industry. Ten percent are employed by the state. In Xuan Phuong commune, 78 % of the working-age AH-members are engaged in animal husbandry and farming, 11 % of them work as seasonal hired labour (construction workers, etc.),4 % are state employees and 6 % do trade and services (See table 9).It is common for household members to have more than one source of

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income. Those involved in farming usually work as seasonal hired-laborers or engaged in part-time trading. Most of the Ahs have income source outside the affected area3.

Table 9. Primary Source of Income

Types of Employment Tay Tuu Minh Khai Xuan Phuong No. % No. % No. % State employee 8 5 5 10 7 4 Trade/service 30 18 15 31 10 6 Seasonal hired laborer 84 49 25 52 20 11 Animal husbandry and farming 46 27 2 4 138 78 Retired 3 2 1 2 3 2 Total number of persons within working age

171 100 48 100 175 100


37. In terms of monthly income, 70% of the surveyed-AHs in Tay Tuu earn an average of over VND 5,000,000, while 19% have incomes between VND 3,000,000 to VND 5,000,000. In Minh Khai, almost all the surveyed AHs earn an average monthly income of over VND 5,000,000 (90%). In Xuan Phuong commune 40% of the surveyed AHs earn an average of VND 1,000,000 to 3,000,000 while the rest earn from VND 3,000,000 to 5,000,000 (See table 10). None of the AHs have per capita income below the official poverty rate. However, close monitoring is needed to make sure that AHs are able to find new sources of income to replace their affected livelihood and none become poor as a result of their displacement.

Table 10. Monthly Income of Surveyed Households by Commune

Average Monthly Income of Household

Tay Tuu Minh Khai Xuan Phuong

AH % AH % AH %

Under VND 1,000,000 2 4 0 0 0 0

From VND> 1,000,000 to 3,000,000 4 7 0 0 14 40

From VND >3,000,000 to 5,000,000 9 19 1 10 21 60

Over VND 5,000,000 29 70 9 90 0 0

Total 44 100 10 100 35 100 Source: socio-economic survey (2012/2013)

38. Facilities. Most households covered by the survey in Tay Tuu have toilets with septic tank (32). Eleven households have running water. All the 44 surveyed households have power supply. In Minh Khai, all of the 10 households have septic tank toilet and power supply, but only two have running water. In Xuan Phuong commune most of the AHs have power supply, 44% have running water and all have toilets with septic tank (See table 11).

3 Official poverty rate in rural districts of Ha Noi for period of 2011-2015) is below 550,000 VND per person per month (2,200,000 VND for HH of 4). Source decision No.1752/CT-TTg by Prime Minister dated 21st September 2010 and Decision No. 01/2011/QĐ-UBND dated January 2011 by Ha Noi People’s Committee.

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Table 11. Living Facilities of HHe

Facilities Tay Tuu Commune

Minh Khai Commune

Xuan Phuong Commune

HH % HH % HH %With septic tank toilet 32 72.7 10 100.0 36 100With running water 11 25.0 02 20.0 16 44.4With power supply 44 100.0 10 100.0 36 100Source: socio-economic survey (2012/2013)

39. Gender. Land use rights certificates (LURC) for residential plots are registered under the names of both husband and wife. LURCs for plots at the resettlement site will also be registered under the names of both husband and wife.However, with regard to agricultural lands LURCs in the area are usually issued to women as they directly involved in agricultural production activities. During group discussions, DPs mentioned that household members rely on men’s decision with regard to business decisions while women are responsible for household chores. Men are more likely affected because they are the primary income-earners in the households. In Xuan Phuong commune, when we asked about shifting to a new job most of the interviewed DPs said that they are old and cannot work as hired labour. They are relying on their children for support. Younger male DPs said they will shift to seasonal construction work. Women have to take care of their families, look after their children, etc.

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V. CONSULTATION, PARTICIPATION, AND DISCLOSURE

A. Objectives of Information Dissemination and Community Consultation

40. Disseminating information to DPs by the Project and to relevant agencies is an important part of the project preparation and implementation. Consultation with DPs and ensuring their active participation reduces the possibility of arising conflicts and minimizes the risks of delaying the project. It enables the project to design the restoration and resettlement program as a comprehensive development program in compliance with the needs and priorities of the displaced persons, and therefore maximizes the socioeconomic efficiency and benefits of the investment.

41. MRB will closely cooperate with departments of Hanoi People’s Committee, Tu Liem district and communes during the project implementation process to continue the consultation activities. The information dissemination and community consultation are aimed to:

a. Ensure the participation of local competent authorities and DP representatives into the process of planning and making decisions.

b. Share all information about the project’s planned items and activities with the displaced persons.

c. Collect information about the needs and priority of DPs as well as to receive their feedbacks on policies and predicted activities.

d. Ensure that DPs are fully informed about the decisions which directly impact on their income and living standards, and have opportunities to participate in activities and decisions that directly affect them.

e. Ensure the transparency in all activities concerning land recovery, compensation, resettlement and restoration.

B. Consultations during RP Preparation and Updating

42. Consultations were carried out during the preparation of the updated RP. Meetings were held in May 2011 in Tay Tuu and Minh Khai communes and in November 2011 and in Xuan Phuong commune November 2011 and one meeting in Xuan Phuong in January 2013, Tu Liem district. In the depot and access line, total of 6 meetings were held, while in Xuan Phuong 2 meetings were held. During the meetings, issues raised by the households were:

Payment should be at market price. Compensation may not be enough or not commensurate to the actual impacts.

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People should be informed and there should be transparency. There should be meetings to further explain the project impacts, compensation plan, project design and schedule.

Worried with regard to the impacts to their house and livelihood if they are required to relocate.

Those to be relocated should be provided assistance to help them to continue to operate their business.

If apartment will be provided, the building should meet safety standards. Requested to be allowed to do business in the station area. Concerned on how they can restore their livelihoods If consultations with households were not properly carried out and the

compensation payments to be offered to the displaced persons are low, there will be delay in land clearance as people may not agree.

Possibility of land for land compensation. Assistance for changing their job after their land to be acquired Clarification on entitlements on agricultural land

43. During the conduct of IOL in 2011, AHs were asked about the relocation preference. At that time, half of them expressed interest to transfer to the 7-ha resettlement site to be developed in Mieu Nha Village, Tay Mo Commune, Tu Liem District while the other half preferred self-relocation or other resettlement sites that are available. Later in 2012 when it was decided to develop a resettlement site in Xuan Phuong, 23 AHs indicated their interest to relocate to the site, while the rest opt to self-relocate.

44. After the approval of the draft RP in early 2011, MRB in coordination with Tu Liem CLFD and People committees of Tay Tuu and Minh Khai communes organized follow-up public meetings with DPs to provide updated and additional information and to encourage DPs’ participation in open discussions on resettlement policies and procedures. Meeting invitations were delivered to all DPs. Representatives of all 102 AHs in the access line and depot (phase II) participated in the meetings held in May 2011. Forty-six AHs again participated in the consultations In November 2011. In August and September 2012, a consultant engaged by ADB in coordination with MRB and local authorities of Minh Khai and Tay Tuu communes again organized consultation meetings with DPs and social organizations of the two communes. During these consultations, participants were informed of the following:

Project Resettlement Policy approved by HN PC and ADB; Entitlements including compensation rates, additional assistance measures to

restore income and living standards of DPs, and resettlement location ; Discuss and advise with local authorities, social organizations and

representatives of DPs on demands, measures to assist DPs and their community to improve and restore their income and living standards.

45. To support the livelihood restoration of DPs (particularly those affected under the depot (phase I), representatives of DPs, social organizations and local authorities

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requested support for building three common cold storages4 for preservation of flowers, and assist qualified people to change jobs towards upcoming employment opportunities associated with the metro rail system through vocational training in such professions as: mechanics, electronics/computers, metro driver, construction worker, etc. They requested MRB to directly recruit and assist trained people to be allocated jobs to have stable income.

46. To address this, MRB will implement a strategy of livelihood restoration that includes (a) preferential recruitment of qualified members from AHs for skilled labour needed from Project, (b) disclosure of necessary information for the recruitment to DPs; and (c) prioritization of AHs in accessing micro-credit for the development a new business and economic activities.

C. Disclosure

47. Key information of the RP were informed to DPs before DMS, including (i) compensation, assistance, relocation and rehabilitation options, (ii) entitlements and special provisions, (iii) grievance procedures, (iv) implementation schedule, (v) displacement schedule; (vi) Decision on land acquisition issued by HPC; (vii) establishment of project resettlement committee; and (vi) scope of land acquisition. A public information brochure was prepared to be delivered to the DPs upon approval of this RP (Annex 3).

48. After completion of compensation plan preparation, CLFD organized a meeting with DPs to inform them about DMS results, and consult them on compensation entitlements, compensation prices, and resettlement location in 2011 and the updated in 2013 for Tay Tuu commune and Minh Khai commune and for Xuan Phuong commune in June, 2013.

49. The CLDF of Tu Liem District prepared individual compensation plans for the affected households from August to October 2012. These will be disclosed to each affected household by CLDF for comment prior to submission to Tu Liem DPC for approval. Out of 142 individual compensation plans 72 of these have been disclosed in August 2013, but will need to be re-disclosed once the new price rates have been approved. All individual compensation plans are expected to be disclosed by February 2014 after obtaining agreement with the AHs.

4 It was later found out that many households in Tay Tuu commune have opted to build their own mini-cold storage using the compensation they have received, own savings, support from relatives and micro-finance support being provided under the Hanoi Rural Development Program. Currently there are about 100 mini cold storages in the commune. In Ha village alone, 10 AHs in depot (phase I) have built their own mini-cold storage. Hence, the cold-storage subcomponent in the livelihood supplementary action plan was removed in this updated RP.

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50. The draft RP approved in February 2011 was publically disclosed on the ADB’s website. The Updated RP for the access line, depot (phase II) and Xuan Phuong resettlement site will likewise be publicly disclosed after approval by ADB and HPC. Copies translated into Vietnamese will be disseminated to district and commune People’s Committees in the project area for the affected communities. Each AH will be given a copy of the public information brochure.

51. External monitoring reports will also be made available to Hanoi People’s Committee, district and communes. Both external and internal resettlement monitoring reports will be submitted to ADB for review and disclosure on the ADB’s website.

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VI. GRIEVANCE REDRESS MECHANISM

52. Complaints and grievances related to any aspect of the Project will be handled through negotiation aimed at achieving consensus and following the grievance redress mechanism which has been regulated in Decree 108/2009/QD-UB of Hanoi City People’s Committee and the 2011 Complaint Law (02/2011/QH13).

53. The mechanism of complaint and grievance resolution includes the steps below:

a. First Stage - At District People’s Committee

Within 90 days from receiving the Decision of the District PC on Compensation, Assistance and Resettlement, the DP may file a complaint if they are not satisfied with the Decision. They may bring their complaint, in writing to the District PC’s Office. The District PC has 30 days to resolve the case and 45 days for complicated case.

b. Second Stage – At Hanoi People’s Committee or Court of Law

Within 30 days from receiving the Decision of the District PC on the grievance, if the DPs are still not satisfied, they have two choices; either they lodge their complaint to Hanoi People’s Committee or to the court directly. If the complaint is sent to City, Hanoi PC has 30 days to resolve the case and the Decision of the Hanoi PC is the final decision. If the case is sent to the court, the procedures shall follow the laws.

54. The external monitoring agency (EMA) will check the procedures for and resolutions of grievances and complaints. The EMA may recommend further measures to be taken to redress unresolved grievances. The District is responsible for documenting and filing all complaints that the District handles. The City shall document and keep the file it solves.

55. DPs are entitled to claim about their rights of compensation, compensation unit price and policies, land recovery, resettlement and other rights related to restructure support programs, DPs’ claims must be in writing. In case of verbal claims, the reception board will record these inquiries in the grievance form at the first meeting with DPs. DPs will present their cases to MRB and wards without any charge or fee. The above cited procedures do not prevent a complainant to seek resolution of his/her complaint directly to the court at any stage of the complaint resolution process.

56. The grievance resolution process for the Project, including the names and contact details of grievance officers of districts and wards, will be disseminated through information brochures and posted in the offices of the People’s Committees at the wards and the MRB Office.

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VII. OBJECTIVES, POLICY FRAMEWORK, AND ENTITLEMENTS

57. The Project aims to avoid involuntary resettlement wherever possible, to minimize involuntary resettlement by exploring project and design alternatives; to enhance, or at least restore, the livelihoods of all displaced persons in real terms relative to pre-project levels; and to improve the standards of living of the displaced poor and other vulnerable groups. It is based on Vietnamese laws, decrees and decisions related to land acquisition, including provision of compensation and assistance to displaced people and communities, as well as ADB Safeguard Policy Statement (2009).

A. Viet Nam Laws, Decrees and Decisions

58. The Constitution of the Socialist Republic of Viet Nam (1992) confirms the right of citizens to own and protect the ownership of a house. In addition, the Government has enacted a number of laws, decrees and regulations that constitute the legal framework for land acquisition, compensation, assistance and resettlement. The principal documents include the Land Law 2003, providing a comprehensive land administration law of Viet Nam; Decree No. 197/2004/ND-CP, on compensation, assistance, rehabilitation and resettlement in the event of land recovery by the State, as amended by Decree No. 17/2006/NĐ-CP; Decrees No. 188/2004/ND-CP and 123/2007/ND-CP, Decree No. 84/2007/ND-CP specifying the methods for land pricing and land price frameworks in the event of land recovery by the State and Decree No. 69/2009/ND-CP dated 13/8/2009 providing additional guidelines on land use, compensation, assistances and resettlement.

59. Laws, decrees and decisions relevant to public disclosure of information include the Land Law5, No. 13/2003/QH11, Article 39, requiring disclosure of information to the displaced persons prior to recovery of agricultural and non-agricultural lands of a minimum of 90 and 180 days minimum respectively. MONRE also issued Circular No. 14/2009/TT-BTNMT on the allocation of new residential land or a resettlement house or monetary compensation for DPs that need to relocate and granting authority to People’s Committees to determine whether certain structures built after 1 July 2004 violated approved land use.

60. At the local level, on September 29, 2009, the Hanoi People’s Committee issued Decision No. 108/2009/QD-UBND that provides updated guidelines on land compensation, assistance and resettlement for development projects in Hanoi.

B. ADB Safeguard Policy Statement

5 Amendment to the Land Law was approved by the National Assembly in November 2013. This amendment is expected to become effective by 1 July 2014.

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61. The new ADB Safeguard Policy Statement (2009) consolidates three existing safeguard policies: involuntary resettlement (IR), indigenous peoples (IP), and environment. The objectives of the Involuntary Resettlement Policy are to:

to avoid involuntary resettlement wherever possible; to minimize involuntary resettlement by exploring project and design alternatives; to enhance, or at least restore, the livelihoods of all displaced persons in real

terms relative to pre-project levels; and, to improve the standards of living of the displaced poor and other vulnerable

groups.

62. It covers physical displacement (relocation, loss of residential land, or loss of shelter) and economic displacement (loss of land, assets, access to assets, income sources, or means of livelihoods) as a result of (i) involuntary acquisition of land, or (ii) involuntary restrictions on land use or on access to legally designated parks and protected areas – regardless of whether such losses and involuntary restrictions are full or partial, permanent or temporary. Moreover, the Policy also applies to associated facilities funded through other sources and involuntary resettlement actions conducted by the borrower/client in anticipation of ADB support.

63. Projects financed by ADB, including associated facilities that are financed by the Government or other sources, are expected to observe the following policy principles:

a. Screen early to identify involuntary resettlement impacts and risks and determine the scope of resettlement planning through a survey and/or census of displaced persons, including a gender analysis, specifically related to resettlement impacts and risks.

b. Carry out meaningful consultations with displaced persons, host communities, and concerned non-government organizations. Inform all displaced persons of their entitlements and resettlement options and ensure their participation in various stages of the project especially vulnerable and poor groups. Establish a grievance redress mechanism to receive and facilitate resolution of the displaced persons’ concerns. Support the social and cultural institutions of displaced persons and their host population.

c. Improve, or at least restore, the livelihoods of all displaced persons through (i) land-based resettlement strategies when affected livelihoods are land based where possible or cash compensation, assistance at replacement value for land when the loss of land does not undermine livelihoods, (ii) prompt replacement of assets with access to assets of equal or higher value, (iii) prompt compensation, assistance at full replacement cost for assets that cannot be restored, and (iv) additional revenues and services through benefit sharing schemes where possible.

d. Provide physically and economically displaced persons with needed assistance, including the following: (i) if there is relocation, secured tenure to relocation land,

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better housing at resettlement sites with comparable access to employment and production opportunities, integration of resettled persons economically and socially into their host communities, and extension of project benefits to host communities; (ii) transitional support and development assistance, such as land development, credit facilities, training, or employment opportunities; and (iii) civic infrastructure and community services, as required.

e. Improve the standards of living of the displaced poor and other vulnerable groups, including women, to at least national minimum standards. In rural areas provide them with legal and affordable access to land and resources, and in urban areas provide them with appropriate income sources and legal and affordable access to adequate housing.

f. Develop procedures in a transparent, consistent, and equitable manner if land acquisition is through negotiated settlement to ensure that those people who enter into negotiated settlements will maintain the same or better income and livelihood status.

g. Ensure that displaced persons without titles to land or any recognizable legal rights to land are eligible for resettlement assistance and compensation for loss of non-land assets.

h. Prepare a resettlement plan elaborating on displaced persons’ entitlements, the income and livelihood restoration strategy, institutional arrangements, monitoring and reporting framework, budget, and time-bound implementation schedule.

i. Disclose both the draft and final resettlement plan in a form and language understandable to displaced persons and other stakeholders.

j. Conceive and execute involuntary resettlement as part of a development project or program. Include the full costs of resettlement in the presentation of project’s costs and benefits. For a project with significant involuntary resettlement impacts, consider implementing the involuntary resettlement component of the project as a stand-alone operation.

k. Pay compensation and provide other resettlement entitlements before physical or economic displacement. Implement the resettlement plan under close supervision throughout project implementation.

l. Monitor and assess resettlement outcomes, their impacts on the standards of living of displaced persons, and whether the objectives of the resettlement plan have been achieved by taking into account the baseline conditions and the results of resettlement monitoring. Disclose monitoring reports.

64. Calculation of full replacement cost will be based on the following elements: (i) fair market value; (ii) transaction costs; (iii) interest accrued, (iv) transitional and restoration costs; and (v) other applicable payments, if any. In the calculation, depreciation of structures will not be taken into account. It is expected that qualified and experienced experts will undertake the valuation of acquired assets6.

6 Refer to Appendix 2 (Involuntary Resettlement), Safeguards Policy Statement, June 2009, ADB

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65. Persons or households without formal legal rights nor recognized or recognizable claims to the acquired land are still entitled to be compensated for their loss of assets other than land, such as dwellings or other improvements on the land at full replacement cost, provided that they have occupied/used the land or structures in the affected land prior to the cut-off date.

C. Gap Analysis and Gap-Filling Measures

66. There is basic congruence between Viet Nam’s laws and ADB’s Resettlement Policy especially with regard to the entitlement of persons with legal rights/titles. Existing legislation that provide guidance in (i) determining market/replacement rates and payment of compensation, assistances for various types of affected assets; (ii) options for land-for-land and cash compensation, assistances; (iii) provision of relocation assistance and support to displaced households during the transition; (iv) provision of resettlement land and housing with secured tenure; (v) additional assistance for severely affected and vulnerable households (Social Policy Groups); (vi) Assistance to livelihood restoration and training; and (vii) notification/disclosure, consultation, and grievance mechanisms.

67. However, ADB Policy does not consider the absence of legal rights of displaced persons on the acquired land as an impediment to receiving compensation for other assets and for rehabilitation assistance. Non-registration of a DPs’ business also does not bar them from being assisted in restoring their business. Key differences between ADB Resettlement Policy and Viet Nam’s Compensation, assistances and resettlement legislation, including measures to address the differences, are outlined in Table 12 below. Such gap-filling measures are allowed in national regulations (i.e. Land Law, etc.) which state that where an international treaty which the GoV has signed or acceded to have provisions that conflict with national regulations, the international treaty shall apply. Similar provisions are provided in Hanoi PC decision 108/2009.

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Table 12. Gap Analysis and Gap-Filling Measures

TT Gaps ADB’s Policy Decision 108/2009 of HPC Application Issues

1

Assistance for affected houses and other structures on affected land without sufficient conditions for compensation (i.e. encroached or illegally occupied, user intentionally fails to discharge its obligations to the State, or when the lease of the land from the State has expired and not extended (Section 1, Article 43 of the Land Law)

Provide secured tenure to relocation land, better housing at resettlement sites with comparable access to employment and production opportunities, and civil infrastructure

a) Article 32 of the Decision 108/2009 Assisted by 80% of construction cost for the new house and structures if the house and structures were constructed before 01 July, 2004. - Assisted by 80% of construction cost, if the house and structures were constructed before 15 October, 1993. - Assisted by 50% of construction cost for the house and structures if the house and structures were constructed during the time of 15 October, 1993 to before 1 July 2004. b/ Article 34 of Decision 108/2009 Assisted by 10% of reconstruction cost for the house and structure constructed after the cut-off date Other cases if the special assistance is required for affected households, the HPC shall consider case by case for provide assistances and support for the DP as specified in the Article 39 of the Decision 108/2009

For this project, affected structures will be compensated based on 100% of new construction cost as per ADB policy.

2

Conditions to be provided to relocating DPs

Provide secured tenure to relocation land, better housing at resettlement sites with comparable access to employment and production opportunities, and civil infrastructure

a) households, individuals who have fully affected residential land and meet the conditions for compensation and assistance. b) Households, individuals who have residential land recover more than 10m2 and meet the conditions for compensation and assistance, and the remaining land is insufficient for housing construction as city’s standards and the land owner will hand over the land for the state. c) The households and individuals who have fully affected residential land but do not meet the conditions for compensation and assistances, and

a) Households and individuals who have fully affected residential land and meet the conditions for compensation and assistance. b) Households, individuals who have residential land recover more than 10m2 and meet the conditions for compensation and assistance, and the remaining land is insufficient for housing construction as city’s standards and the land owner will hand over the land for the state. c) The households and individuals who have fully affected residential land but do not meet the

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TT Gaps ADB’s Policy Decision 108/2009 of HPC Application Issues

the remaining residential land is not adequate for building a house as the city’ standard, and they have no other place to stay and they have been living in the project area more than 1 year prior the announcement of the decision of land recovery. These households a) to c) will be entitled to a buy a plot of land in the resettlement site or an apartment in the resettlement building including allowance for moving, transition and rental costs.

conditions for compensation and assistances, and the remaining residential land is not adequate for building a house as the city’ standard, and they have no other place to stay and they have been living in the project area more than 1 year prior the announcement of the decision of land recovery. These households a) to c) will be entitled to a buy a plot of land in the resettlement site or an apartment in the resettlement building including allowance for moving, transition and rental costs.

3 Assistances for production and business households who have land recovered

Compensation for all production and business households who lost the income sources at full replacement cost and assist through credit; facilities, training and employment opportunities

a) Assistance for organizations, households, individuals who are doing business and production or rent the business and production place – those have business license and fulfill the financial obligations to the States. b) Assistance for organizations, households, individuals who are doing business and production or rent the business and production place – those have business license and fulfill the financial obligations to the States, employ labors, pay social insurances but their production/business is discontinued – the employees who are working will be assistance by cash for the job discontinued. c) For the special cases, based on the actual conditions, HPC will provide particular assistant measures to stabilize production and life for the people who have land lost.

a) Assistance for organizations, households, individuals who are doing business and production or rent the business and production place – those have business license and fulfill the financial obligations to the States. b) Assistance for organizations, households, individuals who are doing business and production or rent the business and production place – those have business license and fulfill the financial obligations to the States, employ labors, pay social insurances but their production/business is discontinued – the employees who are working will be assistance by cash for the job discontinued. c) For the special cases, based on the actual conditions, HPC will provide particular assistant measures to stabilize production and life for the people who have land lost.

4

Compensation and Assistance Prices

The rate of compensation for acquired housing, land and other assets will be calculated at full replacement cost.

a) HPC regulates and announces the prices yearly for land and construction. This is the base to calculate compensation and assistance. b) The Department of Finance issues the maximum prices every six month and this is the base for compensation and assistance for crops and trees

The prices for compensation and assistance are the price regulated and announced by the HPC. But at the time of compensation, if the prices are not close to the market rates under normal conditions, the District People’s Committee shall propose to the Department of Finance. The Department shall evaluate and propose to the HPC to adjustment.

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68. With regard to the use of official development assistance (ODA) funds, Decree No. 38/2013/ND-CP states that in case of discrepancy between provisions of Vietnamese law and international treaties, such international treaties shall prevail. Decree 197/2004/ND-CP (Article 32) also states that "Apart from the support prescribed in Articles 27, 28, 29, 30 and 31 of this Decree, basing themselves on the local realities, the provincial-level People’s Committee presidents shall decide on other supporting measures to stabilize life and production of persons whose land have been recovered; special cases shall be submitted to the Prime Minister for decision”.

D. Project Principles

69. Principles of compensation, assistance and resettlement policies of the project are as follows:

a. Involuntary resettlement and impacts on land, structures and other fixed assets will be minimized where possible by exploring all alternative options.

b. Compensation and assistance will be based on the principle of replacement cost

(market cost under normal condition) at the time of implementation.

c. DPs without title or any recognizable legal rights to land are eligible for resettlement assistance and compensation, assistances for non-land assets at replacement cost.

d. Residential land, residential house and agricultural land for replacement should be close to the previous places as much as possible and be suitable to displaced persons. In case the household opts for cash compensation, assistances or land is not available, cash compensation, assistances or apartment (for land recovery cases) can be used.

e. Meaningful consultation will be carried out with the DPs and concerned groups and ensure participation from planning up to implementation. The comments and suggestions of the DPs and communities will be taken into account.

f. The RP will be disclosed to DPs in a form and language(s) understandable to them prior to submission to ADB.

g. Resettlement identification, planning and management will ensure that gender concerns are incorporated.

h. Special measures will be incorporated in the resettlement plan to protect socially and economically vulnerable groups (Social Policy Groups) such as households headed by women, children, disabled, the elderly, landless and people living below the generally accepted poverty line.

i. Existing cultural and religious practices will be respected and, to the maximum extent practical, preserved.

j. Culturally appropriate and gender-sensitive social impact assessment and

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monitoring will be carried out in various stages of the project.

k. Resettlement transition stage should be minimized. Restoration measures will be provided to displaced persons before the expected starting date of construction in the specific location.

l. Budget for payment of compensation, assistance, and resettlement and support will be prepared sufficiently and made available during project implementation. Sites for resettlement and restoration will be available as required.

m. Reporting and independent monitoring should be defined clearly as part of the management system of resettlement. Independent assessment of the duration and results of the land recovery should be carried out.

n. MRB will not issue notice of possession to contractors until the head of resettlement committee has officially confirmed in writing that (i) payment has been fully disbursed to the displaced persons and rehabilitation measures are in place as per Final RP agreed between MRB and ADB; (ii) already-compensated, assisted displaced persons have cleared the area in a timely manner; and (iii) the area is free from any encumbrances. No land acquisition or site clearing will be done until and after the Final RP has been agreed between MRB and ADB.

E. Project Entitlements

70. Cut-off date for eligibility will be based on the announcement on land recovery within the project areas as declared by the Hanoi People’s Committee and published broadly by the District People’s Committee to local communities and the displaced persons. Anyone who occupies or encroaches the defined boundaries of the project area after this date will not be compensated by the Project. The cut-off date for eligibility for this updated resettlement plan is 7 January 2009 for the access line and depot (phase II).

71. The Project will provide compensation, assistance, and resettlement for various types of land, structure, and livelihood losses for different categories of DPs as described in the following sections and in the entitlement matrix.

72. Households or individuals with a stable use of the affected land, without any disputes on the land and hold one of the following dossiers are considered as having sufficient basis for compensation for land losses:

a. Dossiers of the Land Use Rights Certificate (LURC) before 15 October 1993 issued by a competent agency during the course of executing land policies for Vietnam.

b. Certificates of temporary Land Use Rights Certificate (LURC) issued by a competent State agency for households or individuals whose names are in the land registration books and cadastral books.

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c. Legitimate dossiers of bequest or of being gifted LURC or dossiers of being

assigned a house attached to the land.

d. Dossiers of LURC transfer or purchase of a housed attached to a residential land before 15 October 1993, certified by the Provincial Peoples’ Committee.

e. Dossiers of purchase of a dwelling house attached to residential land.

f. Dossiers issued by a competent agency under the former regime to a land user.

73. Households or individuals with sufficient basis for compensation will be compensated for land and structure losses equivalent to 100% of the price of such assets. Those without sufficient legal rights are also assisted as described in the entitlement matrix below.

74. The unit rates or amount for allowances indicated in the entitlement matrix are based on existing decisions of Hanoi PC, during RP updating, the allowances will be reviewed and adjusted to reflect actual situation at the time of implementation.

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Table 13. Entitlement Matrix

Type of Impact/Loss

Eligibility/ application Entitlement policy Implementation Issues

LOSS OF AGRICULTURAL LAND

Land Users with (i) LURC or (ii) in the process of acquiring LURC or (iii) are eligible to obtain LURC according to the regulations of Gov.

Cash compensation, and assistance based on current market price under normal conditions. They will be exempted from paying transaction costs (such as administration cost, certification cost, and taxes) provided that they have fulfilled all financial obligations as regulated by the Laws. Cash assistance for job creation equivalent to 5 times of the compensation price of agricultural land. If agricultural land is within the residential area, cash assistance amounting to 30% to 70% of price of adjacent residential land, depending on case by case. Bonus Allowance if land is handed over in a timely manner

Details for compensating and assisting agricultural land are stipulated in Article 13 and 15, of Decision 108/2009/QD-UBND of Hanoi PC. Following Article 40 of the Decision 108/2009 Following Article 13 of the Decision 108/2009 Article 43, item (a) of Decision 108/2009/QD-UBND of Hanoi PC.

DPs who do not have sufficient basis for compensation for loss of land. (No LURC or cannot become legalizable or on public land).

Will not be compensated for land but will be assisted for loss of crops and trees following the price issued by HPC very six months

Following Article 36 of the Decision 108/2009

Agricultural lands that are rented between households or individuals:

DPs who have LURC or in the process of acquiring LURC or who are eligible to obtain LURC will receive cash compensation and assistance for affected agricultural land based on current market price under normal conditions. They will be exempted from paying transaction costs (such as administration cost, certification cost, and taxes) provided that they have fulfilled all financial obligations as regulated by the Laws. Cash compensation and assistance to the renter who owns the affected crops and trees following the price issued by HPC every six months

Following Article 36 of the Decision 108/2009

Partially affected Cash compensation and assistance for lost area at current Following Clause 1 Article 45 of the Decision 108/2009

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market prices under normal conditions. The DP who have land lost over 10 m2 and remaining land is inadequate for construction a house as the city’s standard and hand over that remaining land for the state, will be considered for resettlement.

IMPACT ON STRUCTURES

Houses and structures owned by households and individuals

Will be compensated with an amount equal to 100% of the value of the structure in conformity with the unit prices of a newly built house or structure, provided that such were constructed before the cut-off date. Depreciation or value of salvageable materials will not be deducted from the compensation amount.

Details of compensation for the structures for individuals and Collectives are instructed as in Articles 31, Decision 108/2009/QD-UB of Hanoi PC. .

LOSS OF RENTED STRUCTURE

People who rent privately-structure/shop and have a permanent address in the locality

Will be assisted with VND 3,000,000/household as a moving allowance and 30 kg of rice equivalent per household member for three months. Should not exceed the rent value for 3 months (Article 41 of Decision 108/2009/QD-UB of Hanoi PC.

Detailed assistance is instructed as in Article 41 of Decision 108/2009/QD-UB of Hanoi PC.

Owner of the rented building

Compensation, assistance for lost land and other assets based on the current market price under normal conditions

IMPACT ON BASIC HOUSING/ BUILDING FACILITIES (water supply connection, cable, telephone, power, etc.)

All DPs of the facilities Compensation for cost of installation and connection fees. If lessees of structure installed the facilities, payment will go to the lessees.

LOSS OF TREES AND FARM PRODUCE

Landowners/renters of land who plant the affected tree

Owners/growers of perennial crops, trees and farm produce will be compensated and assisted based on compensation prices at the time of compensation, The prices are updated every six months by HPC

Details of compensation for crops, trees are instructed as in Article 36 of Decision 108/2009/QD-UBND of Hanoi PC.

IMPACTS ON INCOME AND BUSINESS

Individuals/ households who are with business license or valid business registration and fulfill their taxation duties and had to discontinue their business because of relocating to new place

Cash assistance during transition period. The amount of assistance will be determined by the CLDF and DCB. The type of assistance and actual amount will be in conformity with the locality's actual conditions. In special cases, depending on actual condition, HPC will consider other assistances for stabilization of living for the

Cash assistance is stated in Article 39, item 3 and 4of Decision 108/2009/QD-UBND of Hanoi PC. The type of cash assistance may change at the time of RP preparation. Following Clause 5, Article 39.

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Individuals/households who are without business license or valid business registration but fulfilled their taxation duties and had to discontinue their business because of relocating to new place

DPs

Employees of companies or entities

Will be assisted for the time of stopping of business

As per Article 39, item 3 and 4 of Decision 108/2009/QD-UBND of Hanoi PC

IMPACT ON PUBLIC FACILITIES (electric poles, telecom, irrigation system, ward/village structures, pagoda, etc.)

Owners of the affected assets

Cash compensation at newly construction by state’s standards for the owners or managers/users

As per Article 31, item 2 Decision 108/2009/QD-UBND of Hanoi PC

IMPACTS ON AFFECTED VULNERABLE GROUPS

Households headed by women, social policy households (poor families), households headed by elderly and disabled

As described earlier, the Project will assist poor and vulnerable households in obtaining a new place to live and re-establish their income resources. The type of assistance and actual amount will be in conformity with the locality's actual conditions. In addition, DPs who are currently receiving social assistance will receive cash assistance. These DPs are: Those who participated in the August 1945 Revolution

for Independence, Military Hero, Vietnamese Hero Mothers, Labor Hero, wounded or disabled soldier, and those ones who receive social assistance similar to war disable persons losing more than 81% human working capacity, relatives of military martyr who are receiving monthly social allowance;

Wounded soldiers, sick soldiers, and those entitled to policies as for wounded and sick soldiers with labor capability loss of from 61% to 80%

Wounded soldiers, sick soldiers, and those entitled to policies as for wounded and sick soldiers with labor capability loss of from 41% to 60%;

Martyr families, supporters of the Revolution enjoying

Details of assistance are instructed as in Article 42 of Decision 108/2009/QD-UBND of Hanoi PC. The amount of assistance as per Hanoi PC decision vary from 3,000,000 VND to 7,000,000 VND.

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monthly allowance, wounded soldiers and those are entitled to policies as for wounded and sick soldiers with labor capability loss of from 21% to 40%; and

Households entitled to the State’s social allowance policies.

IMPACT DURING TRANSITION STAGE

All relocating households Displacement support/ transportation allowance. If households who is fully affected on house but partially affected on residential land (remaining area is sufficient for rebuilding the house, the household will be entitled to displacement support/ allowance. The actual amount will be in conformity with the locality's actual conditions House rental allowance during relocation. For households relocating to government-provided plot of land or apartment or if the household opted to self-relocate. The actual amount will be in conformity with the locality's actual conditions and date of hand-over: (i) from the date of handing over their land area to the date of receiving the new land plus 6 months for building the house, if the household is assigned new land; (ii) from the date of handing over their land area to the date of the receiving house/resettlement apartment, if the household has the right to buy a new apartment or rent a new house; and (iii) 6 months if the household opts to self-relocate. Households that are partially or totally affected on residential land and remaining land is sufficient for rebuilding the house, will also be provided with rental allowance. The actual amount will be in conformity with the locality's actual conditions and date of hand-over: (i) 6 months rental allowance for those whose structures have to be completely dismantled; and (ii) 3 months rental allowance for those whose structures will only involve partial dismantling) Additional Displacement Assistances

As instructed in Article 38, item 1 of Decision 108/2009/QD-UB of Ha Noi CPC. As instructed in Article 38, item 1 of Decision 108/2009/QD-UBND of Hanoi PC

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Households who satisfy all conditions for compensation and relocation but opted for self-relocation, households who do not meet the conditions of getting a plot of land or apartment, and households who belong to poor and vulnerable households (Social Policy Groups) will be entitled to additional displacement support. The amount will be regulated by Hanoi PC. Bonus for timely handover of land. Households who hand-over their affected properties on time (partially or totally affected land) will be provided with bonus allowance. The actual amount will be in conformity with the locality's actual conditions. Self-Relocation (Article 45, item 5(b) If households, individuals are eligible for resettlement but they want to self-relocate, will be assisted by 100.000.000 VND

As instructed in Article 43 of Decision 108/2009/QD-UBND of Hanoi PC As instructed in Article 45, Clause 5 of Decision 108/2009/QD-UBND of Hanoi PC

Renters of houses/shops Displacement support/ transportation allowance. The actual amount will be in conformity with the locality's actual conditions.

Households who directly produce agriculture products

Assistance for income restoration: a) Losing between 30% to 70% or those losing less than 30% who depend heavily and can no longer sustain a household. 30 kg of rice per person per month for 6 months if not

relocating 30 kg of rice per person per month for 12 months if

relocating b) Losing more than 70% 30 kg of rice per person per month for 12 months if not

relocating 30 kg of rice per person per month for 24 months if

relocating

As per Article 20 and 23 Decree 69/2009 for Life Stabilization Allowance for those households losing 30% or more and the Clause 1, Article 39 of the Decision 108/2009. However, for this project, households who lose less than 30% of their productive land and who are determined to depend heavily on agricultural production and the remaining land will no longer be sufficient to support a household will also be entitled to life stabilization assistance similar to those losing 30% or more.

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Assistance for changing to new employment instead of agricultural activities is instructed as in Article 40 of Decision 108/2009/QD-UBND of Hanoi PC. Other rehabilitation measures will be provided such as assistance with seeds or improved young animals, agricultural extension training, services, plant protection or veterinary services, technical assistance for business or non-farm production. The type of rehabilitation measures will be identified during the preparation of the RP in consultation with the DPs. Additional displacement support will be provided for poor and vulnerable groups. The amount will be regulated by Hanoi PC.

TEMPORARY IMPACTS DURING CONSTRUCTION

DPs affected by temporary land acquisition/impacts

For affected structures, crops and trees for temporarily acquired land, compensation and assistance will be the same as indicated above. For temporarily impacts, the land users will be assisted at 50.000 VND per square meter for agricultural land (rice) and 35.000 VND per square meter for other agricultural land. The land tax and land fees will not be paid during the temporary use .

As instructed in Article 30 of Decision 108/2009/QD-UBND of Hanoi PC

LOSS OF LIVELIHOOD

Households losing livelihood/income

In connection with the overall objective of the RP to assist DPs to enhance or at least maintain their livelihood and living conditions in real terms prior to pre-project levels, additional support will be provided to assist DPs who are found to be unable to at least restore their previous livelihood/income levels and living conditions even after receiving the assistance package as provided for in this RP. These include (a) DPs at the depot who were asked to hand over their lands/assets and have been assisted prior to the approval of the Project by ADB; and (b) DPs who will be assessed during the conduct of internal and external resettlement monitoring activities for the Project. Hanoi CPC will consider specific proposals for providing additional support to help already assisted DPs to fully restore their livelihood and living conditions. Support may be through the provision of additional farm-support

As instructed in Articles 39, 40, 42, of Decision 108/2009/QD-UBND of Hanoi PC

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equipment/facilities, inputs to improve soil fertility and irrigation at a level similar to previous farmlands of the DPs, marketing support, job-referrals to members of DP households, credit facilities and other appropriate assistance as may be identified in the assessment during RP implementation and evaluation.

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VIII. INCOME RESTORATION AND RELOCATION STRATEGY

75. Measures to assist DPs to restore their livelihood and living conditions include provision of (i) compensation, assistance for affected land and structures based on current market rates under normal conditions that will enable them to avail of lands with similar productive/economic value and construct structures similar to those before the Project, (ii) rehabilitation assistance during the transition period which includes transportation support, and house rent allowance/accommodation allowance for relocated households, (iii) additional assistance for DPs losing 30% or more of their agricultural lands, (iv) additional assistance for households losing less than 30% of their agricultural land but who are fully dependent on the affected agricultural lands, (v) additional assistance for agricultural lands within or adjacent to residential plots/areas, (vi) assistance is considered for income losses of affected businesses, (vii) assistance for displaced workers from affected businesses, (viii) provision of replacement residential land or apartment for physically displaced households if they are entitled for relocation, (ix) additional assistance to vulnerable groups (Social Policy Groups), and design and implementation of income restoration programs or measures.

A. Relocation Strategy

76. There are 92 households who will lose residential/commercial structures due to land acquisition for the project. Of these, 23 households do not have sufficient residual land upon which to rebuild their houses or alternative plots and will require to relocate in a resettlement site.

77. The degree of impact on affected land with houses thereon may be any of these two possibilities: (i) the remaining unaffected portion of the land is sufficient for the affected household to reconstruct their house thereat; or (ii) the entire land is inside the ROW or the remaining unaffected area is not sufficient for the household to reconstruct their house and, thus, they have to move to a new place either through an arrangement with the CLDF/Tu Liem authority or by themselves (self-relocation).

78. Based on Hanoi PC Decision 108/2009/QD-UBND dated 29 September 2009, all DPs whose remaining land area is not sufficient to remain and have no other places to stay, will be assisted to relocate to a resettlement site.

79. Relocating DPs will be offered cash compensation, and transition assistance. The apartments or land plots in resettlement site for relocation will be identified during project implementation and before land recovery.

80. Host communities will also be informed and consulted about the planned relocation site development. The suggestions and concerns will be elicited from the host

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communities to ensure that relocation of households will not cause any conflict among the host communities.

81. Households who choose to self-relocate will be compensated, and assisted at full replacement cost for their properties and provided with allowances as stated in the entitlement matrix before land is acquired for the project. Special assistance will be provided to poor and vulnerable groups (Social Policy Groups).

82. DPs will not be displaced until the commune/ward allocates land acceptable to DPs and until DPs received full compensation and allowances due them.

83. DPs who opt to receive cash compensation and assistance for self-relocation will be compensated in full for all their losses (land and non-land assets) and the necessary relocation and transition allowances as per updated RP. Special assistance will be provided to vulnerable households, and social policy groups during relocation. However, none of the AHs affected by the access line/depot (phase II) were found to be vulnerable as defined in this updated RP.

84. There will be 23 households losing houses and have insufficient residual land on which to rebuild and have no alternative place to move. These 23 households will be relocated to the resettlement site located in Xuan Phuong commune.Tu Liem District People's Committee has prepared plans for the construction of technical infrastructures for the resettlement site. The resettlement site is about 3km from access line and depot. The total area of resettlement site is 17,912m2 of which construction area is 8,219m2.The construction site will be provided with basic facilities such as: electricity power, water supply system, roads, lighting system.

85. DPC of Tu Liem has approved the general compensation plan for the development of Xuan Phuong resettlement site under Decision No. 8321/QD-UBND dated 31 October 2012. The development of resettlement site requires land acquisition of 46 households. The timeline of compensation payments will be from March 1 to 30 2014. Construction of houses at Xuan Phuong resettlement site is expected to be completed at least 4 months from the completion of the resettlement site development.

86. The CLFD of Tu Liem held further consultation meetings with people affected by the resettlement site in December 2012. DMS was completed in October 2013. Compensation payment is also expected to be completed by the first quarter 2014.

87. This updated RP is expected to be approved by ADB by January 2014. Once approved, the Tu Liem DPC will submit it to Hanoi Department of Natural Resources and Environment for assessment, land demarcation and handover to Tu Liem CLFD for the preparation of detailed compensation plan

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88. The resettlement site in Xuan Phuong is planned to be completed and land plots are available for displaced households by July 2014. Relocating households will be provided with rental assistance from the time of displacement until 6 months after allocation of residential plots in the completed resettlement site. The rental assistance will be sufficient to rent suitable housing of at least similar standard close to the location of displacement. The CLFD and DCB will clarify the location of apartments for DPs who opt to relocate to an apartment instead of the resettlement site.

89. Details of eligibility are described in the entitlement matrix in Section VII and Hanoi PC Decision 108/2009/QD-UB. Compensation and support for relocated households includes:

Compensation and support for whole area of acquired land. Compensation or support on the properties/structures on land and the

investment cost for these properties/structures. Support for relocating, support for lives stabilization, support for training on

transferring job and other supports for relocating households; Support to stabilize the production and livelihood in resettlement site.

Entitlement Details

Advance notice prior to displacement: 4 months

Displacement support/ transportation allowance:

From VND 3,000,000 to VND 5,000,000 depending on category and size of affected house and place of relocation.

House rental allowance during relocation:

From VND 1,000,000 to VND 3,000,000 per month depending on number of family members.

Additional displacement assistance: VND 3,000,000 per household.

Bonus for timely handover of land: VND 3,000,000 for household lost agricultural land, and VND 1,000,000 to VND 5,000,000 for household lost house, residential land or non-agricultural land.

Replacement land at a resettlement site

Xuan Phuong Resettlement Site, or apartment as available.

Self-relocation allowance: VND 100,000,000

B. Income Restoration Measures

90. Additional assistance will be provided to DPs losing productive assets, incomes, employment or sources of living, to supplement assistance for acquired assets, in order

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to achieve, at a minimum, restoration of living standards and quality of life as before project.

91. Suitable income restoration measures/programs will be carried out during RP implementation. Appropriate budget will be allocated for income restoration based on continued consultation with DPs and concerned livelihood agencies and training institutes. Apart from households losing (or lost) productive land at the depot area, three groups of DPs are also eligible for income restoration support: (i) the owners of house cum-shops; (ii) the owners of the rented shops; (iii) shop owners (including those renting) and (iv) employees of shops. The following income restoration measures are planned.

a. Assistance to access micro-credit for DPs to re-establish their shops in other suitable sites, or reconstruct houses for rent.

b. Priority in employment in the construction and operation of the Project for selected qualified and interested persons of both genders. Related to this, DPs will be informed of available jobs related to the project and advised on how to apply.

c. Provision of vocational training at state vocational training programs. Eligible DPs will be guided in course placement following evaluation of the training requirements of DPs seeking to improve or change occupation and development of an appropriate training program and pilot projects with support from livelihood agencies and training institutes.

92. Hanoi People's Committee has on-going livelihood improvement projects in Tay Tuu and Minh Khai communes as part of its rural development program. From 2009-2013, a total of VND 94.5 billion have been invested in improving cultural works, temples, pagoda, irrigation canal, drainage canal, lighting system, 2.3 km of rural road and fresh water system in the commune area including VND 6 billion for micro credit program. Households can get loan through civil societies such as women union, youth union, etc. Training on flower growing and flower growing techniques with total of 75 household participants were also conducted (see Annex 6 for updated list of activities and programs that have been implemented in the affected commune as of 2013).

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IX. BUDGET AND FINANCING

93. DPs will be compensated and assisted based on the principle of replacement cost, taking into account the fair market value of the affected asset, transaction cost, interest accrued, transitional cost and other related payments.

94. HPC the power and duty under the Law on Land and Decree 197/2004/ ND-CP to establish the unit costs of land and other fixed assets on an annual basis. The schedule of unit costs of fixed assets is used as basis for calculating the amount of compensation for such assets when recovered by the State or when affected by Government Projects, and also as basis for taxation. Decree No. 188/2004/ND-CP as amended by Decree 123/2007/ND-CP provides the framework for establishing the unit costs for land as one that is based on market prices in a “willing-seller-willing-buyer” situation and without regard to factors such as speculation, economic or financial crises, changes in planning, forceful transfer or blood relationship. Decree 188 and 123 provides a ceiling cost of compensation.

95. During RP updating, the values of land was assessed on the basis of current market price under normal conditions, which is: “The amount for which land should exchange ownership on the date of valuation between a willing buyer and a willing seller in an open market wherein parties have acted knowledgeably, prudently, and without compulsion or restriction”. The definition avoids making any allowances for speculation or financial or economic crises. In addition to the establishment of replacement cost (market cost under normal condition) for land, structures were also included in the replacement cost survey. The RP cost estimates for the Project (Depot - Phase II) and Access Line is VND 121,446,820,506 (US$5,824,788)(see Table 14).The RP estimates for each component covers compensation costs, allowances, rehabilitation measures, management fees and contingency, except internal and external monitoring costs. (Additional explanation of funding of these items is presented below the budget). The cost estimate to pay for compensation, allowances and resettlement for households affected by Xuan Phuong resettlement site is VND 18,973,871,292 equivalent to US$ 910,006 (see Table 15). Budget for microfinance and vocational training will come from the new rural development program of Ha Noi city with a yearly allocation ranging from 2-6 billion VND. The budget for 2014 is still being prepared at the time of this RP updating. MRB is coordinating with the Tu Liem District to ensure that AHs from the depot/access line can be included in such support.

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Table 14. Cost estimate for Depot (phase II) and Access Line

No. Items Unit Quantity Unit price

(VND) Total (VND)

Total (USD)

1 2 3 4 5 7 8

1 Land compensation 85,580,351,200 4,104,573

1.1 Land allocated by Decree 64/CP m2 16,227.7 162,000 2,628,887,400 126,086

1.2 Canal land and in field road m2 4,039.9 162,000 654,463,800 31,389

1.3

Support 70% of residential land at location No.1 of 32 Road (to the agricultural land where the HHs illegally transfer to residential land and constructed houses before 15th October 1993)

m2 475 21,000,000 9,975,000,000 478,417

1.4

Support 50% of residential land located in the location No.1 of 32 road (to the agricultural land where the HHs illegally transfer to residential land and constructed houses before 15th October 1993)

m2 122.8 15,000,000 1,842,000,000 88,345

1.5

Support 40 % of residential land at location No. 1 of 70 road to agricultural land where the HHS illegally transfer to residential land from 15th October 1993 to before 1 July 2004.

m2 5385 8,000,000 43,080,000,000 2,066,187

1.6

Support 40% of residential land at location no. 2 of road 32 to agricultural land where the HHs illegally transfer to residential land from 15th October 1993 to before 1st of July 2004

m2 2740 10,000,000 27,400,000,000 1,314,149

2 Compensation for crops/ trees and property

17,652,665,100 846,651

2.1 Annual crop (estimate) m2 50,000 895,635,000 42,956

2.2 Compensation for structures on land, brick wall 110 width, > 3m height (estimate):

m2 16,757,030,100 803,694

2.3 Support for canal excavation 55,971,000 2,684

3 Other support 15,479,214,000 742,408

3.1 Support for removal in the city HH 102 5,000,000 510,000,000 24,460

3.2 Support for self-relocation and hand over land

HH 102 5,000,000 510,000,000 24,460

3.3

Support house rental VND 1,000,000/person but not exceed VND 6,000,000/HH/month (for those who lose total house, will be supported in 6 months

person 612 6,000,000 3,672,000,000 176,115

3.4 Support for job transfer and job creation

m2 10,778 810,000 8,730,180,000 418,714

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3.5

Support for livelihood stabilization 30kg rice/person/ month (totally demolish house for 6 month support: 30kg/person/month x VND 13,750 x 6 month = VND 2,475,000/person)

person 612 2,475,000 1,514,700,000 72,647

3.6 Bonus for hand over agricultural land in time: VND 3,000/m2 (not exceed VND 3,000,000/HH)

m2 10,778.0 3,000 32,334,000 1,551

3.7 Bonus for residential land which was illegal transfer from agricultural land

HH 102 5,000,000 510,000,000 24,460

4 Cost for valuate residential land (estimate)

176,640,000 8,472

5 Total compensation and support : (1+2+3+4)

118,888,870,300 5,702,104

6 Resettlement management cost 2,381,310,206 114,212

7 Total compensation, support and management cost (4+5+6)

121,446,820,506 5,824,788

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Table 15. Cost estimate for compensation and allowances for Xuan Phuong Resettlement Site

No. Item Unit Quantity Total (VND) Total (USD 1 Land 2,907,462,600 139,445

1.1 Land allocated by Decree 64/CP m2 14,194 2,299,428,000 110,283

1.2 Public land managed by commune

m2 3,695,3 598,638,600 28,711

1.3 Compensation for public structure managed by commune

m2 58 9,396,000 451

2 Structures/crop 1,636,150,000 78,471

2.1 Pomelo Tree 500 723,000,000 34,676

Perennial crops m2 7,3 51,100,000 2,451

2.2 Graves No. 15 125,250,000 6,007

2.3 House: Category IV m2 600 736,800,000 35,338

3 Support (3.1+3.2+3.3+3.4) 14,058,222,000 674,246

3.1 Allowance: 3.000d/m2 (not over 3.000.000 d/HH)

m2 14,194 42,582,000 2,042

3.2

Living stabilization: 70% total agri. land affected= 12 months of rice (1 person x 12 months x 30 kg/month/person x VND 13,750 = VND 4,950,000)

Person 230 1,138,500,000 54,604

3.3 Occupation change & job creation m2 14,194 11,497,140,000 551,414

3.4 Support for training Person 230 1,380,000,000 66,186

4 Total compensation and support: (1+2+3)

18,601,834,600 892,163

5 Management fee 372,036,692 17,843

6 Total compensation and support and management (4+5)

18,973,871,292 910,006

* The rate of exchange is VND 20,850 per US$

96. HPC will use counterpart fund for RP implementation and ensure timely provision of counterpart funds for resettlement to meet any unforeseen obligations in excess of the resettlement budget in the agreed RP in order to satisfy resettlement requirements and objectives. The Updated RP will identify key activities for which funds will be used, any disbursement milestones and auditing requirements that will facilitate appropriate and timely delivery.

97. The management fee will cover operational costs of the DCB, grievance redress mechanism and on-going consultation and disclosure activities during RP implementation. The costs of engagement of the external monitor will be covered under the budget for the DDIS as a separate contract. The costs associated with internal monitoring will be covered under project supervision consulting services and MRB budget. The costs of resettlement site preparation are covered separately as part of the government counterpart funds.

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X. INSTITUTIONAL ARRANGEMENTS

98. The institutional arrangement for the preparation and implementation of RP is guided by Chapter VI of the Decree 197/2004-ND-CP and Chapter V of the Decree 84/2007-ND-CP. The responsibilities of key parties are described in Decrees 197/2004; 84/2007 and in the decision 108/2009/QD-UBND of Hanoi People’s Committee.

99. The Hanoi City Government and Tu Liem District are not new to resettlement. Several resettlement projects have been implemented in the city previously. DPC and DCB of Tu Liem are familiar with procedures related to the preparation of Compensation Plans. However, familiarity of staff in the City and District with ADB policies and procedures related to resettlement planning is still limited.

A. Hanoi People’s Committee

100. Hanoi PC will have the following responsibilities:

a. Generate awareness on the project development to all relevant institutions and various administrative levels within the City.

b. Approve the RP and its update (following DMS) prepared for the Project and request for waivers as may be authorized by the Prime Minister to meet the requirements of ADB on involuntary resettlement.

c. Direct its relevant departments such as Departments of finance, construction, agriculture and rural development, transport and environment to help in the preparation, updating, and implementation of the RP.

d. Settle complaints and outstanding at the city level, as well as forced relocation as may be necessary.

B. Hanoi Metropolitan Rail Transport Board

101. The MRB, through its Resettlement Team under PMU1 and will have the following key responsibilities related to resettlement:

a. Participate in preparation, updating, and implementation of the RP in collaboration with the People’s Committees at various levels, CLDF, and DCB and submit the same for approval of Tu Liem DPC and for ADB review and concurrence.

b. Secure the budget for preparation and implementation of the RP, ensure that funds for compensation, assistance and resettlement are available and in a

45


timely manner.

c. Coordinate with the Hanoi PC to direct their relevant departments and various levels of authorities in implementing the project and RP.

d. Serve as grievance officers for MRB and monitor/track/report on grievances related to the Project.

e. Conduct internal monitoring of RP, updating, implementation and evaluation.

f. Coordinate with the District Natural Resources and Environment Offices for the expeditious allocation of replacement land to eligible DPs;

g. Internally monitor the preparation and implementation of the RP and ensure that resettlement-related activities are carried out in accordance with the RP agreed between MRB and ADB.

h. Oversee the disclosure of resettlement related documents and consultation with DPs and key stakeholders.

i. Prepare quarterly progress reports on preparation, updating, and implementation of RP for submission to ADB.

j. Coordinate the work of the External Resettlement Monitoring Agency.

102. The Land Preparation Division under MRB will have the following key responsibilities related to resettlement:

a. Help MRB to monitor and supervise land clearance, resettlement activities

b. Oversee the implementation progress schedule of land acquisition and compensation

c. Coordinate with relevant agencies to propose solutions for the problem merging related to land acquisition and compensation

d. Prepare report on land acquisition; compensation and land clearance

C. People’s Committee of Tu Liem District

103. Tu Liem DPC will have the following responsibilities:

a. Generate awareness on the project development to all relevant institutions and

various administrative levels within the District.

b. Approve the compensation plans which will be prepared by CLFD and reviewed and submitted by the DCB.

c. Direct its relevant departments within the district such as Departments of finance,

46


construction, agriculture and rural development, transport and environment to help in the preparation, updating, and implementation of the RP.

d. Settle complaints and outstanding at the district level, as well as forced relocation as may be necessary.

D. District Compensation Board and Center for Land Fund Development

104. The DCB will be headed by the Vice-Chairman of DPC, and will include the heads of the Finance Department, the Natural Resources and Environment Department, Transport Department, and the Agriculture Department. In addition, representatives of the district Fatherland Front, Farmers’ Associations, Women’s Union and representatives of the DPs (including women DPs) will also be invited to the DCB.

105. The main responsibilities of the DCB are as follows:

a. Assist the Hanoi PC and district PC in the dissemination of information on the RP;

b. Organize, plan and carry out land recovery, compensation, assistance and other resettlement activities in the district on behalf of the DPC as per agreed RP

c. Conduct the DMS and prepare compensation plans for DPs and submit them to DPC and MRB for review

d. Conduct consultation and participation activities, income restoration program, and coordination with various stakeholders in implementing RPs.

e. Pay compensation and allowances, subsidies to DPs after the Updated RP has been agreed between MRB, DPC and ADB. Ensure the timely delivery of payments of compensation, assistance and other entitlements to DPs; and

f. Assist the DPC in the resolution of grievances at the district level.

g. Coordinate with other agencies in the design and implementation of income restoration measures and relocation of households.

106. For Hanoi People’s Committee, the Center for Land Fund Development under the Tu Liem DPC is responsible for the planning and implementing resettlement activities. Therefore, the responsibilities mentioned above will also be the same for CLFD.

E. Commune People’s Committee

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107. The CPC will assist the DCB/CLFD in its compensation, assistance and resettlement tasks. Specifically, the CPC will be responsible to:

a. Handle the day-to-day preparation, updating, and implementation of the RP

b. Form commune working teams and direct their functions, assign commune officials to assist the DCB and the MRB in conducting DMS, preparing dossiers of land recovery for the project, preparation and implementation of resettlement activities;

c. Identify replacement land for eligible DPs and propose for income restoration programs suitable to conditions of people and locality;

d. Sign the DMS forms, certify legal papers or history of land use, land transfer for DPs to fulfill the requirements for preparing compensation plans for them;

e. Settle the complaint and grievances at the first level as required by the laws;

f. Actively participate in all land recovery, compensation payment, assistance and resettlement activities and concerns.

F. External Monitoring Agency

108. A qualified external monitor will be hired to carry out external resettlement monitoring. The main objective of external resettlement monitoring is to provide an independent 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 displaced persons; (iv) effectiveness and sustainability of entitlements; and (v) the need for further mitigation measures as required. The EMA will submit semi-annual monitoring reports to ADB, AFD and EIB.

G. Project Supervision Consultants

109. The Project Supervision Consultants (PSC) will be composed of a team of internal resettlement consultants to assist MRB and the local authorities in the following up, and implementation of the RP. The consultants will also assess the capacity of the implementing agencies and provide the necessary capacity building interventions (such as orientation, workshops, on-the-job training) on resettlement.

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XI. IMPLEMENTATION SCHEDULE

110. The implementation process is as follows:

a. Establishment of the District Compensation Board (DCB). Hanoi PC has established a DCB under Tu Liem DPC for the Project, and entrusted tasks to relevant agencies and entities. MRB has representatives working as permanent members of Tu Liem DCB in charge of appraising documents for submission to the Hanoi CPC and Tu Liem PC for decision.

b. Land clearance/boundary setting for the Project. After receiving the Decision

of Hanoi PC and Tu Liem DPC in revoking land and handing over land to MRB for implementing the Project, MRB will cooperate with the City Department of Natural Resources, Environment and Land and the specialized cadastral agency having a contract with MRB to determine the Project land clearance red line and setting out boundary at the field, handing over land to implement compensation, assistance and resettlement tasks for the displaced persons, in order to clear land for the Project. Relevant Offices of Natural Resources, Environment and Land of Tu Liem district and People’s Committees of communes of the Project will assign their staff working as members of District Compensation Board to implement this task.

c. Training for resettlement staff. After the DCB- has been formed, the MRB will

develop and implement a training program for the implementation of the RP. The training will include at least an orientation on the RP, roles of agencies in RP implementation, complaint handling/recording/reporting, DP participation/ consultation, gender-related concerns and strategy, internal monitoring, and reporting. Target participants to the training include representatives from the commune PCs, DCB/CLFD, and DPC and Viet Nam Women’s Union at commune and district levels.

The consultant in combination with MRB held resettlement policy training on 13 August for to the CLFD of Tu Liem district. The training focused on the following resettlement issues: (i) Presentation of a resettlement plan for the Hanoi Metro Rail System

Project, section Nhon Depot-Hanoi Station should be updated and endorsed by ADB and HNPC;

(ii) ADB Safeguards Policy Statement; (iii) Project Resettlement Policy approved by HPC and ADB; (iv) Replacement costs to be paid to displaced land and assets; and (v) Roles of agencies, social organizations and representatives of DPs in

the participation of RP implementation; and other related resettlement issues.

d. Engagement of External Monitoring Agency. MRB will engage the services of

an external monitor to carry out independent monitoring and evaluation of RP preparation and implementation activities. Semi-annual progress reports will be submitted by the EMA to MRB and ADB.

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e. Information campaign before DMS. According to Decree No.181/2004/ND-CP, before land acquisition, within 90 days in case of agricultural land and 180 days in case of non-agricultural land, the DCB/CLFD sent written notices to affected land owners in respect of reasons for land acquisition, time and plan of displacement, compensation/resettlement options, land clearance and resettlement. For this project, announcements were undertaken following detailed design and official announcement about the project.

o Before census and detailed measurement survey, MRB in cooperation

with local authorities of Tu Liem district and communes have provided Project information to residents in the Project area. Information has been also broadcasted via the public address system of the locality in combination with other multi-media such as radios, or letters delivered to households to be open posted in public areas.

o After completion of compensation plans, Tu Liem DRC and CLFD have also provided details of DMS results and compensation estimates to affected households for review and comments before submission to Tu Liem DPC for approval.

o Orientation meetings have been held in the Project affected communes to notify the affected community about the scope and scale of the project, impacts, policies and rights for all kinds of damages, implementation schedule, responsibilities for organization, and complaint mechanism.

f. Detailed Measurement Survey. DMS has been undertaken based on

approved detailed design. These surveys were the basis for the preparation of compensation plan and for preparation of the updated RP.

g. Preparation of Compensation Plan. CLFD and DCB are responsible for

applying prices and preparing compensation tables for each affected commune. MRB and People’s Committee of Tu Liem district have appraised these tables in respect of prices, quantities of affected assets, rights that the displaced persons are entitled to, etc. before notifying each commune for review and comments. All tables of compensation price application have been checked and signed by the displaced persons to prove their consensus.

h. Preparation of Income Restoration Measures and Relocation Plan. DCB,

together with the concerned agencies or organizations on income restoration or livelihood and with the assistance of project supervision consultants will design detailed implementation arrangements for income restoration measures for severely affected and vulnerable households. This also includes households already compensated in the depot area.

i. Submission of RP and ADB concurrence. The Updated Resettlement Plan,

disclose key information of the Updated RP to the displaced persons and submit the same to ADB for review and concurrence.

j. RP Uploading on ADB website. Once the updated RP is acceptable to ADB,

the RP will be uploaded on the ADB website.

k. Implementation of RP. Compensation and assistance will be paid directly to the DPs under the supervision of representatives of DCB, commune authorities and representatives of the displaced persons. Income restoration and relocation plan will be implemented in close consultation with the DPs

50


and concerned agencies.

l. Monitoring. Internal monitoring and external monitoring will be implemented from RP preparation to implementation. Grievances received will be addressed through the grievance redress mechanism set up for the project. One post-project assessment survey will be undertaken by the EMA within 6 to 12 months after completion of compensation and resettlement activities.

111. The final updated Resettlement Plan is targeted to be approved by ADB and HPC by February 2014.

Table 16. Updated Implementation Schedule

Activities Start date End date1 RP updating, approval and disclosure

Conduct public consultation, disseminate compensation policies, and deliver the format/questionnaires for filling property losses to affected households (AHs) 3-Sep-13 4-Sep-13

Verify land ownership records/history 11-Sep-13 24-Sep-13

Publish the general land acquisition document to AHs 25-Sep-13 1-Oct-13

Appraise of land history and percentage of land loss 2-Oct-13 10-Oct-13

Tu Liem PC issues the land acquisition decision 17-Oct-13 21-Oct-13

Prepare detailed/individual land acquisition and compensation plan for each AH 22-Oct-13 28-Oct-13

Appraise compensation, support and resettlement plan 29-Oct-13 29-Oct-13

Post individual compensation plans for feedback, conduct public consultation on the regulation of drawing the resettlement apartment and land plot 30-Oct-13 26-Nov-13

Complete updating of RP 29-Nov-13 10-Dec-13

Submit updated RP for ADB review 11-Dec 13 11-Dec-13

ADB reviews and approves updated RP 12-Dec 13 31-Jan-14

Endorse URP and approve updated compensation unit rates by Tu Liem DPC and HPC 10-Feb-14 28-Feb-14

Submit to ADB the endorsed updated RP for uploading on the ADB website. 1-Mar-14 1-Mar-14

Finalize agreement on individual compensation plans 1-Mar-14 15-Mar-14

2 RP implementation

Pay compensation/allowances to AHs and AHs handover of their plots to Tu Liem District 16-Mar-14 30-Mar-14

Handover of land to contractors7 31-Mar-14 31-Mar-14

Construction of Xuan Phuong Resettlement site (including electricity and water supply system) 16-Mar-14 15-Sep-14

7 This is conditional to the official confirmation by the head of the DCB/CLDF that (i) payment has been fully disbursed to the DPs and rehabilitation measures as per the RP are in place; and (iii) that the specific section is free from any encumbrances.

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Building of new houses in the resettlement site 16-Sep-14 15-Dec-14

Relocation of households to the resettlement site 16-Dec-14 31-Dec-14

Grievances resolving ongoing ongoing

3 Monitoring

Internal monitoring (monthly)

2-Apr-13 completion of

civil works

Independent monitoring : a. compensation payment compliance report

b. Semi-annual

31-Mar-14

31-Mar-14

Until completion of

civil works

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XII. MONITORING AND REPORTING

A. Internal Resettlement Monitoring

112. Internal Monitoring is the responsibility of MRB, CLFD and DCB of Tu Liem district with support from the project consultants. Internal resettlement monitoring aims to:

a. Ensure payment of compensation to the displaced persons are provided based on the type of losses and categories of impacts.

b. Ensure resettlement activities are conducted according to the compensation policies as per agreed RP and its update.

c. Determine if the required transition, income restoration measures and relocation assistance are provided on time.

d. Assess if income source recovery and recovery support have been provided and propose remedial measures if objectives of restoring income of households have not been met.

e. Disseminate information and procedures openly.

f. Determine if complaint procedures are followed and if there are pending issues that require management attention.

g. Give priority to displaced persons' concerns and needs, specially the poor and vulnerable households.

h. Ensure transition between relocation or site clearing and commencement of civil works is smooth and that sites are not handed over for civil works until displaced persons have been satisfactorily compensated, assisted and relocated.

113. MRB, through its Environment and Resettlement Team, will submit monitoring reports to ADB, AFD and EIB. Internal monitoring reports will include but not limited to the following information:

a. Number of displaced persons and categories, status of compensation payment and relocation of DPs.

b. Status of disbursement of compensation payment to DPs.

c. Status of income restoration planning and implementation issues.

d. Results of complaint handling and any pending issues that require management attention and action.

e. Concerns and needs raised by severely affected households, poor and vulnerable groups (Social Policy Groups) and how these concerns are being addressed.

53


B. External Resettlement Monitoring

114. The main objective of external resettlement monitoring is to provide an independent 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 displaced persons; (iv) effectiveness and sustainability of entitlements; and (v) the need for further mitigation measures as required.

115. The external resettlement monitoring address specific issues such as the following:

(ii) Public consultation and awareness of resettlement policy and entitlements;

(iii) Documentation of impacts and payments (DMS forms, compensation documents,) as per agreed RP;

(iv) Coordination of resettlement activities with construction schedule; (v) Land acquisition and transfer procedures; (vi) Construction/rebuilding of replacement houses and structures on

residual land or to new relocation sites; (vii) Level of satisfaction of DPs with the provisions and implementation of

the RPs; (viii) Grievance redress mechanism (documentation, process, resolution); (ix) Effectiveness, impact and sustainability of entitlements and

rehabilitation measures and the need for further improvement, as required;

(x) Gender impacts and strategy; (xi) Capacity of DPs to restore/re-establish livelihoods and living standards.

Special attention provided or to be provided to severely affected and vulnerable households;

(xii) Resettlement impacts caused during construction activities; (xiii) Participation of DPs in RP planning, updating and implementation; (xiv) Institutional capacity, internal monitoring and reporting; (xv) Channeling of government funds for payment of land, non-land assets

and allowances to the displaced persons (if done transparently, efficiently and effectively).

116. Monitoring of RP implementation will be based on desk review and field visits, meetings with various ministries and local officials, and displaced persons. Separate meetings will be held with women and vulnerable households.

117. Between 6 to 12 months following completion of resettlement, the external resettlement monitoring consulting services will conduct an evaluation study to determine whether or not the objectives of resettlement have been achieved. The methodology for the evaluation study will be based mainly on a comparison of the socio-economic status of severely affected households prior to and following displacement. If the findings of the study would indicate that the objectives of the RP have not been

54


achieved, the EMA will propose appropriate additional measures to meet the RP objectives. Activities will include the following:

Evaluate baseline data that was collected under the socio-economic survey to assess changes in: household income and expenditures, expenditure composition patters, primary and secondary occupations, borrowing amounts and debts patterns, materials conditions and possessions of consumer items, land area and tenure arrangements, school attendance of children, child malnutrition and general health, and distances to public services and infrastructure.

Collect qualitative indicators on the DPs' own assessment of changes in

living standards before and after the project at households and community levels, which may be collected through open-ended questions, semi-structured interviews, case-studies, or group discussions employing a range of PRA tools and methods.

Verify with the DPs that community services and resources damaged during

construction works have been fully restored to their previous conditions and operational capacity.

118. The external resettlement monitoring will be undertaken by external consulting experts. Monitoring will be carried out on a semi-annual basis and all monitoring reports will be submitted to MRB, ADB, AFD and EIB. The semi-annual reports will highlight the issues and problems arising and, if required, suggest time-bound and specific mitigation measures. In terms of submission, reports to be submitted will be as follows:

a. A brief inception report to be submitted within two weeks after completion of the inception activity.

b. Compliance monitoring reports and final monitoring report within two weeks after

completion of the monitoring activity.

c. Post-evaluation report will be submitted within two weeks after completion of the

monitoring activity.

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ANNEX 1: MINUTES OF THE CONSULTATION MEETING ON RESETTLEMENT - HANOI METRO RAIL SYSTEM PROJECT

56


MINUTE OF THE MEETINGS IN MINH KHAI COMMUNE

SOCIALIST REPUBLIC OF VIETNAM Independence–Freedom-Happiness

------ooo------

Tay Tuu, 14/5/2011

MINUTE OF CONSULTATION MEETING The meeting with affected people to disclose legal documents, policies related resettlement activities, to verify and determine status for households, individuals who use the land and have assets existing on land located within limit of site clearance for access line and depot of the Hanoi Metro Rail System (section Nhon – Hanoi Station). Today, at 9:00 AM on 14 May 2011, in the office of Tay Tuu CPC with the cooperation with Resettlement Board, Center for Land Fund Development of Tu Liem district, and representatives of different organizations, individuals, households who have land and assets existing on land located within limit of site clearance for access line and depot of the Hanoi Metro Rail System (section Nhon – Hanoi Station). Participants 1. Mr. Nguyen Trung Nghia: Deputy Director of CLFD of Tu Liem district 2. Mr. Le Van Viet: Chairman of Tay Tuu CPC 3. Mr. Bui Trung Hoa: Vice-Chairman of Tay Tuu CPC 4. Mr. Vu Dinh Phuong: Chairman of MotherLand Front 5. Mr. Nguyen Viet Trung: Land Manager of Tay Tuu commune 6. Mr. Hoang Van Son: Resettlement staff 7. Mr. Nguyen Hong Thai: Staff of CLFD 8. Mr. Tran Van Phuc: Staff of CLFD 9. Mr. Nguyen Tu Tuc: Representative of DP 10. And all affected households and individuals who have land located within limit of

site clearance for access line and depot 2. Contents Mr. Le Van Viet, Chairman of Tay Tuu CPC, chairs meeting. Mr. Nguyen Trung Nghia, Deputy Director of CLFD of Tu Liem district, discloses legal documents, policies related resettlement activities for the implementation of access line and depot (phase II). The documents are as follow:

Regulation of land acquisition of Hanoi City People Committee; Plan of site clearance and red limit; Decision of duty transfer to Center for Land Fund Development of Tu Liem

district; Current Policies and documents related to compensation, assistance; Decision of establishing Resettlement Committee, resettlement Task Force

for implementation of the project; Deliver DMS form;

Representatives of Tay Tuu commune, Resettlement Board, CLFD introduce the project

57


size, objectives of project implementation, implementation progress and answer questions of individuals, households and organizations on resettlement policy. Affected households raise questions and discussions, then professional staffs answer their questions related Project resettlement policy. Comments and questions of affected people

1. Mr. Binh: Business land payment for land acquisition for depot phase 1; How much for land allocated in resettlement site; and Land in resettlement site should be available before land recovery.

2. Mrs. Ha:

Her residential place is both for living and business, therefore they want relocation place should be much better or at least the same as before land recovery;

How much for land allocated in resettlement site, and where is it in Xuan Phuong commune?

3. Mr. Thang:

The families were living here for a long time ago, therefore we want to have available land in resettlement site before their land acquired.

4. Mr. Nguyen:

Who will be relocated in resettlement site? What is it compensation plan for families who have separated registration

books? what is solution for some families living separately on the same land plot?

What is solution for people with different registration books and family members living in the same plot of affected land but they have no other land?

5. Mrs. Hoa:

Business land payment for land acquisition for depot phase 1;

6. Mr. Khang: Clarify the time of living and building houses of households located along

road No.70 (based on Notice No.72 dated 6 April 2006); What is compensation policy for households who are living before 1993 and

2004? Compensation rates are lower, it needs to be applied by market prices; Proposed to be compensated and relocated following current status of

households located along the road No.70.

7. Comments of Mr. Binh, Mr. Phuc, and Mrs Thoa: Business land payment for land acquisition for depot phase 1;

58


Answers of resettlement staffs and Tay Tuu CPC

1. Mr. Son: Resettlement site will be in Xuan Phuong commune; Area of land in resettlement site will be clarified after DMS.

2. Mr. Nghia:

Previous DMS form is not enough information to preparation of compensation plan;

Area of land in resettlement site will be clarified after DMS.

3. Mr. Viet: Clarification of the time of living and building houses of households located

along road No.70 will be done after making DMS by themselves (with reference of Notice No.72 dated 6 April 2006);

Compensation policy for households who are living before 1993 and 2004 will be applied by Decision No. 108/2009/QD-UBND dated 29 September 2009;

Compensation prices will be based on market prices. Conclusion

1. All affected households agreed to give land for project implementation, but after land allocation in resettlement site;

2. People’s Committee of the commune should have to clarify the time of building houses of households after they enumerate land by themselves;

3. Resettlement Board and CPC will receive land enumeration of households from 18 May 2011;

4. CLFD will prepare compensation plan and chose the best resettlement policy to affected people.

This minute of meeting prepared at 11:30 AM at the same day, and read it to everybody and nobody have different comment, and agreed to sign bellow. Tay Tuu commune CLFD of Tu Liem district On behalf of CPC On behalf of CLFD Le Van Viet (signed) Nguyen Trung Nghia (signed) MotherLand Front Resettlement Task Force Vu Dinh Phuong, Chairman (signed) Nguyen Hong Thai (signed) Representative of DPs Nguyen Dang Khang (signed)

59


MINUTE OF THE MEETINGS IN MINH KHAI COMMUNE


------ooo------

Minh Khai, 12/5/2011

MINUTE OF CONSULTATION MEETING The meeting with affected people to disclose legal documents, policies related resettlement activities, to verify and determine status for households, individuals who use the land and have assets existing on land located within limit of site clearance for access line and depot of the Hanoi Metro Rail System (section Nhon – Hanoi Station). Today, at 8:30 AM on 12 May 2011, in the office of Minh Khai CPC with the cooperation with Resettlement Board, Center for Land Fund Development of Tu Liem district, and representatives of different organizations, individuals, households who have land and assets existing on land located within limit of site clearance for access line and depot of the Hanoi Metro Rail System (section Nhon – Hanoi Station). Participants 1. Mr. Nguyen Van Sy: Chairman of Minh Khai CPC 2. Mr. Vu Dinh Than: Vice-Chairman of Minh Khai CPC 3. Mr. Nguyen Van Vinh: Vice-Chairman of commune Council of People 4. Mr. Nguyen Trung Nghia: Deputy Director of CLFD of Tu Liem district 5. Mr. Nguyen Van Tha: Chairman of MotherLand Front 6. Mr. Nguyen Ngoc Toan: Land Manager of Tay Tuu commune 7. Mr. Hoang Van Son: Resettlement staff 8. Mr. Nguyen Hong Thai: Staff of CLFD 9. Mr. Vuong Van Tam: Deputy-Secretary of Communist Party of Minh Khai

com. 10. Mr. Nguyen Trong Hai: Head of Nguyen Xa village 11. Mr. Nguyen Anh Tuan: Representative of DP 12. And other 9 affected households who have land located within limit of site clearance

for access line and depot 2. Contents Mr. Nguyen Van Sy, Chairman of Minh Khai CPC, chairs meeting. Mr. Nguyen Van Sy, Chairman of Minh Khai CPC, discloses legal documents, policies related resettlement activities for the implementation of access line and depot (phase II). The documents are as follow:

Regulation of land acquisition of Hanoi City People Committee; Plan of site clearance and red limit; Decision of duty transfer to Center for Land Fund Development of Tu Liem

district; Current Policies and documents related to compensation, assistance; Decision of establishing Resettlement Committee, resettlement Task Force

for implementation of the project;

60


Deliver DMS form; Representatives of Tay Tuu commune, Resettlement Board, CLFD introduce the project size, objectives of project implementation, implementation progress and answer questions of individuals, households and organizations on resettlement policy. Affected households raise questions and discussions, then professional staffs answer their questions related Project resettlement policy. Comments and questions of affected people

1. Mrs. Hai: Required for project documents as land marks, etc; Want relocation place should be much better or at least the same as before

land recovery.

2. Mrs. Doan Thi Tam: Her family is living on both transportation and agricultural land since 1999. If

the project acquires land we have no other land and need support from project.

Answers of resettlement staff and Tay Tuu CPC

1. Mr. Nghia (Deputy-Director of CLFD): CLFD will provide project documents to DPs; Plot of land will be allocated in Xuan Phuong resettlement site. Affected

people will be relocated together with affected people by the road No.32. Resettlement Committee of Tu Liem district will review the case of Mrs Doan

Thi Tam.

2. Mr. Sy (Chairman of CPC): Project will not pay for public land, agricultural land will be paid based on

Decision No. 108/2009/QD-UBND dated 29 September 2009; Compensation prices will be based on price of residential land at location 2

of the road No.32 to be better for affected people. Conclusion Resettlement Board and CPC will receive land enumeration of households from 16 to 17 May 2011; Resettlement Task Force will check land marks and remake new ones for those lost. This minute of meeting prepared at 9:30 AM at the same day, and read it to everybody and nobody have different comment, and agreed to sign bellow. Minh Khai commune CLFD of Tu Liem district On behalf of CPC On behalf of CLFD Nguyen Van Sy (signed) Nguyen Trung Nghia (signed) Mother Land Front Resettlement Task Force Nguyen Van Tha, Chairman (signed) Vu Dinh Than (signed)

61


Representative of DPs Nguyen Anh Tuan (signed)

62


MINUTE OF THE MEETINGS IN XUAN PHUONG COMMUNE


------ooo------

Xuan Phuong, 3/11/2011

MINUTE OF CONSULTATION MEETING The meeting with representatives from affected commune To construct resettlement infrastructure of DD1 for site clearance for access line and depot of the Hanoi Metro Rail System (section Nhon – Hanoi Station). Today, at 9:00 AM on 3rd November 2011, in the office of Xuan Phuong CPC Tu Liem CLFD representative Tu Liem Land fund development center: 1. Mr. Ngo Ngoc Van: Deputy Director of CLFD of Tu Liem district 2. Mr. Ngo The Doanh: CLFD staff Xuan Phuong commune representative

3. Mr. Bui Dinh Quyet: Chairman of Xuan Phuong CPC 4. Mr. Nguyen Xuan Tien: Deputy general secretary of Xuan Phuong PC Party 5. Mr. Pham Hai Hoat: Commune’s army chief 6. Mr. Nguyen Xuan Vinh: Commune’s Policeman chief 7. Mr. Than Van Tan: Commune’s veteran chairman 8. Mr. Nguyen Viet Quang: Chairman of MotherLand Front 9. Mr. Nguyen The Ngoc: Farmer Union’s chairman 10. Mrs. Nguyen Thị Nhan: Commune administrative staff 11. Mrs. Duong Thi Thao: Commune Legal staff 12. Mrs. Nguyen T. Mai Huong: Commune Administrative land staff 13. Mr. Nguyen Tien Huy: Vice chairman of Mother Land Front 14. Mrs. Nguyen Thi Thuy: Commune staff 15. Mrs. Bui Thi Kim Lien: Economic-finance staff 16. Mrs. Le T. Thanh Huyen: Women Union 17. Mr. Nguyen Vinh Phu: Chief of Party of Village No.9 18. Mr. Bui Vinh Liem: Chief of Party of Village No. 8 19. Mrs. Nguyen Thi Thanh: Deputy chief of ThiCamVillage 20. Mrs. Bui Thi Dao: Chief of Women union 21. Mr. Nguyen Quoc Vien: Chief of village mother land front 22. Mr. Nguyen Vinh Phuong: Head of Thi Cam village elderly Union 23. Mr. Bui Dinh Nghi: Head of Thi Cam village veteran Union 24. Mrs. Nguyen Thi Hoa: Head of Thi Cam village Representative of Ha Noi infrastructure construction company 25. Mr.Trinh Xuan Cuong: Technical staff Contents

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Pursuance to Urban Law Planning No.30/2009/QH 12 dated on 17th/ 6/2009 of National Assembly, meeting session No. 5.

Pursuance to Decee No. 37/2010/NDCP dated 7th April 2010 of Government on establishment, appraisal, approval and management if urban planning;

Pursuance to Decision No. 27/2011/QD-UBND dated 30 August 2011 of Ha Noi PC on issuing planning license in Ha Noi area.

Tu Liem Land Fund Development Center in coordination with Xuan Phuong commune to organized a meeting to get consultation with local community where is related to planned area.

After listening the presentation from Tu Liem Land Fund Development Center, Xuan Phuong commune and Design and consultation company on location, area and scope, the infrastructure conjunction and other factors related to location of DD1 and DD2 areas to construct infrastructure for resettlement area of Depot (phase II) and access line which belong to Ha Noi metro rail system project line 3 (Nhon – Ha Noi station) in Xuan Phuong commune, Tu Liem District. The meeting agreed as follows:

- Agreed to construct infrastructure for resettlement site of Depot (phase II) and access line of Ha Noi metro rail system project – line 3 (Nhon – Ha Noi station) at location DD1 and DD2 in Xuan Phuong commune, Tu Liem district.

- When preparing project the attention should be paid to the conjunction with other infrastructure to ensure the drainage of the area.

- The local community and Xuan Phuong CPC proposed:

o At the area of 3000 m2 of DD1 area where is close to planned canal and Phuong Canh road, the Xuan Phuong had collected of each households 3 million VND in 1992 for new location of residential area and the people has constructed their houses in 1992. Up to now the process of giving land right use has not been implemented. We would like to propose this idea for higher level to consider and have decision.

All participants in the meeting agreed with the content and meeting ended at 11 h 30 of 3rd November 2011 Xuan Phuong commune PC CLFD of Tu Liem district On behalf of CPC On behalf of CLFD Bui Dinh Quyet (signed) Ngo Ngoc Van (signed) Design company Trinh Xuan Cuong (signed) Representatives of community (signed)

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MINUTE OF THE MEETINGS IN XUAN PHUONG COMMUNE


------ooo------

Xuan Phuong, 30/1/2013

MINUTE OF CONSULTATION MEETING The meeting with affected people to disclose legal documents, policies related resettlement activities, to verify and determine status for households, individuals who use the land and have assets existing on land located within limit of site clearance for access line and depot of the Hanoi Metro Rail System (section Nhon – Hanoi Station). Today, at 14:30 PM on 30th January 2013, in the office of Xuan Phuong commune,Tu Liem district, Ha Noi city. Participants Tu Liem council for land acquisition and compensation: 1. Mr. Nguyen Cong Trinh: Vice chairman of the council Xuan Phuong commune representative: 2. Mrs. Do Hong Nhung: Vice-Chairman of Xuan Phuong CPC 3. Mr. Nguyen Viet Quang: Chairman of Mother Land Front 4. Mrs. Nguyen Thi Diu: Commune Administrative land staff 5. Mrs. Duong Thi Thao: Commune Legal staff 6. Mr. Nguyen Tien Viet: Commune construction staff Representative project owner: 7. Mr. Nguyen Trung Nghia: Deputy Director of Tu Liem land Fund Development

Center 8. Mr. Nguyen Van Phuc: Staff of Tu Liem land Fund Development Center Representative of local leaders: 9. Mrs. Nguyen Thi Hoa: Chief of Thi Cam village 10. Nguyen Thi Thanh: Deputy chief of Thi Cam village Affected household representative: 41 out of 47 Contents

1. Public disclosure all project legal document

Document No. 6840/UB-NNDC dated 17 August 2011 of Ha Noi City on the location of resettlement site for Depot and access line of Ha Noi pilot Metro line (section Nhon – Ha Noi station) and other investment projects in Tu Liem district.

Document No. 7911/UNDN-KH-DT dated 16th September 2011 of Ha Noi City on approval of investment preparation plan for construction of Depot and access line for Ha Noi pilot Metro line (section Nhon – Ha Noi station) in Xuan Phuong commune, Tu Liem district;

Document No. 312/TB-UBND dated 5th December 2012 of Tu Liem district on acquiring land in Xuan Phuong commune, Tu Liem district to construct

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Depot and access line for Ha Noi pilot Metro line (section Nhon – Ha Noi station) location DD1 in Xuan Phuong commune, Tu Liem district.

Decision No. 9336/QD-UBND dated 25th December 2012 of Tu Liem PC on establishment of Resettlement and compensation council on implementation of Depot and Access line for Ha Noi pilot Metro line (section Nhon – Ha Noi station) location DD1 in Xuan Phuong commune, Tu Liem district;

Decision No. 9405/QD UBND dated 27th December 2012 of Tu Liem PC on establishment of Resettlement and compensation working group on implementation of Depot and Access line for Ha Noi pilot Metro line (section Nhon – Ha Noi station) location DD1 in Xuan Phuong commune, Tu Liem district;

Document No. 161/STNMT-KHTH dated 10th January 2013 of Ha Noi DONRE on guidance of defining border for preparation, approval of land acquisition, compensation and support activities for construction of Depot and Access line for Ha Noi pilot Metro line (section Nhon – Ha Noi station) location DD1 in Xuan Phuong commune, Tu Liem district;

2. The land administration staff introduced the location of project implementation

3. Representative of project owner introduced project scope, objective and tentative schedule of project implementation.

4. Comments from affected households.

1. The government agencies delayed in local people requirement on providing more residential land for local people. But the City requested the local people to follow the implementation schedule immediately. Thus the Party and the government is really concerning the local people’s lives?.

The government acquired land with very low support. Our children apply for a job take a lot of money. Thus the project should provide more support in job creation and job transferring for our children.

2. Our family have been provided land use right certificate of household economic land, what is the compensation land unit price?

3. Has the project required land is bordered with to Le Duc Tho road or each project cut our rice field into small pieces/plots. We have planted Dien grape fruits, many projects located in our area make our grape fruits died how this problem to be solved?

4. There are 7 households who have rice field in Trung Trang area have contributed their product to the cooperative (Mr. Hoi, Mr. Tam; Mr. Thanh; Mr. Them; Mr. Yen; Mr. Tuong; Mr. Hue) When we asked the chief of village said there is not map for that area, how can we be compensated?

5. Our family has land 5%, previously Mr. Chac said that if we give land to the project we will be compensated to other as agricultural land C1, our remaining land should be compensated.

6. Is there any difference between long-term household economic land and agricultural land for 20 years use. How can we be supported?

7. Can the affected households receive the “service land” if yes. When?

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All the comments will be noted and will be solved to follow the Government law and regulations. This minute of meeting prepared at 16PM at the same day, and read it to everybody and nobody have different comment, and agreed to sign bellow.

Person who write the minute of the meeting

Nguyen Thi Diu

CLFD of Tu Liem district On behalf of CLFD

Nguyen Trung Nghia (signed)

Xuan Phuong commune

On behalf of CPC Vice chairman

Do Hong Nhung (signed)

Representative of participant

Tran Van Phuc

Nguyen Tien Viet

Nguyen Thanh Son

Duong Thi Thao

Nguyen Viet Quang

Nguyen Thi Thanh

Representative of affected households

Mrs. Nguyen Thi Du

Mrs. Nguyen Thi Hoa

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LIST OF AFFECTED HOUSEHOLDS WHO ATTENDED THE CONSULTATION MEETING IN XUAN PHUONG COMMUNE

(Xuan Phuong resettlement site for Depot and Access line for Ha Noi pilot Metro Line (Section Nhon – Ha Noi station)

No. Name commune Date of meeting

Signed

1 Ngo Van Phat Xuan Phuong 31/1/2013

2 Ngo Thi Mui Xuan Phuong 31/1/2013

3 Vu Thi Thu Xuan Phuong 31/1/2013

4 Nguyen Huu Thuc Xuan Phuong 31/1/2013

5 Nguyen Thi Hoi Xuan Phuong 31/1/2013

6 Bui Thi Vinh Xuan Phuong 31/1/2013

7 Nguyen Thi Tuong Xuan Phuong 31/1/2013

8 Nguyen Thi Binh Xuan Phuong 31/1/2013

9 Bui Thi Do Xuan Phuong 31/1/2013


11 Bui Thi Do Xuan Phuong 31/1/2013


13 Mai Dinh Cu Xuan Phuong 31/1/2013

14 Phi Thi Them Xuan Phuong 31/1/2013

15 Pham Thi Kinh Xuan Phuong 31/1/2013

16 Ngo Thi Quy Xuan Phuong 31/1/2013

17 Ngo Van Thuy Xuan Phuong 31/1/2013

18 Nguyen Van Phuc Xuan Phuong 31/1/2013

19 Mai Xuan Chac Xuan Phuong 31/1/2013

20 Ngo The Loi Xuan Phuong 31/1/2013

21 Bui Dinh Nuoi Xuan Phuong 31/1/2013

22 Duong Duc Chi Xuan Phuong 31/1/2013

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23 Ngo Van Gia Xuan Phuong 31/1/2013

24 Ngo Van Hoan Xuan Phuong 31/1/2013

25 Phi Vinh Loi Xuan Phuong 31/1/2013

26 Nguyen Thi Tam Xuan Phuong 31/1/2013

27 Nguyen Thi Du Xuan Phuong 31/1/2013

28 Le Quoc Thang Xuan Phuong 31/1/2013

29 Le Van Thuyet Xuan Phuong 31/1/2013

30 LE Van Chien Xuan Phuong 31/1/2013

31 Bui Doan Nong Xuan Phuong 31/1/2013

32 Nguyen Nhu Thang Xuan Phuong 31/1/2013

33 Bui Dinh Loc Xuan Phuong 31/1/2013

34 Mai Dinh Hung Xuan Phuong 31/1/2013

35 Dao Duc Tien Xuan Phuong 31/1/2013

36 Ngo Thi Chuc Xuan Phuong 31/1/2013

37 Bui Thanh Liem Xuan Phuong 31/1/2013

38 Nguyen Thi Thanh Xuan Phuong 31/1/2013

39 Mai Dinh Tai Xuan Phuong 31/1/2013

40 Phi Quoc Hung

Luong Thi Tuyet

Xuan Phuong 31/1/2013

41 Nguyen Thanh Nga Xuan Phuong 31/1/2013

Xuan Phuong commune Commune father land front

CLFD of Tu Liem district

On behalf of CPC Vice chairman

Do Hong Nhung (signed)

Nguyen Viet Quang (signed)

On behalf of CLFD

Nguyen Trung Nghia (signed)

Representative of participants

Nguyen Van Phuc Nguyen Minh Nhat

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ANNEX 2: SUPPLEMENTARY ASSISTANCE PLAN FOR THE PROJECT

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I. INTRODUCTION

1. The Supplementary Assistance Plan (SAP) is a component of the Resettlement Plan for the Hanoi Pilot Metro Line, Section Nhon – Hanoi Station prepared by the Hanoi Metropolitan Rail Transport Project Board in February 2011 and approved by Hanoi People’s Committee and the Asian Development Bank. The SAP was prepared as a draft document to be subsequently updated prior to implementation. This document updates the SAP prepared in 2011 based on consultations with relevant stakeholders and DPs.

II. IMPLEMENTATION APPROACH

2. The livelihood improvement plan is developed based on the previous socio-economic survey results in 2010.Theupdated plan is also developed based on the survey and consultation results undertaken in August and September 2012 with local authorities, social organizations and DPs of two affected communes located in the section of Access Line and Depot (phase II).

In-depth interview and group discussion are carried out for the people affected by depot phase 1 and access line to identify the impact level and needs for assistance to restore their livelihoods. The works have been done in 2010 and also updated in 2012.

Analysis of socio-economic survey data in depot and access line area -2010; and an additional socio-economic survey of 30 affected households in 2012 (about 29.4% of affected households by access line and depot (phase II));

Group consultation classified by types of affected people and gender carried out in 2010;

Consultation with local authorities and departments (Commune People’s Committee, District People’s Committee, social organizations such as Farmers’ Association, Women’s Association, Veterans’ Organization, etc.). The consultations were undertaken in 2010 and 2012.

Consultation with firms, factories and other social organizations in the area to identify the potential livelihoods activities for the affected people - 2010.

Refer to the project documents including the socio-economic analysis report in 2008 and the report on project’s impact assessment in 2008.

Refer to the current policies of Viet Nam who are being applied to the compensation and resettlement activities (Decree No. 197/ND-CP dated December 3, 2004; Decree No. 84/ND-CP dated May 25, 2007, project’s policy framework by Asian Development Bank).

III. PROJECT AREA

3. The depot and access line in the area of two communes, Minh Khai and Tay Tuu, in Tu Liem District, Hanoi. These are two suburban communes of HanoiCity, which are undergoing rapid growth and urbanization due to the industrial zones and city expansion process. The urban traffic system is being planned and expanded, the small

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and medium industrial zones, universities and colleges are being built to meet the industrialization and education demands of the capital and neighboring provinces.

4. Minh Khai Commune has total natural land area of 483,230.6 ha; of which, the area for growing annual crops accounts for 211.1918 ha and the area for growing perennial crops occupies 86.0091 ha. The agricultural land area (annual crop area) per head is 211m2.

5. The survey result in 2010 shown the total population of Minh Khai commune is 25,812 people. Among them, 18,200 people are in labor age of which 13,978 people are male and 11,825 people are female. The population is increasing at an annual rate of 1o/oo. Out of the total of 3,975 households in the commune, 910 households are engaged in agriculture (accounting for 24.1%) and 1,300 households work in services, occupying 34.4%.

6. Data collected in September 2012 shown that the population of Minh Khai commune is 32,031 people with 3,825 households. The number of households in agricultural production is 779, in industry and construction is 272 and 1,652 households are engaged in commercial and services, and 214 households are working in state administration sector.

7. The number of poor households is 87 in 2010 with 310 persons, accounting for 2.3% of the total population in the commune. In 2012 this number is 105 households, occupying about 2.7% of the total population.

8. Data collected in 2010 shown Tay Tuu Commune has total natural land area of 530 ha. Productive land accounts for 68.5% of the total area of which 43.31 ha for growing annual crops including vegetables and spice plants. The area for growing flower is 320 ha and 10 ha are for perennial crops. The agricultural land area per head is 222m2.

9. Survey result in 2012 shown the area for growing flower is 354.62 ha increased with 34.62 ha in comparison with 2010.

10. The total population of Tay Tuu commune is 17,852 people in 2010 (or 3,017 households). Among them, the number of households working in agriculture is 1,810, accounting for 60%. The number of households in industry and handicraft is 150, or 5%. 60 households and 754 households are engaged in construction and services, occupying 2% and 25%, respectively.

11. Data collected in September 2012 shown that the population of Tay Tuu commune is 20,978 people with 4,807 households. The number of households in

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industry and construction is 75 and 1,750 households are engaged in commercial and services, and only 25 households are working in state administration sector.

12. The commune has 35% of the households who are rich households, 20% of the households are above-average households, 40% are average households and 5% are poor households (160 households- 497 people). In 2012 the number of poor households is 105;

13. There are differences in livelihood activities between people in Minh Khai and Tay Tuu communes due to changes in crops and other production activities. In Minh Khai Commune, before 1999, the commune was purely agricultural area: people mainly grew rice and vegetables. The area was the vegetable supplier for the city, Ha Noi. In 1999, when Hanoi College of Industry moved to the area, the students’ demands for renting houses fostered occupational changes in Minh Khai Commune. The households changed from working in agriculture to renting out house. In line with the development of Hanoi, the area is undergoing a rapid urbanization. In Minh Khai, there are still households who are working in agriculture but the proportion is insignificant. They mainly grow spice plants, replacing LangVillage which is well-known for growing spice plants of Ha Noi but losing vegetable land area due to the urbanization speed of the area.

14. On the contrary, in Tay Tuu Commune, people still mainly depend on land. Their changes are not to stop farming but focus on the products with higher value, which is growing flower. In 1992, a group of youths through selling vegetables in Quang Ba Market8 bought flower seeds to plant in their area. However, because they did not have techniques and the security was not good, their planting flowers did not bring about much income. Still they realized that it was more economically valuable than growing vegetables and pear-shaped melons.

15. After considerable change of Vietnam socio-economic situation after Policy 10 (the policy on allocating land to people), people in Tay Tuu Commune have changed to grow flowers. One of the first people who changed to specialize in growing flowers in the area is the man who was looking after the Revolutionary Matyr’s Cemetery of Tu Liem District (Khuc Thanh Van – Occupational Change in TayTuu Village, 2002) and some other people who returned from military service. Planting flower has brought about better income than vegetables before. So far, most of the households in Tay Tuu grow flowers and intercrop vegetables and spice plants to supply the inner city. The area which was well-known for tomato and pear-shaped melon (officials’ group discussion) now becomes a flower-growing area replacing Ngoc Ha and Quang Ba flower-growing villages. These villages are affected by wave of urbanization, so they do not have land to grow flower. Tay Tuu, together with Me Linh, becomes two main flower suppliers for Ha Noi. In Minh Khai and Tay Tuu Communes, the number of social policy households is:

8Well know flower-growing area in Ha Noi

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Table 1: Number of Poor Households and Social Policy Households in the Communes

Commune

Poor Households

Heroic Vietnamese

Mother

Wounded Soldier’s family

People with Disabilities, Lonely and

Helpless 2010 2012 2010 2012 2010 2012 2010 2012

Tay Tuu 160 105 0 6 86 132 No data 22 Minh Khai 87 105 11 0 233 140 0 0

Source: provided by Tay Tuu and Minh Khai CPCs – 2010 & 2012

IV. LIVELIHOOD ACTIVITIES OF PEOPLE IN THE PROJECT AREA

16. According to the baseline survey on the livelihoods of people in the project area conducted in 2010, the livelihood activities in the area are quite varied due to these communes being located at the edge of the city and undergoing urbanization process. The statistical data provided by the CPCs on the number of households and livelihood activities corresponding to different occupations in the affected communes are shown in Table 2.

Table 2: Main Livelihood Activities of People in the Project Area

Affected area Main Livelihood Activities Number of HHs

Percent %

Minh Khai Commune Agriculture

Growing rice, specialty pomelo and intercropping vegetables; growing flower, pot plants and animal husbandry

910 24.1%

Industry and Handicraft

Workers of the industrial zones and enterprises in the area

0

Public servant Working in government offices 125 33.1% Construction Working in building houses 25 0.66% Business and Services

Open shops, seasonal business and other services 1590 42.1%

Tay Tuu Commune Agriculture Growing rice, flower and pot plants and animal

husbandry 1810 60%

Affected area Main Livelihood Activities Number of HHs

Percent %

Tay Tuu Commune

Industry and Handicraft

Workers of the industrial zones and enterprises in the area

150 5%

Construction Working in building houses 60 2% Business and Services

Open shops, seasonal business and other services 754 25%

Source: statistical data provided by Tay Tuu and Minh Khai CPCs

17. The data shows that the proportion of households depending on agriculture is at 24.1% in Minh Khai Commune and up to 60% in Tay Tuu Commune. The business and services activities account for quite significant percent compared to other occupations: the numbers of business households in Minh Khai is 1,590, occupying 42.1% and in Tay Tuu is 754, making up 25% of the total. Besides, the non-agricultural livelihood activities

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such as building or working in the industrial zones in the city’s area tend to increase in the recent years.

18. The differences in the livelihood activities between 2 communes, in fact, are influenced by land acquisition for Metro Project and other projects implemented in the area since 1999. The location near Nhon crossroads intersected by the National Road 32 and Provincial Road Tay Tuu in Minh Khai Commune was affected by land acquisition in 1999 for the building of the College of Industry (currently Hanoi University of Industry). The number of households working in services is increasing considerably. The services mainly involve renting out house for students and workers and opening small shops to serve the needs of these people. According to the opinions of people in Minh Khai and Tay Tuu communes, people in Minh Khai commune have been focusing much on increasing educational level and conversing occupations towards non-agricultural activities.

19. On the contrary, Tay Tuu commune is land-based community. They only change from growing vegetables and pear-shaped melon to different kinds of plants which have higher values and meet the market’s demands. People and commune authorities emphasized that they would follow flower-growing to the last unless “the entire agricultural land within a radius of 30km is acquired”. Other occupations in Tay Tuu commune mostly serve flower-growing. Most of the households which are engaged in services mainly sell plant protection chemicals, plant growth chemicals or they sell flowers in the markets in Ha Noi. “Ha Noi has 37 markets in which flowers are sold, most of the flower-sellers are from Tay Tuu Commune”.

a. Agriculture

20. Agriculture in Minh Khai Commune only contributes to a small part of the economic structure of the commune, accounting for 18.87%. The main crops are orange, pomelo (which are the specialties), flower and vegetable. There is also animal husbandry in the area – the people mainly keep pigs. However, they are facing the following challenges:

- Land area is decreasing because of the urbanization rate. Quite a few projects will be implemented in the area, causing land acquisition, particularly Phu Dien urban area Project to be implemented;

- Animal husbandry does not have favorable condition to develop because of environmental impacts; moreover, the policy does not encourage animal husbandry in the urban area;

- The rest of the land is not enough to maintain an area of specialty trees as before due to unexpected impacts; for example, depot filling has caused waterlogged for 10ha of crops of Nguyen Xa Hamlet;

- Unfavorable weather causes loss of the pomelo.

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21. Agriculture in Tay Tuu Commune accounts for 60% of the commune’s income. People mainly grow the kinds of flowers which meet the demands of Ha Noi’s markets such as rose, lily, gerbera and vegetable (spinach, colza and spice plants).

22. For vegetable, the main market is Ha Noi. As regards flowers, apart from the markers in the inner city, flowers are also sold to Da Nang and Ho Chi Minh City markets and Chinese market. The kinds of flowers sold to these markets are different. In Hanoi market, they mainly provide rose, lily and gerbera. However, in Da Nang and Ho Chi Minh markets, only gerbera and lily are supplied because these are flowers which Da Lat cannot provide due to worse quality than flowers of Tay Tuu. The kinds of flowers to Chinese market are various but only when the flowers of Chinese suppliers are not enough because of bad weather, so this market is not regular.

23. Flower-growing requires many techniques. Besides planting techniques for each kind of flower, the use of plant protection chemicals against different kinds of insects, in each period and for different kinds of flowers with certain dose are also factors affecting the quality of the products. Seed, a very important factor for growing flowers with high value such as lily and gerbera, is the most concern of many flower-growers. The households planting such kinds of flowers have to have capital and a little “risk”. These flowers require big investment and bring about great income but high risk.

24. For lily, the flower seeds are imported every year. But for gerbera, the seeds can be preserved to reuse but it requires preservation means and techniques. Up to 80% of success in keeping seeds of the flowers depends on the preservation techniques in cold storage.

Table 3: Some Technical Elements Relevant to Flower Growing

Flower kinds

Harvest period

Seeds’ requirements Investment/pole (average) (VND)

Interest/year (net profit)

Risk level

Lily (liz) 3 months Imported each crop- lily bulbs have to be processed overseas.

100 – 120 million/ pole


High

Lily (another kind)

2 crops per year

Seeds are imported, bulbs can be kept to use for the next crop and after 1-2 year the bulbs will be replaced.

30 million/ pole 10 – 12 million/ pole

High, bulbs have to be kept in cold storage

Gerbera All year round

Sprout is imported and will be replaced after 3 years.

17 million/ pole 10 – 15 million/ year

Average

Rose After 6 months

Domestic, multiplication 14 million/ pole 10 million/ year Low

Daisy 2 crops/ year

Domestic 9-10 million/ pole 10 million/ year Low

Source: Group discussion in Tay Tuu Commune (2010)

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Flower kinds

Harvest period



Risk level

Lily (liz) 3 months Imported each crop- lily bulbs have to be processed overseas.



Average

Lily (another kind)

2 crops per year

Seeds are imported, bulbs can be kept to use for the next crop and after 1-2 year the bulbs will be replaced.

60-70 million/ pole


Average, bulbs have to be kept in cold storage

Flower kinds

Harvest period



Risk level

Gerbera All year round

Sprout is imported and will be replaced after 3 years.

10-15 million/ pole

17 – 20 million/ year

Average

Rose After 6 months

Domestic, multiplication 10 million/ pole 15 million/ year

Low

Daisy 2 crops/ year

Domestic 5-8 million/ pole 15 million/ year

Low

Source: Group discussion in Tay Tuu Commune (2012)

25. Currently, flower growers in Tay Tuu commune have mastered the technique, so that the level of risk in farming has decreased considerably. However, the risk due to objective conditions brought tends to increase. During the last 5 years the urbanization increased rapidly, many development projects carried out in Tu Liem district, the land acquisition and clearance of projects have caused flooding in cultivated areas. The flowers are also affected.

26. The table shows that among the main kinds of flowers grown by Tay Tuu people, the investment in lily (liz) brings about greatest profit. After 3-month growing, people can plant onion, garlic and other kinds of vegetables to supply the city. When lily bulbs are imported, if the flower-growers cannot plant immediately, the bulbs have to be kept in the cold storage in minus 10 to 8 degrees. Another kind of lily (“loa ken” in Vietnamese) is also popular. The seeds have to be imported. After the first harvest, people can keep the bulbs to use but it requires cold storage to process the bulbs. Therefore, the main reason for many Tay Tuu people afraid of investing in these two kinds of flowers is that they do not have cold storages to keep the seeds. In Tay Tuu Commune, there is one household having 2 cold storages but the degree in the storages is not enough to keep the flower seeds but to process seeds. Other households have to leave the seeds in Me Linh or Quang Ba. The cold-storage rental is more than 10 million VND for 25 days with 40,000 bulbs.

27. Apart from growing flower, Tay Tuu people also plant vegetables such as mustard greens and spice plants (particularly onion and garlic) to increase income and land-use effects. These kinds of plants are useful in improving soil of lily gardens.

28. The challenges for floriculture in Tay Tuu Commune:

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- The land fund is reducing due to the implementation of the transport and industrial zone projects;

- High risk in renting land to grow flowers in the areas around the commune; - Do not have techniques in using plant protection chemicals and flower

growth chemicals; - Difficulties in importing seeds; - No investment in seed preservation means and techniques for different kinds

of flowers; - Competition with other flower-growing areas such as SaPa, Me Linh, Hai

Phong and Hai Duong.

b. Non-agricultural Activities

29. Services account for 74.86% of the economic structure of the commune, mainly involving in renting out houses and opening small shops. These services are now attracting more and more people. Due to the university, college and vocational school in the area and the development of Phu Dien industrial cluster, the physical population growth rate is quite high. In Nguyen Xa Hamlet (the most affected area by depot and access line), there are up to 8,000 students and 2,000 workers renting houses in the area. However, the challenges to such service in the long term are as follows:

- The development of urban areas will acquire land used to build houses/rooms for rent (house grade IV- cheap to students and workers)

- The growing demands of the renters: they tend to rent the houses/rooms with better facilities such as self-contained flats with kitchen and toilet for 2 renters. This tendency is increasing, which requires the people to invest more in building houses/rooms for rent;

- The dormitory plan of Hanoi University of Industry will cause a decrease in the students’ demands to rent houses/rooms outside the university;

- Rapid urbanization speed and strong development of services will cause difficulties for small shops to maintain and develop.

30. Minh Khai people tend to be engaged in non-agricultural activities. More than 33% of the households are public servants, which brings them a stable income source although it is not high. More children can access to better education; however:

- The competition with the labor forces in the city and from other provinces is more intensive;

- The negative impact of the stable income source from rental is that many youths are passive and do not want to manage to find other jobs.

31. Non-agricultural activities of the households in Tay Tuu Commune mainly involve in the occupations to serve flower-growing such as carpentry and welding to build greenhouse and net-house to plant flowers, transport services to retail flowers in the markets, selling plant protection chemicals to the flower-growing households.

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Particularly, there is a household building cold storages to preserve flowers and keep seeds. Four households grow and sell flowers and provide seeds for the whole commune at the same time. Non-agricultural activities in Tay Tuu Commune only account for 40% of the budget revenue.

c. Accessibility to financial service

32. Although they are agricultural communes, their access to credit is quite favorable. Data collected in 2010 shown that Minh Khai Commune has credit balance from Vietnam Bank for Social Policies up to 4.5 billion VND/ year. The loans are mainly for children’s education and building houses for rent. The annual credit balance of Tay Tuu Commune is more than 10 billion VND and the loans are mainly for investment in floriculture. Besides Vietnam Bank for Social Policies, other banks are open for different forms of loans but mortgage is required.

33. Unofficial credits exist in both communes. In Minh Khai, people can gather in groups and take part in a tontine, particularly women’s groups. People pay money everyday (5,000 VND), every week or every month, depending on each tontine. If anyone needs money, he/she will have to pay to take the tontine. This is one of the long-lasting community support ways in the Vietnamese villages.

34. Unofficial credit in Tay Tuu is to lend money with interest. There are some people lending money with high interest rate for the people who need money to buy seeds or plant protection chemicals.

35. According to the commune officials, in fact, people’s demand for borrowing money is quite high. However, the allowed amount of loan from Vietnam Bank for Social Policies is not considerable (about 10 million VND per household), which cannot meet the households’ demands for investment.

36. In the recent years, stock exchange is quite attractive to some people. There are some households, after receiving compensation money, have invested in stock exchange and most of them have lost their money (male group discussion). This is the

0

20

40

60

80

Tay Tuu Minh Khai

Budger revenue proportions of Tay Tuu and Minh Khai communes

Agriculture

Industry

Services

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fact in Tay Tuu Commune where the “role of the women is lower than the men and many women never know how their families’ money is spent” (Head of Women’s Union of Tay Tuu Commune).

37. Similar statistics in 2010, data were collected in 2012 shown that Minh Khai commune has outstanding loans from the Vietnam Bank for Social Policy estimated 5 billion VND. Loans are still focused primarily on education and investing in the build housing for rent and a part of loans used to make capital for small business activities.

38. Credit outstanding of Tay Tuu commune estimated annually is 12 billion VND, up about one billion VND more than in 2010. Loans are mainly for investment in floriculture and vegetable for consumption demand of Hanoi’s people.

39. It is so not difficult to access to credit from social policy and Commercial banks of local people. But to be able to borrow capital, the mortgage loan is needed and obligated. The benefit of borrowing loans from social policy bank is low interest rates of 5-7% per year compared to the 10 - 13% per year of commercial bank. Difficulty for borrowing the credit loans from social policy bank is low credit only 10-15 million VND / household.

d. Accessibility to financial service

40. Based on various sources of livelihood indicated above, analysis with regard to opportunities, difficulties and threats on these livelihood activities are presented in the table below.

Table 4: Opportunities, Difficulties and Threats in the Livelihood Activities of Local People – Analysis by Occupations

Occupations Strengths Weaknesses Opportunities Threats Build house for rent

Having land to develop this kind of service; Construction cost is not high; Stable income;

House is built on agricultural land; This can create jobs for a small number of population; Abundant labour; Social issues; Public infrastructures cannot meet the requirements of natural population increase;

High demand of renting houses of students from universities, colleges and workers in the locality;

Demand of rent rooms/houses is getting higher; there should be higher investment; Many people participate in the services so this service is more competitive; therefore, the service’s quality needs to be improved;

Occupations Strengths Weaknesses Opportunities Threats There is no contract

with the tenants; Small business Meet daily needs

of some workers Only serve the daily essential goods;

This activity can serve students and

The urban area planning and

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and students;

Small capital; Many people do the same business so it is very competitive;

workers (including workers who will work in the depot area); This does not need high capital; It is not necessary to open an individual shops; local people can open shops at their house; Sale skills are not required; the elderly can carry out or help their family;

supermarkets will attract the customers; People tend to go to supermarkets to buy goods as their demand is getting higher in consumption; This activity can provide some retail goods to students and workers; Low interest rate;

Agricultural production Special pomelo Special pomelo

is only in Minh Khai; High value; Suitable growing land;

It lasts a long time from growing to harvest; Climate changes affect strongly the pomelo productivity;

There is nearly no or few opportunity for local people to maintain this special plant area;

The land is reducing due to the fast urbanization speed and high demand of buying land to build house; Planning of urban area has been approved;

Rice and some other crops

The land is suitable to agricultural cultivation; There is irrigation system;

Good value is low; It needs many laborers; The youth does not want to continue growing rice and crops;

There is no opportunity to develop or maintain rice and crops growing;

The land is reducing due to land acquisition for build industrial zone and other services; High competition from the area specializing in rice and vegetables cultivation in Ha Tay, Hai Duong and Hung Yen;

Flower growing in Tay Tuu

Flower growing brings high income; High value; There are flower growing and cultivation skills; There are traders and consumption dealers; It is near the consumption market; Local people have strong attachment to flower growing and do not want to change their occupation

The flower has just met the demand in Ha Noi; Some kinds of flower have low value; The high value flowers have not been developed;

Higher demand of people about high-grade goods; It is near the consumption market so it helps to reduce preservation and transport cost; It is near the center of science and technology so it is possible to get access to new technique; It is possible to develop flowers as an export good if there is great investment; There is investment of the State in an area specializing in flower growing with high technology;

Small capital; The land is getting smaller; There has not been stable supplier of seeds; It depends on the outside suppliers; There has not been standard skills of growing flowers; local people get skills through their own experiences; It is possible to grow some flower types which are suitable to the tropical weather; There is competition from flower growing area in Me Linh, SaPa and Da Lat;

Non-agricultural occupations

High education level; There is policy to support people

Being workers do not bring income as high as growing flowers; It requires high

They can work in the depot area or industrial zones in the locality and Ha Noi;

It is hard to compete with the labour in inner Ha Noi and immigrant labour;

Occupations Strengths Weaknesses Opportunities Threats

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losing land participate in vocational training; There is commitment of the investors that they will employ local people to work in industrial zone or factories on the condition that the workers can meets their requirement;

discipline; Education level requirement is at least finishing secondary school for unskilled labour; It requires that people need skills and experiences to work in the industrial zones;

It is difficult to find a job as expected; There are few vocational training centers which have good quality and good outputs; Abundant labour; the enterprises do not have high demand of employing; Lack of skilled and qualified labour;

41. Consultations with local authorities and DPs found that agricultural production (such as growing flowers and vegetables) are traditional occupation and local people still want to keep. However, in fact the production is still facing on some difficulties: (I) agricultural land is shrinking due to rapid urbanization; (ii) people arbitrarily change of land use purpose from agricultural land to residential land and built temporary house for rent and shops; (iii) Young labor force no longer interested in agricultural production they tend to be active in seeking to convert their own careers, they go to school with the desire to earn a better income;.(iv) some other with lower knowledge, they seek to change the purpose of land use from agriculture land to commercial land; (v) Some other still keep agricultural production, they are willing to lease land else where to grow flowers, cultivation and farming and change themselves the land use purpose with the legitimate desire to meet the demands of urbanization.

42. A strategic direction for production in Tay Tuu and Minh Khai is quite difficult when the process of urbanization is rapid and extensive in the two communes. The analysis of the strengths, weaknesses in the study in 2010 presented in the table above also shows that situation. This orientation should take into account the rules of objective reality and trends of reality’s change.

V. PROJECT IMPACTS ON LIVELIHOODS

43. Agricultural land affected in the 2 communes is quite different. In Tay Tuu commune, the agricultural land affected is mainly land for growing flowers (64,157.5 m2), including rose, daisy and myosotis and growing vegetables with the area of 15,465.3 m2. Meanwhile, in Minh Khai commune, the affected land is mainly land for growing fruit trees, especially the pomelo which brings high economic value in the locality.

a. Project impacts on agricutural and non-agricultural production

44. In the 2 communes, there are total 334 affected households, of which, 232 households are affected due to depot (Phase I) and 102 households are affected by the

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access line and depot (Phase II). Project impact on depot site is agricultural land managed by the households, temporary camps, part of it is under the management of the CPCs and some areas of traffic and irrigation land of the 2 communes. There is no household affected on commercial land used for doing business.

45. Households doing business mainly live in the access line area. The land acquisition for access line will affect 86 households (asset owners). None of households in the access line area are engaged in agricultural production. Small shops and services such as electronic shop, food shops and house for rent concentrate in this location with high number due to the advantage of being near the road. They will have to relocate the resettlement site planned in Xuan Phuong commune or self-relocate to their other plots.

1. Income

46. The survey on income of the affected households shows that average income of the households engaged in agriculture is as follows: they can get income of about VND 60 to 80 million/ha from growing rose and vegetables. For some other flowers such as gerbera and lily, the income is higher. For households having rooms for rent, their average income is about VND 6-7 million per month if they have 10 rooms for rent.

Table 5:Average Per Capita Income Per Capita Income per Month (in VND)

Depot Access Line Total Number Percent

329,000 and below 11 4 15 5.0

330,000 – 499,000 6 1 7 2.3%

500,000 – 999,000 48 3 51 17.0%

1,000,000 – 1,999,999 96 13 109 36.3%

2,000,000 – 2,999,999 44 16 60 20.0%

3,000,000 – 3,999,999 12 6 18 6.0%

4,000,000 – 4,999,999 5 5 10 3.3%

5,000,000 and above 8 22 30 10.0%

Total 230 70 300 100.0%

Source: Socio-economic survey in Depot and access line – 2010.

47. The result of socio-economic survey in August 2012 show monthly income of population located along access line and depot (phase II) considerably increased in comparison with their income in 2010. Details of monthly income of population are shown in Table 6 below.

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Table 6: Monthly Income of Interviewed Affected People in Tay Tuu & Minh Khai Communes


2011 2012 Tay Tuu

Commune Minh Khai Commune

Tay Tuu Commune

Minh Khai Commune

HH % HH % HH % HH %

Under VND 1,000,000 2 7.1 0 0 0 0 0 0

From VND 1,000,000 to 3,000,000

4 14.3 0 0 1 3.6 0 0

From VND 3,000,000 to 5,000,000

7 25.0 1 50.0 10 35.7 2 100


2011 2012 Tay Tuu

Commune Minh Khai Commune

Tay Tuu Commune

Minh Khai Commune

HH % HH % HH % HH %

Over VND 5,000,000 13 53.5 1 50.0 17 60.7 0 0 Total 28 100 2 100 28 100 2 100Source: Socio-economic survey in Depot and access line – 2012

48. For flower-growing households who suffer from land loss: renting land elsewhere to keep growing flower is common for these households. In the past, renting land is not special case. Almost all households in Tay Tuu have ever rent land in surrounding area to grow flower, however, due to many changes, at present, local people have to go far to rent land, even 20 km far from their houses. Renting land in far location has directly made the input cost increase (cost of renting land, protection cost, transport cost, etc.). These input costs have made income of them reduce; their current income can only account for 70% of the previous income. However, some households think that they have higher income due to change of flower seeds and the fact that some flowers bring higher quality and productivity on new land (such as madona-lily and gerbera).

49. Regarding households in Minh Khai commune, the households are affected on agricultural land, losing income from growing pomelo. Now, they have changed to do small business by opening rooms for rent. Their income has been higher for 2 years from doing business than growing pomelo. However, for these households, their service has been going down as the students now have higher demand of the room quality. But these households do not have enough money to re-invest in improvement of the houses for rent.

2. Threats

50. According to consultation result in the field, it is shown that the affected people expect to keep their jobs; there are few people who want to change their jobs. They think that for people over the age of 20, it is difficult to change their jobs. Occupational change should be focus on the age-group of 18-30 if at present, they are still jobless.

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51. Trend of occupational change of the affected households is not clear at the time being. Result of the survey carried out in 2010 in depot area (phase 1) with 230 households showed that 61.7 % of the households affected in the depot area had not changed their jobs; 10.9 % of the households rented land in other locations for production; 5.7 % of the households had changed to do business; 5.2 % of households had built houses for rent and 7.8 % of the households reemployed to do seasonal work.

Table 7: Impact of Land Acquisition and Trend of Occupational Change of the Affected People

Occupational changes of the households Number %

Hired labor 18 7.8

Rent land in other location for cultivation 25 10.9

Change to do business 13 5.7

Improve skills and increase productivity 20 8.7

Build house for rent 12 5.2

No information (no change) 142 61.7

Total 230 100.0

Source: Socio-economic survey in Depot and access line – 2010

52. Survey result in 2010 on the demand of affected people shows that in agriculture, almost all affected households still want to keep agricultural production with traditional job of growing flowers and breeding development which provides fertilizer serving flower and fruit trees growing and provides food for the city. Besides, land and irrigation system improvement is also a priority in agriculture.

53. Survey result in 2012 showed that the above status of affected households’ occupation is still valid because most of the affected households have lost agricultural land are located in unfavorable geographic location and the land is far from the roads; the land they lost without the ability to change to the business purpose or to build houses for rent, so they continued agricultural production. The access line and Depot (Phase II) is located adjacent to Highway No. 70 and road No.32, so that households changed the land use from agricultural to non-agriculture i.e house for rent, and other small business activities.

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Table 8: Demand of livelihood restoration of the affected people in project area

No. Type of support Number Percent of

interviewees I Agriculture

Maintain agricultural production 63 27.9

Supply of service land 2 0.9

Policies assistance 2 0.9

No response 77 35.5

II Productivity enhancement support

Land improvement support 25 10,9

Irrigation system improvement support 1 0.4

No response 118 51.3

III Training and job support

Vocational training and job support 35 15.2

Investment in education for the children 9 3.9


IV Micro-credit support

Borrow money for doing business and production 29 12.6

Assistance of borrowing procedures 1 0.4

Interest rate support 1 0.4


V Other supports

Requirement of support and compensation 18 7.8

Resettlement land 4 1.7

Supply of service land 16 7.0

Subsidy on agricultural product 1 0.4

Assistance of land procedures 2 0.9

Ensure social security 3 1.3

No response 98 42.6

Source: Socio-economic survey in Depot and access line – 2010

54. Socio-economic surveys conducted in 2012 among 30 households showed that there are 7 households having main income sources from agricultural production. Others have incomes from various activities as follows: 20 households have income from business services, 13 households have income from house building for rent, 5 households with wage income, and social supports.

55. Consultations undertaken with DPs at 2 communes under Depot 1 (33 households in Tay Tuu and 7 households in Minh Khai), noted that DPs wish to be supported with job training to work in the Metro system or provided with credit to support their house repairs and business activities. A few DPs request for additional support for more intensive agricultural production.

56. Most DPs care about vocational training and occupational change for their children due to the fact that fast urbanization process occurs and there is risk of losing agricultural land of the communes as there are many projects in planning process.

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57. Requirements of the micro-credit activities include capital assistance for doing business; borrowing procedures and interest rate are presented by the affected people. According to them, this is one of solutions to carry out livelihood development activities.

58. Besides, much other assistance such as compensation, supply of resettlement land, subsidy on agricultural products and ensuring social security, especially for people in family under preferential treatment policy, the single elderly, women who head the households, are also mentioned in the support for livelihood development in the locality.

Table 9: SWOT Analysis on Opportunities and Threats to Livelihood Restoration for Affected People in Tay Tuu and Minh Khai

Strengths of the locality (S) Weaknesses of the locality (W) Geographical location and infrastructure:- The suburban area close to Ha Noi city has fast urbanization speed which creates advantages for the socio-economic development. -Having many medium and small industrial zones, universities and colleges; - Having consumption markets for the products Support policies - People can get access to the science and technology and apply directly in agricultural production and breeding activities. - Easy access to the loans Human resource - Many people are at working age; it is possible to change and diversify occupations; - Possible to quickly approach to new aspects

- The land fund is limited; land price is high so it is difficult to expand production - The area of agricultural land is small; affected people find it difficult to be compensated according to the method “land for land”. - Other projects will be carried out in the locality and there is still risk of land loss - Agricultural expansion and transfer of science and technology to people are not carried out regularly - There is requirement of mortgage; high interest rate and borrowing duration is short Human resource Education level is low; there is no auxiliary jobs;

Opportunities for livelihood restoration (O) Threats to livelihood restoration (T) - Having traditional job of growing flowers and the traditional fruit areas can be developed in future. - It is near Ha Noi so there are more opportunities to find jobs and change jobs than other rural areas;

- There is no additional land fund for the people losing land - In many other projects, there are plans of land acquisition.

Opportunities for livelihood restoration (O) Threats to livelihood restoration (T) - Affected people can find jobs from the project when the project is put into operation. Opportunities of stabilizing incomes - Producing flowers which have high value and suitable to export market - Breeding is carried out according to industrial trend and environment protection - Doing business - Job changes are based on human resource

- It is hard to protect the land when local people have to rent land in other communes which are far from their houses; this is not stable; - Flower quality has not met the requirement for export market - Jobless and poor situation can occur for the affected people who lose land and shops. - Local people do not want to change job as income from growing flower is higher than income of a worker in industrial zones. - Low educational level make people find it difficult to access to high technical occupation; - Breeding is not possible to develop as it seems not to be encouraged.

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I. POTENTIAL LIVELIHOOD ACTIVITIES IN THE PROJECT AREA

59. As the project area is located in suburb of Ha Noi city and in urbanized area with many state-owned or private industrial zones, universities, colleges and priority projects of the city, potential livelihood activities are quite various. It seems easier for local people in general and affected people in particular to get access to jobs than people in other rural areas since they have more opportunities. However, access capability to jobs still depends on age-group, gender and education level. Survey result in 2010 on potential occupations in the locality shows that opportunities for affected people to access and change their jobs are as follows:

Table 10: Potential Livelihood Activities for Affected People

No. Occupation Subject Requirement

1 Workers (mechanics, garment, construction, etc.)

All people (male and female) under the age of 30

Trained in vocational training school

2 Officials, high skilled labour All people in working age (male and female)

Trained in university or college

3 Doing business and service All people No

4 Driver (Taxi, transport service, tourism, etc)

Male in working age with demands Having driver license and mortgage

5 Labour export to Middle Eastern and Asian countries

People in working age At least, finishing secondary school

6 Unskilled labour (staffs in the restaurant, hotels, etc)

All people with demands. No

7 Agricultural production (flower, vegetable, fruit serving Ha Noi’s demand, etc...)

All people No

60. Besides, there should be long-term plan for people at school age with vocational orientation for their future by taking examination to college or university. This does not only needs family’s support but also awareness of the youth and future vocational orientation in order to quit agricultural work under the situation of urbanization. This can be considered as one of the sustainable occupational changes for the next generation of project affected people.

61. This report aims to present the main demands of affected households and local authority on livelihood restoration of socio-economic conditions of not only the severely affected and vulnerable households and as also of community of affected people and beneficiaries. This Supplementary Assistance Plan developed and will be applied for affected people by access line and also for their community. Other Supplementary Assistance Plan should be developed for affected people and their communities located along the alignment of the Project from Hanoi Station to Access Line and Nhon Depot.

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62. The preparation of livelihood restoration and development should ensure sustainability, mitigation of risks and in harmony with the culture and traditional customs of the community. As mentioned above, beneficiaries of this program will include:

o Severely affected households who lost more than 10% agricultural land of the total cultivation land/productive income and who permanently lost business places because those have much difficulties in restoring production and economic after land acquisition.

o Households who belong to poor and vulnerable groups in the communes, as well as community of affected people and project beneficiaries.

63. The consultations conducted in August and September 2012 with local authorities, social organizations of two communes, affected people by Depot Phase 1, affected people by Access Line and Depot (phase II) show three following demands/measures can help local people to restore and improve their incomes and living standards.

Component 1: Assistance for Training and Creation of New Jobs in Metro Rail System

64. The affected households, representatives of social organizations and local authority of affected communes are willing for the project/Hanoi Metropolitan Rail Transport Project (MRB) to assist their qualified people to change jobs towards metro rail system through vocational training in such professions as: mechanics, electronics/computers, metro driver, construction worker, etc. MRB will implement a strategy of preferential recruitment of persons from affected households for Hanoi Metros skilled labour needs based on criteria for people who have high capacity and good qualification in order to meet metro’s demand of skilled workers for labour in new technology. After vocational training, the MRB will also be responsible to direct recruit and assist trained people to be allocated jobs to have stable income. At the moment HN PC entrusted MRB to prepare a draft of setting up an O & M Agency. This O&M will be responsible to develop a specific training program for these affected households.

65. MRB will discuss with HNPC and Tu Liem DPC to give priorities for affected households to access credit for development new business/economic activities.

66. Participants of this component are mainly male and female youth in working age (above 18 years old to under 35 years old) who wish to change occupation. However, participants of this component have to satisfy all conditions of training provided by MRB.

67. Budget for vocational training and creation of new jobs in metro rail system will be depending on number of people involving in the training courses, and different branches of works.

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68. Budget for vocational training should be included in this Supplementary Assistance Plan. A discussion with the Hanoi Vocational College of High Technology and we can obtain an estimated budget for different training courses is presented in the table 11bellow.

Table 11: Summary of Costs Estimates for Vocational Training Courses Training Branches Levels Type of

course Duration Fees (VND) Fees

(USD)

1

Appliance installation

Diploma Full-time 3 years 25,000,000 1,199

Secondary Full-time 2 years 17,000,000 815

Elementary Part-time 3-6 months 3,000,000 – 6,000,000

144 - 288

2

Electrical installation & maintenance in industry




144 - 288

3

Electrical industry




144 - 288

4

Welding




144 - 288

5

Electronics manufacturing




144 - 288

The rate of exchange is VND 20,850 per U$ Source: Hanoi Vocational College of High Technology – Survey in November 2012.

69. The result of investigation with the Hanoi Vocational College of High Technology shown a provision of an average of budget for a training course in 2-3 years of a trainee is VND 21,000,000 (US$ 1,007); and for a training course in 3-6 months is VND 4,500,000 (US$ 216).

70. An estimated number of laborers will participate in the different training courses is 250, of which 150 laborers will be trained full-time and 100 laborers in part-time. The costs estimates would be VND 3,600,000 (US$ 172,650), of which:

(i) 150 laborers x US$ 1,007 = US$ 151,050 (full-time). (ii) 100 laborers x US$ 216 = 21,600 (part-time).

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Component 2: Assistance of Micro-Credit Fund

71. Consultations with households in Minh Khai commune who lost their land due to the construction of Depot Phase 1 showed that most of affected households no longer have agricultural land and have had to switch careers from agricultural production to small business, or build houses for workers, students renting. They are willing to easily access credit bodies for their long-term loans so that they can develop trade and business. On the basis of research, survey and assessment of the status of life and income of households lost their land due to construction of the Depot and their borrowing requirements, MRB had committed to discuss with HNPC and Tu Liem DPC to give priorities for and ensure that all affected households can easily to access micro-credit for development new business and economic activities.

II. IMPLEMENTATION ARRANGEMENTS

72. Ha Noi People’s Committee is responsible to support the project implementation; Ha Noi Center for Land Fund Development is in charge of direction and co-operation with the local authority (Tu Liem DPC and relevant communes) to carry out land fund adjustment for the affected people, prepare resettlement plan and assistance for livelihood restoration after land acquisition.

73. The Ha Noi Metropolitan Rail Transport Project Board (MRB) is the main organ to directly manage the project implementation, under the direction of Ha Noi People’s Committee; departments of the MRB will co-operate with the local authority to carry out activities related to resettlement and livelihood restoration for the affected people.

74. Tu Liem District People’s Committee will co-operate with the Ha Noi Center for Land fund development and the PMU to make plan and conduct implementation arrangement.

75. A specialized technical assistance team will be engaged under the direction of Tu Liem DPC to carry out assistance activities for livelihood restoration and to ensure that the activities are associated with the resettlement activities and other projects carried out in the locality. The technical assistance team will prepare specific plan for each activity, conduct implementation and monitoring on the implementation process at the locality. During the implementation process, the team can co-operate with the specialized organs within and outside the district, consultancy agency and other social organizations to comprehensively implement all components of the livelihood development plan.

76. The Commune People’s Committee and the mass organizations of Minh Khai and Tay Tuu communesare responsible to co-operate with the PMU, specialized organs

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of Ha Noi city, Tu Liem district and the technical assistance agencies to promote local people in the hamlets, communes, DPs to carry out livelihood restoration activities as well as participate in monitoring process of the livelihood development activities.

77. Implementation arrangement chart of supplementary assistance plan is shown in Figure 1 Implementation Chart below.

III. COST ESTIMATES

Item Estimated costs

VND USD 1 Trainings for 250 laborers 3,600,000,000 172,650

IV. IMPLEMENTATION SCHEDULE

78. The program duration is expected to be on a two-year period. Evaluation of the pilot activities will be carried out on the 12 month and will again carry out another cycle of planning for the 2nd year depending on the success and limitation of the program. The consultants engaged by MRB will assist in the continuous implementation of the IRP and will provide back-stop support as and when necessary.

Implementation team – consultants and professional

officials of the district

Affected community

Tu Liem DPC MRB

Organizations at district level

PMU

Political and social organizations in the locality and

NGOs

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V. MONITORING

79. Internal Monitoring. The MRB and its consultants will hold a series of meetings with the participants and develop a set of monitoring indicators at the beginning of the program implementation. Issues identified for immediate action will immediately be referred to the concerned office. Modifications in the program based on the progress and lessons learned in the course of program and additional funds to cover additional activities and support to vulnerable households will be provided as and when necessary. Progress reports will be submitted to ADB.

80. External Monitoring. An External Monitoring Agency (EMA) to be hired by MRB to carry out its own assessment of resettlement implementation will also cover this program. This agency will develop a set of evaluation indicators for this purpose. EMA's monitoring reports will provide MRB time-bound action plan which will cover identification of problems, issues and recommended solutions, so that MRB and its consultants are informed about the ongoing situation, and can improve or resolve problems in timely manner.

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LIST OF INTERVIEWEES IN 2012

1. List of participants in the Consultation Meeting in Tay Tuu commune

No Name Position Organization

1 Le Van Viet Chairman of the CPC Tay Tuu Commune

2 Vu Dinh Loan Administration Secretary Tay Tuu Commune

3 Nguyen Viet Manh Chairman of Farmer’s Association Tay Tuu Commune

4 Dang Tran Thuy DONRE Tay Tuu Commune

5 Vu Dinh Phuong Chairman of Fatherland Front Tay Tuu Commune

6 Nguyen Phan Doan Secretary of Communist Party Tay Tuu Commune

7 Nguyen Van Nham Head of Co-operative No. 2 Tay Tuu Commune

8 Chu Huu Vien Chief of Ha Village Tay Tuu Commune

9 Bui Trung Hoa Vice-Chairman of the CPC Tay Tuu Commune

10 Nguyen Khac Nhuong Head of Co-operative No. 3 Tay Tuu Commune

11 Pham Van Minh Resettlement Department MRB

12 Tran Tuan Anh Resettlement Department MRB

13 Nguyen Anh Thang Head of Resettlement Department MRB

14 Dinh Duy Hoa Head of Co-operative No. 1 Tay Tuu Commune

15 Nguyen Viet Trung Affected person Tay Tuu Commune

16 Nguyen Thi Quyen Affected person Tay Tuu Commune

17 Nguyen Thi Bich Affected person Tay Tuu Commune

18 Nguyen Thi Thuan Affected person Tay Tuu Commune

19 Nguyen Thi Thanh Affected person Tay Tuu Commune

20 Nguyen Thi Ty Affected person Tay Tuu Commune

21 Nguyen Khac Xuan Affected person Tay Tuu Commune

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2. List of Participants in the Consultation Meeting in Minh Khai Commune

No. Name Position Organization

1 Nguyen Van Sy Chairman of the CPC Minh Khai Commune

2 Vuong Van Than Secretary of Communist Party Minh Khai Commune

3 Nguyen Van Quyen Chairman of Farmer’s Association Minh Khai Commune

4 Nguyen Ngoc Toan Land manager Minh Khai Commune

5 Nguyen Van Tha Chairman of Fatherland Front Minh Khai Commune

6 Vu Dinh Than Vice-Chairman of the CPC Minh Khai Commune

7 Nguyen Trong Hat Head of Nguyen Xa Village Minh Khai Commune

8 Nguyen Trong Bang Secretary of Nguyen Xa Village Minh Khai Commune

9 Pham Quang Hung Vice-Chairman of the CPC Minh Khai Commune

10 Nguyen Trong Quynh Head of Co-operative Minh Khai Commune

11 Nguyen Viet Han Administration department Minh Khai Commune

12 Nguyen Van Hung Youth Union Minh Khai Commune

13 Nguyen Thi Chuyen DOLISA of commune Minh Khai Commune

14 Hoang Thi Chien Administration office Minh Khai Commune

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ANNEX 3: PUBLIC INFORMATION BROCHURE

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PEOPLE’S COMMITTEE OF HANOI CITY

Hanoi Metro Pilot Metro Line Section: Hanoi Station – Nhon Depot

PROJECT INFORMATION

Provided by:

HANOI METROPOLITAN RAIL TRANSPORT BOARD

Address: 8 Ho Xuan Huong Street, Hai Ba Trung District, Hanoi Tel: 04 – 39 435 126 Fax: 04 – 39 435 126 General Director : Nguyen Quang Manh

HANOI December 2013

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1. What is the Hanoi Metro Pilot Line Project? Answer: Hanoi People's Committee invests the Hanoi Metro Pilot Line Project, section Nhon - Hanoi Railway Station with a length is about 12.5 km, including 3.6 km underground, 8.4 km elevated, and 500 m of access line and depot, workshop and mechanical-electrical system with 14 buildings. This railway station will start from Nhon to Hanoi station with 11 stations, including eight elevated stations and 4 underground stations. The project will be implemented in six years, from 2010 to 2016.

2. What are the resettlement impacts? Answer: There will be a permanent land acquisition and temporarily land acquisition during construction. However, the design of the project will try to avoid or minimize land acquisition and resettlement for the people. A preliminary survey and inventory of the damage can occur due to road construction carried out in April 2010. The survey results showed that about 161 households is considered to be affected by the project, in which one of them will have to move. The total area of land will be acquired about 21.678m2, mainly land agriculture. After detailed planning and design, the district compensation boards will conduct DMS and prepare compensation plan.

3. Our land will be acquired and how is to be compensated? Answer: For agricultural land recovered will be compensated in cash at the price of the actual transfer of land use rights at the market price in normal conditions. If agricultural land is recovered in the same plot of land with the house but not recognized as residential land, agricultural land within the administrative boundaries of commune/wards in rural areas, in addition to compensation under Article 13 of Decision 108/2009/QD-UBND of Hanoi City People's Committee. For the recovered land in one of seven conditions as stipulated in Article 7 of Decision 108 shall be compensated according to actual land use right transfer at the market price in normal conditions. The compensation and support for the recovered land in accordance with the provisions of Articles 17, 18, 19, 21, 22, 23 and 24 of Decision 108.

4. How is compensation for house and structures? Answer: Houses and other structures affected with permit or without permit prior to 01 July 2004 on land eligible for compensation under Article 7 of Decision 108 will be paid at 100% of construction prices in accordance with Article 31 of Decision 108. Houses and agricultural land or land not eligible for compensation will be supported by Article 32 of Decision No.108. Compensation prices for houses, structures by Decision 35/2011/QD-UBND dated 5/12/2011. In addition, APs will be supported the cost of demolition by 10% of the current value of the property.

5. How is compensation for trees and crops? Answer: Yes. Trees, crops and livestock affected will be compensated in accordance with Article 36 of Decision 108. Compensation for trees, crops and livestock are updated every 6 months. No compensation, support for the event was to harvest.

6. How is compensation for public assets? Answer: The public properties affected will be compensated, and supported under the Article 37 of Decision 108.

7. How is compensation if DPs have to move their residence or shops, or loss of cultivated land? Answer: In addition to compensation for land and other assets, the project will assist to restore living standards and income of DPs at least the same or better as before project. The project will provide the following assistances to the affected people:

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(i) Transportation assistance will be provided to the affected people who have to relocate to transport furniture and building materials to the new location. Level of assistance regulated by Article 38 of Decision No.108.

(ii) Life Stabilization Assistance will be provided to severely affected households to be relocated in the transition period. Level of allowance under Article 39 of Decision 108. Land loss less than 30% of the total land area of existing production and the rest is not enough to generate income for households whose livelihoods and household income depends entirely on land, the assistance will be provided to DPs the same as those lost more than 30% of land.

(iii) Assistance for rent house rent assistance will be provided to the displaced households to assist them to obtain temporary accommodation while waiting for new home construction. A rent subsidy for six months for completely dismantled and the three months if only partly dismantled. Self/individual-relocation support will be VND 100 million.

(iv) Business recovery assistance will be provided to households under Article 39 of Decision 108. Those who work for the affected households/businesses will be compensated in accordance with Article 39 of Decision 108.

(v) Assistance for training and job creation will be provided to the affected people with main income from agriculture and will be under Article 40 of Decision 108.

(vi) Agricultural Extension will be granted to severely affected farmers, but still have agricultural land. They will receive extension support to increase productivity on remaining land.

(vii) Social Support is provided to vulnerable groups, including the poor, elderly and helpless, female-headed households, the disabled, invalids. Level of support from VND 3-7 million under Article 42 of Decision 108.

(viii) Bonus is provided to the affected people with their houses, structures to be dismantled and moved and hand over the site to the project on time. Reward levels as prescribed in Article 43 of Decision 108.

8. If DPs do not agree on compensation prices or problems arise during implementation of the project as a dispute, can DPs complain?

Answer: Yes. Any affected person can complain if he or she is not satisfied on any issues related to compensation. DPs will be informed both orally and in writing in the community consultation meetings, and while paying compensation on rights and complaint procedures. DPs may present their recommendations to the local government, the officials of the relevant project management Board and compensation committee. DPs will be exempt from all administrative costs related to the complaint.

9. When will the Project start?

Answer: According to plan, the project will be started in 2010 and end in 2016. Civil works at the depot (phase II) and access line will only begin after DPs have been compensated and assisted and have handed-over the land for the project.

10. As citizens of Hanoi City, how can affected people participate in the project?

Answer: The affected people can participate in all consultation meetings and other activities related to the project to ensure that affected people are fully informed and reviews

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of affected people to be heard and explained. The active participation of affected persons during survey, detailed design and implementation of the project will help identify measures to minimize the impacts, identify existing and potential problems hide, and find solutions to remedy the problem. Affected people will hand over their land to the project after receiving full compensation.

11. How to know whether the project objectives can be achieved?

Answer: The Project Management Board will supervise all activities of the project. The quarterly report will be written and submitted to the City People's Committee and ADB. A final resettlement assessment will be carried out to assess whether the objectives of the compensation and resettlement stated in the resettlement plan has been achieved and necessary adjustments (if needed). An independent external monitoring agency and ADB will monitor the process of resettlement activities implementation.

If the affected people have additional questions or concerns, please contact us at the address and phone number below:

Center for Land Fund Development of Tu Liem district Mr Nguyen Trung Nghia: Deputy Director Tel:04-22148881 Add: No.6 Lien Co Street, CauDienTown, Tu Liem District Hanoi Metropolitan Rail Transport Board Mr. Nguyen Quang Manh: General Director Tel: 04- 39435 127 Add: No. 8 Ho Xuan Huong Street, Hai Ba Trung District, Hanoi

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ANNEX 4: OUTLINE OF PROJECT AREA AND LOCATION

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ANNEX 5: LIST OF LIVELIHOOD IMPROVEMENT SUPPORT IMPLEMENTED IN THE AFFECTED COMMUNES DURING 2010- 2013

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1. RESULT OF PRODUCTION DEVELOPMENT, INCOME IMPROVEMENT FOR PEOPLE IN TAY TUU COMMUNE (FROM 2010-2012)

No.

Fund sources Professional training Technical transfer training

ST Activities Production plan

Effective production model )

Central fund

City/provincial- district, commune fund (million dong)

Credit fund

No. of training courses

No. of participants

No. of training courses has been implementing

No. of participants

Total fund (million dong)

1 In 2010 - Flower growing

project (support of flower seed)

1 894,034

2 In 2011 - Training on flower

growing 1 35

- Training on cooking

1 35

- Flower growing project

596,022

- Lily flower growing

1 290

3 In 2012 - Carnation

growing model 1 300

- Auspicious flower growing model

1 60

- Training on flower growing techniques

1 5 50

Hire consultants Total 1 3 0 2179 0 2 70 1 5 50

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2. LIST OF PROGRAMS AND INVESTMENT PROJECTS WHICH HAVE BEEN IMPLEMENTED IN TAY TUU during 2009-2013

No. Name of programs/projects Start of implementation

year End of implementation

year Total investment

(VND) Number of benefited

HHs

1 New rural development program 2011 2013

people contribution equipped road lights for 7

villages (11.6km)

22.2 billion dong by 1620 working days

Improve cultural works, temples, pagoda,

irrigation canal, drainage canal, lighting system in

the commune area

2 Repair, improve, upgrade the

existing village roads 2013 2013 1 billion dong 15 routes of villages

3 New communal clinic construction

project 2013 2013 5,288 HHs

4 Improve, upgrade road and

infrastructure along villages : 1,2,3 2011 2013

5 Improve and upgrade regional road

No. 2,3,4 2012 2012 1325

6 Improve and upgrade regional road

No. 5,6,7,8 in village No. 2 and areas: 9,10,12 village 3

2012 2012 2610

7 Newly construction of Communal

cultural Center 2012 2012 5,288 HHs

8 Widen the communal cemetery 2010 2013 26 billion dong 5,288 HHs

9 Construct 6 low voltage stations 2012 2012 0.9 billion 5,288 HHs

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No. Name of programs/projects Start of implementation

year End of implementation

year Total investment

(VND) Number of benefited

HHs

10 Construct transportation road for

flower area 2010 2013 42 billion dong Whole commune area

11 Equip for 4 village cultural houses 2010 2010 997 million dong Whole commune area

12 Consolidate the activities of 3

cooperatives 2012 2013 150 million dong

Cooperative member of 3 cooperatives

13 Rural fresh water project 2012 2012 Whole commune area

14 Production development credit

through civil societies 2009 2013 6.436.850.000 dong 402 HHs

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3. SUMMARY OF IMPLEMENTATION INFRASTRUCTURE INVESTEMENT PROJECT DURING 2010-2013

No. Activities Unit Quantity Fund resources (million dong)

Total fund Central

fund City fund

District fund

commune fund

1 Transportation

Improve, upgrade road and infrastructure along

villages : 1,2,3 40,500 150

Improve and upgrade regional road No. 2,3,4

Km 4,017

Improve and upgrade regional road No. 5,6,7,8 in village No. 2 and areas: 9,10,12 village 3

Km 2.3 6,901 Concretized main internal field road km 2

2 Irrigation 864 Replace three new drainage culverts no. 725

Reconstruct 3 cooperative pumping stations

no. 3 684 3 Electricity 3

Improve electricity grid system km 4 School 3.6

Improve and upgrade Kindergarten for villages 1 and 2 no. 1,466

Newly construct kindergarten in commune center no. 2

Newly construct 3 floor buildings for TayTuuSecondary school no. 1 12,170

5 Cultural house 1 Newly construct village cultural house no. 1,274 27,390

6 Health care 1 864 7 Environment 3

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No. Activities Unit Quantity Fund resources (million dong)

Total fund Central

fund City fund

District fund

commune fund

Stone embankment and improve environment around Go pond

8 Radio 3,888 Newly equip cordless radio system system 1 1,500 2,550

9 Other Equipment for commune 941

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