RP1676 V1 REV SOCIALIST REPUBLIC OF VIETNAM HO CHI MINH CITY PEOPLE’S COMMITTEE INVESTMENT MANAGEMENT AUTHORITY (IMA) HO CHI MINH CITY ENVIRONMENTAL SANITATION PROJECT - PHASE II SOCIAL ASSESSMENT FINAL 18 August 2014 CONSULTANT: SAIGON WATER, ENVIRONMENT AND INFRASTRUCTURE JOINT-STOCK COMPANY (SAIGON WEICO) CONTENTS ABBREVIATIONS ........................................................................................................iii EXECUTIVE SUMMARY .............................................................................................. 1 1. INTRODUCTION ................................................................................................. 3 1.1. Project background ................................................................................................ 3 1.2. Project Components ............................................................................................... 4 2. METHODS ............................................................................................................ 5 2.1 Review of secondary data....................................................................................... 5 2.2 Household survey................................................................................................... 6 2.3 Focus group discussion and community consultation ............................................. 6 3. KEY FIDINGS .................................................................................................... 12 3.1 Description of the impact areas ............................................................................ 12 3.1.1 Linear area of the Interceptor ............................................................................ 12 3.1.2 The area required for the construction of the WWTP ........................................ 13 3.1.3 The area to the downstream of the WWTP ........................................................ 15 3.1.4 District 2 (proposed catchment area). ................................................................ 16 3.2 Project impacts ..................................................................................................... 17 3.2.1 Positive impacts ................................................................................................ 17 3.2.2 Negative impacts .............................................................................................. 18 3.3 Gender issues ....................................................................................................... 24 3.3.1 Community participation by gender .................................................................. 25 3.3.2 Project benefits for male and female ................................................................. 25 3.3.3 Adverse impacts as a result of land acquisition for the WWTP: ........................ 26 4. CHAPTER 4 - MITIGATION MEASURES FOR NEGATIVE IMPACTS ......... 26 4.1. Mitigation of negative impacts on property and income generation activities due to land acquisition .............................................................................................................. 26 4.2. Mitigation of temporary negative impacts during interceptor construction ........... 27 4.3. Mitigation of negative impacts during WWTP construction ................................. 27 4.4. Mitigation of potential negative impacts on the water body downstream the WWTP 28 4.5. Mitigation of potential negative impacts as a result of construction of the sewage system connecting District 2 catchment area and the Interceptor .................................... 29 5. CONCLUSIONS AND RECOMMENDATIONS ................................................ 30 5.1. Conclusions ......................................................................................................... 30 i 5.2. Recommendations ................................................................................................ 30 5.3. Lessons learned from resettlement HCMCES 1: ................................................... 31 ANNEX ......................................................................................................................... 32 Annex 1 - Households questionnaire .............................................................................. 32 Annex 2 - List of community consultation sessions ........................................................ 45 Annex 3 –Sample minutes of public consultation ........................................................... 46 Annex 4 - List of participants in community consultation .............................................. 51 Annex 5 - References ..................................................................................................... 55 Annex 6 - Methodological Notes for the SA .................................................................. 57 TABLE OF CONTENS Table 1: List of field visits ............................................................................................... 6 Table 2: List of community consultation sessions ............................................................ 7 Table 8: Estimated construction costs for individual wastewater treatment facilities in District 2 without HCMCES2 project ............................................................................. 18 Table 10: Participation in community consultation meetings by gender ......................... 25 Table 11: Number of opinions in consultation meetings by gender................................. 25 TABLE OF FIGURES Figure 1 : Two catchments areas that benefit from the overall Project (Phase 1 and 2) ..... 4 Figure 2: Community consultation ................................................................................. 11 Figure 3: Boundary (red line) of the proposed WasteWater Treatment Plant). ................ 13 Figure 4: The current land status at the site of the future WWTP ................................... 23 Figure 5: The thatch housetemporarily made on the site of the future WWTP ................ 23 ii ABBREVIATIONS DOT Department of Transport HCMC Ho Chi Minh City HCMCES Ho Chi Minh City Environmental Sanitation Project HCMCES1 Ho Chi Minh City Environmental Sanitation Project – Phase 1 HCMCES2 Ho Chi Minh City Environmental Sanitation Project – Phase 2 IMA Investment and Management Authority PC People’s Committee WB World Bank FASEP Private Sector Aid Fund CDM Camp DresserMcKee MONRE Ministry of Natural Resources and Environment SCE SCE Consulting Firm HADECON Hanoi Design and Consulting Joint Stock Company CEFINEA Centre for Environment Technology SAIGON Saigon Water, Environment And Infrastructure Joint-Stock WEICO Company NL-TN NhieuLoc–ThiNghe OP 4.12 Involuntary Resettlement Policy of World Bank’s OP 4.10 Indigenous Peoples Safeguard Policy of World Bank RAP Resettlement Action Plan USD U.S dollars BOD Biochemical oxygen demand COD Chemical oxygen demand TOC Total Organic Carbon iii EXECUTIVE SUMMARY The Ho Chi Minh City Environmental Sanitation Project - Phase 2 (HCMCES2) is a continuation to the Ho Chi Minh City Environmental Sanitation Project - Phase 1 (HCMCES1) to complete the goal of improving the environment sanitation for the entire project, including Nhieu Loc-Thi Nghe catchment and District 2 catchment. As stated in the Project Detailed Objective document which was approved by the Prime Minister of the Government of Vietnam, the project objective is to complete the wastewater interceptor and wastewatertreatment system for the whole NhieuLoc - ThiNghe basin and District 2 aiming at improving the health of Ho Chi Minh City population, rehabilitating and preserving the SaiGon river and Dong Nai river ecosystems; upgrading the urban landscape and improving HCMC population awareness about environmental protection. To achieve the project objective, the following activities will be done - as per the approved Project Detailed Objective. 1. Construction of an wastewater interceptor system to collect and transport wastewater from Sai Gon river East bank shaft to Nhieu Loc - Thi Nghe wastewater treatment plant (WWTP); 2. Construction of Nhieu Loc - Thi Nghe wastewater treatment plant with the capacity of 480,000m3/day in Thach My Loi ward, District 2; 3. Construction secondary and tertiary sewer systems in District 2 to collect wastewater from households and residential areas and connect through the interceptor system with Nhieu Loc - Thi Nghe wastewater treatment plant. 4. Capacity building in environmental sanitation management and project implementation. The purpose of the Interceptor is to transfer the wastewater (collected from Nhieu Loc-Thi Nghe catchment) from East shaft of Phase 1 to the the WasteWater Treatment Plant of Phase 2 (to be located in Thanh My Loi ward of District 2) where the waster water is treated as per Vietnam’s environmental management requirement before the treated waste water is released to the Dong Nai river. As the Interceptor makes its way along the Sai Gon river (through District 2), it will collect additional waster water collected from the district 2 basin to provide additional benefit to the District 2. Despite of the overall positive impact, the project will cause some adverse social impact which is inevitable. These include a permanent land acquisition of about 38.47 ha from local people for the construction of the WWTP and a temporary land acquisition at the locations ofestimatedseventeen shafts that are scattered along the Interceptor. Despite of effort to avoid land acquisition, some temporary land acquisition (very minor) are anticipatedalong the Interceptor route, and at places along the sewage system that connect District 2’s existing sewage sytem and the Interceptor. Some very minor permanent land acquisition could result at places along District 2 sewage system but effort will be made to avoid permanent land acquisition. The technical design for the Interceptor alignment is still being updated following some technical adjustments. Once completed, the magnitude of temporary impact will be updated accordingly. 1 The social assessment (SA) was conducted to examine the potential impact of the project (both positive and negative). The purpose of the SA is two-fold: a) examine the potential impacts of the project –positive and negative (on the basis of planned project activities), and b) inform the design of mitigation measures that address identified potential adverse impact and propose other community development activities (i.e. gender mainstreaming, behavior change communication) to enhance project’s development effectiveness. The SA covered four main areas where the physical impact is anticipated: (i) the linear area planned associated with the installation of the Interceptor (about 8km long going through Thu Thiem, An Khanh, Binh Khanh, An Loi Dong, Binh Trung Tay and Thanh My Loi of District 2,, (ii) the planned area for constructing the Waste Water Treatment Plant (38.47 ha in Thanh My Loi ward), (iii) the residential area located along the river (to the downstream of the WWTP) (such as Long Truong ward of District 9 of Ho Chi Minh City; and Phu Huu and Dai Phuoc communes of Nhon Trach district of Dong Nai province), and (iv) the catchment area of District 2 where the existing sewage system will be connected to the Interceptor of Phase 2 The SA confirms that the overall social impact of the project is positive - because the project will improve the environmental sanitation for the two target catchment areas - NhieuLoc – ThiNghe area (Phase 1) and District 2 area (Phase 2). Specifically, the SA confirmed that the anticipated negative impact - as a result of permanent land acquisition, primarily at the 38.47ha WWTP, is minimal, given consideration of the other technical alternatives during the Feasibility Study stage. However, given that the compensation will be made to affected households as per project’s Resettlement Policy Framework, potentially affected households (consulted during project preparation) indicate their support for project implementation, and that their livelihood would not be affected/worsened off..The SA also suggests a communication program to promote behavior change for improved water and sanitation be done that target) groups of poor households residing in District 2, and b) households residing with the two project areas, including Nhieu Loc – Thi Nghe catchment area (Phase 1) and District 2 catchment area (Phase 2). 2 1. INTRODUCTION 1.1. Project background1 In recent years, the environmental sanitation has become a major concern of the Government and the people of Ho Chi Minh City. Along with the development and urbanization of the city and the pressure by an increased population, problems of global climate change are becoming more and more complicated. The city’s infrastructure is outdated, and does not meet the development requirements of the City. River and canal systems are often encroached upon, causing a reduced flow and drainage capacity. Urban planning is not always rational while the community’s awareness of environmental protection is not high. All these factors, among other things, have caused the environment of Ho Chi Minh City to become ever more heavily polluted, resulting in an adverse impact on the health, as well as living conditions of the people and the sustainable development of Ho Chi Minh City. The construction of the Interceptor system that collects wastewater under the Ho Chi Minh City Environmental Sanitation Project (HCMCES, NhieuLoc - ThiNghe Basin) was completed by the end of 2012. The project has improved the living environment for the people in the project area. However, although wastewater is collected in the interceptor system, it is not treated yet. The collected wastewater has been temporarily discharged into the Saigon River which still adversely affects the quality of the SaiGonriver, and its downstream area. Therefore, to improve the situation and thereby following the HCMC Drainage Master plan, the implementation of Ho Chi Minh City Environmental Sanitation Project (Phase 2) – to continue the original HCMCES project, to achieve the ultimate goal of improving environmental sanitation for Ho Chi Minh city, particularly for NhieuLoc - ThiNghe and District 2 basins, is absolutely essential. Figure 1 below show the two project’s catchment areas – NhieuLoc-ThiNghe, and District 2. 1 Source: “ODA Project Detailed Outline - HCMC Environmental Sanitation Project - Phase 2” by Investment Management Authority of Urban Environmental Sanitation Project, September, 2013. 3 Figure 1 : Two catchments areas that benefit from the overall Project (Phase 1 and 2) 1.2. Project Components2 The project in Phase 2, namely HCMCES 2 for short, consists of four main components: Component 1: Interceptor Objectives: This Interceptor component will be built to transport the wastewater from NL-TN basin to the wastewater treatment plant to be built in District 2. Select Sewage system of District 2 will also be connected to this Interceptor. Component 2: NL – TN wastewater treatment plant Objectives: The wastewater treatment plant (WWTP) will treat wastewater from the NL- TN basin and District 2 basin. Effluent from the WWTP will meet Class A effluent water quality standards which will improve the water quality of the Saigon and Dong Nai Rivers. To be concordant to the development of urban areas, especially in District 2, the wastewater treatment plant is expected to be built in two phases. Phase 1 will be implemented from 2015 to 2019. Component 3: A level 2 & 3 sewerage for District 2 Objectives:Analyze flow and propose sewerage which conforms to the master plan for District 2 to collect wastewater from households, residential areas, with connections to the Interceptor to transport collected wastewater from NL-TN and District 2 basin to theWastewater Treatment Plant. Component 4: Improved environmental sanitation management and project management capability: five main sub-components proposed to this component include (i) capacity building for the Steering Center of Urban Flood Control (SCFC), (ii) sanitation research, (iii) IEC 2 Source:“ODAProect detailed outline HCMC Environmental SanistationProect - Phase 2” by Investment Management Authority of Urban Environmental Sanitation Proect, Date September, 2013. 4 (information, education and communication), (iv) financial management and social safeguardsmeasures, (v) training and equipment for the IMA. The project has the following objectives: Long-term objectives Long-term objectives of the project are to improve health and living standards of the people of Ho Chi Minh City, restoration and conservation of the Saigon River ecology and of the downstream Dong Nai River basin; upgrading and refurbishment of the environment, improving the image of Ho Chi Minh City with regard to its environment and public awareness. Additional long-term goals are the promotion and development of tourism, production and economy of the city in particular and the country in general. Moreover, as this will be one of the first major projects in HCM City to be implemented by IMA, it will improve management skills of those involved, which will be beneficial for many future projects. Short-term objectives After completion of the whole Environmental Sanitation projects in Ho Chi Minh City, domestic wastewater in the basin of NhieuLoc - ThiNghe and District 2 will be treated to meet Class A standard before they are discharged to the environment. 2. METHODS The purpose of this social assessment (SA) is two-fold a) examine the potential impacts of the project –positive and negative (on the basis of planned project activities), and b) inform the design of mitigation measures that address identified potential adverse impact and propose other community development activities. Where unexpected negative impact could not be avoided, consultation with local people, governmental agencies, project stakeholders, and local NGOs, were carried out so as to ensure affected people will be appropriately compensated for, supported, and will not be worsen off as a result of the project. To ensure all potential impact could be identified during project preparation, the SA was conducted through series of consultations with various stakeholders with a focus on households who are potentially affected from four project areas that are mentioned in Chapter 1. The research techniques used for the SA include 1) review of secondary data, 2) field observations; 3) households survey, 4) focus groups discussions and community meetings (see details in Annex 9). 2.1 Review of secondary data Review of secondary data included review of existing literature related to the area of environmental sanitation and review of information available from project documents of the HCMCES 1. Of particular importance is the review of data/information available from the Feasibility Study of the project (prepared by SCE), the Environmental Impact Assessment Report (prepared by HCMC University of Technology and updated by Meinhardt), and other relevant information, and statistics. (Please see References from Annex 5) Field observation 5 For this SA, field observation was the good source of information that helps verify the initial results obtained from the secondary data review. Field observations aimed at collecting and complementing the information already available to contribute to the design of household survey and guide questions (for group discussion). The following is the list of field visits Table 1: List of field visits No. Time Field Participants 1 Nov/ Along interceptor from the Project Management Unit (IMA) 01 2010 east lip of Geeing to shaft person, SS9, through the wards of Topographical survey consultant Thu Thiem, An Khanh, from TrườngSinh Company: 01 Binh Khanh, An Loi person, Dong, Binh Trung Tay and Social consultant from SG Weico: Thanh My Loi of District 03 persons, 2 Environment consultant: 02 persons 2 From Jan to Social consultant from SG Weico: Mar/ 2011 02 person 3 Sept/2010, Field survey for the project SG Weico consultant: 03 persons Mar/2011, of WWTP May/2012, May/2013 4 18 February Field visit and consultation SG Weico consultant: 03 persons 2014 following update on environmental impact assessment report 2.2 Household survey Household survey was conducted after the completion of the review of secondary data and field observations – in three times (in October 2010, April 2012, and August 2014). Prior to field work, a household questionnaire was developed to guide the collection of additional data. Questionnaires developed include: 1) guide questions (for focus group discussion and community consultation), 2) household survey (for interview with selected households). It should be noted that the objective of households survey is to develop measures to avoid, mitigate, minimize, or compensate on the basis of consultation and feedback from the potential affected households. 2.3 Focus group discussion and community consultation In addition to the above inquiry techniques, consultation sessions were carried out by in the form of focus groups discussion, and community meetings to confirm the findings of field observation as well as household interviews. Three consultation series conducted by the consultant as part of this SA. The first consultation series was made in April 2012. The second consultation was conducted in February 2014(after the boundary for the WWTP area was publicly announced by District 2 People’s Committee), and the third 6 was carried out on 9 August 2014 (in attempt to consult the households who have not been consulted in the previous consultation meetings. Participants invited to the consultations/groups discussion included representatives of households who would be potentially affected (as a result of land acquisition) and those and potentially benefit from the project (particularly those from the District 2 catchment. The community consultation focused on the following topics: Providing information on the objective and activities of the proposed project, and its expected benefits. Informing local people the potential positive and negative impacts of the project and collect their feedback. In consultations with the group of households whose land is permanently acquired. information on the World Bank’s OP 4.12 on Involuntary Resettlement was also provided to the affected community. Consultants also worked closely with the local authorities to conduct the community consultation meetings. There was a lot of work done by the Government agents at the ward level as:  The official at the levels of ward, hamlet went with the consultants to meet and to communicate with the households  The official sent the invitation letters to the household to call for the community consultation meetings  The official prepared the place where to conduct the community consultation meetings, including conference room, sound, lights, white board, table and chairs, etc.  The official played the chair in the community consultation meetings Table 2: List of community consultation sessions No. Time Location Contents Attendants Conclusion I Consultation with households which were affected by the interceptor and were already resettled down in Binh Trung Tay Ward – District 2 1 December Consultation with Presentation about the Representativ Allpeopleare in /2010 the resettled project and community es of resettled agreement of the households in Binh consultation about the households: future construction Trung Tay Ward predicted impacts of the 15 persons, of the NhieuLoc- (those affected by project on the ecological ThiNghe Locations: interceptor) environment in the wastewater Resettlement upstream area and treatment plant. sites of the mitigation measures for 21st Century Households also reducing these potential Corporation accept to pay impacts in Binh Trung wastewater charges Consultation about the Tay ward) if connected to the policy of payment for interceptor & wastewater fees which sewage systems will be applied for the local households when their domestic infrastructure are connected to the project sewage system 7 No. Time Location Contents Attendants Conclusion II The WWTP upstream area: 2 14.00- Truong Luu Presentation about the Commune Most households 16.30 on commune, Long project and community Leader: 01 are relying on Feb. 10th, Truong ward, consultation about the person fishing, and some 2012 District 9 predicted impacts of the living by rice Social project on the ecological cultivation, Consultants: environment in the aquaculture 02 people upstream area and (shrimp, fish mitigation measures for Households: raising, husbandry reducing these potential 13 people (8 (duck, chicken, pig impacts. women and 5 and cow); and all men) activities are relying on the water of Dong Nai river. All III The WWTP downstream area: of them have stable incomes. 3 14.00- Cat Lai Sub-ward, Presentation about the Ward leader: 16.30 on Phu Huu ward, project and community 01 person The majority of Feb. 13th, Nhon Trach consultation about the people here are low Social 2012 District, Dong Nai predicted impacts of the levels of education, Consultants: Province project on the ecological some of adults are 01 person environment in the illiterate; (thus it is downstream area and Household: hard for them to mitigation measures for 29 people (9 change their jobs if reducing these potential women, 20 the water of Dong impacts men) Nai riveris contaminated and 4 14.00- Ben Co Sub-ward, Sub-ward they cannot 16.30, Dai Phuoc ward, leader: 01 continue to live as Feb. 9th, Nhon Trach person they live now.) 2012 District, Dong Nai Social Province Consultants: 02 people All people are supporting the Household: 14 people (2 future construction of the NhieuLoc women, 12 men) ThiNghe wastewater treatment plant and desire that the treated wastewater always ensures good water quality, and does not cause pollution for Dong NaiRiver. In the unfortunate cases, the wastewater affects to their living activities, they must be adequately 8 No. Time Location Contents Attendants Conclusion compensated and would get quick support. IV The area around interceptor sewer adjacent the WWTP: 5 14.00- Sub-ward 4, Thanh Presentation about the Ward 16.30 on My Loi ward project and community People’s Local people agreed Feb. 24th, District 2, HCMC consultation about the Committee: to construct the 2012 predicted impacts of the 03 people WWTP for their project on the ecological Commune benefits, but they environment in the executive require when the upstream area and Board: consutruction mitigation measures for Commune starting, the fences reducing these potential executive should be put to impacts Board: 01 surround all person construction areas to advoid accidents IMA: 02 for people, people especially children. Environmenta lexpert: 01 person The project should be implemented on Social time as it’s schedule Consultants: to advoid affecting 02 people on the local Households: people’s living for a 48 people (21 long more time. women, 27 All effects of the men) local people should be adequately compensated when the project is implemented. V The WWTP area (100% affected households were inquired) 6 14.00 - In People’s Presentation about the People’s Number of 16.00 on Committees of project and community Committees households Apr. 25th, Thanh My Loi consultation about the ward: 3 (householders) in 2012 Ward, District 2, predicted impacts of the people the meeting was 42: HCMC project; 14 participating 9 No. Time Location Contents Attendants Conclusion households, and 8 Consultation about Commune households Resettlement desire of the executive interviewed at their householder/APs Board: 01 home. person Presentation about OP All local people are 4.12 Policy of WB IMA: 02 supporting the people project Social implementation and Consultants: their general desire 02 people is that they will be Households: adequately compensated. 14 people (7 women, Householder’s 7men) oppinions for land compensation: 7 June and Direct consultation Householder: July, with 8 people Converting 2012 Householders/APs agricultural land to through residential land in questionnaires at the land plots of the each household. planning residential land project in District 2. - In case of cash compensation shall be compensated at replacement cost, so that people can buy equivalent land area in District2. 8 February, In People’s Presentation about the People’s - In case ofcash 18th, Committees of project and community Committees compensation 2014 Thanh My Loi consultation about the ward: 2 shall be Ward, District 2, predicted impacts of the people compensated at HCMC project; replacement cost, Commune so that people can executive buy equivalent Board: 01 Consultation about land area in person Resettlement expections District 2. of the households/APs IMA: 04 - All of them hope people Presentation about OP the project will be 4.12 Safeguards Policy of Social implemented in the WB Consultants: the early time. 03 people Households: 20 people (8 women, 12 men) (Including 14 new people 10 No. Time Location Contents Attendants Conclusion and 6 who was first meeting) 9 February, Direct consultation Household: , 2014 with 1people Householders/APs through questionnaires at each household. 10 9 August Thanh My Loi Project’s potential impact 2 households 2014 ward and project’RAP. (of which one represented 3 households) Figure 2: Community consultation The community consultation in the fourth The consultation with the community living quarter, Thanh My Loi ward at the last along the Dong Nai river (section to the section of the interceptor and the downstream of the WWTP) (July, 2012) neighborhood of the WasteWater Treatment Plant (July, 2012). 11 The consultation meetings with affected households from the WasteWater Treatment Plant (February 18, 2014). To have the feedback inputs of the lessons learned from the HCMCES 1, discussions with the Project Management Board of HCMCES 1 was made.Field visits and interviews with affected households under the HCMCES 1 were also carried out. 3. KEY FIDINGS The purpose of the SA is to identify and examine the potential positive and negative impacts of the project interventions. As such, the SA focuses on four key geographic areas where the construction activities of the Project will take place. These areas include: a) the linear area where interceptor will be installed; b) the area where the WWTP will be built (38.47ha) ; c) the residential areas along the Dong Nai area (section to the downstream of the WWTP), and d) the catchment area of District 2 that is potentially connected to the interceptor. In the sections below, the four areas of impact will be described, followed by the presentation of potential impacts. 3.1 Description of the impact areas 3.1.1 Linear area of the Interceptor The proposed interceptor (about 8km in length) will be situated within District 2. The routing of the Interceptor would be along the SaiGon river, traversing the low population areas of Thu Thiem, An Loi Dong, An Khanh, Binh Khanh, Binh Trung Tay and Thanh My Loi, wards of District 2. This routing was proposed considering various alternatives (see more from the Feasibility Study report) to avoid land acquisition and to minimize the length of the Interceptor. Given this, permanent land acquisition is very limited and is anticipated to take place only at six location where shafts will be installed (each shaft is 10.5m in diameter only). Temporary land acquisition - to allow installation of the shafts (located along the Interceptor) is anticipated but will be very minor, and only at 4 shaft locations. For the remaining shafts, access to the construction sites(for shaft installation) will be from Saigon river and/or from the existing roads. The interceptor will go underground - at a varying depth from 7 to 20m under the natural land surface. Most of 12 the area that the Interceptor will go through is public area (upstream section). For the downstream section, the Interceptor will go along the Saigon river, then through a populated area, particularly for the last 1,800m section. There are some 60 houses located within the Interceptor right of way (14m) in this populated area. However, none of the households on the top of the Interceptor need to be relocated as a result of the Interceptor laying and installation of the shafts. 3.1.2 The area required for the construction of the WWTP The WWTP will be located in Thanh My Loi ward (adjacent to the Eastern Ring Road and Phu My bridge, to the downstream of the Interceptor). The location for the Interceptor has been planned by the government, according to the Master Plan 2025, and was approved by the Prime Minister in January 2010. The WWTP site is 38.47ha in area and consists of agricultural land (31.64 ha), canal (4.8ha), road land (0.22ha), and river (0.17ha). The current WWTP area is almost vacant at the moment, except for twotemporary houses (built for occasional farming purpose of one household, one restaurant (countryside type, made of thatch) owned by one household (using the rented land). There are also six graves located within the WWTP which are owned by two households. According to the preliminary survey provided by District 2 People’s Committee, the 31.64ha of agricultural land is under the land right use of 59 households.The figurebelow shows the boundary of the proposed WWTP and the key land plot owned by local peoples. Figure 3: Boundary (red line) of the proposed WasteWater Treatment Plant). Old flow direction New flow direction Social profile of affected households and companiesto be affected within the WWTP area: During the SA,with the support of the District 2 People’s Committee, the actual land owner have been identified. As of 11 August 2014, 59 households have been identified 13 as potentially affected households.Two companies, including Sai Gon Industrial Zone Development Company, and Thanh My Loi Joint Stock Company also become affected by the WWTP (following HCMC PC’s adjustment of the WWTP boundary). While the first is affected with 3.2ha (of 58ha of their project area), the latter is affected with 0.66ha (out of total 1.88ha of their project area). The two companies have agreed to hand the required land over to IMA for the WWTP construction. The Saigon Industrial Zone Development Company has signed a minutes of land handing over (for the affected area of 3.2ha) over to IMA. HCMC PC is in the process of withdrawing the 1.88ha as the project area of Thanh My Loi (which is now part of the WWTP) to hand it over to IMA for the IMA construction. For the 0.66ha area which Thanh My Loi company has bought from local households, IMA will arrange to pay back to Thanh My Loi JC Company and Saigon Industrial Zone Development Company (for the areas that the WWTP would require3). Social profile of potentially affected households (at the WWTP area): Of the 45 households (out of total 59 from the WWTP) already consulted (through socioeconomic survey and consultations), 17 households considered themselves “economically average4” household while 28 considered themselves “better off”. The remaining 14 households not yet consulted are not local people and are likely “better off” households.  For the 17 “economically average” households: these are local people. They live in Thanh My Loi ward (1.5km away from the proposed WWTP site). Most of these households (16/17 households) are retired and are living with their children. The affected land (from the WWTP) is all the agricultural land that they own. If their land is acquired for the WWTP purpose, this means they would lose a 100% of their land. Although losing all (100%) of one’s agricultural land is considered “severely affected” (as per Bank’s OP 4.12), for these 17 households, their daily livelihood is not directly affected as a result of land acquisition since for years they have not used their land for agricultural purpose, or for any other income generation activities. All these households consider their existing agricultural land (from the WWTP) their “saving”. Thus when the land is compensated, the compensation money would be deposited in a Bank (as their saving), or give to their children. For these people, the loss of the land (as a result of the proposed WWTP) does not make them vulnerable. When asked, all of them indicated their support for the construction of the WWTP.  For the 28 “better off” households: according to the consultation, they are not local people (who live in Thanh My Loi ward). They live in other districts of HCMC (some live in other provinces). They bought land (from the WWTP area) for reselling 3 Social due diligence indicated that for the 1.88ha of Thanh My Loi project area, 0.45ha has been paid from 2007 to 2013. Three households are from the 59 households list of the WWTP. These 3 has other land within the WWTP. Record shows 9,689,380,000 VND was paid to these 3 and 5 others outside the Thanh My Loi 1.88ha and WWTP. For the 3.2ha of Sai Gon Industrial Zone Development Company, three households were paid (3,475,000,000VND) in 2002. This piece of land is now owned by the Sai Gon Industrial Zone Development Company. 4 Household being “economically average” is roughly equivalent to near-poor household (whose annual income is from 16 to 21million VND per capita). 14 purpose, not for agricultural production. Consultation with these 28 households indicated that 21 of 25 are doing private businesses, or 5 are company employees, 2 are retired. If their land is acquired for the purpose of the WWTP, they just need to be appropriately compensated. They have indicated their support to the construction of the WWTP. For the remaining 14 households: (who have not showed up in the consultation meetings conducted so far by IMA’s consultant and Thanh My Loi Ward People’s Committee 5): Four (out of 14 households) have been contacted during late July 2014. However, these households indicated that they have sold their land and did not have contacts of the new land owners. For the remaining ten households, addresses are not available for the six households while for the remaining four households, the addresses are wrong. According to Thanh My Loi Ward People’s Committee, effort is being made by both District 2 People’s Committee and Thanh My Loi People’s Committee to identify and invite these households to show up in the upcoming consultation – to consult with them and to verify against the government’s land use record.  Social profiles of two affected companies: As of 11 August 2014, in addition to 59 households who have been identified as potentially affected households by the WWTP, two companies (including Sai Gon Industrial Zone Development Company and Thanh My Loi Joint Stock Company) also become affected by the WWTP, particularly following the adjustment of WWTP boundary by HCMC PC. While Sai Gon Industrial Zone Development Company is to be affected with 3.2ha (out of their 58ha project area), Thanh My Loi Joint Stock Company is affected with 0.66ha (out of their total 1.88ha). Both of these areas have been designated as the project area by HCMC PC before. Since the project area of these two companies now become part of the WWTP area, HCMC PC has started the process of withdrawing the 1.88ha (of Thanh My Loi) and 3.2 ha (of Saigon Industrial Zone Development Company) to hand over to IMA for the WWTP construction. The two companies, at the instruction of HCMC PC, also have agreed to hand the required land over to IMA for the WWTP construction. Since the two piece of land (0.66ha area of Thanh My Loi JC company) and 3.2ha of Saigon Industrial Zone Development Company) are acquired from local households for their own project (as approved by HCMC PC) before, a social due diligence has been done for these two pieces of land, and the findings are presented in the Social Due Diligence report. Since the findings confirm there is no pending legacy issues associated with the above two pieces of land, no further action is required under this WWTP RAP (Please see the Social DD report for more). Compensation costs that these two companies already paid to local households will be repaid to these companies later on under this project. Such costs has been estimated in the overall compensation costs under this RAP. 3.1.3 The area to the downstream of the WWTP There is small population living along the Dong Nai river at section to the downstream of the WWTP. Consultations were carried out to collect their opinion/ and 5 In addition to 3 consultation series and 2 series of socioeconomic survey done by IMA and their social consultant, Thanh My Loi Ward People’s Committee has already conducted their own consultation for two times (on 12 April and 12 July 2014). However, only 30 households showed up in the two consultation meetings convened by Thanh My Loi Ward People’s Committee. 15 feedback despite that land acquisition will not be required at the area to the downstream of the WWTP. Community consultation was conducted with 56 households in Long Truong ward, District 9, Phu Huu commune and Dai Phuoc communes of Nhon Trach District, Dong Nai province). As the consultation indicate, the main income sources of these households are from fishing, aquaculture and animal husbandry (duck). Most of the households have an average income of 30USD/day and use water collected from the river for domestic use (i.e washing/bathing) while drinking water is obtained from water- supply trucks or boats. Households who live close to river typically don’t have latrines. When consulted, they hope the water discharged from the WWTP will not cause pollution to the river that may affect the water they collect from the river for domestic use, as well as their fishing activities. The following specific comments of households:  All people welcomed the ideas to build WWTP Nhieu Loc Thi Nghe  In the case of WWTP bring the bad effects on clean water, cause economic damage to aquaculture, fish catching, the Government will pay the compensation the farmers for the energy they spent, and give fully supports to them as soon as possible.  Most people have the low education level, hard to get the jobs (if the Dong Nai river get polluted, people cannot catch fish, cultivate). If WWTP makes Dong Nai river polluted people want the Government fix early the problems. 3.1.4 District 2 (proposed catchment area). The District 2 is a newly developed urban area of Ho Chi Minh City. The District covers a geographic area of about 5,017ha67 with a population of around 134,131 8 people. The District consists of 11 wards, namely, An Lợi Đông, An Khánh, An Phú, Bình An, Bình Khánh, Bình Trưng Đông, Bình Trưng Tây, Cát Lái, Thảo Điền, Thủ Thiêm. and Thạnh Mỹ Lợi. As the interceptor conveying wastewater from Nhieu Loc - Thi Nghe catchment will go through District 2, it has been decided that the Phase 2 Project will be designed to collect also the wastewater discharged from some of the select area from District 2 catchment. Since the infrastructure in District 2 has been well developed, it is anticipated that major land acquisition will not be required to enable the connection of the catchment in District 2 with the proposed interceptor. Effort will be made to avoid land acquisition for the purpose of the construction of the additional sewage system that connects District 2 catchment area and the Interceptor. However, land acquisition (minor) are likely if avoidance of land acquistion is unavoidable. While adverse impact of the project’s construction within District 2 area are very minor, positive impact for District 2 catchment is huge given that the waste water from District 2 will be collected and treated at the new WWTP of Phase 2. The collection of waste water will also do contributing to doing no harm to the underground water table of the District 2 area. If land acquisition is required for the new sewage system to be 7 District 2 website 2013 8 Official Letter No. 431/DS-CTK Statistical Office in Ho Chi Minh City, date 09/07/2013 16 developed over the course of project, compensation for local households will be made in accordance with the project’s Resettlement Policy Framework. During the project implementation, potential linkages (as per OP 4.12) will be screened and identified. Where applicable, the Project’ RPF will be applied to the linked activities. 3.2 Project impacts 3.2.1 Positive impacts On the basis of the Feasibility Study * the population from Nhieu Loc – Thi Nghe catchment and District 2 will benefit from this project. The water quality of Saigon river 9 will also be improved as the polluting sources will be totally treated before being discharged to the river. The three main benefits that the HCMCES2 bring about include. (i) The quality of Saigon river surface water and the canal system of District 2 will be improved The 8km long Interceptor to be built in Phase 2 will cross a number of wards in District 2. It will collect the waste water from Nhieu Loc – Thi Nghe catchment area (of Phase 1) and convey the collected waste water to the WWTP (located in District 2) for treatment before discharging to the Dong Nai river. Once the Phase 2 project is completed and operational, the surface water quality of Saigon river will be improved (since the waste will be be discharged to Sai Gon river as it is at the moment). The wastewater of the whole Nhieu Loc – Thi Nghe catchment area and District 2 catchment (which accounts for about 20% of total wastewater in Ho Chi Minh city) will be treated to meet the Class A of National Standards.. This means the treated wastewater, when discharged to the natural environment, will not pollute the ground water, soil and air quality, as well as the meeting the quality of the surface water in the Saigon river for Thu Duc and Binh An Water Treatment Plants, which provides drinking water for the Ho Chi Minh city inhabitants. This also satisfies the requirements of water environment for aquaculture in Saigon and Dong Nai river basins, which in turn contributes to the stability of aquaculture related economic activities for the inhabitants in the downstream of Nha Be – Dong Nai river. The households living along Saigon – Dong Nai river and canals in District 2 will also benefit from less expenditure for treatment of diseases, caused by pollution from the untreated. The health conditions of the inhabitants will be improved, making their life happier. (ii) Reducing the investment costs for local wastewater treatment of the new urban residential areas in District 2: According to the spatial development orientations of HCMC government, the area where the interceptor system will be constructed including the wards of Thu Thiem, An Loi Đong, An Khanh, Binh Khanh, Binh Trung Tay and Thanh My Loi, will be developed for new urban residential projects, which will be developed by 10 different developers, especially Thu Thiem new residential area will also be developed as the future administrative and commercial center. Without HCMCES2 project, each of these residential projects will have to build its own local wastewater treatment facility. With the total length of 8km, in addition to collection of waste water from Nhieu Loc – Thi * Draft Feasibility Study/ SCE (March 2014). 17 Nghe canal basin to the WWTP in Thanh My Loi, the proposed interceptor system will also connect to and collect wastewater from New urban Area Thu Thiem and the other 10 new urban development projects in District 2. It will help to save the cost of individual domestic wastewater treatment facilities in the whole District 2 with a forecasted population of about 650,000 people by 2025). Table 3: Estimated construction costs for individual wastewater treatment facilities in District 2 without HCMCES2 project Year 2020 2045 Wastewater volume (m3/day) as 83,000 275,000 estimated by the project Construction cost (billion VND)10 371 515 Source: Institute of Environment and Natural Resources 3.2.2 Negative impacts Despite of the positive impact which is at project level, some adverse impacts, which are primarily local, are unavoidable. a) At the interceptor Land acquisition: The 8km long interceptor system will be built with pipe jacking technology at the proposed shafts. There are estimated 17 shafts in total and at each shaft location, for odor collection will be also built. The total land area to be temporarily acquired during the construction period is estimated at 11,694m2(See details on estimated area for temporarily affected land at Annex 7). The magnitude to temporary will be confirmed after the detailed design is completed. According to the Feasibility Study, the land area to be acquired temporarily for construction of 8km long interceptor is estimated to be 1.1haonly. Most of this land areawill be used for temporary workers’ tents, warehouse for construction materials, equipment and vehicles. Since the Interceptor will be installed in the public area (and agreement has been made with those managing the public land areas), no permanent land area expected from local households. As mentioned earlier (under section 3.1.1), the last part of the Interceptor (estimated 1.7km) will go through a project area (a tourism project) owned by the privately owned company, namely Thanh My Loi Company. If this company decided to hand part of their project land (where the proposed Interceptor goes through) back over HCMC People’s Committee (because this land area has been approved by HCMC PC for the project purpose of this company), a RAP, covering the land acquisition for the Interceptor installation purpose will be prepared in accordance with the Project’s RPF, will be prepared. If this happen, the impact of the Interceptor installation within this project area is minor since the Interceptor will go underground and permanent land acquisition will be needed for the construction of the shafts. Negative impacts during construction period: 10 Exchange rate in Nov 2012: 1 USD = 20,000VND 18 As the construction of the interceptor system of HCMCES 2 project is planned to happen in the period 2015-2019, the temporary negative impacts on the local inhabitants are anticipated. Some of the possible negative impacts on the local inhabitants during the construction period could include: - The public space is occupied temporarily: The most of the interceptor will be located in the green and park areas and the Saigon river right of way (which is public land managed by the HCMC PC). Therefore, traffic may be temporarily affected. In cases where temporary land acquisition is required (to allow the construction operations), compensation payment will be done in accordance with the project’ RPF. - Impact on transport, living, business of households in the project area: the shaft locations will be constructed on the road surface. During the construction, noise, air pollution, and operations of machinery (including heavy vehicles transporting equipments) are anticipated, Mitigation measures, including ensuring safety for local inhabitants are set out in the EIA of the project. b) At the WWTP Land acquisition: To understand the potential adverse impact and how the impact is minimized, three consultation have been conducted by IMA (in addition to three consultations done by Thanh My Loi Ward Peoples’ Committee). The first consultation done by IMA and their consultant was on 25 April 2012 (as part of the social assessment). The second consultation was conducted on 18 February 2014 (right after the boundary for the WWTP area was publicly announced by District 2 People’s Committee). The third was conducted on 9 August 2014 (in attempt to consult the households who have not been consulted in the previous consultation meetings). The first consultation was organized for households owning land from the area of the wastewater treatment plant. The meeting was given at the meeting hall of the People's Committee Thanh My Loi ward of District 2 with 22 potentially affected households participating. The second consultation meeting was held with 15 households attending. In the third consultation attempt (in late July and earlier August 2014), 8 households (with land being affected) and 4 households with structures on land being affected showed up. So, all together, 49 (out of total 59) potentially affected households participating the social consultation so far. All the 49 affected households attending the consultation were informed of the project purpose and the compensation policies, including the key principles of the World Bank’s OP 4.12. They all supported the project implementation and their overall expectation is to be adequately compensated for the loss of the land and assets associated to the land. All the affected households having land to be affected (45/59) account for 19.5ha (63%) out of total 31.15ha to be acquired from the local households for the WWTP construction. The following section presents the potential impact of the land acquisition by agricultural land, businesses, graves, trees, and how the impact is minimized. The affected people are categorized into two groups, “economically average”, and “better off” on the basis of the socioeconomic survey and consultation. The following section describes the potential adverse impact by affected assets, including agricultural land (45 households already consulted), business (2 households), graves (2 households), unplanted trees (estimated), and two companies. 19 (i) On the potential impact on affected agricultural land:  For the 17 “economically average” households: these are local people. Since these households would lose 100% of their agricultural land that they have, they are considered as “severely affected” households (as defined in this RAP). However, since these households are not lying/using these affected agricultural land area for subsistence, or daily livelihoods (most of them are living with their children and rely on their children support), and they are not “vulnerable” (as defined in this RAP), an income/livelihood restoration program is not prepared under this RAP. However, in the additional upcoming consultation (to formulate a detailed inventory of loss and to conduct detailed measurement survey…), these households will be further consulted to establish a basis for design of their compensation and support package to ensure they are not worsen off as a result of the land acquisition.  For the 28 “better off” households: these are not local people. They live in other districts of HCMC (some live in other provinces). Since they bought land (from the WWTP area) for reselling purpose, not for agricultural production. Thus, they are not poor households. Consultation with these 28 households indicated that they just need to be appropriately compensated if their land is acquired for the WWTP purpose. They have indicated their support to the project implementation. (ii) On the potential impact on existing businesses of local households: Despite the potentially affected land (for the WWTP construction) is agricultural land (no physical resettlement is required), the project would potentially affect the businesses of two households. Specific consultation results from these two households are below: The two households who may be potentially affected as a result of the project are not the land owners. They borrow/rent the land from the land owners for their businesses. The first household (Mr. Nguyen Van Kim) is the one who occasionally uses 60m2 land (which he borrows from the land owner) for occasional farming (duck raising during wet season and small cropping). He has two temporary thatch houses (observable from the site) that he used to use to attend his crops. These thatch houses are not for resident purpose as he lives in his own house in a different place in Thanh My Loi ward. When consulted (February 2014), he said he already abandoned this farming activity since last year which used to earn him 3 million VND a month (on average) to foster their children education. For the time being, his two thatch households will be compensated. Since he has no standing crops at the moment (as of August 2014), and since he used to use this borrowed land for his income generation activity, more consultation with this household will be done at the time of inventory of loss to identify additional support that he would need to help him maintain his livelihood (if he continue to rely on this borrowed piece of land for farming purpose). This household considered himself “economically average”. 20 The second household (Mrs. Nguyen Thai Nhan) is the one who owns a countryside- type restaurant (made of thatch) using the land she rented (0.35ha) from the three land owners. According to Ms. Nhan, her business has been started for one and a half year. The income earned from the business is not stable (about 1 million VND a day as net profit, on average). Consultation with Ms. Nhan indicated that she knew of the project, and supported the project implementation. She indicated she expects appropriate compensation to resume her business/income generation activity. According to Ms. Nhan, she has a license for her business and is paying tax monthly. More consultation will this household will be done when inventory of loss and detailed measurement survey are conducted to calculate the compensation and support package for Mrs. Nhan. This household is considered “better-off”. (iii) On the project’s potential impact on graves: For the time being, six graves are identified as being affected as a result of the project. Consultation with two owners (Mrs. Huynh Thi Thanh: 2 graves and Mr. Nguyen Van Lam: 4 graves) indicated that they support for project implementation provided that financial support is provided to enable them to relocate the graves on their own in accordance with the local practice. It is important to note that these two households have sold their land to other peoples a long time ago. Thus, these graves, when relocated, will be done by themselves (as they indicated in the consultation with them), not by the actual land owners. As the field observation indicated, and as consulted with local people from Thanh My Loi Ward, it is a general local practice that local people buried the dead in the vicinity of their households (within their land). For the WWTP area, since it is not known exactly if there are any other graves (which are unobservable, or identified by the owners as of today), a find chance procedure will be adopted by local government, thereby, once explored, but owner does not show up, a public announcement will be made for a period of time. If no one claims the ownership of the grave(s) when the announcement expires, the relocation of grave will be conducted – as per government’s regulations (Decision 04/2007/QD/UBND dated 22 June 2007). A record of graves (its location, and details of the grave, if available) will be maintained in case the grave owner(s) show up later on. Compensation for grave location will be in accordance with this RAP. The two households considered themselves as “economically average”. (iv) On the potential impact on trees: Although no planted crops are found (as of August 2014) from the proposed WWTP area, trees (mainly water coconut, and some orchard trees at places) are found on an estimated 9ha within the WWTP area. These trees are to be compensated to the people who own the land. Inventory of loss will be done by local government once the consultation with all potentially affected households is completed. (v) On the potential impact on remaining households (who are not yet consulted): 21 For the remaining 14 households who have not yet showned up (despite being invited to five consultations meetings organized so far, every effort is being made by both District 2 People’s Committee, Thanh My Loi People’s Committee, and IMA to continue to invite them to show up in the upcoming consultations/meetings. According to Thanh My Loi People’s Committee, the remaining 14 households are not local resident. They bought land from local peoples years ago for reselling purpose. Thus, they do not rely on the agricultural land (from the WWTP) for daily income generation activity.They are categorized as “better-off”. (vi) On the potential impact on the two companies: As of 11 August 2014, in addition to 59 households who have been identified as potentially affected households by the WWTP, two companies (including Sai Gon Industrial Zone Development Company and Thanh My Loi Joint Stock Company) also become affected by the WWTP, particularly following the adjustment of WWTP boundary by HCMC PC. While Sai Gon Industrial Zone Development Company is to be affected with 3.2ha (out of their 58ha project area), Thanh My Loi Joint Stock Company is affected with 0.66ha (out of their total 1.88ha). Both of these areas have been designated as the project area by HCMC PC before. Since the project area of these two companies now become part of the WWTP area, HCMC PC has started the process of withdrawing the 1.88ha (of Thanh My Loi) and 3.2 ha (of Saigon Industrial Zone Development Company) to hand over to IMA for the WWTP construction. The two companies, at the instruction of HCMC PC, also have agreed to hand the required land over to IMA for the WWTP construction. Since the two piece of land (0.66ha area of Thanh My Loi JC company) and 3.2ha of Saigon Industrial Zone Development Company) are acquired from local households for their own project (as approved by HCMC PC) before, a social due diligence has been done for these two pieces of land, and the findings are presented in the Social Due Diligence report. Since the findings confirm there is no pending legacy issues associated with the above two pieces of land, no further action is required under this WWTP RAP (Please see the Social DD report for more). Compensation costs that these two companies already paid to local households will be repaid to these companies later on under this project. Such costs has been estimated in the overall compensation costs under this RAP. (vii) Vulnerable households: There are no vulnerable households identified as of August 2014, in case there are any households that are identified as “vulnerable” during upcoming further consultation, these households will be consulted separately and will be supported as per RAP. They will be monitored (following the compensation payment) by both IMA and independent monitoring consultant even though none of their land is currently used for income generation activity. Temporary negative impacts during construction: Temporary negative impacts during construction will not directly affect the local inhabitants in the area since the neighborhood area of the proposed WWTP is vacant.In terms of environmental impact, during the construction of the WWTP, some environmental impact will occur, particularly due to construction operation, including noise, dust, increased traffic, etc. These temporary impacts have been treated at full length in the company IEA report (Please see the IEA for details). 22 Figure 4: The current land status at the site of the future WWTP Water surface to be acquired without Agricultural land currently abandoned compensation Figure 5: The thatch housetemporarily made on the site of the future WWTP c) District 2 catchment area: A sewage system connecting District 2 catchment area with the Interceptor will be built to provide additional benefit to the population from District 2. Since the sewage system is anticipated to build underground, and would be located along the roads/public area, the possibility of land acquisition from local households is very low. In caseswhere land acquisition from local households could not be avoided, a RAP will be prepared in accordance with the Project’s RPF. d) River area downstream the WWTP: Although the quality of Saigon river apparently improved following the operation of the WWTP (because the untreated waste water from Phase 1 of the HCMCES will not be discharged into the SaiGon River), the effluent discharged from WWTP may impact directly or indirectly the ecological environment in the surrounding area, as suggested by the modeling results produced for the Environmental Impact Assessment. Specific environmental management measures will be need to be implemented, and the quality of the effluent as well as its impact to the water body downstream the WWTP, particularly Nha Be River, will need to be monitored regularly during the operation of the WWTP. Regular monitoring of the water body downstream the WWTP is very important to assure necessary measures could be timely and effectively taken to ensure the aquatic species 23 form the river is protected, and people depending on the river water downstream the WWTP is timely informed of the potential impact to undertake preventive measures. e) At the area to the downstream of the WWTP During the operation of the WWTP, the following incidents may occur: - Problems of the wastewater treatment system: during the operation of the centralized wastewater treatment system, problems may incur as equipment failure, pipe clogging, improper operation; - Spilling of liquid sludge; - Chemicals leakage; - The wastewater collection system is obstructed and broken... If a problem occurs, the efficiency of the wastewater treatment is not satisfactory, which may cause environmental pollution in the Dong Nai River, Nha Be River,the watershed area of Nha Be River,land and groundwater pollution, causing annoying odors, which could affect the lives and incomes of households downstream.These potential impacts have been treated at full length in the company IEA report (Please see the IEA for details). f) At the area of District 2: Land acquisition: The sewage system connecting District 2’s select catchment area and the Interceptor will go underground and long the existing road and within the public land area. Thus, only minor land acquisition is expected. However, if land need to be acquired for the connection, the compensation will be made in accordance with the project’s Resettlement Policy Framework and a RAP (site specific) will be prepared. Temporary adverse impacts during the construction: In the future when the interceptor is connected,temporary adverse impacts to residents in the area should be taken into account to take appropriate mitigation measures. Some temporary adverse effects for residents during the construction process may include: g) Public living space is occupied temporarily: The piping location can be designed and constructed along residential areas, making livelihood activities and movements of people interrupted or their income affected. The construction companies should keep in mind to take measures to support damages for business households in the construction time. The risk of temporarily spreading an odor from manholes when the drainage system of District 2 is connected to the interceptor: When opening manholes to make the connection of the drainage system of new residents in District 2 with the interceptor, toxic gas from culverts will vent out which may cause unpleasant odor for people living/working in the neighborhood. 3.3 Gender issues District 2 is a large area. As such, to enable the project to address the gender perspective with regards to environmental sanitation, Thanh My Loi (which is one of the poor areas of the District) has been selected for the gender consultation. 24 3.3.1 Community participation by gender As mentioned in Chapter 2 (Methodology), effort was made to ensure there is an equality of gender with focus groups discussion and consultations that were undertaken. The household survey (conducted in January 2011), interviewing a total of 118 households indicated that 38.9 percent of participants are female while the sixty one percent are male (see table 10 below): Table 4: Participation in community consultation meetings by gender Wards/Communes Female Male Total 1 Block 4, Thanh My Loi ward 21 27 48 2 Truong Luu Block - Long Truong ward 8 5 13 3 Ben Co hamlet, Dai Phuoc commune 2 12 14 4 Cat Lai Hamlet, Phu Huu commune 9 20 29 5 Block 4, Thanh My Loi ward 6 8 14 Total number of participants 46 72 118 (%) 38.98% 61.02% 100.00% During the consultation, women participating were encouraged to raise their voices, providing their feedback, suggestions with regard to the project. The table below shows that 34.6% of women provided their comments/opinion during the consultation compared to 65.3 % for men. Table 5: Number of opinions in consultation meetings by gender Wards/Communes Female Male Total 1 Block 4, Thanh My Loi ward 1 3 4 2 Truong Luu Block - Long Truong ward 4 3 7 3 Ben Co hamlet, Dai Phuoc commune 1 3 4 4 Cat Lai Hamlet, Phu Huu commune 2 5 7 5 Block 4, Thanh My Loi ward 1 3 4 Total number of participants 9 17 26 (%) 34.62 65.38 100.00 Regarding the concerns raised, both male and female participants were interested in knowing about the compensation and resettlement policy, and measures of environmental pollution control when the WWTP comes into operation. This shows the equal level of awareness and the equality in making decisions on the important issues that relate to the family life as well as the social relationship of both male and female participants. 3.3.2 Project benefits for male and female When the WTTP comes into operation, the wastewater will be treated thoroughly, contributing to the significant improvement of surface water quality in Sai gon - Nha Be – Dong Nai river and the canals. This would contribute to reducing the prevalence of 25 water borne diseases which were believed to result from poor environmental sanitation condition (from untreated waste water). As a result, heath status of inhabitants living along canals would be improved, especially for women who typically do housework, taking care of their children, and affect the hygiene/sanitation condition of their families.11. However, it is anticipated that not all the catchment area of District 2 will be connected to the interceptor. In the area of Thanh My Loi ward where the largest poor population concentrates and where the the sewage connection is potentially established (as proposed under the Feasibility Study for District 2 sewage system connection), poor people may not afford connecting with the interceptor. The survey conducted in January 2011 in Thanh My Loi ward indicates that 6 out of 97 households suvery (8,2%) still go to the canals for toilet purpose, 50 households (51,5%) still discharge their wastewater directly into the canals, and 28 households (28,9%) let the wastewater spill out on the road or garden. Only 13 households (13,4%) have connection with the existing sewage system of the area. This is one of the main reasons accounting for the poor environmental sanitation of the population in Thanh My Loi ward. According to the survey done in January 2011, 51 households (52.6%) informed their household members were sick over the past four weeks. The most commonly found diseases are fever, stomach, and diarrhea. 27% of responses attribute the causes of the disease to the poor environmental sanitation condition of the area. It is recommended that a behavior change communication (BCC) program be implemented under the HCMCES 2 to help educate the poor communities in the District 2, particularly to the population in Thanh My Loi. 3.3.3 Adverse impacts as a result of land acquisition for the WWTP: Since the none of the 62 land owners do not live and do not do farming (except for two households), , the land acquisition will not affect their income generation activities as a result of land acquisition (again, except for the two households). In addition, since no physical relocation is required for the affected households (and livelihood restoration effort (as a result of physical resettlement) is not necessary, there is no adverse impact envisaged from the gender perspective. 4. CHAPTER 4 - MITIGATION MEASURES FOR NEGATIVE IMPACTS 4.1. Mitigation of negative impacts on property and income generation activities due to land acquisition  For the Interceptor area: To minimize the need for land acquisition, pipe jacking technology will be used (instead of open interceptor construction) to minimize the negative impacts on the property and income generation activities due to permanent land acquisition for the project.  For the WWTP area: o For the 17 “economically average” households: these are local people. Since these households would lose 100% of their agricultural land that they 11 According to the Gender Analysis done in August 2011 in Thanh My Loi ward, only 9.8% of male participating in in the survey do housework. Only 18% of the respondents mentioned they take care of their children. 26 have, they are considered as “severely affected” households (as defined in this RAP). However, since these households are not relying/using these affected agricultural land area for subsistence, or daily livelihoods (most of them are living with their children and rely on their children support), and they are not “vulnerable” (as defined in this RAP), an income/livelihood restoration program is not prepared under this RAP. However, in the additional upcoming consultation (to formulate a detailed inventory of loss and to conduct detailed measurement survey…), these households will be further consulted to establish a basis for design of their compensation and support package to ensure they are not worsen off as a result of the land acquisition. o For the 28 “better off” households: these are not local people. They live in other districts of HCMC (some live in other provinces). Since they bought land (from the WWTP area) for reselling purpose, not for agricultural production. Thus, they are not poor households. Consultation with these 28 households indicated that they just need to be appropriately compensated if their land is acquired for the WWTP purpose. No specific mitigation measures are required. 4.2. Mitigation of temporary negative impacts during interceptor construction  The design/choice of interceptor route along the riverside or under the road, green and park areas, and far away from the residential areas will minimize the negative impacts when land is acquired temporarily during the construction period.  Selection of capable contractor(s), which have sufficient qualifications, experience and financial capacity to ensure the timely construction and have enforcement measures to apply if the contractor(s) do not meet the project schedule requirements. Ensure contracts refer the responsibilities of contractors, as the corresponding sanctions when required  Design and arrange holes to reduce the construction time of future connection of interceptorage system of District 2 to the interceptor. 4.3. Mitigation of negative impacts during WWTP construction To minimize the possibility of traffic accident if the contractor operate their businesses  Arrange the time suitable to transport construction materials, equipments, tools (depending on the specific conditions for each location)  Use the tools to delimit temporarily line for motorcycle along the transportation route to the WWTP areas  Have the sign boards to tell the way at the necessary points  Assign people to help the transport system at the hazardous stretch of road (slippery, muddy, potholes, etc...) To minimize the possibility of work accident: Having sanctions if employers do not give the means of labour safety to their workers  Having lights if working at nights, in the entrails of the earth to put pipelines 27  Having the sign boards not allow people go through the working areas of crane equipment  Having the sign boards not allow people fire, smoke in the place where is easily danger of fire (warehouses of chemical, gasoline, inflammable, transformer station,..)  Equip the means of fire prevention at the warehouses (extinguishers, CO2 containers, sand, fireplug,...)  Provide the labour safety in sufficient and right for workers and tell them about the labour safety regulations  Intensify checking and suspend the works of workers if lack of labour safety  Need to have medical section to do the first aid if having accident at work To lessen the accident at work for nonresident if  Have roadblock and warning board at work  Assign the real name to make roadblock in the end of working day at work To lessen the health risk of local people if:  People living near the workplace will be informed fully the problems confronting them and will be proposing some ways to reduce negative effects as watering, closing the doors and windows to avoid loudness, dust,...  The contractor must build the worker camp and WC for the workers  The people who live in the camp at the working place are responsible to clean in and out of the camp, to do the household garbages in the right way, to clear pool around camp To lessen the social evils if:  Contractor make the solid warehouses to contain easily stolen items as working tools, cement, electricity, etc.  Contractor hires the good security guards who are responsible to keep construction materials and equipment in safe  Contractor should equip some recreational facilities as TV, karaoke, volleyball ground, football ground, etc. for the workers 4.4. Mitigation of potential negative impacts on the water body downstream the WWTP The place following the waste water from WWTP is the area of downstream Dong Nai and Nha Be rivers. People there earn for their livings by catching fish, eels, crab, small shrimp; or keeping ducks, fish, or planting, etc. They use water from Nha Be – Dong Nai River for planting and daily use. So, it is necessary to have some ways to avoid the problems of water quality discharged from the WWTP To minimize the risks of polluted water environment because of technical troubles during WWTP operation  Maintaining the regular checking system of safety during operation 28  Installing the standby’s of the pump station, mechanical appliances, dynamo for technical stops during operation  Having a mechanism of WWTP to monitor measurement, to audit environment as regulations to ensure the water quality fits the standards designed. Although the quality of Saigon river apparently improved following the operation of the WWTP (because the untreated waste water from Phase 1 of the HCMCES will not be discharged into the SaiGon River), the effluent discharged from WWTP may impact directly or indirectly the ecological environment in the surrounding area, as suggested by the modelling results produced for the Environmental Impact Assessment. Specific environmental management measures will be need to be implemented, and the quality of the effluent as well as its impact to the water body downstream the WWTP, particularly Nha Be River, will need to be monitored regularly during the operation of the WWTP. Regular monitoring of the water body downstream the WWTP is very important to assure necessary measures could be timely and effectively taken to ensure the aquatic species form the river is protected, and people depending on the river water downstream the WWTP is timely informed of the potential impact to undertake preventive measures. The project owner will cooperate with the consulting company to carry out periodic visits to implement the project environmental monitoring program, including monitoring of waste sources with frequency of 4 times per year and monitoring of surrounding environment with frequency of two times per year (in line with national legislation and requirements). Environmental Audit Quarterly Reports conducted by Auditing Consultant every 3 months will be attached as an annex to the Progress Report prepared by the PMU for the World Bank. Environmental Quality Monitoring Reports conducted by construction monitoring consultant during construction phase and the first year of operation (2 times/year) will be submitted to PMU, then to DONRE of Ho Chi Minh City and the World Bank. A Final Report at the end of the construction phase will summarizes the environmental auditing completed and provides recommendations for continued auditing in operation phase. 4.5. Mitigation of potential negative impacts as a result of construction of the sewage system connecting District 2 catchment area and the Interceptor A sewage system connecting District 2 catchment area with the Interceptor will be built to provide additional benefit to the population from District 2. Since the sewage system is anticipated to build underground, and would be located along the roads/public area, the possibility of land acquisition from local households is very low. In case land acquisition could not be avoided from local households, a RAP will be prepared in accordance with the Project’s RPF. During the installation of the sewage system connecting the District 2 catchment area and the Interceptor, some environmental impact will occur, particularly due to construction operation, including noise, dust, increased traffic… These temporary impacts have been treated at full length in the EIA report (Please refer the IEA for details on anticipated environmental impact and mitigation measures). 29 5. CONCLUSIONS AND RECOMMENDATIONS 5.1. Conclusions The SA confirms that the overall social impact of the project is positive - because the project will improve the environmental sanitation for the two target catchment areas - NhieuLoc – ThiNghe area (Phase 1) and District 2 area (Phase 2). Specifically, the project will bring about significant benefits that meet the demand in the wastewater treatment for over 2 million of people in Nhieu Loc – Thi Nghe canal basin and District 2, with estimated 20% wastewater volume in Ho Chi Minh city12, reducing the surface water pollution in Saigon river and canals in District 2, preventing the discharge of waste into river and increasing the dilution of the river, improving the living quality for people, and promoting the development of commercial and tourist activities on and along Saigon river. In addition, District 2 will save the cost of individual wastewater treatment for inhabitants in District 2, especially in Thu Thiem New Urban Area, which will develop as a new economic and financial center of Ho Chi Minh city for total population of 650,000 by 2020; simultaneously also save the cost of construction and maintenance of septic tank for individual households in Nhieu Loc – Thi Nghe canal basin and Dstrict 2, and contributing to environmental protection. On the adverse impact which could not be avoided, the SA confirmed that the anticipated negative impact - as a result of permanent land acquisition, primarily at the 38.47ha WWTP, is minimal, given consideration of the other technical alternatives during the Feasibility Study stage. However, given that the compensation will be made to affected households as per project’s Resettlement Policy Framework, potentially affected households (consulted during project preparation) indicate their support for project implementation, and that their livelihod would not be affected/worsened off. The final EIA report also confirmed the WWTP operations, thanks to following the national environmental requirements, will not affect adversely the quality of the water downstream the WWTP. 5.2. Recommendations As mentioned above, upon completion, the HCMCES2 will help treat a large of amount wastewater from the Nhieu Loc – Thi Nghe and District 2 catchments (or 20% of the total volume of wastewater of Ho Chi Minh city). This will significantly improve the quality of surface water of Saigon river as well as of the canals in District 2. However, from the experience of Phase 1, the surface water pollution will not be thoroughly solved with construction of collection and treatment facilities only since the inhabitants still litter solid waste into the river and canals. From the information published in news papers13, every day Ho Chi MinhCity CITENCO has to collect from 9- 10 tons of solid waster from the water areas, and if this situation does not improve, Nhieu Loc – Thi Nghe canal might become poluted again. From the gender consultation results (section 3.3.2 above), it is apparent that the project could enhance the overall development effectiveness of the project by designing 12 According to the FS done by SCE Consultatnt, March 1012 13 The nespapers Tuoi Tre, Nguoi Lao Dong and Phap luat of HCM City have published this information during September – October 2012. Readers can google with the key words “Rác trên kênh Nhiêu Lộc Thị Nghè” (Solid waste on Nhieu Loc – Thi Nghe canal. 30 and implementinga series of activities that promote behavior change on hygiene- environmental protection that target the general public, particularly the communities in the catchment areas of Phase 1, and Phase 2. From the gender consultation, women play a very important role in environmental and hygiene education for their family members, particularly their children. As such, the project will implement a Behavior Change Communication (BCC) program that target the communities in the benefiary catchment areas, particularly women, to enhance the project development effectiveness. This BBC activities has been part of Project Component 4. Lessonslearned confirm that inhabitants, when being aware of the consequences of direct discharge of wastewater to the watercourses, garden, will be willing to take action to improve the hygiene sanitation for their families, and contribute to improving the environmental sanitation as a whole. 5.3. Lessons learned from resettlement HCMCES 1: (i) Supporting the displaced persons visit the resettlement site in advance, so that people know where they will move, so relevant economic options/ opportunities are identified early. (ii) Strengthening the management and supervision especially monitoring the compensation, assistance, resettlement and rehabilitation of affected people to ensure that all citizens are benefited from the project. (iii) Ensuring the quality of the works. qualified construction contractors which actually meet the technical specifications of the wastewater treatment plant and take all necessary measures during the land acquisition are key to the project. This would minimize undesirable effects for the community along the interceptor, where the wastewater treatment plant will be built. 31 ANNEX Annex 1 - Households questionnaire A. Socio-economic survey of households in the project area 1. First and last name: ………………………………………………………… 2. Neighborhood: …………………………………Ward………………………………… 3. Address:……………………………………………………Phone :………………………… 4. Date of interview: date ........month ....... year 2010 5. Interviewer’s first and last name: ………………….…………………………… 6. Supervisor’s first and last name: ……………………………………………… I. GENERATION INFORMATION ABOUT HOUSEHOLD Question1. Information about household members Number of households living in the same house: ………………………… Gender Marriage No Names of household Date of status Level of Resident 1=male . members Birth education status 2=female 1 Primary resident 2 3 4 5 Code number: Level of Education Have not finished primary school =1 Professional high school =5 Primary school (grade 1-5) =2 2-year College, 4-year college/university =6 Middle school (grade 6-9) =3 Post-graduate =7 High school (grade 10-12) = 4 No selection =8 Residential status: KT 1 (primary residence) = 1 KT2 = 2 KT 3 = 3 KT 32 II. PROPETY Question 2.Does your household current producing anything? 1. Yes 2. No Move to question Question 2a. Please tell us about your current use of production land (excluding living quarter): 1.1. Land for 1.2. Lake, water 1.3. Other types of production body land TT Types of land Area Employme Area Employme Area Employme (m2) nt status* (m2) nt status * (m2) nt status * 1 Given by or Inherited from parents 2 Issued or transferred 3 Renting/lending 4 Purchased from others 5 Self-cultivated 6 Others…………… … Total *Code for employment status: 1. In use (Specifically mention usage); 2. deserted; 3. Parts are cultivated, parts are deserted; 4. Lending, renting; 5. Pledging Question 3. Have your production facilities been certified with usage authorization? 1. Yes year of issue……………. 2.No Question 3a: If not, why not? Processing paperwork Already processed paperwork, waiting for result Lack information on personal profile, legal records Other (Detail): …………….............................. Question 4. What type of house does your family live in? (Choose 1 answer) Reinforced house with at least one floor Temporary house (hut, cabin) Semi-reinforced house (house with roof tiles) Other (please describe) ……………………………… Question 5. Total area of land your family currently use: …………………. m2 Sub-division:Living quarter: ……………….…………… m2 Kitchen, sub-areas, storage: ……………….……. m2 Yard, garden: ……….………………………………m2 Other: ………………..…………………………… m2 Question 6. House ownership:  1. Private house  2. Privately rent  3. Rent from government  4. Commune/ religious property  5. other (describe) …………………………… Question 7. Has your house been certified with usage authorization? 1. Yes year of issue……………. 2. No Question 7b: If not, why not? Processing paperwork Already processed paperwork, waiting for result Lack information on personal profile, legal records 4. Other (detail): ………………………………………………………………..... Question 8.House’s location 33  1. On main roads  2. In alleys > 5m 3.In alleys size 3-5m  4. Alleys < 3m  5. By the canals 6. On the canals Question 9. Sources of water for food and beverage as well as for hygiene and daily activities (Pick one primary source) Source Food, beverage Hygiene activities a.Tap water with private clock   tape water from other houses’ clocks   c. Water from river, lake, canal   d. Rain water   e. Water from wells   f. Dirty well water   g. Dirty water   h. Other source   Question 10. How does your house hold process used/waste water:  1. Septic tanks  2. Go directly into the sewage system  3. Ground absorption 4. Other: ……………………………………… Question 11. Family’ use of toilet:  1. Toilet with septic tank  2. Toilet releasing waste into sewage system  3. Public toilet  4. Toilet over canals  5. Other: …………………………………………………… Question 12. How does your family participate into the garbage collection service?  a1. Government service a2. Private service a3.Use public trash cans  a4. Dumbed into canals  a 5.dumbed into the sewage  a 6. Burn  a 7. Other way (detail)……………………… Question 13. How does your family get access to electricity?:  1. Private electricity clock  2. Wire from neighbors  3. Other sources (detail)…………………  4. Do not have electricity Question 14. What are the conditions of road network leading to your house?:  a. Paved road  b.Concrete road  c.Stone road  d.Dirt road Question 15. Within the year, has your house been flooded?  a. Yes. height:?………………..cm  b.No Question 15a. If yes, what is the cause of flooding?  1. Heavy rain  2. Low ground floor  3.High tide  4. Lack of sanitary sewer system  5.Poor sanitary sewer system  6. Other cause …………………………………… Question 16. Long-term use property in household (only include functioning items) Nu ST mbe Items Number Items Number T r 1 Expensive woodworks 9 Car 2 Refrigerator 10 3 Laundry machine 11 4 Hot water tank 12 5 Cell phone 13 6 Computer 14 7 Microwave 15 8 Motorbike 16 34 III. INCOME, EXPENDITURE, AND JOB Question 17. Family’s income in the previous year? How many people in the family are generating income? No. Name Job/ Type Working Regular Irregular Describe Employme of Vehicles income income … reason nt career …… VND/year VND/year a b c d e g h i 1 2 3 4 5 6 7 Total * Instruction for types of job: 1 = government official; 2 = Army/Police; 3 = Doctor, architect,engineer, teacher 4 = industrial worker; 5 = business and commerce; 6= private production, artisan; 7 = Services; 8 = Labor for hire, 9 = Retired; 10= other job *Instruction for working vehicles: 1 = Walking; 2= Bicycle; 3= Motorbike; 4= Bus; 5= Bus for industrial workers; 6 = Other (describe) Question 18.How many people in your household are currently unemployed? N Name Previous job The duration of Reason for o unemployment up to now unemployment 1 2 3 Question 19. Regular Expenditures of household: No Expenditures The amount of money (VND)/ Note month 1 Food 2 Electricity 3 Water 4 Fuel materials 5 Phone/Internet 6 Garbage collection service 7 Transportation/gas 8 Rent (if yes) 9 Education 10 Health services 35 11 Entertainment 12 Special event 13 Other expenses Total Question 20. Does your family have loan at the moment? 1. Yes borrowed money: .……………… VND 2. No  Move on Question 21. What is the loan for? 1. Agricultural production (rice, vegetables) 5. Daily expense 2. Investment in non-agricultural production 6. Health care service 3. Remodeling, building house 7. Other (describe):…………….. 4. Purchasing utility items Question 22. Source of loan: No. Source of loan Interest rate/month (%) 1 Friends, neighbors, relatives 2 Lenders 3 Credit union, HTX credit 4 Agricultural Bank and PTNT (Agricultural development) 5 Banks (social policies) for the poor 6 Other banks 7 Development programs (Example: Job creation program 120, etc.) 8 Poverty reduction program 9 Women union, other civil organizations 10 Other sources (describe) …………………………………………. IV. DIVISION OF LABOR WITHIN THE FAMILY AND SOCIAL ACTIVITIES Question 23. In your family, who make or participate in making decisions the following issues: (ask individuals above 18) 1. 2. 3. 4. 5. 6. 7. 8. 9. Reco Expe Cloth Shopping Remode Chil Chang Occupati Arra Orga rd nditur e for ling, dren e in on nge nizin numb e shop expensive house ’s comme selection/ marri g er withi ping items and construc edu rcial children’s age funer and n the items tion; cati activiti occupatio als name famil with selling on es n (such y long-term or as utility purchasi C1) ng real estates Code: 1=Make decision; 2=participate in discussion; 3=Does not participate in making decision or discussion; 4= Does not do this Question 24.Within the family, who take care of these activities? 36 Record 1. 2. 3. 4. 5. 6. 7. 8. 9. number Agricult House Childre Teach Mee Schoo Marriage Particip Death and ural wife n care ing ting l and within ating in anniver names activities jobs (eating, childr with parent the funeral sary (such as (cultivati (shoppi sleepin en neig s extended s of within C1) on, ng, g, …) hbor meeti family family family livestock cooking s ng and and and ) , commun commu commu cleanin ity nity nity g) 1= most of the time (>75%); 2= more often than not (about 50%); 3= Some (1-25%); 4= None ; 5= N/A Question 25. Do you or any of your family member participate in these organizations? (above 14 years of age). What are the benefits of participating in these Participate House organizations? No d number of Organizatio Organizatio Organizatio organizatio Organization households n n n n ………….. ………….. ………….. ………….. Code for organizations: Code for benefits: 1. Women’s Union 1 .Advice, moral and emotional support 2. Youth Union 2 . material, monetary assistance 3. Veteran Union 3 . Social interaction 4. Farmer Union 4 . Receiving loan 5. Union of the elderly 5. Learning trade 6. Gardener Union 6. No benefit 7. Religious organization 8. Sections of the Communist Party 9. Other organization (name):…………………. 10. Do not participate in any organization Question 26. Current, who do you go to for assistance in case of emergency or when you are in a difficult situation? (choose 1 to 3 options). 1. parents from both side of the family 6. Friends 2. Siblings from both sides 7. Government, organizations at work 3. Children 8. Government, organizations at home 4. Other relatives 9. Do not seek assistance from others 5. Neighbors 10. Other (describe):………………… 37 V. HEALTH AND ENTERTAINMENT Question 27. Was anyone in your family sick in the previous 4 weeks ?  a. Yes  b. No Question 27 a.If yes, what kind of illness?  1. Flu, fever. 2.Stomach ache  3. Viral hemorrhagic fever 4.Diaheria  5. Typhoid fever  6.Injured  7 Other illness…………………… Question 28. Do you think that your illness is related to your living environment? a.Yes b.No Question 28a. If yes, what is the primary reason  1. Unhygienic water source  2. Air pollution  3. Flooding  4. Flies and other insects  5. Lack of nutrition  6. Other reason……………………………………… Question 29.Does your family seek treatment at local health center? a.Yes b.No Question 29b. If no, what is your opinion on the ward’s health services?  1. Too expensive  2. Lack equipment  3. Poor service  4. Other reasons …………………………………………………… Question 30. What types of entertainment and sports are available in your neighborhood?  a. Park  b. Outdoor zone  c. Cinema  d. Karaoke e. Online game (internet)  f. Pool  g. Sport center h.Other ………………………………… Question 31. Are you satisfied with entertainment and sports available in your area? a.Yes b.No Question 31b.If no, why not?  1. Too expensive  2.Do not have time  3 Poor equipment 4 Other reasons VI. EVALUATION AND DEMAND FOR DEVELOPMENT Question 32. In your opinion, how have these factors change in your locale over the past 5 years? 1 . Better 3. 4. Don’t No Factors 2 . Same Worse know 1 Infrastructure (electricity, roads, stations, schools, sanitary sewer, communication) 2 Transportation services 3 Consumer service 4 Agricultural encouragement service 5 Job opportunity 6 Loan availability 7 Income and living standard 8 Irrigation system (canals) 9 Natural resources (fish, shrimp….) 10 Public order and security 11 Environmental health 12 Other (describe):…………………….. Question 33. What do you wish the government to invest in for the up and coming future? (Choose 3 options accordingly, with 1 as the highest priority) 38 If these If fees are Require services are Order required to investme available, of participate, TT Types of Investment nt? would you use priori would you still 1 =Yes them? ty participate? 2 = No 1 = Yes; 2 1= Yes, 2= No =No 1 Road network 2 Tape water for daily usage 3 Sanitary sewer system 4 Garbage collection 5 Wastewater treatment system 6 School 7 Kindergarten 8 Health service center 9 Agricultural encouragement service 10 Entertainment areas 11 Other (describe) VII. INFORMATION CONCERNING THE PROJECT AND ITS IMPACT Question 34. Have you heard of the project of installing the sewage system leading to ThạnhMỹLợi wastewater treatment plant along the river bank? 1. Yes 2. No Question 35. In your opinion, would the construction of the sewage system affect your households? 1. Yes 2. No Question 36. If yes, how would this affect you? The extent of impact Proposed (code) (If the answer Area of No Impact reimburseme is= 5, please provide impact nt detail) 1 Water for daily activities 2 Plants 3 Lakes, waterbodies for aquatic livestocks 4 Non-agricultural production land-use 5 Living quarter 6 Living Environment 7 Other (please provide detail): Code: 1= No impact; 2= Small impact; 3= Significant impact; 4= Serious impact; 5= other (please provide detail); 99= No opinion Thank you for your cooperation! 39 B. Household questionnaires land acquisition land for construction of wastewater treatment plants No. Full name of household (land owners: ……………………………………….………… Address: ……............., Road:………………………………Phone:………………………… Hamlet: ………………… Ward: ……………………………..District: ………………..…… Name of respondent : …………………………………………………, household: , other:  Age: …………………..; Male , Female:  Name of interviewer:…………………………………… Date of interview: ………………… PART A. GENERAL INFORMATION FOR HOUSEHOLDS Full name of household: ……………………………Age………, Occupation: …………….: 1.1 Gender: a. Male  b. Female 1.2 Age: …………… 1.3 Ethnicity: …………….. 1.4 Education Level: Class………….. 1.5 Occupation: …………………………….. His household / she is assigned to one of the following does not ?  a- Poor  b- Average  c-Rich Is your household eligible for social policy? a- No b-Yes. If yes, please specify:......................................... Total family size:…………person Include: Male: …………..person; Female: ……………person. PART B. ASSET INVENTORY AFFECTED BY PROJECT I/ LAND: a/ Land affected: Number of plots The origin Total The area recorded on Sheet of the No LAND TYPE land of land Note the land use map papers on area clearance right land certificates (1) (2) (3) (4) (5) (6) 1 2 3 4 5 6 7 * Type (6)The origin of the papers on land: (i). There are certificates of land use rights (LURE) (ii) There is a temporary certificate and can Validation (LURE) (iii) No lure and can not be validated (LURC) b/ Total land area of the family are: ……………………m2 c/ The origin and wishes to use your owns land: 40 The land left by your parents and you are the heirs.  The land left by your parents and all siblings who are the heirs.  Purchase to stay.  Purchase for Business.  Purchase to spend  Purchase to the children later  Has been here from year ..............to year.................. Reason not to continue in: ............................................................................ Have been planted trees.................. .....and livestock..........; from year .... .... to the year .......................... The reason for not continuing to do:.............................................................. Other opinions: ........................................................................................................................................................... ....................................................................................................... II/ HOUSE: a/ Housing affected: (The main house is in and should be displaced) (i) Homeless are in and no where in any other  (ii) And the homeless are in place in other  b/ type house: (i) Permanent  (ii) Semi-permanent  (iii) tabernacle  c/ Located on the position: ………………………………………………………….. III/ The independent works. STRUCTURAL WORKS Clear N PROJECT Total ROO GROUN WAL COLUM SUBSTRUCTUR ARE o NAME Area F D L N E A 1 2 3 4 5 IV/ Crops: 1/ Fruit: TYPE OF TREE GROUP / TOTAL UNITS Basic The period Yields a No TYPE OF QUANTI construction began for stable PLANT TY period the period 1 2 3 4 2/ Food crops and vegetables: (annual crops) 41 No TYPE OF TREES UNITS Area 1 2 3 4 3/Timber trees, leaves: TOTAL STT TYPE OF TREES UNITS QUANTITY 1 2 3 4 4/ Other Trees: TOTAL STT TYPE OF TREES UNITS QUANTITY 1 2 3 4 V/ graves: No TYPE GRAVES UNITS QUANTITY NOTE VII/ Other assets affected: …………………………………………………………………………………………………… …………………………………………………………………………………………………… ……………… PART C. MOVING ISSUES AND RESETTLEMENT Apply for housing relocation households ,(Households affected by relocation housing selected one of the aspiration after): Be paid compensation and self-seeking new land and building a new order  Of land allocation in resettlement areas to households affected by building a new home  Assigned housing forest products in the resettlement areas  Agricultural land: Land to change land (if have land)  Receiving compensation to automatically purchase new land  Support professional training: Households affected by the loss of agricultural land, in need of vocational training for job change: The number of people aged vocational training need to change career in the household is: …………..people Full name……………………………age…………… career I want to learn: Full name……………………………age…………… career I want to learn: Full name……………………………age…………… career I want to learn: Other aspiration of the household: 42 …………………………………………………………………………………………………… …………………………………………………………………………………………………… …………………………………………………………………………………………… PART D. ECONOMIC CONDITIONS OF THE CIVIL SOCIETY 1. Information on household members Gender No The full name of the house Year of Birth Education Level 1=Male, 2=female 1 household 2 3 4 5 6 7 8 9 10 Code: Education Level Incomplete primary =1 Secondary vocationa = 5 Primary (level 1-5) =2 Colleges, Universities = 6 Colleges (level 6-9) =3 Higher University =7 High school (level 10-12) =4 Unlettered = 8 2. Living conditions of households: 2.1. Water food, drinks / activities of the family from? (Select a primary source)? Water sources Water food, drinks Water activities a. Water through its own clock   b. Water machines over sentence   c. Rivers, canals, ponds,   d. Rainwater   e. Well water   f. Well water drill   g. change water   h. Other   2.2. Waste water and sewerage household use is:  1. Pool self destruction  2. Directly connected to sewage system  3. Self-absorbed  4. Other: …… 2.3. Families used the toilet:  1. The toilet have pool self destrucyion  2. Nhàvệsinhthoátracốngthoátnước  3. Public Toilets  4. Toilets on the canals, ponds  5. Other:…………………………………………………… 2.4. Families using electricity from any source:  1. Own clock  2.by neighbor  3. Other:…………………….  4. No electric 2.5. The family has no durable (only consider those items are used) 43 No Type of furniture Units No Type of furniture Units 1 Expensive furniture 6 Computer 2 fridge 7 Microwave 3 Washer 8 Motobike 4 Rating bath heater 9 Car 5 Mobile 10 Other 3. Employment, Income, Spending: Incomes of families in the past year? How many people in families with income? No Name Occupation No Regular income ... Irregular Income ... Occupation ... VND / year ... VND / year a b c d e g 1 2 3 4 5 Total * How to write job code: 1 = State employees; 2 = Army/Police; 3 = Doctor, Architect, engineers; Teacher; 4 = Worker; 5 = Bussiness; 6= Small Sun Production; 7 = Service; 8 = Wage labor, 9 = Retirement; 10=Other * How to write an average monthly expenditure: recorded separately or the whole family Thanks to the cooperation of Mr. / Ms The record ends on ... .... ... ... Minutes of the consistent theme that now can read the minutes of protection and recognition of data is sufficient distraint, correct and signed. /. Date…. …. month … Year....... 1. Investigators 2. Mainly affected households / people to declare Full Name: ……………………… Full Name ……………………… Signature …………… Signature …………………………… 44 Annex 2 - List of community consultation sessions No Time Location Content Attendants and number 1 14:00- Ben Co Cultural Project introduction and Neighborhood/hamlet 16:30 community consultation, Hamlet, Dai Phuoc, leader: 01 person February expected project impacts NhonTrachDistrict, Households: 14 persons (2 9th, 2012 Dong Nai Provinceon downstream women, 12 men) ecosystem and mitigation Social Consultants: 02 measures persons 2 14:00- Truong Luu Hamlet, Project introduction and Neighborhood/hamlet 16:30 Long Truong Ward, community consultation, leader: 01 person February District 9 expected project impacts Households: 13 persons (9 10th, 2012 on downstream women, 20 men) ecosystem and mitigation Social Consultants: 02 measures. persons 3 14:00- Cat Lai Hamlet, Project introduction and Neighborhood/hamlet 16:30 PhuHuu community consultation, leader: 01 person February Communes, expected project impacts Households: 29 persons (8 13th, 2012 NhonTrachDistrict, on downstream women, 5 men) Dong Nai Province ecosystem and mitigation Social Consultants: 01 measures. person 4 14:00- Area 4, Thanh My Project introduction and Ward People’sCommittee: 16:30 LoiWard,District 2, community consultation, 03 persons February Ho Chi Minh City. expected project impacts Neighborhood/hamlet 24th .2012 on upstream ecosystem leader: 01 and mitigation measures. Households: 48 persons (21 women, 27 men) IMA: 02 persons Environmental Consultants: 01 Social Consultants: 02 persons 5 8g30 - Thanh My Introduction about Ward People’s Committee: 11g00, LoiWard,District 2, HCMCES II pproject 01 person April 25th Ho Chi Minh City. Introduction about Mass organization: 01 2012 World Bank policy OP Households: 14 (06 women, 4.12 08 men) IMA: 02 persons Social Consultants: 02 persons 6 February, Thanh My Loi Ward, Consultation about People’s Committees ward: 2 18th, 2014 District 2, HCMC Resettlementdesireofthehou people seholder/APs Commune executive Board: 01 Presentation about OP 4.12 person Policy of WB IMA: 04 people Social Consultants: 03 people Households: 20 people (8 women, 12 men) 45 Annex 3 –Sample minutes of public consultation 46 47 48 49 50 Annex 4 - List of participants in community consultation 51 52 53 54 Annex 5 - References  Feasibility study report on Ho Chi Minh City Environmental Sanitation Project – Phase 1, CDM Consultant - 1999  Environment Management Plan – Ho Chi Minh City Environmental Sanitation Project, Phase 1, CDM Consultant - 1999  Resettlement-Site Clearance-Compensation Plan - Ho Chi Minh City EnvironmentaSanitation Project – Phase 1, CDM Consultant - 2000  Environmental Impact Assessment Report - Ho Chi Minh City Environmental Sanitation Project – Phase 1, CDM Consultant – 2003  Report 'Assessment of the situation, perfection and concretization of the policies on compensation, support and resettlement, implementation of the project construction investment of Thu Thiem New Urban Area ". Institute of Economics Ho Chi Minh City. Ho Chi Minh City, December 2005.  Social Assessment Report - Ho Chi Minh City Environmental Sanitation Project – 2007 – 2011, Ho Chi Minh City Union of Technical and Science Associations.  Independent monitoring report on the implementation of the Resettlement Action Plan of Ho Chi Minh City Environmental Sanitation Project Phase 1, Consulting HADENCON (2002 - 2007).  Issue Identification Report - Ho Chi Minh City Environmental Sanitation Project – Phase 2, SCE Consultant – 2010  Report on Socio - Economic - Ho Chi Minh City Environmental Sanitation Project – Phase 2, SAIGON WEICO Consultant – 2011.  Report on Gender and Development - Ho Chi Minh City Environmental Sanitation Project – Phase 2, SAIGON WEICO Consultant – 2011.  Environmental Impact Assessment Report - Ho Chi Minh City Environmental Sanitation Project – Phase2, CEFINEA Consultant – 2012  Feasibility Study – Main Report (draft) Ho Chi Minh City Environmental Sanitation Project – Phase 2, SCE Consultant – March. 2012  Resettlement Policy Framework - Ho Chi Minh City Environmental Sanitation Project – Phase 2, SAIGON WEICO Consultant - 2012  Resettlement Plan - Ho Chi Minh City Environmental Sanitation Project – Phase 2, SAIGON WEICO Consultant – 2012  Website District 2: http://www.quan2.hochiminhcity.gov.vn  Document No. 431/DS-CTK, Statistical Office in Ho Chi Minh City date 09/07/2013, providing data on the population of District 2 in 2012 and per capita income of the urban population in 2012 55 THE SECONDARY DOCUMENTS SUPPORT FOR SOCIAL ASSESSMENT RESEARCH: THE SECONDARY DOCUMENTS DOCUMENT AUTHORS DATE/YEAR SUPPORT FOR SOCIAL NUMBER ASSESSMENT RESEARCH A 1 CDM 1999 2 CDM 1999 Providing the information which helps to understand overview of the project 3 CDM 2000 and the connection between stage 1 4 CDM 2003 and stage 2 of the project HCMCES 5 HCM City From 2007 to Drawing out the experienced lessons Union of 2011 from Phase 1 (HCMCES 1) Science Engineering 6 HADENCON From 2002 to 2007 B 7 SCE Providing the information on identifing problems of HCMCES 2 10 SCE project and feasibility study of the project HCMCES2 14 HCM city 2005 Institute for Comments and initial evaluation on Economic the compensation and clearance of Research Thu Thiem project C 8 SGW 2011 9 SGW 2011 Providing database of socio-economic, Gender, the impact of the project ... to 12 SGW 2012 write reports SA 13 SGW 2012 D 11 CEFINEA 2012 Providing the reference information about the environmental impact of the project and the solution to reduce environmental impact. E 15 Website D.2 16 Statistical Providing the information about the Office in data of District 2 and HCM City HCM City, 56 Annex 6 - Methodological Notes for the SA The main methods are:  Review of secondary data  Field observations  Household survey  Community consultation (Community consultation - Through focus group discussions and community meetings). Review of secondary data: First of all, the Consultant conducted a review of available information and data from secondary sources to gather information related to the project (please see the detailed list of secondary materials in Annex 8). The review of secondary materials allows the Consultant to determine project scope, project affected areas, affected objects, type of impacts (including short-term impacts,long-term impacts, anticipated impacts, potential impacts, negative and positive impacts), and toassess impacts through the gender len in order to select appropriate solutionsto prepare SA effectively. In addition, during the SA deployment, the Consult regularly updates information from the latest versions of the feasibility study report, environment impact assessment report, policy framework and resettlement plan for Phase 2 (HCMCES2) to obtain a comprehensive view of project impactson the people in the project areas in particular and in the entire Ho Chi Minh City in general. Field observation Pursuant to the FS report and the information from available secondary sources, the Consultantconducts field observations. Field observations focusonthe areas where the project will build the work items and areas where there is not constructionactivity but likely create impacts. There are four main areas that theobservations focus on: 1) the area of 8 km long along the interceptor (including the wards: Thu Thiem, An Khanh, Binh Khanh, An Loi Dong, Binh Trung Tay and Thanh My Loi, District 2, Ho Chi Minh City), 2) The proposed construction area of the wastewater treatment plant (Thanh My Loi ward, Ho Chi Minh city) and 3) the downstream of Nha Be - Dong Nai rivers - which is expected to receive treated wastewater from the plant, and 4) the catchment area of District 2 - which is expected to connect the dikes that collect wastewater from some areas inDistrict 2. Household survey Household survey is followed up after the completion of the secondary literature review and field observations. A survey questionnaire was developed, including: 1) guide questions, and households questionnaire. The objective of the household interview is to collect information from households that can be affected by the project (directly or indirectly, permanently or temporarily) to find out socio-economic conditions of thefamilies, their feedback and aspirations for the project. A household interview takes about 2 rounds: 57 Round 1 (01/2011): In the areas along the interceptor: Interview households which are likely affected (directly or indirectly) by the project: According to the project documents "the interceptor to the wastewater treatment plantin Thanh My Loiward" will go through 06 wards: Thu Thiem, An Loi Dong, An Khanh, Binh Khanh, Binh Trung Tay and Thanh My Loi. On that basis, The Consult designed the collection of socio-economic information in the 06 wards. However, after collecting secondary information and field survey, the Consultant found that the areas where the interceptor isbuilt are mostly fallow withoutresidents or business activities becausethe State acquired agricultural land in these wards several years ago to deliver for localizers to build new residential areas or administrative and commercial centers.People affected by these projects received full compensation and support and were arranged in resettlement areas of each project. Therefore, the Consultant decided to interview all households (97 households) which areliving in Binh Loi village, Quarter 4, Thanh My Loi ward, located at the final end of the interceptor and the neighborhood upstream of the wastewater treatment plantto be built.To determine the overall picture of the socio- economic conditions, employment, income, poverty, infrastructure conditions and the level of willingness to pay for wastewater treatment fee (EP fee) of the population in the project area (note: the downstream of the wastewater treatment plant is river, so the Consultant conducted a separate consultation with the community along the river downstream of the plant). Round 2 (4-8/2012): At the regionexpected to build thewastewater treatment plant (WWTP) Survey households directly affected by the project, including 42 households whose land is acquired for the wastewater treatment plant in Thanh My Loi ward to collect information on the current land use,properties affected by the project and their aspirations. In addition, the Consultant had discussions with the Project Management Unit -Phase 1 and interviewed some households who resettledin the first phase to learn experiences in theproject land acquisition andresettlement - Phase 1 and to better implement the land acquisition, site clearance for construction of the plant in Phase 2. Community consultation In addition to the groups involved in the above-mentioned survey, the Consultant held public consultation sessions (as a form of extended survey to test the reliability of the survey results for the groups which participated in the household survey). Participants to the community consultation include: representatives of households which are likely affected by the project (along theinterceptor, the construction area of the wastewater treatment plant and the downstream,which is expected to receive after treatment wastewater from the plant), representivesof the Employer and local authorities. This activity is to provide information about the objective and impacts of the project to find out people's attitudes (including those who are negatively affected or benefitted) in the project area, recording their comments for the design and implementation process.The Conssultant organized five consultationsessions with the participation of 118 households, of which: 4 consultations sessions were carried out in 2/2012 with the participation of 104 households which receive wastewater after treatment of the plant, including the upstream 58 the Saigon River (Group 4, Thanh My Loi ward) and theupstream of Dong Nai river (Long Truong ward - District 9, Ho Chi Minh City) and the downstream of Dong Nai river (Phu Huu commune, Dai Phuoc commune – Nhon Trach District - Dong Nai province)14. 1consultation session for households whose land is acquired for the construction of the water treatment plant built in 04/2012. Although the Consultant was well collaborated with the People's Committee of Thanh My Loi ward to issue invitation letters to all affected households, only 13/42 households joined the consultation because most land owners are not living in the area15. The second consultation session for households whose land is acquired for the construction of the water treatment plant update built in Febuary, 18, 2014. The Consultant was well collaborated with Investment Management Authority of UESP and the People's Committee of Thanh My Loi ward to issue invitation letters to all affected households, this times with 20 households joined the consultation 16 (of these 6 households was first meeting in 04/2012) and and exposed 5 households to interview in the community. The community consultationfocuses on the following contents: Dissemination of information on the objectives, scope and benefits of the project Announcement of expected impacts of the project and proposed mitigation measures. In the consultations with thegroup of households whose land is permanentlyacquired, the Consultant disseminate more information about the World Bank OP 4.12 policy for compensation/resettlement. 14 Please refer Annex 4 & 5 for more detail 15 Please refer Annex for more detail of households whose land is affected. 16 Please refer Annex for more detail of households whose land is affected. 59