COASTAL RESOURCES FOR SUSTAINABLE DEVELOPMENT PROJECT IPP625
ETHNIC MINORITY POLICY FRAMEWORK
December 2011
Contents
Glossary
1.INTRODUCTION
1.1Project overview
1.1Project components
1.2Project impacts
1.3Objective of EMPF
2.LEGAL AND POLICY FRAMEWORK
2.1National Legal and Policy Framework for Ethnic Minority Peoples
2.2Policy and Program for ethnic minority groups in Mekong delta
2.3World Bank’s Operational Policy on Indigenous Peoples (OP 4.10)
3.PREPARATION OF AN EMDP
3.1Social assessment
3.2Suggestive steps in developing an EMDP
3.3Procedure for review and approval of an EMDP
4.IMPLEMENTATION OF EMPF AND EMDPs
4.1Implementation Arrangements and Budget
4.2Disclosure of EMDP
4.3Grievance Redress Mechanism
4.4Monitoring and Evaluation
4.4.1Internal Monitoring
4.4.2External Monitoring
Annex 1: Elements for an EMDP
Glossary
Census and Inventory If a sub-project needs to change the land use or to acquire land for the project’s purposes, a Census of people that will be affected and an Inventory of affected assets will be undertaken based on the technical design of the sub-project. The Census will include key socioeconomic informationof the project affected persons (PAPs), such as main occupations, sources of income, and levels of income in order to be able to determine vulnerable households as well as to establish baseline data for monitoring livelihood restoration of the PAPs. The Inventory will include a detailed description of all affected lands, trees, structures, to be acquired permanently or temporarily in order to complete the sub-project; the names of the persons entitled to compensation (from the census); and the estimated full replacement costs, etc. Preliminary Census and Inventory information could be part of the Resettlement Policy Framework (RPF), depending on the project and the information available.
Compensation (in cash or in kind) for loss of assets and rehabilitation measures to restore and improve income will be determined in consultation with project affected people (PAP). Compensation for loss of assets will be at replacement costs.
Cut-off-dateis the date of completion of the inventory of losses during preparation of the Resettlement Action Plan (RAP). Displaced Persons and local communities will be informed of the cut-off date for each sub-project, and that anyone moving into the sub-Project Area after that date will not be entitled to compensation and assistance under the Project.
Eligibilityis the criteria to receive benefits under the resettlement program. The RPF will provide general guidance on this but this should not be definitively confirmed until the development of the RAP.
Replacement Cost. A concept (OP 4.12, footnote 11) is used to calculate the compensation amount for an asset and involves using current market value plus the transaction costs, which may include taxes, fees, transportation, labor, etc. The market value is determined by the PMU confirmed by local authorities in consultation with the PAP. The methods of estimation of prevailing market value should evolve over time to achieve good practice[1].
Resettlement covers all direct economic and social losses resulting from land taking and restriction of access, together with the consequent compensatory and remedial measures. Resettlement is not restricted to its usual meaning-physical relocation. Resettlement can, depending on the case, include (a) acquisition of land and physical structures on the land, including businesses; (b) physical relocation; and (c) economic rehabilitation of affected people, to improve (or at least restore) incomes and living standards.
Livelihood (income) restoration.Livelihoods restoration refers to that compensation for PAP who suffer loss of income sources or means of livelihoods to restore their income and living standards to the pre- displacement levels.
Vulnerable Groups and Individuals at risk are those who might suffer disproportionally from adverse project impacts and/or be less able to access the project benefits and compensation including livelihood restoration and assets compensations, when compared to the rest of PAP.Vulnerable peoples include people who, by virtue of gender, ethnicity, age, physical or mental disability, economic disadvantage or social status may be more heavily affected by economic or physical displacement than others and who may be more limited than the population at large in their ability to claim or take advantage of resettlement assistance and related development benefits. Remember, this can be an entire group (like an ethnic minority community) or an individual household (HH).
Abbreviations
CPC Commune People’s Committee
CRC Commune Resettlement Committee
DMSDetailed Measurement Survey
DPDisplaced Persons
DPCDistrict People’s Committee
DRCDistrict Resettlement Committee
EMEthnic Minority
GOVGovernment of Vietnam
HOC House Ownership Certificate
LURC Land Use Rights Certificate
NGOnon-Governmental Organizations
PCPeople’s Committee
PIMProject Implementation Manual
PPC Provincial People’s Committee
PRCProvincial Resettlement Committee
PCU Project Coordination Unit
PMU Project Management Unit
PPMU Provincial Project Management Unit
R(A)PResettlement (Action) Plan
RPFResettlement Policy Framework
VNDVietnam Dong
1
1.INTRODUCTION
1.1Project overview
The natural resources found within Vietnam’s very long coastline (3,260 kilometers) and its 1 million square kilometers of territorial waters and exclusive economic zone (EEZ) have greatly contributed to the country’s rapid growth. Its twenty-nine coastal provinces account for 53% of the nation’s population and their economy is largely resource-based, with aquaculture and capture fisheries together accounting for the largest share of income and employment. At the national level, the direct production value of the fisheries sector accounts for just under 6% of GDP and 10%[2] of employment. Fish processing is among the country’s largest industrial sub-sectors. Aquatic products account for about 8% of Vietnamese gross merchandise exports and a considerably higher share of its net export earnings. Aquaculture has been the leading source of agricultural growth over the past decade, while fishery product exports have experienced the fastest rate of growth of all major export product categories. The domestic market for fish and fish products is also expanding rapidly, with the people of Vietnam now obtaining nearly 50% of their dietary protein from aquatic products[3].
Marine and coastal resources—arguably Vietnam’s most important renewable natural assets — are, however, under increasing pressure and deteriorating significantly. There is growing recognition within Government, and among stakeholders, that important changes need to be made to protect and sustainably use the natural capital on the coast as a means to secure the long-term viability and competitiveness of the fishery sector and to sustain the coastal economy and related livelihoods. The current regime in this sector is economically and biologically not sustainable and is facing increasing market risks, as evidenced by recent rejection of fish products from the EU markets because of environmental, food safety and other concerns. Yet, a good foundation of legal, policy and regulatory measures has already been established, partly with the support of international development partners. The major gap now lies in implementation of these measures.
1.1Project components
The Government of Vietnam (GoV) is proposing to the World Bank a Coastal Resources for Sustainable Development Project (CRSD) which has the development objective of improving the sustainable management of coastal fisheries in selected coastal provinces of Vietnam. The development objective would be achieved through (a) strengthening the institutional capacity for sustainable resources management in support of fisheries; (b) promoting good practices for a sustainable aquaculture; and (b) implementing good practices for sustainable near-shore capture fisheries. It is envisaged that the proposed CRSD project would have the four following components:
(A) Institutional capacity strengthening for sustainable fisheries management: This component would support three key activities: (a) integrated spatial planning of coastal resources that supports the fisheries sector; (b) upgrading of the Vnfishbase, including establishment of a knowledge management system for fisheries and environmental management; and (c) selected policy research to contribute to the preparation of the new Master Plan for the fisheries sector to 2020.
(B) Good practices for sustainable aquaculture: This component would support good aquaculture practices (GAP) through supporting three key activities: (a) improved bio-security management at farm and community levels; (b) improved seed quality management, and (c) improved environmental management to monitor and support a sustainable aquaculture.
(C) Sustainable management of near-shore capture fisheries: This component would support two key activities: (a) co-management of near-shore capture fisheries at the district and commune levels together with strengthening of monitoring, control, and surveillance systems (MCS), and (b) improvement of hygienic conditions and operational efficiency for selected fishing ports, landing sites, and wholesale markets to reduce locally environmental pollution and improve values for fishery products.
(D) Project management, Monitoring and Evaluation. This component would provide the required resources: (a) to allow for effective management of the project; and (b) to strengthen the institutional capacity in key areas, particularly at provincial, district and community level, to monitor and evaluate project activities and sustain project interventions.
The project would cover 8 coastal provinces, namely ThanhHoa, Nghe An, Ha Tinh (Northern Central cluster); BinhDinh, Phu Yen, and KhanhHoa (South Central cluster); and SocTrang and Ca Mau (Mekong Delta cluster). Around 37 coastal districts and 226 coastal communes have been prioritized and selected for project implementation. There is a strong linkage between four components, in which Component A would focus primarily on policyand capacity strengthening while Components B and C will aim to address critical issues faced in each subsector. There are also direct and indirectly linksbetween Component B and C. For example, aquaculture in some areas can provide additional income for inshore fishermen, thereby helping reduce pressure on coastal resources. Likewise, improved management of near-shore capture fisheries would lead to a reduction in “trash fish” (by-catch),which in turn will trigger changes in aquaculturepractices in order to be more environmentally and economically sustainable.
1.2Project impacts
A social assessment (SA) has been conducted in three selected provinces:ThanhHoa, KhanhHoa and SocTrang provinces during project preparation. The SA aims to (a) understand the current key social issues in relation to the proposed project interventions, particularly interventions under project Component C, (b) understand cultural, demographic, socioeconomic profile of the potential target communities so as to inform the overall project design. In particular, the SA uncovers the potential impact resulting from possible restriction to coastal resources on the part of fishermen (as a result of strengthened coastal resource monitoring/regulation enforcements), and understand the social profile of coastal communities covered by project and explore possible alternative livelihoods that is site-specific, based on their existing livelihoods, including the potentially affected ethnic minority group (Khmer) who is present in the coastal area of SocTrang province in the Mekong Delta.
Various consultation sessions have been held with different potentially affected Khmer groups in the Mekong delta during the SA exercise. The consultation was conducted in a free, prior and informed manner in compliance with the requirements of Bank’s OP 4.12 and OP 4.10. The consulted potentially affected Khmer groups were informed of all relevant information about the project, including, inter alia, the scope and nature of the proposed subprojects and development activities, the tentative project implementation schedule, and the potential impact of such development. Consultation methods adopted area appropriate to the affected ethnic minority communities and their local conditions.Particular attention has been given to the feedback from vulnerable groups, especially those below the poverty line, the landless, the elderly, women and children.
A number of potential adverse impacts are anticipated as result of project interventions, particularly with Khmer ethnic group in SocTrang province. These potential impacts are:
a)Impact associated with land acquisition as a result of construction of physical works (i.e. access roads, safe harbors, fish markets and hygienic landing sites, environmental management infrastructure and facilities for on-going aquaculture activities).
b)Impact related to regulated access to coastal resources on the part of EM fishermen as a result of strengthened coastal resource monitoring/regulation enforcements, and
c)Other minor, unforeseeable impact on EM (particularly in SocTrang province)
The above identified key impacts are to be managed through use of the following mitigation measures and instruments (as shown in the table below).
Potential adverse impacts / Mitigation measures & Safeguards instruments1. Land acquisition (as a result of construction of physical works) / Land acquisition will be avoided as much as possible for all cases. Where avoidance is not possible, Resettlement Action Plan (RAP) for subprojects will be prepared based on project’s Resettlement Policy Framework (RPF).
2. Regulation enforcement on the sustainable use of coastal resources will lead to reduce free access to coastal resources of some groups that are exercising destructive and/excessive fishing practices / Extensive consultation has been made with selected potentially affected group of fishermen in Central and Southern Vietnam. Consultation procedures have been incorporated into project design and will be included in the Project Implementation Manual (PIM).
3) Other minor, unforeseeable impact on EM (particularly in SocTrang province) / To be examined at further length through social assessment/consultation during project implementation.
Despite the above impact, it is anticipated that the magnitude of land acquisition will be very small because most construction (i.e. upgrading of ports and landing sites, access roads, etc.) will take place on existing premise. There will no subprojects (in the first year’s implementation) that require acquisition of land, or restrict fishermen from their accessing their regular fishing grounds. In the following years, the project will also avoid land acquisition as much as possible for all subprojects. At present, all PPMUs do not foresee any large-scale resettlement or land acquisition required for upgrading the identified infrastructure because it is mainly upgrading the existing works. However, where avoidance is not possible, Resettlement Action Plan (RAP) for subprojects will be prepared based on project’s Resettlement Policy Framework (RPF). There is a broad community support for the project implementation from affected ethnic minorities present in the project area.
1.3Objective of EMPF
Bank’s OP 4.10 requires that when the project involves the preparation and implementation of annual investment programs or multiple subprojects, but the presence of EM in the subproject area could not be determined until the programs/subprojects are identified during project implementation, the project owner has to prepare an EMPF.
This EMPF provides guidance on how an EMDP for a program/subproject should be prepared. It helps, on the basis of consultation with affected EM in the subproject areas, ensure (a) affected EM peoples receive culturally appropriate social and economic benefits; (b) when there are potential adverse effects on EM, the impact are identified, avoided, minimized, mitigated, or compensated for.
This EMPF is prepared by MARD in accordance with Bank’s OP 4.10. It was developed on the basis of a) social assessment report (conducted during project preparation), b) consultation exercises conducted by MARD with the various project stakeholders, and ethnic minorities residing in the project area.
This EMPF will be applied to all subprojects/investments identified during project implementation of the CRSD project.
2.LEGAL AND POLICY FRAMEWORK
This section provides a framework for ensuring that the affected ethnic minorities (equivalent to the indigenous peoples as defined in OP 4.10) has equal opportunity to share the project benefits, that free, prior and informed consultation will be conducted to ensure their broad-based community access and support to the project are obtained, and that any potential negative impacts are properly mitigated and the framework will be applied to all the subprojects. It provide guidance on how to conduct preliminary screening of ethnic minorities, social assessments, and identification of mitigation measures given due consideration to consultation, grievance redress, gender-sensitivities, and monitoring. An outline of the EMDP report is provided in Annex 1.
In terms of consultation and participation of ethnic minorities, when the subprojects affects EM, the affected EM peoples have to be consulted in a free, prior, and informed manner, to assure:
(a) EM and the community they belong to are consulted at each stage of subproject preparation and implementation,
(b) Socially and culturally appropriate consultation methods will be used when consulting EM communities. During the consultation, special attention will be given to the concerns of EM women, youth, and children and their access to development opportunities and benefits; and
(c) Affected EM and their communities are provided, in a culturally appropriate manner at each stage of subproject preparation and implementation, with all relevant project information (including information on potential adverse effects that the project may have on them.
2.1National Legal and Policy Framework for Ethnic Minority Peoples
Constitutions of Vietnam of 1946, amended in 1959, 1980 and 1992 states “Implement a policy on equality, unity and support for all ethnic groups, give supportive conditions to ethnic minority groups in the development of a civilized society, and respect benefits, traditional cultures, languages and religions of ethnic minority groups”.
The adaptation of economic and social policies to each region and each group, taking the needs of ethnic minorities into account, is a requirement. The Socio-Economic Development Plan and Socio-Economic Development Strategy of Vietnam specifically call for attention to ethnic minorities. Major programs targeting ethnic minority people include Program 135 (infrastructure in poor and remote areas) and Program 134 (eradication of poor quality houses). A policy on education and health care for ethnic minorities is in place. The legal framework has been updated in 2007 with several documents relating to regional planning, the Program 135, Phase 2 and land administration and compensation. All legal document references are in Table 1.
Table 1: Legal documents relating to ethnic minority
2010 / Decree 82/2010/ND-CP of government, dated 20 July 2010 on teaching and learning of ethnic minority languages in schools.2009 / Decree 69/2009/ND-CP of government, dated 13 August 2009 on regulating additional planning of land use, land prices, land acquisition, compensation, assistance and resettlement.
2008 / Resolution no. 30a/2008/NQ-CP of government, dated 27 Dec. 2008 on support program for rapid and sustainable poverty reduction for 61 poorest districts
2008 / Decision 74/2008/QD-TTg of the Prime Minister dated 9-June-2008 on support productive land and residential land for poor ethnic minority households in Mekong Delta area.
2007 / Decision no. 33/2007/QD-TTg of the Prime Minister dated 20-July-2007 on the policy of assistance to improve knowledge of laws as a program of 135, phase 2.
2007 / Decision no. 01/2007/QD-UBDT dated 31-May-2007 of the Ethnic Minorities Committee on the recognition of communes, districts in the mountainous areas
2007 / Decision no. 05/2007/QD-UBDT dated 06-September-2007 of the Ethnic Minorities Committee on its acceptance for three regions of ethnic minorities and mountainous areas based on development status
2007 / Circular no. 06 dated 20-September-2007 of the Ethnic Minorities Committee guidance on the assistance for services, improved livelihood of people, technical assistance for improving the knowledge on the laws according the decision 112/2007/QD-TTg
2007 / Decision no. 06/2007/QD-UBDT dated 12-January-2007 of the Ethnic Minorities Committee on the strategy of media for the program 135-phase 2
2007 / Decree 84/2007/ND-CP of the Government of Vietnam on revision of issuing LURC, land acquisition, implementation of land use right, procedure for compensation, resettlement when land acquired by State and grievance redress.
2001 / Decree No.70/2001/ND-CP: all documents registering family assets and land use rights must be in the names of both husband and wife.
1998 / Decree no. 59/1998/ND-CP dated 13-August-1998 of the government on the functions, tasks, authorities and structure of the committee for Ethnic Minorities and Mountainous Areas
2.2Policy and Program for ethnic minority groups in Mekong delta
Government has issued and established many policies and programs to support ethnic minority groups to improve their lives. For the Mekong delta area, ethnic minority groups are benefited from below policies and programs: