Involuntary Resettlement Assessment and Measures · 2014-09-29 · Categories of APs envisaged to have the legal right to build a structure: (i) APs with written permission issued

Involuntary Resettlement Assessment and Measures

Resettlement Plan Document Stage: Draft Project Number: 41456 October 2010

Multitranche Financing Facility Socialist Republic of Viet Nam: Water Sector Investment Program—Project 1 The 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.

Prepared by SAWACO

REPORT

TA 7091- VIE Ho Chi Minh City Water Supply Project Rehabilitation and Commissioning of 8 Existing Water Towers Draft Resettlement Plan Prepared for SAWACO DATE: OCTOBER 2010

QUALITY ASSURANCE STATEMENT PROJECT MANAGER REVIEWED BY John Block

PREPARED BY APPROVED FOR ISSUE BY Pierre Arnoux/Dang Huu Luu

REVISION SCHEDULE Rev No Date Description Prepared By Reviewed By Approved By

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CURRENCY EQUIVALENTS

For this draft, the rate of $1 USD: VND 18 000 has been used.

ACRONYMS AND ABBREVIATIONS

ADB – Asian Development Bank CMD – Cubic Meter per Day APC – District People’s Committee AP – Displaced Person DMS – Detailed Measurement Survey DRC – District Resettlement Committee GOV – Government of Viet Nam HH – Household HCMC – Ho Chi Minh City IMA – Independent Monitoring Agency IOL – Inventory of Losses LURC MOC

– –

Land Use Right Certificate Ministry of Construction

NGO – Non-Government Organization NRW – Non Revenue Water PIB PMU

– –

Project Information Booklet Project Management Unit

PPC – Provincial People’s Committee PRC – Provincial Resettlement Committee RP – Resettlement Plan RC – Resettlement Committee RCS – Replacement Cost Survey SEID – Southeast Asia Infrastructure Division SAWACO – Saigon Water Corporation SES RP

– –

Socio-economic Survey Resettlement Plan

VND – Vietnamese Dong WPC – Ward People Committee WS – Water Supply WT – Water Tower WTP – Water Treatment Plant

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GLOSSARY

Compensation Payment in cash or in kind to replace losses of land, housing income, and other assets caused by the Project.

Cut-off Date The cut-off date for eligibility for entitlements will be the end of the detailed measurement survey (after completion of the detailed design of the components).

Eligibility Any person who, at the cut-off date was located within the affected area of the Project or any component or sub-project thereof and would be considered to be a Displaced Person.

Involuntary Resettlement

Addresses social and economic impacts that are permanent or temporary and are i) caused by acquisition of land and other fixed assets, ii) change in the use of land, or iii) restrictions imposed on land as a result of an ADB operation., or) iv) loss of resources, and means of livelihood or v) social support systems, which people suffer as a result of the project and project components

Land Acquisition

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

Legal Users of Structures

Categories of APs envisaged to have the legal right to build a structure: (i) APs with written permission issued by the relevant authority, (ii) APs who are in the process of obtaining a permanent LURC from the relevant authority and have the document to prove it are considered as having the legal right to build structures, (iii) APs who obtained ownership certificates or legalized certificates for their houses or structures between the cut-off date and the implementation date of the Project, issued by the provincial or district people’s committee.

Monitoring The Process of regularly measuring the progress in effectively completing the project activities and in achieving the goal and objectives of the Project. Monitoring provides all stakeholders with continuous feedback on implementation. It identifies current or potential successes and problems as early as possible so as to facilitate corrections during the Project implementation.

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.

Rehabilitation Rehabilitation measures include re-establishment of incomes, livelihoods and social systems. Measures include a) restoration of access to public facilities, infrastructure and services, b) mitigation of the loss of access to cultural sites, public services, water resources, grazing or forest resources through the establishment of access to equivalent or culturally acceptable resources and income-earning opportunities. These measures are determined in consultation with affected communities, even when their rights are not formally recognized in national legislation.

Relocation Rebuilding of house assets and public infrastructure in another location.

Resettlement Plan

A time-bound action plan with a budget setting out the resettlement strategy, objectives, entitlements, actions, responsibilities and arrangements for monitoring and evaluation.

Resettlement Effects

All negative situations directly caused by the Project, including loss of land, property income generation opportunities and cultural assets

Vulnerable Groups

Distinct groups of people who might suffer disproportionately from resettlement effects, including the poor, landless and semi-landless, female-headed, disabled and elderly households without means of support and those from minority groups.

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CONTENTS Currency Equivalents ..................................................................................................................................... i

GLOSSARY .................................................................................................................................................. ii

EXECUTIVE SUMMARY ............................................................................................................................. vi

1 Project Description.............................................................................................................................. 1 1.1 Project Background ............................................................................................................. 1 1.2 Project Components............................................................................................................ 1 1.3 Rehabilitation of 8 Elevated Tanks...................................................................................... 1

1.3.1 Characteristics and Location................................................................................ 1 1.3.2 Purpose of the rehabilitation ................................................................................ 3 1.3.3 Type of work needed ........................................................................................... 3

1.4 Preparation of the Resettlement Plan ................................................................................. 4

2 Objectives, Policy Framework and Entitlements ................................................................................ 6 2.1 Relevant Vietnamese Legislation ........................................................................................ 6

2.1.1 National Regulations............................................................................................ 6 2.1.2 Ho Chi Minh City Regulations .............................................................................. 6

2.2 ADB Policies on Involuntary Resettlement and other Relevant Policies............................. 6 2.3 Key Differences between GoV and ADB Policies on Involuntary Resettlement ................. 6

3 PROJECT POLICIES.......................................................................................................................... 6 3.1 Objectives............................................................................................................................ 6 3.2 Reconciliation of Government and ADB Policy on Resettlement........................................ 6 3.3 Cut-off Date and Eligibility ................................................................................................... 6 3.4 Principle of Replacement Cost ............................................................................................ 6

4 Land Acquisition and Resettlement Impacts ...................................................................................... 6 4.1 Methodology ........................................................................................................................ 6

4.1.1 Census and Inventory of Losses.......................................................................... 6 4.2 Measures undertaken to minimize resettlement impacts .................................................... 6 4.3 Project Impacts.................................................................................................................... 6

5 PROJECT ENTITLEMENT ................................................................................................................. 6

6 SOCIOECONOMIC CONDITIONS..................................................................................................... 6 6.1 Socioeconomic Characteristics ........................................................................................... 6

6.1.1 Land Tenure Status.............................................................................................. 6 6.1.2 Type of Buildings Affected ................................................................................... 6 6.1.3 Access to Public Services.................................................................................... 6 6.1.4 Income ................................................................................................................. 6 6.1.5 Education ............................................................................................................. 6

6.2 Gender and Vulnerability Issues ......................................................................................... 6

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6.2.1 Vulnerability.......................................................................................................... 6 6.2.2 Women Head of Households ............................................................................... 6 6.2.3 Education ............................................................................................................. 6 6.2.4 Income ................................................................................................................. 6 6.2.5 Gender Strategy................................................................................................... 6

7 Information Disclosure, Consultation, and Participation ..................................................................... 6 7.1 Consultations during the Preparation of the RP.................................................................. 6

7.1.1 Safeguards and Institutional Review Workshop .................................................. 6 7.1.2 Individual Meetings .............................................................................................. 6 7.1.3 Objectives of Public Information and Consultation .............................................. 6

7.2 Public Disclosure................................................................................................................. 6 7.3 Grievance Redressal Mechanisms...................................................................................... 6

7.3.1 Government’s Grievance Redress Mechanism ................................................... 6

8 RP UPDATING AND IMPLEMENTATION.......................................................................................... 6 8.1 Establishment of District Compensation Committees ......................................................... 6 8.2 Mobilization of Consultants, ................................................................................................ 6 8.3 Implementation Arrangements ............................................................................................ 6

8.3.1 Executing Agency – Saigon Water Company (SAWACO) .................................. 6 8.3.2 Ho Chi Minh City People’s Committees (HCMCPC)............................................ 6 8.3.3 District People’s Committee (APC)...................................................................... 6 8.3.4 District Compensation Committee (DCC) ............................................................ 6 8.3.5 Ward People’s Committee ................................................................................... 6 8.3.6 Consultants engaged under the TA Loan ............................................................ 6

8.4 Process of RP Udating ........................................................................................................ 6 8.4.1 Conducting of Detailed Measurement Survey ..................................................... 6 8.4.2 Consultation and Disclosure ................................................................................ 6 8.4.3 Relocation of Households .................................................................................... 6

8.5 Income Restoration Measures ............................................................................................ 6 8.6 Monitoring............................................................................................................................ 6

8.6.1 Internal Monitoring ............................................................................................... 6 8.6.2 External Monitoring .............................................................................................. 6

9 Cost Estimate and Budget .................................................................................................................. 6 9.1 Flow of Funds ...................................................................................................................... 6 9.2 Adjustment for Inflation........................................................................................................ 6 9.3 Compensation Prices .......................................................................................................... 6

9.3.1 Prices issued by Ho Chi Minh City....................................................................... 6 9.3.2 Replacement Cost Survey ................................................................................... 6 9.3.3 Basis for Allowances............................................................................................ 6 9.3.4 Cost estimates ..................................................................................................... 6

10 Implementation Schedule ................................................................................................................... 6

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LIST OF TABLES Table 1-1 : Characteristics of the 8 Water Towers ....................................................................................... 2

Table 2-1 : Main Legal Documents Regarding Land Acquisition and Resettlement .................................... 6

Table 3-1 : Differences between Resettlement Policy of HCMC PC and ADB New Safeguards on Involuntary Resettlement ............................................................................................................ 6

Table 4-1: Summary of Impacts.................................................................................................................... 6

Table 5-1: Entitlements for each Affected Person ........................................................................................ 6

Table 5-2: Entitlement Matrix ........................................................................................................................ 6

Table 6-1: Main Characteristics of Land and Structures Affected ................................................................ 6

Table 6-2: Main Sources and Amounts of Income of Affected Persons ....................................................... 6

Table 6-3: Academic Levels of Husbands and Wives .................................................................................. 6

Table 7-1: Consultation Process during Updating of the RP ........................................................................ 6

Table 8-1 Source of Main and Secondary Income of Relocated APs........................................................... 6

Table 8-2: External Monitoring Indicators ..................................................................................................... 6

Table 9-1: Compensation Rates for Structures and Trees ........................................................................... 6

Table 9-2: Amount and Basis of Allowances ................................................................................................ 6

Table 9-3: Cost Estimates............................................................................................................................. 6

Table 10-1: Implementation Schedule .......................................................................................................... 6

LIST OF FIGURES Figure 1-1: Clear Area Needed around the Water Towers ........................................................................... 3

Figure 1-2 : Location of the 8 Elevated Tanks .............................................................................................. 5

Figure 7-1: Grievance Resolution Process ................................................................................................... 6

LIST OF APPENDIXES APPendix A : Photographs of Affected Households ..................................................................................... 6

APPendix B : Public Information Booklet .................................................................................................... 45

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EXECUTIVE SUMMARY The Asian Development Bank (ADB) intends to provide an investment project that will contribute to the Government’s goal of expanding the safe and continuous water supply in Ho Chi Minh City. The Ho Chi Minh City Water Supply (HCMCWS) Project aims to expand water supply coverage and service in the city and to achieve a continuous high quality 24-hour water supply with good pressure. The Executing Agency (IA) for the HCMCWS is the Saigon Water Company (SAWACO).The project forms the first tranche of a Multi Tranche Financing Facility to be approved by the ADB.

The project has the following components: i) The extension of an existing treated water pipeline 2400 mm diameter from Binh Thai crossing to the center of the city; iii) the rehabilitation of 8 elevated tanks in the center of the city; iv) the replacement and extension of distribution pipelines to a number of areas of HCMC and v) the reduction of non revenue water (NRW).

This report refers to component 2: the rehabilitation of 8 elevated tanks in the center of the City. Because the land around the elevated tanks is owned and managed by SAWACO, the impacts are limited. The main impacts of this component will be permanent loss of structures and trees. 12 APs will be partially affected and 6 HH will have to be relocated permanently.

This Resettlement Plan (RP) is based on a preliminary design conducted in 2004 and reviewed under the present project. A detailed design will be prepared in 2011. As a result, the implementation arrangements for this RP call for an update once the detailed design will be known.

This RP has been guided by the Resettlement Framework which applies to the overall Multi Tranche Funding Facility which will fund the works.

The policies and principles adopted for the Project have been established based on surveys during project preparation, Vietnamese legislation (including HCMC regulation on resettlement), and the Asian Development Bank’s (ADB) new Safeguard Policy Statement. If gaps exist between ADB requirements and Vietnamese regulations, a suitable gap-filling strategy will be proposed in the resettlement plan to ensure that policy principles and safeguarding requirements are achieved.

The provisions and policies of this RP will form the legal basis for the implementation of resettlement activities for the Project. The Ho Chi Minh City People’s Committees (HCMCPC) will be responsible for Approval of RP and resettlement-related issues. After detailed engineering designs, the Detailed Measurement Survey (DMS) will be undertaken. This survey will provide a revised number of APs and inventory of lost assets. Compensation unit rates will be updated for all categories of lost assets and allowances based on replacement cost surveys undertaken after Approval of detailed design. The updated RP will be revised at that point and submitted to the ADB. Following Approval by the ADB, the HCMC PC will be responsible for implementing the revised RP. The ADB shall not Approve any civil works contract for any subproject to be financed from the loan proceeds unless the Government has satisfactorily completed all land acquisition and resettlement activities, including the establishment of rehabilitation measures.

This RP contains the measures to be carried out by SAWACO, to avoid and/or minimize the adverse social impacts of the proposed Project, including mitigating measures aimed at assisting displaced persons (APs) to improve or at least restore their standards of living to pre-project levels consistent with the new Safeguard Policy Statement including safeguard requirements for involuntary resettlement. In particular, even if the 6 relocated HH have no LURC (the land belongs to SAWACO), they will be entitled to secured tenure in a relocation place.

The total estimated budget for resettlement is VND 2.2 billion (123,000 USD).

Status: Draft

Project number: S1025200 Page 1 Our ref: Resettlement Plan(Project 1)

1 Project Description 1.1 Project Background

HCMC is Viet Nam’s largest city and its most important commercial and industrial center. Its population of 7.9 million is growing at about 2.1% per annum and is likely to reach 13.5 million in 2020. While Viet Nam’s economy is growing at more than 8% per annum, HCMC’s economy is growing substantially faster, at around 12% per annum. This growth rate is placing very serious strains on the city’s already inadequate infrastructure, and especially on its water supply system. In response, the HCMC People’s Committee is preparing a master plan for the HCMC water system up to 2025. This provides for an increase in urban water supply coverage (from the present 76% of the city’s population to 100%), corresponding to an increase in capacity from 1.2 million cubic meters per day (cmd) to 3.2 million cmd of treated water. Saigon Water Corporation (SAWACO), a state-owned corporation, manages all water supply operations within Ho Chi Minh City. The objectives of the project are to:

• Expand water supply coverage and the service area; • Achieve a continuous high quality 24-hour water supply with good pressure; • Reduce non-revenue water in zones 3 to 6 in HCMC1.

1.2 Project Components

The project has 4 components:

1. The extension of an existing treated water pipeline 2400 mm in diameter from Binh Thai crossing to the center of the city.

2. The rehabilitation of 8 elevated tanks in the center of the city to provide enhanced pressure and fire protection and to boost transmission network disinfection.

3. The replacement and extension of distribution pipelines to a number of areas in HCMC. This component includes targeted pipelines to low-cost housing areas to alleviate poverty.

4. The reduction of non-revenue water (NRW) in zones 3, 4, 5 and 6.

This resettlement plan will Apply to Component 2, the rehabilitation and commissioning of 8 existing elevated tanks. Another resettlement plan will be prepared for Component 1 while a resettlement framework will cover components 1 and 3. Component 4 will not cause any land acquisition or other resettlement impacts.

1.3 Rehabilitation of 8 Elevated Tanks 1.3.1 Characteristics and Location These elevated tanks are pre-stressed concrete water tower (WT) reservoirs with capacities from 1,200 m3 to 8,500 m3. They were built from 1969-73. They have a total cAPacity of 48,300 m3. They were never commissioned. These WT are located in the center of the city in densely populated areas. Most of these towers (6/8) are located within an area managed by SAWACO and are used for storage and as dormitories for workers. Security guards are also present. One tower is included in a cultural center managed by District 5 and

1 Zones 3 to 6 refer to hydraulic zones as presented in Figure 1.

Status: Draft


another tower is surrounded by houses with little control from SAWACO. Figure 1-2 presents the location of these 8 water towers. In 1998, MOC & PMU stated that a safe periphery of 2 times the height of the tower (around 50 to 60 m radius) is needed around the towers. This would create very severe resettlement impacts as the towers are located in a dense urban environment. If this requirement was enforced, it would create a project risk through the scale and cost of resettlement. Table 1-1 : Characteristics of the 8 Water Towers Tower No. Area Location Land Use A 2,660 m2 3 Thang 2 Street

District 10 Height: 29.30 m

• Located along a commercial road; • Used for storage of SAWACO material; • Presence of dormitories for workers; • Access-controlled (security kiosk);

B 1,864 m2 178 Le Dai Hanh District 11 Height: 26.40 m

• Located within a dense residential area; • Used for storage of SAWACO material; • Access-controlled (security kiosk); • Narrow access to Le Dai Hanh Road;

E 1,698 m2 31 Nguyen Tat Thanh District 4 Height: 30.20 m

• Located near the port; • Used for storage of SAWACO material; • Office of Ben Thanh Water Company; • Access-controlled (security kiosk);

H 2,838 m2 Trang Hung Dao B District 5 Height: 27.70 m

• Located within the cultural center of District 5; the cultural house is built over the access pipeline to the tower;

• The land has been allocated since 1986; • A water park is also adjacent to the tower; a hotel

and restaurant are also present; I 3,201 m2 182 Pham Thu Tu

District 6 Height: 27.80 m

• No controlled access; • 9 HH are installed around the tower; some against

the tower; L 1,494 m2 174 Nguyen Van

Dau Binh Thanh District Height: 24.50 m

• Located along a commercial road; • The area is used by the Meter Supply and

Enterprise of SAWACO; • Access-controlled (security kiosk);

M 2,019 m2 17 Ho Van Hue Phu Nhuan District Height: 29.60 m

• Located along a commercial road • Used for storage of SAWACO material • Access-controlled (security kiosk) • Part of the land has been sold for the construction

of a multi-storey building; N 1,388 m2 198/2 Thai Son

Go VAP District Height: 25.60 m

• Located within a dense residential area; • Used for storage of SAWACO material; • Access-controlled (security kiosk); • Narrow access to Nguyen Thai Son Road • Many HH are located around the tower; some

fences are attached to the tower;

Status: Draft


1.3.2 Purpose of the rehabilitation Treated water reservoirs are defined as service reservoirs because they are multifunctional. Key functions are as follows:

• Working Storage - Balance fluctuating demands and stabilise pressure; • Emergency Storage - Provide an emergency supply for shut downs; • Fire-fighting Storage - Provide fire-fighting reserves; • Treatment Storage - Provide contact time for disinfection purposes;

With the main working storage being provided at the main WTPs, the 8 elevated storage tanks in HCMC will enhance Emergency, Fire-fighting and Treatment Storage in the central city. Emergency storage is needed to permit maintenance crews to repair pipe bursts in the vicinity of the tanks. Fire fighting storage is needed in any modern distribution system to provide some means of boosting the flow and pressure to combat fires. In the event of the need for supplementary chlorination of water in the distribution system at the 8 elevated tanks, treatment storage provides a small amount of chlorine contact time to ensure bacterial compliance criteria are met. 1.3.3 Type of work needed A report was prepared in 2004 by Sogreah-Parsons for the rehabilitation of these WTs. Detailed design will be prepared based on this report. The main works needed for the rehabilitation of the WT are the following:

• Refurbishment of the concrete to bring the towers up to modern standards of concrete strength; • Repairing of cracks and spalling in the concrete; • Reinforcement of corroded places; • Replacement of the main equipment (pumps, valves etc.).

Clearance of an area around each of the towers for construction purposes and for operation will be needed. The area to be cleared corresponds to the vertical projection of the top of the Water Towers, plus a 2 m strip around the vertical projection (see Figure 1-1). However, during detailed design, the area needed to undertake rehabilitation works will be clearly identified as well as the sequence of construction.

Photo 1: WT during construction

A photo taken during the construction of one of these WT in 1969, illustrates the area needed around the tower to refurbish the concrete.

Figure 1-1: Clear Area Needed around the Water Towers

2 m

Status: Draft


1.4 Preparation of the Resettlement Plan

The project has been classified as Category A for resettlement. However, due to the reduced scope of resettlement (only 18 affected HH) the project will be recategorised to Category B. Only a resettlement plan (RP) will be prepared. The RP, based on the preliminary design available, has been prepared as part of the Project Preparatory Technical Assistance provided by the ADB to the Executing Agency (EA), Saigon Water Company (SAWACO). The RP has been prepared with the participation of and consultation with key stakeholders, such as the district authorities, displaced persons (APs) and other social organizations. Fieldwork took place in September 2009. The overall objective of the RP is to identify the resettlement impacts that cannot be avoided and develop mitigation and rehabilitation measures necessary as a result of implementing the Project, according to the new ADB Safeguards Statement and relevant policies of ADB together with the Laws of Vietnam. All APs are to be compensated for their losses at replacement cost and provided with rehabilitation measures, where necessary, to assist them to improve or sustain their pre-project living standards and income-generating cAPacity. Appropriate assistance will be provided to severely affected and poor and vulnerable households to help them improve their socio-economic status. Because almost all the APs have no LURC (the land belongs to SAWACO), specific attention has been paid to ensure secured tenure relocation for the relocated APs.

Status: Draft

Project number: S1025200 Page 5 Our ref: Resettlement Plan (Project 1)

Figure 1-2 : Location of the 8 Elevated Tanks

Status: Draft


2 Objectives, Policy Framework and Entitlements 2.1 Relevant Vietnamese Legislation

2.1.1 National Regulations

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 and resettlement. The principal documents are listed in the table below.

Table 2-1 : Main Legal Documents Regarding Land Acquisition and Resettlement

Law Decree Circular

- Decree No. 181/2004/ND-CP, guiding the implementation of the Land Law.

- Decree No. 17/2006/ND-CP, amending Decree No. 181/2004/ND-CP

- Decree No. 197/2004/ND-CP, on compensation, rehabilitation and resettlement in the event of land recovery by the State.

- Decree No. 17/2006/ND-CP, amending Decree No. 197/ 2004/ND-CP

- Circular 116/2204/TT-BTC, guiding the implementation of Decree 197.

- Circular 69/2006/TT-BTC amending and supplementing Circular 116/2004/TT-BTC

- Decree No. 84/2007/ND-CP 25 May, 2007, on supplementary regulations for issuance of Certificate of land use rights, land recovery, implementation of land use rights, procedures for compensation, support, resettlement upon land recovery by the State, and settlement of land claims;

- Circular No 06/2007/TT-BTNMT guiding the implementation of Decree No. 84/2007/ND-CP 25 May, 2007, on supplementary regulations for issuance of Certificate of land use rights, land recovery, implementation of land use rights, procedures for compensation, support, resettlement upon land recovery by the State, and settlement of land claims;

- Circular No 14/2008/TTLT/BTC-BTNMT guiding the implementation of the Decree No 84/2007/NĐ-CP

- The Land Law No. 13/2003/QH11, providing Viet Nam with a comprehensive land administration law. The 2003 Land Law supersedes earlier versions from 1987 and 1993

- Decree No. 188/2004/ND-CP, specifying methods for land pricing and land price frameworks in the event of land recovery by the State.

- Decree No. 123/2007/ND-CP 27 July, 2007 on supplementary regulations for Decree No. 188/2004/ND-CP, specifying methods for land pricing and

- Circular 145/2007-TT-BTC, guiding the implementation of Decree 1882.

2 This circular replaces Circular 114/2004/TT-BTC

Status: Draft


Law Decree Circular

land price frameworks in the event of land recovery by the State;

- Decree182/2004/ND-CP on penalties for administrative violations on land issues.

- Decree 198/2004/ND-CP on land use fees

- Circular 117/2004/TT-BTC, guiding the implementation of Decree 198

- Decree 69/2009/ND-CP on Additional Regulations on Land Use Plans, Land Prices, Land Acquisition, Compensation, Assistance and Resettlement

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2.1.2 Ho Chi Minh City Regulations

In addition to the national legal documents, City/Provincial People’s Committees have also issued regulations on compensation in accordance with competences delegated to them by the State and based on the national regulations presented in the Table above.

In March 2008, the HCMC People’s Committee issued Decision No: 17/2008/QD-UBND on the Promulgation of the Regulations on Compensation, Assistance and Resettlement when the State Recovers Land within Ho Chi Minh City. Decision 17 adopts the provisions of Decree 197 as amended by Decree 17 and Decree 84 and states that Displaced People are considered illegal and excluded from eligibility for compensation if they do not possess Land Use Rights Certificates (LURC) or entitlements to LURC, or leases or other tenancies from an agency of the State, or if they have not been in possession of the land for a prescribed length of time without dispute over their use and occupation of the land as prescribed in Decree 197, Decree 17 and Decree 84. Decree 84 significantly widened the scope of people who are legal or legalizable holders of land. Displaced People illegally using land are entitled to compensation for the value of the remaining improvements to or on the affected land, and to limited assistance of various kinds. The illegal use of land is becoming an increasing problem in HCMC with the continuing influx of people, particularly poor people from rural provinces.

Relocated APs will have the following options: • Compensation by means of houses (APartments in a tenement house); • Compensation by means of new residential land allocation; • Compensation by means of money for them to manage new dwelling places by themselves.

All compensation is offered in cash either with or (based on the Displaced Person’s choice) without the right to purchase one or two APartments (depending on individual circumstances) in a resettlement APartment building at a concessional price.

Holding a legal title to a business, i.e. a Business Licence, is a condition for receiving compensation for business losses. Under Regulation 17, having outstanding tax obligations can either reduce or eliminate the amount of compensation or assistance that would otherwise be payable to an Displaced Person.

Regulation 17/2008 specifies that the value of any salvaged material retained by the property owner will be deducted from the amount of compensation or assistance to be paid. If salvaged material is not retained by the owner, its value is not deducted from compensation or assistance payments.

Status: Draft


Table 3-1 identifies the main differences between Decision 17 and the ADB’s new safeguard policy statement on involuntary resettlement. 2.2 ADB Policies on Involuntary Resettlement and other Relevant Policies

The new Safeguard Policy Statement (SPS) was Approved by the ADB Board of Directors on 20 July 2009 and will become effective on 20 January 2010; this includes new Involuntary Resettlement Safeguards. The SPS and the safeguard requirements on involuntary resettlement supersede the ADB’s Policy on Involuntary Resettlement (1995) and the new Operations Manual section will supersede the Operations Manual on Involuntary Resettlement (OM/F2, 2006). Because the Approval of this project will take place after January 2010, the new SPS will Apply for this project. The objectives of the new ADB Safeguards concerning Involuntary Resettlement are to avoid or minimize the impacts on people, households, businesses and others affected by the acquisition of land and other assets, including livelihood and income, in the implementation of development projects, such as the Ho Chi Minh City Water Supply Project. Where resettlement is not avoidable, the overall objective of the ADB safeguards is to to enhance, or at least restore, the livelihoods of all displaced persons1 in real terms relative to pre-project levels; and to improve the standards of living of the displaced poor and other vulnerable groups by compensating for lost assets at replacement costs and by providing, as necessary, various forms of support. The main policy principles are to:

a. Screen the project early on to identify past, present, and future involuntary resettlement impacts and risks. 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 nongovernment organizations. Inform all displaced persons of their entitlements and resettlement options. Ensure their participation in planning, implementation, and monitoring and evaluation of resettlement programs. Pay particular attention to the needs of vulnerable groups, especially those below the poverty line, the landless, the elderly, women and children, and Indigenous Peoples, and those without legal title to land, and ensure their participation in consultations. 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. Where involuntary resettlement impacts and risks are highly complex and sensitive, compensation and resettlement decisions should be preceded by a social preparation phase.

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 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 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, better housing at resettlement sites with comparable access to employment and production opportunities, social and economic integration of resettled persons 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

Status: Draft


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 an equal 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 displaced persons’ entitlements, the income and livelihood restoration strategy, institutional arrangements, monitoring and reporting framework, budget, and time-bound implementation schedule.

i. Disclose a draft resettlement plan, including documentation of the consultation process in a timely manner, before project Appraisal, in an accessible place and a form and language(s) understandable to displaced persons and other stakeholders. Disclose the final resettlement plan and its updates 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.

The ADB also issued new safeguard requirements for Indigenous Peoples. In this safeguard, the term Indigenous refers to a distinct, vulnerable, social and cultural group possessing the following characteristics in varying degrees: (i) self-identification as members of a distinct indigenous cultural group and recognition of this identity by others; (ii) collective attachment to geogrAPhically distinct habitats or ancestral territories in the project area and to the natural resources in these habitats and territories; (iii) customary cultural, economic, social, or political institutions that are separate from those of the dominant society and culture; and (iv) a distinct language, often different from the official language of the country or region. The objective of this new safeguard requirement is to design and implement projects in a way that fosters full respect for Indigenous Peoples’ identity, dignity, human rights, livelihood systems, and cultural uniqueness as defined by the Indigenous Peoples themselves so that they (i) receive culturally Appropriate social and economic benefits, (ii) do not suffer adverse impacts as a result of projects, and (iii) can participate actively in projects that affect them.

The ADB’s Policy on Gender and Development adopts gender mainstreaming as a key strategy for promoting gender equity and for ensuring that women participate and that their needs are explicitly addressed in the decision-making process. For projects that have the potential to have substantial gender impacts, a gender plan is prepared to identify strategies to address gender concerns and the involvement of women in the design, implementation and monitoring of the project.

Other policies of the ADB that have a bearing on resettlement planning and implementation are the (i) Public Communications Policy (March 2005) and OM Section L3/BP (September 2005), and (ii) Accountability Mechanism (OM Section L1/BP, dated 29 October 2003).

Status: Draft


2.3 Key Differences between GoV and ADB Policies on Involuntary Resettlement

Key differences between the GoV and ADB’s new safeguard policy statement include the following:

a. Non-titled land users: With the exception of displaced households with customary rights over their affected land, affected households that are not eligible to obtain land-use rights to the land they occupy are not entitled under the Government framework to compensation for the land and may not be entitled to compensation or full compensation for assets on the affected land. Under the Project, however, affected households without legal or legalizable land use rights will not be compensated for the land but are entitled to compensation for lost crops, houses and other assets found thereat, including cash assistance for improvements introduced to the land to make it habitable and/or productive, as the case may be, but not less than 30% of the replacement cost of the land. If these affected households have to relocate but have no land on which to shift, they will be allocated replacement plots in a group resettlement site, if available, or at individual sites either for free or for a fee at an affordable repayment schedule and with secure tenure. Affected households losing 10% or more of productive land are entitled to participate in an income restoration program.

b. Lessees of land: The Government recognizes lessees of land assigned by local governments. The decree provides compensation for investment on the land without specifying the amount. Under this Project, affected lessees will receive cash assistance for improvements introduced to the land to make it productive – an amount not be less than 30% of the replacement cost of the land, cash assistance for permanent loss of 3 years future production regardless of the severity of impact, a transition subsistence allowance and the right to participate in the income restoration program for severely affected lessees.

c. Small, non-registered businesses: Affected households that operate small, non-registered businesses are not entitled to any assistance under the Government’s framework. Under the Project, however, all affected households will be compensated for income lost as a result of disruption or cessation of business due to the Project, in addition to other forms of assistance, provided as needed and in a manner consistent with their requirements, to help restore living standards to pre-Project levels.

d. Compensation pricing for affected assets: The Government’s framework recognizes the principle of compensation at rates equal to the value of land use rights under normal market conditions. The annual Provincial People’s Committee’s (PPC) prices for different types of land are used to establish compensation. Decree No. 17/2006/ND-CP stipulates that if PPC prices are not close to market values, the PPC must determine an Appropriate market value for compensation rates. In this Project, after Approval of detailed design, a replacement cost study (RCS) will be conducted to ensure that compensation rates are sufficient to replace the affected assets without deductions for taxes and transaction fees in the case of acquired land, and without depreciation or deductions for salvaged materials for affected structures.

e. Income restoration: Severely affected households, as defined by the Government, are those losing more than 30% of their productive assets. Under the Project, affected households losing 10% or more of their total productive assets and source of livelihood are considered severely affected and will be entitled to participate in an income restoration program that will be planned out with them and which will be consistent with their needs and cAPabilities.

f. Vulnerable groups and ethnic minorities: The Government acknowledges the need to provide additional assistance for poor households but does not explicitly recognize other vulnerable groups due to ethnicity or other criteria. Under the Project, specific measures will be defined to ensure that all affected vulnerable groups, including the poor, ethnic minorities, the elderly, the disabled, etc., are assisted to improve or at least restore living standards to pre-project level in a manner that is consistent with their socio-economic culture and practices.

Status: Draft


g. Consultation, public disclosure and grievance redress: The Project will strengthen existing provisions of relevant Government policies on these concerns to ensure that all affected households are fully consulted and informed in a timely manner, have Appropriate opportunities to participate in decisions regarding compensation and resettlement, and are provided with an avenue to have their complaints heard and resolved.

h. Monitoring. The Project will establish indicators and procedures to ensure effective and transparent monitoring of resettlement implementation and, using independent monitors, to evaluate whether the Project is able to achieve resettlement objectives.

Status: Draft

Project number: S1025200 Page 12 Our ref: Resettlement Plan (Project1)

3 PROJECT POLICIES 3.1 Objectives

The overall objectives of the new ADB Involuntary Resettlement Safeguards (2009) are to: • Avoid involuntary resettlement wherever possible; • Minimize involuntary resettlement by exploring project and design alternatives; • 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. 3.2 Reconciliation of Government and ADB Policy on Resettlement

With the promulgation of Decree 197/2004/ND/CP and the other relevant decrees stated above, the policies and practices of the Government have become more consistent with ADB’s safeguard policies. Nonetheless, provisions and principles adopted in this Resettlement Plan will supersede the provisions of the relevant decrees currently in force in Viet Nam wherever a gAP exists, as provided for under Decree 131/2006/ND-CP which regulates the management and use of official development assistance. It should also be noted that as per Decree 197/2004, Article 32, it states "APart from the supports 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 who have land recovered; special cases shall be submitted to the Prime Minister for decision”, therefore, if additional gAPs not mentioned below are found during RP updating, the required assistance or support will be included in the Updated RP. Decision 17/2008/QD-UBND issued by HCMC PC follows national Decree 197/2004/ND-CP. It also constitutes an improvement of the former city regulations. Table 3-1 provides a comparison of the ADB’s new safeguards on involuntary resettlement and the provision of Decision 17/2008/QD-UBND on key areas of involuntary resettlement. Decision 17 Applies for all resettlement projects in HCMC. 3.3 Cut-off Date and Eligibility

For the Project, the cut-off-date for eligibility for entitlement is defined as the completion of the IOL on affected land. The IOL was completed on 25 September 2009 based on the preliminary scheme design. Should the design be developed further to require more, or different, land the IOL will be updated and the cut-off date revised in accordance. Those whose livelihood activities may be affected by temporary land acquisition as the result of civil works will also receive compensation and assistance.

Persons who occupy the project area after the cut-off date will not be eligible for any compensation or assistance.

3.4 Principle of Replacement Cost

All compensation will be based on the principle of replacement cost. Replacement cost is the amount calculated before displacement which is needed to replace an affected asset without deduction for taxes and/or transaction costs as follows:

a) Residential land based on actual current market prices that reflect recent land sales, and in the absence of such recent land sales, based on prices of recent sales in comparable locations with comparable attributes; fees and taxes for LURC

b) Houses and other related structures based on actual current market prices for materials and labor without depreciation nor deduction for salvaged building materials;

Status: Draft


c) For timber trees, cash compensation at replacement cost equivalent to current market value for each type, age and relevant productive value at the time of compensation based on the diameter at breast height of each tree.

Status: Draft Project number: S1025200 Page 14 Our ref: Resettlement Plan (Project 1)

Table 3-1 : Differences between Resettlement Policy of HCMC PC and ADB New Safeguards on Involuntary Resettlement

Issues ADB New Safeguards Ho Chi Minh City Decision 17/2008/QD-UBND Project Policy Eligibility for compensation

- 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.

- Article 8 states that displaced people are considered illegal and excluded from eligibility for compensation if they do not possess Land Use Rights Certificates (LURC) or entitlements to LURC, or leases or other tenancies from an agency of the State, or if they have not been in possession of land for a prescribed length of time without dispute over their use and occupation of the land.

- Displaced People illegally using land are entitled to compensation for the value of the remaining improvements to or on the affected land, and to limited assistance of various kinds.

- Article 14. 3) indicates that when the State recovers land, if the land user is not eligible for land compensation and has no other place to reside, that user will receive assistance from the District PC to buy an APartment in a tenement house.

- Articles 18 to 28 inclusive, make a range of provisions for compensation and/or assistance for all of the circumstances that the City is able to foresee at present.

- All non-titled APs will be entitled to payment for non-land assets at full replacement cost. Landless households will be assisted to get an APartment to buy or to rent;

Threshold for severely affected farmers gives entitlement to training assistance.

- APs losing more than 10 % of HH’s productive land (it is a common regulation in ADB-funded projects)

- Article 30 states that APs who have more than 30% of their agricultural land recovered, including some share-croppers but not tenants, are eligible for various training and job creation schemes according to Regulation 156/2006/QD-UBND of 27 October 2006.

- No cases in our project

Compensation for structures

- Compensation for structures at replacement cost, with no depreciation or deduction for salvaged materials.

- Under Article 18, compensation for buildings and other structures will be determined according to the unit prices promulgated by HCMC PC and, if not listed in that, the prices will be determined by the HCMC Department of Construction.

- Under Article 22 salvaged materials are valued and that value is deducted from any compensation or assistance

- Payment for structures, regardless of tenure status, will be compensated at full replacement cost.

- Additional cash or in-kind assistance will be provided on a case by- case basis.

-


Issues ADB New Safeguards Ho Chi Minh City Decision 17/2008/QD-UBND Project Policy payable if the building owner elects to retain them.

Assistance for business APs

- Business owners are entitled to (i) the costs of reestablishing commercial activities elsewhere; (ii) the net income lost during the transition period; and (iii) the costs of transferring and reinstalling plants, machinery, or other equipment.

- Business owners with legal rights or recognized or recognizable claims to land where they carry out commercial activities are entitled to replacement property of equal or greater value or cash compensation at full replacement cost.

- Under Article 30, owners of unlicensed businesses are not eligible for compensation but may receive reduced levels of assistance if they are not in arrears with tax payments. Any business that is in arrears in its tax obligations is not eligible for any assistance.

- All formally registered businesses who have income impacted will be provided with business assistance in cash equal to 30% of their annual net income to restore their income.

- The non-registered businesses with income impacted due to the project’s land acquisition, which are recognized by local authorities, will be given business income assistance at levels regulated by HCMC PC.

Tenants

- Displaced persons (including tenants) without title to land or any recognizable legal rights to land are eligible for resettlement assistance and compensation for loss of non-land assets.

-

- c) Article 2 specifically excludes paying compensation or making resettlement arrangements for lessees or borrowers of land or people who are not in a position to be allocated or leased land by the State. The loss incurred by such Displaced People is to be resolved in accordance with the provisions of the Civil Code and the contract between the relevant parties.

- All non-titled APs will be entitled to payment for non-land assets at full replacement cost. Landless households will be assisted to get an APartment to buy or to rent;

-

Status: Draft

Project number: Page 16 Our ref: Resettlement Plan(Project 1)

4 Land Acquisition and Resettlement Impacts

4.1 Methodology 4.1.1 Census and Inventory of Losses

This RP has been based upon an Inventory of Losses (IOL) and census of the population potentially affected by the different project components. The IOL was conducted in September 2009. A new census and a detailed measurement survey (DMS) will need to be undertaken following detailed design to precisely identify households affected by the Project and their respective losses. 4.2 Measures undertaken to minimize resettlement impacts As indicated in Section 1.3.1, in 1998, MOC & PMU stated that a safe periphery was needed around the towers 2 times the height of the tower (around 50 to 60 m radius). This would create very severe resettlement impacts as the towers are located in a dense urban environment. If this requirement was enforced, it would create a project risk through the scale and cost of resettlement. Clearance of an area around each of the towers for construction purposes and for operations will be needed but will be kept to a minimum. The area to be cleared corresponds to the vertical projection of the top of the Water Towers. The land around the towers belongs to SAWACO. In some cases, houses have been built. If needed, APs could be temporary relocated during the constructions works and could come back once the works completed. 4.3 Project Impacts Based on the Inventory of Losses (IOL) carried out to date, 18 APs (65 persons) will be affected due to the rehabilitation of the WTs. These APs are located mainly around water towers I and N with 11 and 5 APs respectively. 1 HH will be partially affected around WT M. Structures will also be affected around WT H. Table 4-1 identifies the main impacts. Among the 18 HH, 6 HH located around WT I will have to be relocated. These HHs are built close to the WT as presented in Appendix A, Photos 1 and 2. 5 APs are combined houses and shops around WT I. Only 1 of these house/ shop will have to be relocated. Other house/shops will be partially affected at the back but the commercial part will not be affected (see Appendix A, Photo 3). No loss of income are anticipated. Other APs will be affected through loss of secondary structures or their main structures will be partially affected during construction. These HHs could repair their houses and stay at their present locations. It is possible that during the construction period, some HH will have to be relocated temporarily for safety reasons. An allowance covering the cost of temporary relocation will be provided to them. District 5, around WT H, will have to move two large secondary structures: a warehouse and an open structure used as a restaurant (see Appendix A, Photo 6). No land will be compensated as the land belongs to SAWACO (see Section 2.3.1). However, APs are the owners of their houses. A total area of 272 m2 of main structure will be affected while other secondary structures (mainly fences, concrete yards and gates) will also be affected. Some trees (29) will also be affected.


Table 4-1: Summary of Impacts

Area of Secondary Structure Affected m2 Trees

Name

WT

Nb of persons

Area of Main

Structure Affected

Concrete Yard (m2)

Fences (m)

Sheet metal roof

Iron Gate (m)

Other structures

(m2)

Need for Relocation

1 Pham Thai Duc N 8 36 No 16 2 Huynh Van Suoi N 1 6 15 No 2 3 Le Thi Hoa N 3 15 No 4 Tran Thi Phuong Thao N 3 5 3 No 1 5 Nguyen Ngoc Chau N 4 2 5 No 8 6 Bui Huu Nghia M - 25 No 7 District 5 H 0 665 No 2 8 Truong Gia Khanh I 3 No 9 Nguyen Thi Van I 4 15 No

10 Nguyen Thi Thanh Huong I 1 8 Yes 11 Trinh Xuan Phung I 4 8 4 No 12 Tran Thi Phuong I 8 70 2 Yes 13 Truong Hue I 8 No 14 Truong Sen I 3 No 15 Truong Ngoc Lien I 7 30 Yes 16 Nguyen Hoai Hue I 2 49 20 Yes 17 Phung Van Nup I 3 30 20 Yes 18 Huynh Cong Khanh I 3 30 Yes

TOTAL 65 272 72 22 24 8 665 6 29 Relocated HH are identified by shading

Status: Draft


5 PROJECT ENTITLEMENT The project entitlements developed and presented in the Entitlement Matrix (Table 5-2) correspond to the impacts identified during the census and inventory of losses. Entitlements adopted are based on Government and HCMC Peoples’ Committees’ Decision 17 and ADB-funded projects in Viet Nam. It should be noted that these entitlements may be enhanced, as necessary, following the conducting of DMS and consultation with APs to ensure that losses are restored, if not improved. Table 5-2 presents the Entitlement Matrix while Table 5-1 presents the entitlement for each affected person

Table 5-1: Entitlements for each Displaced Person

Name

Tower Impacts Entitlements

1 Pham Thai Duc N 2 Huynh Van Suoi N 3 Le Thi Hoa N 4 Tran Thi Phuong Thao N 5 Nguyen Ngoc Chau N

- Loss of secondary structures and trees;

- APs may have to move temporarily during the construction period

6

Bui Huu Nghia

M - Impacts on structure during construction

- Cash compensation at replacement cost for structures and other assets;

- Repair allowance; - Renting allowance if

necessary; - Allowance for vulnerable

(Huyn Van Suoi) 7

District 5

H - Loss of structures (warehouse, open structures used for restaurant)


8 Truong Gia Khanh I 9 Nguyen Thi Van I

11 Trinh Xuan Phung I 13 Truong Hue I 14 Truong Sen I

- Impacts on the back of the structures;


- Repair allowance;

10 Nguyen Thi Thanh Huong I 12 Tran Thi Phuong I 15 Truong Ngoc Lien I 16 Nguyen Hoai Hue I 17 Phung Van Nup I

Huynh Cong Khanh 18

I

- Main structure affected; HH will have to be relocated;

- HH have no other residential land;

- 1 business affected (not the main income)


- Assistance to rent or buy an APartment within the same ward (with full title for buyers);

- Transition subsistence allowance;

- Materials transport allowance;

- Relocation allowance; - Bonus Allowance for Timely

Moving; - Allowance for loss of income

for shop (Phung Van Nup) Relocated HH are identified by shading


Table 5-2: Entitlement Matrix

No. Type of

Loss/Impacts Application Eligible Persons Entitlements

1. Loss of land Severe loss (i.e., land no longer viable for continued use and the entire property to be acquired). This will be determined by the DRC and concurred with by the affected household during DMS

All households located on land managed and owned by SAWACO

• No compensation for land but compensation for lost assets

• For non-land assets, see Items 2-7 below • Affected households to be notified at least

6 months prior to the date that the land will actually be acquired by the Project

2. House and Shops Marginal impact (i.e., unaffected portion of the house/shop is still viable for use and requires no relocation This will be determined by the DRC and concurred with by the affected household during the DMS.

Owners of the structures with or without acceptable proof of ownership over the land; with or without building permit

• Cash compensation at replacement cost (i.e., no depreciation and no deduction for salvaged materials) for the affected portion.

• Repair allowance not less than 20% of replacement cost for the affected portion or equivalent to the actual cost of repair.

• If the AP has to be moved temporarily during the construction period, the AP will receive an allocation to cover the cost of renting during the construction period.

Severe impact (i.e., house is no longer viable for continued use and the entire structure is to be acquired This will be determined by the DRC and concurred with by the affected household during DMS.

Owners of the structures with or without acceptable proof of ownership over the land; with or without building permit

• Cash compensation based on current market prices for materials and labour without depreciation or deductions for salvaged building materials for the entire structure.

• Assistance from APC to buy or rent an APartment within the same ward with full title (for buyers);

• The APartment will be subsidized by the Government based on low-cost and long-term arrangements.

• For allowances, see Item 5 below


No. Type of

Loss/Impacts Application Eligible Persons Entitlements

3. Secondary Structures (fences, concrete yards, etc)

Loss of, or damage to, assets Owners of the structures with or without acceptable proof of ownership over the land; with or without building permit

• Cash compensation based on current market prices for materials and labour without depreciation or deductions for salvaged building materials

4. Trees Loss of, or damage to, assets Owners regardless of tenure status • Cash compensation at replacement cost equivalent to current market value given the type, age and productive value (future production) at the time of compensation.

5 Impacts on House and Will Require Relocation

Severe impacts on houses Relocating households (houses) regardless of tenure status

• Transition subsistence allowance equivalent to 1000000 VND/per HH member;

• Materials transport allowance

- not less than VND 3,000,000/household for relocation within the same district;

- not less than VND 5,000,000/ household for relocation outside of HCMC;

• Bonus Allowance for Timely Moving will be 2.5 VND million for reorganized HH and 5 VND million per relocated household;

6 Loss of Income/ Livelihood due to relocation of business

Severe impacts on shops Relocating shop owners regardless of tenure status

• For registered and non registered businesses, in order to cover 4 months income loss from business, business disruption allowances will be 30% of annual net income.

• The loss of income during re-establishing of shops is expected to take 4 months

7 Vulnerable APs Loss of Land and Non-Land Assets Affected vulnerable groups regardless of severity of impacts

• Additional support allowance of VND 2,000,000 /household to cover for additional human resources to help them rebuild their houses and re-establish their livelihoods.

Status: Draft


6 SOCIOECONOMIC CONDITIONS During the IOL survey of APs, a socioeconomic survey (SES) of affected HHs was also carried out to identify their socioeconomic characteristics. This serves as a base for identification of Appropriate measures that could assist APs to at least recover their living standards and restore their sources and levels of income or productive cAPacities. Given the low number of APs, all of them were interviewed.

6.1 Socioeconomic Characteristics

6.1.1 Land Tenure Status

The land around each WT belongs to SAWACO. As indicated in Table 1.1, the area of land around each WT varies from 1,888 m2 to 3,801 m2. Because the WTs have never been commissioned, SAWACO authorized the construction of houses around some towers. These houses were first built by SAWACO staff. Over the years these houses have been sold to other owners. Some of the APs have occupied the houses for more than 30 years. With the exception of a HH around WT M, where the land was allocated by SAWACO, no other AP owns a LURC. They are not eligible to acquire a LURC because the land belongs to SAWACO. However, they all pay land tax to the District Authority. In addition, all APs are the owners of the main and secondary structures. No AP has other residential land or an APartment at another place. 6.1.2 Type of Buildings Affected

11 main structures out of 18 are houses only, 5 are combined houses and shops and 1 is a house and office; the structures belonging to District 5 are used for commercial and institutional purposes. Most of the main buildings affected belong to Category 4. They are built of concrete or brick and have one storey. 2 main structures belong to Category 3 and one to Category 2; structures belonging to categories 2 and 3 will only be partially affected.

Table 6-1: Main Characteristics of Land and Structures Affected

Name

WT Date occup LURC Type of

construct. Nb

Storey Type of use Water supply from city

Sanitation from City

1 Pham Thai Duc N 1986 No Category 4 1 House Yes Yes 2 Huynh Van Suoi N 1986 No Category 4 1 House Yes Yes 3 Le Thi Hoa N 1988 No Category 3 1 House Yes Yes 4 Tran Thi Phuong Thao N 1993 No Category 3 2 House Yes Yes 5 Nguyen Ngoc Chau N 1989 No Category 3 2 House Yes Yes 6 Bui Huu Nghia M 2008 Yes Category 2 4 House/office Yes Yes 7 District 5 H - _ Com./Instit. Yes Yes 8 Truong Gia Khanh I 1995 No Category 4 1 House Yes Yes 9 Nguyen Thi Van I 2000 No Category 4 1 House/shop Yes Yes 10 Nguyen Thanh Huong I 1995 No Category 4 1 House Yes Yes

11 Trinh Xuan Phung I

1995 No Category 4 1 House/ shop Yes Yes

12 Tran Thi Phuong I 1985 No Category 4 1 House Yes Yes 13 Truong Hue I 1978 No Category 4 1 House/shop Yes Yes 14 Truong Sen I 1978 No Category 4 1 House/shop Yes Yes 15 Truong Ngoc Lien I 2000 No Category 4 1 House Yes Yes

Status: Draft


Name

WT Date occup LURC Type of

construct. Nb

Storey Type of use Water supply from city

Sanitation from City

16 Nguyen Hoai Hue I 1985 No Category 4 1 House Yes Yes 17 Phung Van Nup I 1997 No Category 4 1 House/shop Yes Yes 18 Huynh Cong Khanh I 1999 No Category 4 1 House Yes Yes

6.1.3 Access to Public Services All the APs are connected to the city electricity, water and sanitation network. 6.1.4 Income The average monthly income per cAPita was 2,426,000 VND in HCMC (HCMC Statistical Yearbook 2008). In urban districts, this income was 2,632,1000 VND while in urban areas, the figure is 1,248,900 VND per cAPita per month. Among the displaced persons, monthly income by HH is 4,700,000 VND/month. HCMC PC uses the threshold of 1 million VND per cAPita per month for the poverty rate. Based on this figure, 5 families among the 18 APs have a per cAPita income lower than 1,000,000. However, none of these families were registered as poor at the ward level. According to DOLISA, those living in urban areas who earn VND 450,000 or less are considered poor. One AP, an elderly person living alone, has the lowest income: 450,000 VND. He is identified as a vulnerable person (see Section 6.2.1). Table 6-2: Main Sources and Amounts of Income of Displaced Persons

Name

WT Main Source of income

Average HH Income per

month

Nb of persons/

HH

Per/cAPita income per

rmonth

1 Pham Thai Duc N Government

employee 5 000 000 8 625 000

2 Huynh Van Suoi N Assistance from

relatives 450 000 1 450 000 3 Le Thi Hoa N Wages / salary 4 100 000 3 1 366 667 4 Tran Thi Phuong Thao N Trading – retail 8 000 000 3 2 666 667 5 Nguyen Ngoc Chau N Wages / salary 6 000 000 4 1 500 000 6 Bui Huu Nghia M Wages / salary - - - 7 District 5 H _ - - - 8 Truong Gia Khanh I Wages / salary 4 000 000 3 1 333 333 9 Nguyen Thi Van I Wages / salary 6 500 000 4 1 625 000

10 Nguyen Thanh Huong I Manual/daily labor 4 000 000 3 1 333 333 11 Trinh Xuan Phung I Property rental 1 500 000 1 1 500 000 12 Tran Thi Phuong I Wages / salary 6 600 000 4 1 650 000

13 Truong Hue I Government

employee 8 500 000 8 1 062 500 14 Truong Sen I Manual/daily labor 5 150 000 8 643 750 15 Truong Ngoc Lien I Manual/daily labor 5 000 000 7 714 286 16 Nguyen Hoai Hue I Trading – retail 2 000 000 2 1 000 000 17 Phung Van Nup I Services 2 000 000 3 666 667 18 Huynh Cong Khanh I Wages / salary 7 000 000 3 2 333 333

Status: Draft


6.1.5 Education The academic level of the displaced people is fairly low. Most of the displaced people didn’t complete their primary school. Few husbands and wives graduated from secondary school and high school. There are two cases of persons who studied at the university level. Table 6-3: Academic Levels of Husbands and Wives

Name

Tower Husband Wife

1 Pham Thai Duc N Upper secondary Lower secondary 2 Huynh Van Suoi N Upper secondary 3 Le Thi Hoa N Lower secondary 4 Tran Thi Phuong Thao N University 5 Nguyen Ngoc Chau N Primary, not completed Primary, not completed 6 Bui Huu Nghia M N/A N/A 7 District 5 H N/A N/A 8 Truong Gia Khanh I Primary, not completed Primary, not completed 9 Nguyen Thi Van I Upper secondary Upper secondary

10 Nguyen Thi Thanh Huong I Primary, not completed 11 Trinh Xuan Phung I Primary Primary, not completed 12 Tran Thi Phuong I Primary, not completed Primary, not completed 13 Truong Hue I Lower secondary Lower secondary 14 Truong Sen I Primary, not completed Primary, not completed 15 Truong Ngoc Lien I Lower secondary Lower secondary 16 Nguyen Hoai Hue I Lower secondary Lower secondary 17 Phung Van Nup I Primary, not completed Primary 18 Huynh Cong Khanh I University Primary

6.2 Gender and Vulnerability Issues

6.2.1 Vulnerability

A total of 65 persons will be affected by the project, most of them (40) are working adults and 14 are children under 17 years old. An elderly person, Mr. Huynh Van Suoi, located around WT N, is 80 years old and is living alone. He has a very low income and depends on the financial assistance of his relatives. He is also renting a room to students. These students prepare food for him. Mr Suoi will not have to move. However, assistance has to be given to him during the implementation of resettlement activities. There is no household that is formally certified as poor by the local authorities. No member of an ethnic minority group has been indentified among the 18 APs. 6.2.2 Women Head of Households

Two HH are headed by women, Mrs. Le Thi Ha and Tran Thi Phuong Thao. They both have 2 children. However, these 2 women have sufficient incomes and will not have to be relocated. They are salaried employees. No specific assistance will be necessary for these 2 women.

Status: Draft


6.2.3 Education As indicated in Table 6.3, no significant differences for the level of education, between men and women head of households, have been noticed. Most of the men and women didn’t finish their primary level. 6.2.4 Income Regarding income, the difference between men and women is also not significant, the average per cAPita income for men is 2,800,000 VND/month while it is 2,400,000 for women. 6.2.5 Gender Strategy The gender strategy includes specific activities to ensure project benefits for women.

a) Consultation meeting on resettlement activities will be held separately with women, female headed households and elderly women;

b) The district compensation committees will include representatives from the district and commune Women’s Union and women from affected households;

c) During the conducting of the DMS, men and women from the households will participate in said activity;

d) Compensation payments and cash assistance will be given to both men and women from the households; Specific attention will be provided for the poor women-headed households and elderly women in paying the compensation on time and developing suitable livelihood activities for elderly and poor female-headed households;

e) Joint registration of land rights in the names of husband and wife and female-headed households will be issued in instances where land is acquired;

f) Separate discussions with women members, female-headed households, elderly women, and ethnic minority households for selection of relocation sites, housing structures, and other social infrastructures, including timing of relocation;

g) Special measures will be taken in the relocation of elderly, disabled and female-headed households in terms of location of new site together with their extended families/relatives.

h) Disaggregated monitoring indicators by gender will be developed for monitoring of social benefits, economic opportunities, livelihood programs, and resettlement activities.

Status: Draft


7 Information Disclosure, Consultation, and Participation

7.1 Consultations during the Preparation of the RP Targeted community consultation was undertaken during the preparation of the resettlement plan. This included local authorities at the commune and district level. All affected HHs were met individually. A public information booklet has been prepared (see Appendix B) and will be delivered directly to all APs. In addition, one safeguard and institutional review workshop was organized in Ho Chi Minh City. 7.1.1 Safeguards and Institutional Review Workshop The workshop took place in Ho Chi Minh City on Friday, October 2, 2009. This workshop targeted all stakeholders at the city level.

Objectives of the workshop The objectives of the workshop for resettlement were as follows:

– To inform local authorities about the nature of the Project and its impacts on land acquisition and resettlement;

– To familiarize local authorities with the principles of ADB Policy on involuntary resettlement and what is required for it to be implemented;

– To provide a comparison between Vietnamese legislation as it relates to resettlement and ADB policy;

– To inform local authorities about the process required to satisfy ADB policy, and the activities that will take place;

– To provide a forum where city authorities could air their concerns.

Participants

Around sixty participants attended the workshop. They came from various city departments (DONRE, DOLISA, API, DoC). The Women’s Union at City level was also represented. Several water companies under SAWACO as well as media representatives (newspAPer and TV) were also present. The main comments of participants regarding resettlement were the following: • The HCMC has developed programs (Decision 156) on the establishment of a training and job

placement support fund for people whose land is taken back for the construction of a project. This program could be used for the APs involved in the proposed project;

• Cases of APs without LURCs will have to be taken into account to ensure they receive secured tenure.

7.1.2 Individual Meetings Individual meetings with APs during the SES and IOL activities were also carried out. Issues raised by APs were:

• The need to be relocated near their current location (HH located around WT I); • The fear of not being fully compensated due to the absence of a LURC;

Status: Draft


• The necessity of being informed in advance about the beginning of the works around the water towers;

7.1.3 Objectives of Public Information and Consultation Information dissemination and consultation with displaced persons and involved agencies will reduce the potential for conflicts and minimize the risk of Project delays. Furthermore, this Approach will enable the Project’s resettlement and rehabilitation program to be designed so that it meets the needs and priorities of the displaced people, and in this way, potentially maximize the economic and social benefits of the investment. The objectives of the public information campaign and the consultation program will be as follows:

– To ensure that local authorities, as well as representatives of the APs, are involved in the

planning and decision-making processes, SAWACO will continue its regular dialogue with HCMC PC and the APCs during the implementation of the Project. AP’s will continue to participation as each District will invite representatives of the APs to take part in resettlement-related activities such as property evaluation, compensation and monitoring;

– To fully share information with APs about the proposed Project’s components and activities;

– To obtain information about the needs and priorities of APs, as well as information about their

reactions to proposed policies and activities;

– To ensure that APs are enabled to make fully informed decisions that will directly affect their income and quality of life, and that they will have the opportunity to participate in activities and decision-making about issues that will have a direct effect upon them;

– – obtain a maximum level of co-operation and participation by APs and communities in activities

necessary for resettlement planning and implementation; – To ensure transparency in all activities related to land acquisition, compensation, resettlement

and rehabilitation. During updating of this RP, consultation activities such as the distribution of project information, community information dissemination and feedback, key informant interviews, individual and public meetings, focus group discussions, and separate consultations with severely affected and vulnerable APs will be carried out. Consultation and participation activities will continue throughout project implementation to ensure that information about the overall project and resettlement-related information is properly understood and accepted by the affected communities. The scope of information to be provided to APs includes:

– Description of the Project, including where APs can obtain further information;

– Project impacts (e.g., during construction) and impacts related to land acquisition;

– APs’ rights and entitlements, including the process to determine AP eligibility and rights to compensation; information on legalization of APs without official documentation; rights and entitlements for different categories of APs, including the entitlements of those losing businesses, jobs and income; options for land-for-land (APartment) and cash compensation; options regarding reorganizing and individual resettlement, and provisions and entitlements for each; and entitlement to rehabilitation assistance;

– The grievance mechanism and Appeal process, including assurance that Project policies and procedures are designed to ensure that APs restore their pre-project living standards; information about the responsibilities of RCs to help resolve confusion, misunderstandings or problems about

Status: Draft


land acquisition, compensation rates, rehabilitation and relocation; and, information about procedures for filing complaints and the Appeal process;

– The right to participate and be consulted, including AP’s rights to participate in all aspects of resettlement planning and implementation, particularly with reference to their preferences for resettlement according to their entitlement and rehabilitation measures for relocating and vulnerable APs; and, requirements for APs or their representatives to attend public meetings organized by SAWACO and RCs regarding land acquisition and resettlement;

– Resettlement activities, including explanations of compensation calculations and payments; monitoring procedures, including interviews with a sample of APs; reorganization; relocation to individual sites and self-relocation; and preliminary information about civil work procedures;

– Organizational responsibilities, including information about the organizations and levels of government involved in resettlement and their responsibilities; and the names and positions of government officials with phone numbers, office locations and office hours if available;

– An implementation schedule, including information about the proposed schedules of major resettlement activities; notification on time, location, and procedures for compensation payments to APs, assurance that APs will not be required to relocate until they have received full compensation; assurance that construction activities will only commence after satisfactory completion of compensation payments and once rehabilitation measures are in place.

The following table summarizes the consultation process during updating of the RP. Table 7-1: Consultation Process during Updating of the RP

Activity When Frequency Distribution of project information: letters and project information booklets,

After list of entitled persons is finalized

Once

Key informant interviews with selected local leaders, RC members;

Throughout the implementation process

According to needs

Community public meetings for APs located around Towers I and N

After list of entitled persons is finalized

After compensation rates are Approved

After income restoration programs are designed

After location of APartment for relocation is known

At least 4 meetings for APs. More if needed

Due to the small number of APs and the concentration of APs around 2 WT (I and N), detailed consultations will be carried out individually in order to determine their specific needs, requirements and preferences for rehabilitation assistance and, as required, relocation. To facilitate these consultations:

– Separate consultations will be held with women and vulnerable APs to encourage their participation in resettlement planning and implementation.

Status: Draft


– Consultations with women and vulnerable APs will take into consideration the following issues: a) timing of consultations to match people’s daily and seasonal responsibilities and availability; and b) communication methods Appropriate to people’s literacy levels.

7.2 Public Disclosure APart from the regular meetings with APs, SAWACO, HCMC PC, RCs and other relevant agencies, the resettlement plan, or at least information about resettlement, compensation, and options, will be disclosed to APs in a form and language that they can understand. A Public Information Booklet (PIB), has been prepared for this Project (see Appendix B). The general content of the PIB includes the following:

– Brief description of the Project; – Types of impacts expected; – Basic compensation policy and entitlements; – Consultation and participation of APs and community; – Grievance redress; – Implementation schedule; and – Who to contact for additional information.

The purpose of this PIB is to ensure that the APs and various stakeholders fully understand the details of the resettlement plan program, compensation, and resettlement and rehabilitation options and measures Applicable to the Project. The PIB will be distributed before the ADB Management Review Meeting (MRM). In line with the ADB’s new public communications policy (OM Section L3/OP), the ADB will upload this resettlement plan on the ADB resettlement website as follows:

– before Appraisal - draft resettlement plan; – upon receipt of final resettlement plan – the final resettlement plan; and – upon receipt of a revised resettlement plan – the revised resettlement plan

7.3 Grievance Redressal Mechanisms 7.3.1 Government’s Grievance Redress Mechanism

A well-defined grievance redress and resolution mechanism will be established to address AP grievances and complaints regarding land acquisition, compensation and resettlement in a timely and satisfactory manner. All APs will be made fully aware of their rights, and the detailed procedures for filing grievances and an Appeal process will be publicized through an effective public information campaign. The grievance redress mechanism and Appeal procedures will also be explained in the PIB that will be distributed to all APs.

APs are entitled to lodge complaints regarding any aspect of the land acquisition and resettlement requirements; compensation policy, entitlements, rates and payment; or strategies and procedures for resettlement and rehabilitation assistance programs. AP complaints can be made verbally or in written form. In the case of verbal complaints, the committee hearing the complaint will be responsible to make a written record during the first meeting with the AP. APs who present their complaints to the WPC, APC or PPC will be exempt from all administrative fees incurred. In addition, APs who lodge complaints and Appeals to district courts will be provided with free legal representation.

For the purposes of grievance redress and resolution, the RCs at ward, district and provincial levels will also serve as the Grievance Redress Committees. The Ward Grievance Redress Committee will make all reasonable attempts to settle AP’s issues at the commune level through community consultation; and, as

Status: Draft


required, the involvement of NGOs, mediators and facilitators, as well as social and resettlement experts. Moreover, to avoid a redress process, grievances will be prevented to the extent possible through careful sub-project design and implementation. Effective strategies include full and frank participation and consultation with APs; establishing a rApport between the affected communities and the implementing agencies; and frequent interactions, transparency and monitoring.

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

• Stage 1: Complaints from APs on any aspect of compensation, relocation or unaddressed losses are first of all lodged verbally or in written form with the Ward’s People’s Committee (WPC). The complaint will be discussed in an informal meeting with the AP and the CPC. It will be the responsibility of the CPC to resolve the issue within 15 days from the date the complaint is received.

• Stage 2: If no understanding or amicable solution can be reached or if no response is received from the WPC within 15 days of registering the complaint, the AP can Appeal to the District People’s Committee (APC) in the presence of the District Resettlement Committee (DRC). The AP must lodge the complaint within 30 days of registering the original complaint and must produce documents that support his/her claim. The APC will provide a decision within 1 month of receiving the Appeal.

• Stage 3: If the AP is not satisfied with the decision of the APC or in the absence of any response, the AP can Appeal to the City People’s Committee (CPC). The CPC will provide a decision on the Appeal within 30 days from the day it is received by the PPC.

• Stage 4: If the AP is still not satisfied with the decision of the CPC on Appeal, or in the absence of any response within the stipulated time, the AP as a last resort may submit his/her case to the District Court. Beyond this the AP may lodge their complaint to the Operations Department or the Office of the Special Project Facilitator (OPSF) as detailed above as per ADB Policy.

The procedure described in these four steps is consistent with the legal process for resolution of disputes in Viet Nam. However, the system is oriented primarily towards disputes between people, as opposed to between people and government. Therefore, as part of the Project’s internal monitoring and evaluation, the WPC and SAWACO will keep a written record of all grievances and complaints brought forward by APs, as well as their final resolutions. The independent monitoring agency contracted for external monitoring and evaluation will be responsible for checking the procedures for and resolutions of grievances and complaints. The independent agency may recommend further measures to be taken to redress unresolved grievances.

SAWACO and the HCMC PC will be responsible for ensuring that the grievance redress procedures and timeframes are explained clearly to each level of People’s Committees.

Status: Draft


Figure 7-1: Grievance Resolution Process

Stage 1

Stage 2

Stage 3

Stage 4 Affected Person (AP)

still not satisfied

AP not satisfied with decision of the HCMC PC (HCMC RC), or in the absence of any

response within the stipulated time. As a LAST RESORT – may submit their

case to the District Court

Affected Person (AP)

still not satisfied

Affected Person (AP)

still not satisfied

Affected Person (AP) has a

grievance with any aspect of

the Resettlement

Process

Complaint lodged verbally or in writing to WRC (WPC)

Complaint discussed informally with AP

WRC (WPC) responsible to resolve within 15 days of receipt of complaint

Grievance Resolved?

Grievance Resolved?

Grievance Resolved

Yes

Yes

Yes

Yes

No

Grievance Resolved?

No

No

AP Appeals to DRC (APC) within 30 days of registering original complaint

AP must produce documents supporting claim

APC (DRC) decision within 1 month of receipt

AP Appeals to HCMC RC (HCMC PC)

HCMC PC (HCMC RC) decision within 1 month of receipt of Appeal

Status: Draft


8 RP UPDATING AND IMPLEMENTATION RP updating and implementation will be covered under the TA Loan. Following detailed design under the TA Loan, RP updating will be done. Resettlement implementation (i.e., disbursement of payment to APs, land clearance and relocation of APs) can only commence once the updated RP has been reviewed and Approved by the ADB. Consultations will be conducted with APs, particularly with the vulnerable and relocated households. 8.1 Establishment of District Compensation Committees The District Compensation Committees will be established in all districts once the project is Approved by HCMC PC. 8.2 Mobilization of Consultants It is expected that TA Loan consultants will be mobilized in 2010. The external monitoring agency will be mobilized prior to commencement of DMS activities. 8.3 Implementation Arrangements

The following sections set out the main responsibilities, role and tasks of each authority involved in preparation and implementation of resettlement activities under the Project. The implementation of resettlement activities requires the involvement of agencies at the national, city, district and commune levels. Resettlement committes will be established at district levels, as required by Decree 197 and be under the responsibility of the City People’s Committee (HCMC PC). The provisions and policies of the policy framework will form the legal basis for the implementation of the Project’s resettlement activities.

8.3.1 Executing Agency – Saigon Water Company (SAWACO)

SAWACO is the Executing Agency responsible for the Project with loan funds, on behalf of the Government. A Project Management Unit (PMU) will be established for the project within SAWACO’s building and will, in co-ordination with relevant agencies, manage and supervise the overall project including resettlement activities and land acquisition. Successful updating and implementation of resettlement plans will require that SAWACO liaise and co-ordinate closely with involved ministries and other agencies, together with the HCMC PC and District Compensation, Assistance and Resettlement Committees.

SAWACO has a Resettlement Unit (11 people). This RU manages all the resettlement activities linked to SAWACO’s projects in coordination with the district authorities. The different steps for the implementation of resettlement activities are summarized below:

− When the design of a project is completed and Approved, SAWACO signs a contract with District Authorities, where the project is located, to implement resettlement activities (detailed measurement survey, compensation plan);

− District authority establishes a resettlement committee for the project; A staff member from the SAWACO RU is a member of this District Resettlement Committee (DRC);

− SAWACO also supervises all resettlement activities implemented by the DRC;

Status: Draft


8.3.2 Ho Chi Minh City People’s Committees (HCMCPC)

The City People’s Committee (CPC) will be responsible overall for resettlement activities within its administrative jurisdiction. The main responsibilities of the CPC include: (i) reviewing and Approving updated RP submitted by DCC; (ii) providing guidance to DCCs in the updating and implementation of the RP. 8.3.3 District People’s Committee (APC)

The District People’s Committee3 Approves the compensation plans and issues the Decision for Land Recovery; there are two types of land recovery: i) permanent land acquisition (the RoW); or ii) temporary land acquisition (land used during the construction period and then given back to owners). 8.3.4 District Compensation Committee (DCC)

The District Compensation Committee (DCC), is headed by the Vice-Chairman of the APC and has members from the Finance Department; the Department of Natural Resources and the Environment; the Transport Department; and SAWACO. In addition, members are also from the Women’s Union, and affected households. In collaboration with SAWACO, the main responsibilities of the DCCs are the following: (i) coordinate and manage resettlement activities with SAWACO and District and Ward People’s Committees; (ii) Spearhead census verification and conduct detailed measurement survey; (iii) carry out consultation and disclosure activities, identify relocation sites (APartment), design and implement income restoration programs; (iv) Prepare Updated RP for endorsement by the HCMC PC; (v) along with the WPC, carry out timely delivery of compensation payments and other entitlements to displaced persons; (vi) Act as grievance officers; and (vii) prepare quarterly resettlement progress reports. 8.3.5 Ward People’s Committee

The WPC will assist the DCC in their resettlement tasks. Specifically, the WPC will be responsible for the following: (i) participate in the updating and implementation of RP; identify potential replacement land for affected households; (iii) ensure that vulnerable and severely affected households are properly consulted and that the concerns and grievances of these households are heard, recorded and addressed in a timely manner; (iv) certify DMS and payments made to affected households; and (v) assist in the resolution of grievances. 8.3.6 Consultants engaged under the TA Loan

The TA Loan Consultants will assist SAWACO and DCCs in the updating and implementation of the RP. The updating of the RP will be done in conjunction with the conducting of the detailed measurement survey, which is slated to begin in 2010. Due to the low scale of resettlement, only a national resettlement/social development specialist will be needed for a period of 3 months

The main responsibilities of the resettlement/social development specialist include the following: a. Identify which HH can stay around the towers based on the proposed work program, in collaboration

with SAWACO; b. Identify HH that need temporary relocation during the construction period; c. Ensure that all relocated HH will have secured tenure; d. Design and implement procedures for (i) minimizing adverse social impacts from land acquisition and

loss of other assets throughout the implementation phase (e.g., coordinating resettlement and 3 We should note that this type organization is specific to HCMC; in Hanoi and other provinces, the City/Provincial

Peoples’ Committee supervises the resettlement activities and Approves the compensation plan.

Status: Draft


compensation activities, avoiding or minimizing impacts caused during construction and ensuring that losses that cannot be avoided are recorded and compensated as per the Approved, updated RP,

e. Carry out consultation and disclosure programs.

8.4 Process of RP Udating

8.4.1 Conducting of Detailed Measurement Survey

As soon as the detailed design has been finalized, the DMS will be undertaken by the PMU and DRCs to collect data from all APs to establish their exact impacts, eligibility and entitlements. The data will be entered into a database to document the: a) socio-economic status of affected households, b) nature and extent of losses and c) entitlements for compensation and other assistance. This data will be made available to the External Monitoring Agency (EMA) (see Section 8.6.2, below) to enable them to establish a baseline for monitoring and evaluating project benefits. During the conducting of the DMS, the EMA will also monitor the DMS process to determine and assess if DMS activities are being carried out in a participatory and transparent manner.

At the time of DMS activities, all APs are required to submit copies of LURCs or any legal pAPers to assist the PMU and DRCs in the preparation of the Compensation Plan. All DMS forms are reviewed and signed by APs. The official list of APs, their losses, and corresponding payments due will be disclosed to the displaced persons.

• During DMS, APs participate and give copy of LURC/legal pAPers to PMU and DRCs • PMU and DRCs prepare Compensation Plan (as per DMS rate Approved by PPC) • PMU and DRCs disclose Compensation Plan to APs • APs review Compensation Plan and sign for concurrence • PMU and DRCs submit to Department of Finance (DOF) for review and Approval • DOF submits to PPC for Approval • PMU and DRCs include DMS and Compensation Plan in updated RP.

Any disagreement on the DMS and Compensation Plan will not be signed by APs until it is resolved following the grievance redress process.

A new socio-economic survey will be carried out if RP updating does not commence within two years as demogrAPhic and socio-economic factors may change significantly. It will cover all affected households.

8.4.2 Consultation and Disclosure

A consultation and participation plan was developed for Project Preparation. Consultation-to-date with APs and key implementation staff is outlined in Section 7.1 above.

An information booklet outlining key aspects of this Resettlement Plan, including impacts, entitlements, likely time frames, safeguards and benefits, has been prepared (see Appendix B). It will be disclosed in November 2009. The process of disclosure will be repeated as this RP is updated with final impacts/updated scope as a result of the completion of detailed design and DMS of land acquisition requirements.

8.4.3 Relocation of Households

6 HH will have to be relocated around Tower I in District 6. As per the project policy, all HH who have to relocate and have no other residential land are entitled to rent or buy an APartment.

Status: Draft


In HCMC provision for constructing resettlement APartment buildings is usually omitted as it is the City’s policy to encourage private sector developers to construct such buildings a part of their overall building portfolio. The relevant District People’s Committee negotiates concessional prices at which it the developer will sell APartments to people who qualify. However, meetings with District 6 Authorities in September 2009 showed that the District has several buildings in various locations, within the district, with available APartments for relocated households. These are usually small-scale buildings (up to 5 storeys). Because relocated APs will not receive compensation for land, the APartment has to be subsidized by the Government based on low-cost and long-term arrangements. Currently, there is a building, adjacent to WT I, with available APartments. This would be the ideal solution to relocate APs located in Tower I. However, it is not known if, at the time of the relocation, these APartments will still be available. Some APartments are also available in Ward 13. As soon as the exact number of HH to be relocated is known, the DRC will allocate APartments at a location satisfactory to APs. 8.5 Income Restoration Measures

Relocated APs are expected to be relocated near their current location. No APs will lose their main source of income. All the APs are working outside their home mainly for hired labor or in shops. Two of them are employed and have regular salaries.

Among the 6 APs to be relocated, 5 are houses only and 1 is a house and shop. The house and shop is owned by Mr. Phung Van Nup. The shop is a mechanic repair shop located near the tower (see Appendix A, Photo 2). It constitutes a secondary source of income. However, this is a temporary shop and all the equipment could be easily removed.

General measures such as relocation of APs near their current locations and compensation at market rates, as well as other measures outlined in the Entitlement Matrix, will enable pre-project livelihoods to be re-established by all APs.

Table 8-1 Source of Main and Secondary Income of Relocated APs

Name

WT Use of structure Main Source of income

Secondary source of income

10 Nguyen Thanh Huong I House Manual/daily labor Trading-retail12 Tran Thi Phuong I House Wages / salary Renting property15 Truong Ngoc Lien I House Manual/daily labor Services16 Nguyen Hoai Hue I House Trading – retail -17 Phung Van Nup I House/shop Services Mechanic Repair Shop18 Huynh Cong Khanh I House Wages / salary -8.6 Monitoring

8.6.1 Internal Monitoring

The PMU under SAWACO will serve as the Project’s internal monitoring body. As such, the PMU will maintain a file of all data gathered in the field, including a data base on the affected households. The PMU will submit quarterly monitoring reports to SAWACO starting from the commencement of RP updating, which coincides with the conducting of the detailed measurement survey and other RP updating activities. SAWACO, in turn, will include updates on resettlement in its regular Project reports to MOT and the ADB. Social monitoring reports will be made available to affected households and will be submitted to the ADB for web posting.

Status: Draft


Internal monitoring and supervision will have the following objectives:

• Compensation and other entitlements to be computed using rates and procedures provided in the Approved RP with no discrimination according to gender or any other factor;

• Public information, public consultation and grievance redress procedures are to be followed as described in the Approved RP;

• Affected public facilities and infrastructure are to be restored promptly; and • The transition between resettlement and commencement of civil works is to be smooth and that

sites are not to be handed over for civil works until affected households have been satisfactorily compensated and resettled.

8.6.2 External Monitoring

The methods for external monitoring and evaluation of land acquisition, compensation and resettlement activities include:

a. Review of Detailed Measurement Survey (DMS): As soon as the detailed design is finalized, DMS will be undertaken by the PMU and DRCs. Both the data and the process will be checked and monitored by the EMA to determine and assess if DMS activities are being carried out in a participatory and transparent manner.

b. Socio-Economic Survey (SES): SES data will be collected among all APs. The SES is designed to provide a clear comparison of the success and/or failure of the resettlement program to restore their livelihoods and living standards. In general, if a lag of 3-5 years or more occurs between census and SES and actual land acquisition, demogrAPhic and socio-economic factors may change significantly. In this Project, if land acquisition is not carried out within two years after the SES, the PMU and DRCs will carry out another SES. A post resettlement survey will also be undertaken by the EMA 6-12 months following the completion of resettlement activities. Special attention will be paid to the inclusion of women and the poor, with set questions for women and other target groups; and, the database disaggregates information by gender, vulnerability and ethnicity. Because no AP has a LURC, specific attention will be paid to ensure that all APs have secure land tenure.

c. Participatory RAPid Appraisals (PRA): The PRA will involve obtaining information, identifying problems and finding solutions through participatory means including: a) focus group discussions on specific topics such as compensation payments, and relocation for APs located around WT I and N; b) formal and informal interviews with affected households, women, and vulnerable APs; and, d) in-depth case studies where problems are identified by internal or external monitoring and required special efforts to resolve.

d. Verification of Replacement Cost Survey: The EMA will also verify whether compensation paid was equal to replacement cost survey amounts. A special market study to validate whether the rates used in compensation for land and other non-land assets were at replacement cost will be undertaken.

The EMA will maintain a computerized database of resettlement that will be updated every six months. It will contain certain files on each affected household and will be updated based on information collected on successive rounds of data collection. All monitoring databases will be fully accessible to the PMU and DRCs..

Every quarter, the EMA will submit an external monitoring report to the PMU under SAWACO, as well as directly to the ADB. The report will summarize the findings of the EMA, including: (i) progress of RP updating and implementation (including income restoration programs), citing any deviations from the provisions of the RP; (ii) identification of problem issues and recommended solutions so that

Status: Draft


implementing agencies are informed about the ongoing situation and can resolve problems in a timely manner; (iii) identification of specific ethnic minority issues, if any; and, (iv) status of resolution of issues and problems identified in previous reports.

The external monitoring reports will be discussed in a meeting between the EMA, SAWACO and DRCs after submission of the reports. Necessary remedial actions will be taken and documented.

Table 8-2: External Monitoring Indicators

Type Indicator Examples of Variables Staffing Number of PMU and field staff on Project, by job function

Number of other line agency officials available for tasks Consultation, Participation and Grievance Resolution

Number of consultation and participation programs held with various stakeholders Separate consultation with women), female-headed households Grievances by type and resolution Number of field visits by SAWACO staff Number of local organizations participating in project

Procedures in Operation

Joint DMS and asset verification/quantification procedures in place Effectiveness of compensation delivery system Coordination among PMU, city departments and district officials

Structures Number, type and size of private structures acquired Number, type and size of government structures acquired

Trees Number and type of private trees acquired

Process Indicators (by district and commune)

Compensation and Rehabilitation

Number of households affected ( buildings, trees) Number of owners compensated by type of loss Amount compensated by type and owner Number and amount of allowances paid Number of entitlements delivered Suitability of entitlements to affected households as per RP objectives

Household Earning CAPacity

Employment status of economically active members Changes to income-earning activities - pre- and post disturbance Amount and balance of income and expenditures

Changes to Status of Women

Ward Resettlement Committees include Women’s Union and women from affected households Number of grievance procedures filed by women and resolution Number of women (including female-headed households) who negotiated compensation effectively Joint registration of APartment in the name of husband and wife Number of women who understand the process of resettlement activities ( entitlement, compensation process, etc) Number of women who participated in discussion of resettlement site selection; Participation in community decision-making

Changes to Status of Children

School attendance rates (male/female) Participation in road construction

Impact Indicators (by district and ward)

Settlement, Community and Population

Changes in economic activities and income-generation opportunities Changes in social, cultural and community conditions

Status: Draft


9 Cost Estimate and Budget 9.1 Flow of Funds Funds for compensation and implementation of the plan will be from SAWACO and HCMC PCs, SAWACO will be responsible for channelling funds for the compensation for land acquisition and resettlement to the RCs who will be responsible for making payments directly to displaced persons with respect to land, crops, trees, houses, other structures and any allowances. SAWACO will also be responsible for contracting an independent institution to undertake the independent monitoring. 9.2 Adjustment for Inflation The rates for compensation and cash entitlements for rehabilitation as well as allowances payable to displaced persons will be adjusted annually, based on the current annual inflation rate. The PMU, with the HCMC PC, will determine the annual inflation rates and all cash entitlements. 9.3 Compensation Prices 9.3.1 Prices issued by Ho Chi Minh City

Prices for structures and trees HCMC issued Decision 17/2008/ QD-UBND dated 14/3/ 2008 on compensation, allowances, and relocation when State recovers land. Article 19 of the Decision 17 stipulates construction prices for calculation of compensation; and Article 26 of the Decision stipulates principles for compensation of trees, crops and livestock animals attached the compensation rates for each group of trees, crops; and Decision 67/2009/QD-UBND dated 15/9/2009 issued stipulation of adjustment of construction estimates of structures in HCMC. These prices Apply in all of HCMC whatever the location of the affected structures, crops and trees. Table 9-1: Compensation Rates for Structures and Trees HCMC PC Compensation Rates Cost used for cost estimates Temporary Structure Grade A 1,540,000Grade B 1,045,000Grade C 880,000

1,500,000

Category 4 Structure Grade A 2,200,000Grade B 1,980,000Grade C 1,760,000

2,000,000

Trees Tree Category I 300,000 to 500,000 500,000Tree Category II 200,000 to 300,000 300,000 9.3.2 Replacement Cost Survey Replacement cost surveys were conducted only for structures. Because no APs will be compensated for land, structures are the main affected assets. However, coming up with an exact assessment of the replacement cost for structures is not easy. Compensation rates issued by HCMC PC were presented to

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APs and to local authorities. Even if the type of compensation rate that will Apply (grade A, B or C) is unknown, APs and local authorities found these compensation rates fair. A replacement cost survey report prepared in 2007 by the Vietnam Valuation and Finance Consultancy Company in HCMC shows that the market rate for structures for Category 4 (the category of houses affected) covers 75% to 86% of the market rate4. This confirms that in comparison to land, the difference between the compensation rates issued by HCMC PC and the market rate is not significant. When the DMS is conducted, a detailed replacement cost survey for structures will be consulted. 9.3.3 Basis for Allowances The types of assistance below are based on the existing national decrees and on Decision 17/2008/QD-UBND of Ho Chi Minh City.

Table 9-2: Amount and Basis of Allowances

Allowance Amount Basis Material Transport (for relocated HH: 6 APs)

• Not less than VND 3,000,000/ household or equivalent to the current cost of relocation expenses (labor, transport) if relocating within the district. Affected households opting to transfer to another province will be provided with not less than VND 5,000,000/ household or equivalent to the current cost of relocation expenses (labor, transport).

Decision 17/2008/QD-UBND (Art. 29)

Transition Subsistence (for relocated HH , per pers.: 22 persons)

• Any households or individuals losing all residential houses and land (without agricultural production) who have to move away from their original residence to another dwelling place will be assisted with 1,000,000 VND for each person in household

Decision 17 (Art. 30)

Repair allowance (for HH partially affected: 11 APs)

• No more than 20% of replacement cost of the affected portion or equivalent to the current cost of repair. (20% of 2,000,000 = 400,000, on average 20 m2 of structure affected per HH = 8,000,000)

Decision 17 (Art.20)

Renting allowance (for HH partially affected: 11 APs)

• Estimated renting rate in HCMC: 1,000,000 VND per month for 6 months = 6,000,000 VND/HH


Bonus for moving on time (for relocated HH: 6 APs)

• Relocated HH: cash payment of VND 5,000,000 per HH. • Reorganized HH: cash payment of VND 2,500,000 per HH


Vulnerable (1 AP) • 2,000,000 VND per poor household Decision 17 (Art. 30)

Relocated shops (1AP)

• For registered and non registered businesses, in order to cover 4 months income loss from business, business disruption allowances will be 30% of annual net income.

• Relocated shop has a monthly income of 1,000,000 VND; 30% of 12,000,000 is 3,600,000 VND.


4 Vietnam Valuation and Finance Consultancy Company (December 2007) Replacement Cost Survey Report for the Long Thanh – Dau Gie Expressway Project.

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9.3.4 Cost estimates

The total budget for land acquisition under this DRP is estimated at VND 2.22 billion (123,000 USD). This amount covers external monitoring, administration and implementation activities. A contingency of 10% has been added.

Table 9-3: Cost Estimates

S.no Item Unit Quantity Unit Price (VND) 000 VND USD I Structures 959 1 559 740 86 652

1 Category IV m² 272.0 2 000 000 544 000 30 222 2 Temporary + other m² 665 1 500 000 997 500 55 417 3 Fences m 22 180 000 3 960 220 4 Concrete yard m² 72 105 000 7 560 420 5 Roof m² 24 80 000 1 920 107 6 Gate unit 8 600 000 4 800 267

II Trees unit 29 10 900 686 1 Group 1 unit 12 500 000 6 000 377 2 Group 2 unit 15 300 000 4 500 283 3 Other unit 2 200 000 400 25

III Allowances 351 600 1 Transport allowance HH HH 6 5 000 000 30 000 2 Repair allowance HH HH 11 8 000 000 88 000 3 Transition subsistence pers pers 22 6 000 000 132 000 4 Business disruption HH HH 1 3 600 000 3 600 5 Temporary relocation HH HH 11 6 000 000 66 000 6 Vulnerable HH HH 1 2 000 000 2 000 7 Bonus HH HH 6 5 000 000 30 000

IV Administration (5%) 0.05 96 112 5 340 V Total I,II,III,IV,V 2 018 352 112 211 Contingencies 0.10 201 835 11 221 Total 2 220 187 123 432

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10 Implementation Schedule The investment program envisaged by SAWACO will utilize the ADB’s Multi-Tranche Finance Facility (MFF) modality. There will be 6 tranches implemented over a 15-year period from 2011-2025. The project components are intended to be implemented over a 6-year period from 2011-2016 and is covered by Tranche 1 (detailed design of Tranche 2) and Tranche 2 (implementation of components 1 to 4 including the rehabilitation of the elevated tanks) of SAWACO’s investment program.

Table Error! Reference source not found.10.1 summarizes the steps remaining for the implementation of land acquisition, compensation and resettlement activities for the rehabilitation of the water towers.

The ADB shall not Approve any awarding of a civil works contract for any sub-project to be financed from the loan proceeds unless the Resettlement Plan following detailed design and based on detailed measurement survey has been submitted to and Approved by the ADB.

SAWACO shall ensure that civil works contractors are not issued a notice of possession of site for construction works until SAWACO has (i) satisfactorily completed, in accordance with the Approved RP, compensation payments and relocation to new sites; and (ii) ensured that required rehabilitation assistance is in place and the area required for civil works is free of all encumbrances.

Table 10-1: Implementation Schedule

Activities Schedule Detailed Design 2011-2012 Consultation, DMS, SES and Disclosure 2012-2013 Approval of updated RP by ADB 2013 Awarding of civil works contracts End 2013 External monitoring Mid 2013 Clearance of acquired land Mid 2013 Handover of site to contractors, start of civil works End 2013 Internal and External Monitoring Mid 2013 – until end of construction

activities Post Evaluation by independent monitoring agency 6-12 months after completion of

construction activities

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Appendix A : PhotogrAPhs of Affected Households

Photo 1: Water Tower I; HH to be relocated

Photo 2: Water Tower I; HH to be relocated

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Photo 3: Water Tower I; Shops located in front of the WT; partially affected in the back

Photo 4: Water Tower N: HHs located around the WT

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Photo 5: Water Tower N; fences against the WT

Photo 6: Water Tower H; open restaurant near the WT

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Appendix B: Public Information Booklet

The Ho Chi Minh Water Supply System Project will be loan funded by the ADB.

The objective of the Project is to improve quality of life and economic development in HCMC through development of water supply infrastructure. One of the components of the project is the rehabilitation of 8 elevated tanks in the center of the City.

Why is this project necessary to implement?

In a city like HCM, with frequent power outages and very low pressure at many locations, the rehabilitation of these water towers will improve water supply to adjacent areas. The towers will also provide useful fire storage and can also be used to boost chlorination of the network and be used for chlorine contact time.

Scope of construction and impact minimization The elevated tanks will be refurbished to bring the towers up to modern standards of concrete strength. Cracks and spalling in the concrete will also be repaired. The main equipment (pumps, valves, etc.) will be replaced. To allow space to conduct the rehabilitation work, clearance of an area around each of the towers for construction purposes and for operations will be needed corresponding to the vertical projection of the top of the Water Towers, plus a 2 m strip around the vertical projection

In terms of resettlement, what are the policies and principles of the project? The basic principles of the project are: a) All APs are entitled to be compensated for their

lost assets, incomes and businesses at replacement cost, and provided with rehabilitation measures sufficient to assist them to improve or at least maintain their pre-project living standards, incomes and productive cAPacity.

b) Lack of legal rights to the assets lost will not prevent APs from entitlement to compensation. All owners of houses even without LURC will be entitled to a secured tenure APartment.

c) Compensation for affected assets shall be provided at replacement cost.

d) Payment of compensation for affected assets and relocation of APs to new sites must be completed prior to commencement of any construction activities.

When will the Detailed Measurement Survey be conducted?

This activity will be carried out after the DETAILED DESIGN has been completed (2011-2012) The detailed measurement survey team will be composed of project representatives (SAWACO staff) and the Resettlement Committees (Ward staff). The survey will only be carried out in the presence of the APs. APs and local authorities will be informed prior to the survey. Each AP will assist in completing the Detailed Measurement Survey Form for their household. This form will identify all the losses that the household will experience from the project, and will be the basis for the compensation package for them. The AP will then be given the AP Compensation Form, which summarizes the losses and the total amount of compensation. The household can review this form for 7 days, and if they agree with the details, the head of the household will sign the form.

How are the construction impacts supervised and monitored?

SAWACO will monitor the contractor during construction work. Any disturbances to the lives of people along the pipeline will be recorded and issues reported to SAWACO for solutions within 7 days.

The resettlement plan that states clearly all entitlements and mechanisms for ensuring there are no people or properties affected during construction has been disclosed at the City People’s Committee of Ho Chi MInh City and in District 6 and the Go VAP District in Vietnamese and English. Anybody can access this document to understand further about the project and the construction work as well as entitlements if any property or land is affected by construction.

If there are disagreements or problems arising during the Project such as compensation or general project-related disputes, do I have the right to complain?

Any AP may file a complaint or grievance. The project includes a GRIEVANCE REDRESSAL PROCESS. The APs may present their complaints to the concerned local administrative officials and RCs, either verbally or in written form.

The complaint can be filed first at the commune level and can be elevated to the highest or provincial level if the APs are not satisfied with the decisions made by the commune or district. APs will be exempted from all taxes and administrative and legal fees associated with resolving the dispute.

Anybody living in the construction site who is affected by the construction or annoyed by the contractors

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can contact SAWACO or the ADB at the following address :

Ông Tran Dinh Phu - SAWACO General Director

Ho Chi Minh Water Supply Project # 1 Cong Truong Quoc Te District 3, Ho Chi Minh City Telephone number: 84-8-38227425

ASIAN DEVELOPMENT BANK - Viet Nam Resident Mission

Unit 701-706 Sun Red River Building,23 Phan Chu Trinh Street,Hoan Kiem District, Hanoi, Viet Nam (Tel: +84 4 933 1374)