Social Monitoring Report

External Quarterly Resettlement Monitoring Reports (Q1 and Q2 2020)

January 2021

VIE: Ha Noi Metro Rail System Project (: Nhon – Ha Noi Station Section)

Prepared by External Resettlement Monitor for Ha Noi People’s Committee and the Asian Development Bank.

NOTE

In this report, “$” refers to US dollars.

This Social Monitoring Report is a document of the borrower. The views expressed herein do not necessarily represent those of ADB's Board of Directors, Management, or staff, and may be preliminary in nature.

In preparing any country program or strategy, financing any project, or by making any designation of or reference to a particular territory or geographic area in this document, the Asian Development Bank does not intend to make any judgments as to the legal or other status of any territory or area.

SEMI-ANNUAL REPORT – QUARTER 1 & QUARTER 2 OF 2020 EXTERNAL REPORT ON RESETTLEMENT MONITORING

Project Number: 40080-013 Loan Number: 2741-VIE

Reporting time: 02 Reporting Period: 01 January 2020 to 30 June 2020 Report Code: MRB_EQRMR_18.03_Version 02

VIE: HA NOI METRO RAIL SYSTEM PROJECT (Line 3: Nhon – Ha Noi Station Section)

Hanoi, December, 2020

HANOI METRO RAIL SYSTEM PROJECT

Line 3: Nhon - Hanoi Station Section

AMENDMENT RECORD

Revision number Date Amendment Description

01 25/11/2020 Version 01

02 29/12/2020 Version 02

No. Topic Person in charge Position Company

1 Prepared by Vu Xuan Son External Resettlement TPF Getinsa Monitoring Consultant Euroestudios – PMS2

2 Reviewed by Tran Tuan Anh Vice Director - PID1 – MRB Responsible of LAR Fernando Herrero Team Leader TPF Getinsa Benitez Euroestudios – PMS2

3 Supported on Nguyen Tuan MRB officer PID1 – MRB database by Dung

Date: 29 December, 2020 Prepared by: Checked by: Vu Xuan Son Fernando Herrero Benitez

External Resettlement Monitoring Consultant Authorized Signatory – PMS2

External report on resettlement monitoring – 1st haft, 2020 Pages 2 / 74

HANOI METRO RAIL SYSTEM PROJECT

Line 3: Nhon - Hanoi Station Section

ABBREVIATIONS

ADB - Asian Development Bank AFD - Agence Francaise de Development AHs/APs - Affected household/affected person BCS - Building Condition Survey BRA - Building Risk Assessment CP - Compensation Plan COH Citizen of Hanoi City DCARBs - District Compensation, Support and Resettlement Board DCLDF - District Central Land Development Fund DMS - Detailed Measurement Survey DOC - Department of Construction DONRE - Department of Natural Resource and Environment DPC - District People’s Committee EM - External Monitoring GRM - Grievance Redress Mechanism HHs - Household HPC - Hanoi People’s Committee LAR - Land Acquisition and Resettlement LURC - Land Use Rights Certificate MOT - Ministry of Transport MRB - Hanoi Metropolitan Railway Management Broad PID1 - Project Implementation Department No.1 RF/ uRF - Resettlement Framework/ Updated Resettlement Framework RP/ uRP - Resettlement Plan/Updated Resettlement Plan SPS - Safeguard Policy Statement (2009) WPC - Ward People’s Committee VND - Vietnamese dong $/ USD - United States Dollar €/ EUR - European common currency

External report on resettlement monitoring – 1st haft, 2020 Pages 3 / 74

HANOI METRO RAIL SYSTEM PROJECT

Line 3: Nhon - Hanoi Station Section

TABLE OF CONTENT

A. GENERAL ...... 7

I. INTRODUCTION ...... 7

1.1. Background ...... 7 1.2. MRB’S project management team ...... 10

II. METHODOLOGY OF MONITORING...... 13

2.1. Functions of resettlement monitoring services ...... 13 2.2. Methodology of Monitoring ...... 14

III. SUMMARY OF PROJECT IMPACTS ...... 15

B. FINDINGS AND MONITORING RESULTS ...... 17

IV. INFORMATION DISCLOSURE AND COMMUNITY CONSULTATION ...... 17

V. LAND ACQUISITION ...... 18

5.1. Land acquisition and impact ...... 18 5.2. Land acquisition in major areas: ...... 21 5.3. Additional land acquisition for Station S9 and S10: ...... 22 5.4. Buildings of households encroached on elevated station (S4, S5 and S7) ...... 24

VI. APPROVAL OF COMPENSATION, ASSISTANCE AND PAYMENT ...... 24

6.1. Households and agencies receiving compensation and support ...... 25 6.2. Approval of compensation, support and payment plans ...... 28

VII. RESETTLEMENT AND RELOCATION OF PUBLIC WORKS ...... 30

7.1. Preparation of resettlement sites ...... 30 7.2. Resettlement and stabilization of displaced households ...... 31 7.3. Relocation of public works ...... 33

VIII. INCOME RESTORATION ...... 33

8.1. For AHs at the depot and access ramp (Phase 1) ...... 33 8.2. For AHs in depot and access ramp (Phase 2) ...... 34 8.3. For households affected by tunnels and underground stations (CP03) ...... 36

IX. GRIEVANCE REDRESS MECHANISM ...... 39

9.1. Legal basis for settlement of complaints and problems ...... 39 9.2. Complaints in the depot and access ramp ...... 44

External report on resettlement monitoring – 1st haft, 2020 Pages 4 / 74

HANOI METRO RAIL SYSTEM PROJECT

Line 3: Nhon - Hanoi Station Section

9.3. Complaints in package CP03 ...... 45

X. ASSESSMENT OF IMPLEMENTATION OF COMMITMENTS ...... 47

XI. UPDATE RP FOR IMPACTS OF TUNNEL CONSTRUCTION (CP03) ...... 53

C. CONCLUSIONS AND RECOMMENDATIONS ...... 54

XII. CONCLUSIONS ...... 54

XIII. RECOMMENDATIONS ...... 55

APPENDIX ...... 58

Appendix 1: The List of affected households and organizations in CP03 ...... 58 Appendix 2: The list of people met during the report preparation phase ...... 64 Appendix 3: Detailed complaint resolution process ...... 66 Appendix 5: Some photos in the monitoring phase ...... 74

External report on resettlement monitoring – 1st haft, 2020 Pages 5 / 74

HANOI METRO RAIL SYSTEM PROJECT

Line 3: Nhon - Hanoi Station Section

LIST OF TABLES

Table 1: Names and locations of railway stations ...... 7 Table 2: Project packages ...... 8 Table 3: Summary of project impacts ...... 20 Table 4: Summary of land acquisition ...... 21 Table 5: Adjustment plan for partial handover ...... 22 Table 6: Additional land acquisition for construction at Station S9 and S10 ...... 23 Table 7: Summary of payment for affected households and organizations ...... 27 Table 8: Summary of compensation and support ...... 29 Table 9: Locations, areas and number of apartments to be arranged for resettlement households ...... 30 Table 10: Resettlement status of the AHs ...... 32 Table 11: Support for income restoration of AHs (Depot and access ramp Phase 1) ...... 33 Table 12: Support for income restoration of AHs (Depot and access ramp Phase2) ...... 34 Table 13: Support follow uRP of AHs (Depot and access ramp Phase2) ...... 34 Table 14: The payment progress for the HHs belonging to the vulnerable group (Depot and access ramp) ...... 35 Table 15: Payment schedule for support production and business stabilization (Depot and access ramp) ...... 35 Table 16: Support for income restoration of AHs in CP03 ...... 36 Table 17: Payment for support production and business stabilization in package CP03 .... 39 Table 18: Similarities and differences between ADB and HPC policy on GRM ...... 41 Table 19: Project's complaint statistics information ...... 43 Table 20: Contents of the complaints or problems in Package CP03...... 47 Table 21: Comparison of the implementation progress of MOU in November 2019 ...... 48 Table 22: Loan terms compliance status Loan 2741 – VIE on Resettlement and safeguard measures ...... 51

LIST OF FIGURES

Figure 1: The Project’s alignment ...... 10 Figure 2: MRB’s Management layout structure ...... 10 Figure 3: Management Structure of Project Implementation Department 1 (PID1) ...... 12

External report on resettlement monitoring – 1st haft, 2020 Pages 6 / 74

HANOI METRO RAIL SYSTEM PROJECT

Line 3: Nhon - Hanoi Station Section

A. GENERAL

I. INTRODUCTION

1.1. Background 1. Hanoi People’s Committee (HPC), through Hanoi Metropolitan Railway Management Board (MRB), is carrying out the development of Hanoi Metro Railway System Project (Line 3: Nhon- Hanoi Station Section), with the loans of the following financers to support the Government of (GoV), with current estimate of USD 1,375.7 million (equivalent EUR 1,176 million), including: Asian Development Bank (ADB) is USD 407.6 million; European Investment Bank (EIB) is EUR 141 million; Direction Générale du Trésor de France (DGT) is EUR 335 million; and Agence Française de Développent (AFD) is EUR 159 million (Source: MOU 25-29 November 2019). 2. The Project is located in Hanoi city and its approved scope includes civil works, equipment, consulting services and resettlement for the construction of the Metro Railway System of about 12.5 kilometers long with 12 stations (08 elevated and 04 underground stations) and one depot. The elevated part is 8.4km long, including 08 elevated stations and 01 access ramp of 500m long. The underground part is 3.6km long, including 4 underground stations. The construction has commenced in 2010 with initial works on the depot. The current tentative completion time is in Quarter IV 2022. The names and locations of the railway stations are presented in the following table.

Table 1: Names and locations of railway stations

Sections Names of stations Locations of stations Elevated part S1 Nhon S2 Minh Khai S3 Phu Dien S4 Cau Dien S5 Le Duc Tho S6 Vietnam National University, Hanoi S7 Chua Ha S8 Cau Giay Underground part S9 Kim Ma street S10 Cat Linh street S11 Quoc Tu Giam street S12 Tran Hung Dao street 3. In term of the execution and management, the Project consists of 09 construction packages of civil works and 05 consulting services. The contracts of the packages were already awarded, except Package CP09, as shown in below table.

External report on resettlement monitoring – 1st haft, 2020 Pages 7 / 74

HANOI METRO RAIL SYSTEM PROJECT

Line 3: Nhon - Hanoi Station Section

Table 2: Project packages

No. Title Main scope Contractors Package Construction of Viaduct, bridge, access ramp to DAELIM CP1 Elevated part - Line depot, elevated part of ramp to Industrial Co., underground stations Ltd., Korea Package Construction of Structural works, architectural POSCO CP2 Elevated part - Stations finishes, low voltage and Engineering plumbing &Construction Co., Ltd., Korea Package Construction of Structures, architectural finishes, JV Huyndai CP3 Underground part: low voltage and plumbing Engineering & Tunnels and Stations Construction Co., Ltd-Ghella S.p.A Package Construction of Depot VinaconexJsc. CP4 Infrastructure (Vietnam) Package Construction of Depot Construction of buildings and HANCORP Co., CP5 Architectural works workshops Ltd., Vietnam Package Rail system 1: Rolling Design, supply and install: Rolling JV Alstom CP6 stock, Depot stock, Depot equipment, Transport SA – equipment, OCC/SCADA (includes BMS in Colas Rail SA – OCC/SCADA, stations), signaling, Thales signaling, communication, power supply Communication communication, power (medium voltage 22kV and and Security supply traction power) SAS, France Package Rail system 2: Electrical Design, supply and install: Colas Rail S.A, CP7 and Mechanical (E&M) E&M systems, France Ventilation systems, Firefighting systems, Lifts and escalators, Dewatering Package Rail system 3: Track Design, supply and install: Rails Colas Rail S.A, CP8 Works for all the line and inside the France Depot (includes the 3rd rail) Package Rail system 4: Design, supply and install: AFC Under CP9 Automatic Fare system procurement Collection (AFC) PIC Project Implementation Design, Supervision and Project SYSTRA, France Consultant (PIC) Implementation Support: Review and fulfillment of the previous FS of the Project (completed) Technical Design (Completed); Procurement activities: preparing tender documents and assistance

External report on resettlement monitoring – 1st haft, 2020 Pages 8 / 74

HANOI METRO RAIL SYSTEM PROJECT

Line 3: Nhon - Hanoi Station Section

No. Title Main scope Contractors with tender evaluation and contract negotiations (Pending CP09) Management and Supervision of the civil works and system contracts under the Project; Assistance for training and operation; IC2.1b2 Consulting Services for Verification of Technical Design, SENER, France Verification of Technical Cost Estimates and Appraisal of Design, Cost Estimates Tendering Documents of and Appraisal of Packages CP03 and CP06 – Tendering Documents CP09 (Completed) IC 2.1b3 Consulting Services for Provision of Project IDOM, Spain Project Management Implementation Support to MRB Support to the Client (Completed) IC 2.2 Consulting Services for Certification of System Safety JV APAVE Certification of System International, Safety France, Bureau Veritas, Vietnam Contract for External Environmental monitoring CENMA Environmental (Completed) Monitoring PMS2 Consulting Services for Provision of Project TPF Project Management Implementation Support to MRB GetinsaEuroestud Support to the Client (Completed) ios S.L. Spain 4. Hanoi People’s Committee (HPC) is the Executing Agency. The Metropolitan Railway Management Board (MRB) is the Implementing Agency. 5. The Project, once completed, will (i) facilitate public transport connectivity, (ii) greatly enhance access in five districts of Hanoi city, and (iii) be an important integral part of an improved public transport system, which aims to achieve increased public modal share through low-carbon transport that reduces greenhouse gas emissions. The line starts at Nhon (intersection of Road 70 and Highway 32 to Hanoi center, goes through Ho Tung Mau street, Xuan Thuy street, Cau Giay street, Kim Ma street, Nui Truc street, Cat Linh street, Van Mieu street and the end point is at Hanoi Railway Station. The depot which has been constructed in 15 hectares in Minh Khai and Tay Tuu wards (Bac Tu Liem district), consists of some components such as concentration area of rail vehicle, washing machine, wheel lathes, maintenance factory and warehouse. The below figure shows the Project’s alignment.

External report on resettlement monitoring – 1st haft, 2020 Pages 9 / 74

HANOI METRO RAIL SYSTEM PROJECT

Line 3: Nhon - Hanoi Station Section

Figure 1: The Project’s alignment

6. TPF Getinsa Euroestudios in Association with HHA & Partner Group Consultant, JSC. was selected with the Contract for PMS2 Consultancy services. The Contract was signed on 27 April 2018 and the personnel mobilization started on 15 May 2018. According with the PMS2 Contract Terms of Reference (ToR) the overall objective of the consulting services is to provide Project implementation support to MRB in order to make sure that the Metro Line 3 is implemented to the required quality, on time and within the budget, and when open operates effectively and efficiently.

1.2. MRB’S project management team 7. The personnel and management structure of MRB are shown in below Figure. The functions of each section of MRB are explained as below:

Hanoi Metropolitan Railway Management Board (MRB) Board of Directors

OFFICE FINANCE – PLANNING & TECHNICAL – PROJECT ACCOUNT INVESTMENT APPRAISAL IMPLEMENTATION DEPARTMENT PREPARATION DEPARTMENT DIVISIONs (PIDs) DEPARTMENT

Figure 2: MRB’s Management layout structure

1. GENERAL DIRECTOR AND DEPUTY GENERAL DIRECTORS: have the overall responsibilities for all activities of MRB. 2. OFFICE: - Support the General Director in reviewing, supplementing, adjusting the organization of MRB’s Departments;

External report on resettlement monitoring – 1st haft, 2020 Pages 10 / 74

HANOI METRO RAIL SYSTEM PROJECT

Line 3: Nhon - Hanoi Station Section

- Support the General Director in Human resources activities; - Support the General Director in MRB’s personnel planning; - Be in charge of implementing Policy, labor – wages; - Be in charge of preparing training plan and advising for training activity implementation; - Be in charge of implementing Internal politic protection activities; - Be in charge of Emulation and reward activities; - Be in charge of Grassroots democracy activities at work; - Support in implementing anti-corruption, claim resolution works; - Be in charge of administration reform; - Be in charge of receiving, sending and circulating the documents as per regulations; - Be in charge of administration works; - Be in charge of agency protection; - Be in charge of communication, foreign affairs activities; - Be in charge of information technology activities; - Be in charge of translation and interpretation works as per assignment; - Be in charge of legal activities; 3. FINANCE – ACCOUNT DEPARTMENT - Be in charge of financial works; - Be in charge of accounting works; 4. PLANNING & INVESTMENT PREPARATION DEPARTMENT - Be in charge of planning works; - Be in charge of preparing development plan, budget plan and quarterly, annual plan for MRB; - Be in charge of implementing investment preparation works as per the existing regulations and commitments with the Donors; - Be in charge of promoting investment works; - Be in charge of supervising and evaluating investment; - Be in charge of managing and supervising contracts; - Be in charge of synthesizing and reporting; 5. TECHNICAL – APPRAISAL DEPARTMENT - Be in charge of implementing all the appraisal works for working drawings, cost estimation and bidding documents, etc; - Be in charge of quality management activities; - Be in charge of institution and policy works

External report on resettlement monitoring – 1st haft, 2020 Pages 11 / 74

HANOI METRO RAIL SYSTEM PROJECT

Line 3: Nhon - Hanoi Station Section

6. PROJECT IMPLEMENTATION DIVISIONS - Implement the metro construction investment projects - Be in charge of land acquisition activities - Be in charge of utilities removal works - Implement the infrastructure programs, projects assigned as per the existing regulations and commitments with the Donors. 8. To implement Metro Line 3 Project, MRB has established Project Implementation Department 1 (PID1) with all functions and responsibility for the project implementation. Please see the below figure for the structure of PID1:

PID1 (for Metro Line 3)

Board of Directors

Implementation Teams Contract Teams

Technical LAR Contract Economic General CP01 -> Consulting Insurance Team Team Mgt Project Planning CP09 Service Team Team Team Team Teams Team Figure 3: Management Structure of Project Implementation Department 1 (PID1)

9. The functions of LAR team are to consult and support the Manager in land acquisition and utilities removal works, explosive object clearance works of PID1. The responsibility of LAR team includes but not limits the following tasks: - Implement the tasks specified in Decision No.117/QD-DSDT-VP dated October 6, 2017 of Hanoi Railway Management Board on promulgating the regulations on functions and duties of departments of Hanoi Railway Management Board; - Based on the tasks assigned, prepare the plan to carry out the works and submit to the Division’s Leaders for review and approval to be the basis for control and management. Submit report monthly to review the works implemented in the previous month and the plan for the next month to the Division’s Leaders; - Coordinate with the Local Authority to appraise and approve the Compensation, Support and Resettlement Plans of the Project; - Be in charge of supervising, coordinating with the Local Authority to solve the problems regarding land acquisition and resettlement of the Project;

External report on resettlement monitoring – 1st haft, 2020 Pages 12 / 74

HANOI METRO RAIL SYSTEM PROJECT

Line 3: Nhon - Hanoi Station Section

- Propose, consult the application of legal regulations relating to the land acquisition, compensation, support for resettlement, utilities removal works; - Consult, prepare the budget allocation plan and supervise the disbursement for the region; Supervise and collect the reports on the payment of compensation, support, compensation; - Be in charge of preparing the periodic reports or irregular reports relating to the land acquisition works up on request. Summarize and report to the Donors the status of land acquisition, resettlement works, resolutions of the claims on compensation, support, resettlement in the project review meetings; - Be in charge of managing and urging the utilities removal contractors to remove the utilities to ensure the progress of construction and installation works of the Project. Organize the explosive object clearance works (phase 2 for the underground section of the project); - Archive all the documentation relating to the land acquisition, compensation, support, resettlement, explosive object clearance works for all the Project Stages. Archive, manage all the as-built document, payment document and other document relating to the tasks assigned; - Coordinate with relevant Teams to give explanation to the Inspectors, Auditors, and Press about the contracts, tasks assigned; - Implement and coordinate to give explanation to the Inspectors, Auditors about the contracts, tasks assigned; - Coordinate with other Teams to solve the problems relating to land acquisition and utilities removal during the construction works; - Other tasks assigned by the Division’s Leaders.

II. METHODOLOGY OF MONITORING

2.1. Functions of resettlement monitoring services 10. For resettlement monitoring, PMS2 Contract has covered two experts: Resettlement Specialist and External Resettlement Monitoring Consultant. PMS2 has proposed the mobilization of the international independent expert according with the Contract, however MRB requested to consider the replacement by another national expert to support MRB almost in a full-time basis. As the result with ADB’s concurrence, the national External Resettlement Monitoring Consultant has been mobilized from April 2019. 11. The national External Resettlement Monitoring Consultant has to work in close collaboration with the national internal Resettlement Specialist for (i) monitoring the status of land acquisition, displacement of AHs and affected organizations; (ii) monitoring and checking on the compensation and support to AHs and affected organizations that were implemented in line with the provisions of the agreed URP and the URF or not; (iii) certifying whether the AHs understood their rights and entitlements, and if information has been disseminated sufficiently to the AHs, including the GRM; (iv) identifying of outstanding compensation and resettlement issues that require the attention of the agencies involved in External report on resettlement monitoring – 1st haft, 2020 Pages 13 / 74

HANOI METRO RAIL SYSTEM PROJECT

Line 3: Nhon - Hanoi Station Section the Project; (v) evaluating on changes in livelihoods of the AHs; (vi) evaluating on the implementation of income restoration for displaced persons; (vii) evaluating on effectiveness, impacts and sustainability of resettlement activities and providing necessary recommendations in the resettlement implementation for the Project. 12. In general, the objective of this mobilization will be (i) an additional support for monitoring and settlement of the outstanding issues in Project Land Acquisition and Resettlement activities; (ii) reporting about the compliance of ADB Safeguards Policies (SPS, 2009), relevant government policies, loan covenants; and (iii) the Resettlement Plans (RP) and their addenda.

2.2. Methodology of Monitoring 13. External monitoring and evaluation are carried out with following activities: (i) review documentation at the office; (ii) observation; (iii) photo taken; and (iv) group discussion and interview. 14. Document research: The review of project documents will consist of (i) the RF/ uRF, RPs/ uRPs and its addenda; (ii) the previous external monitoring reports, (iii) the monthly and quarterly reports prepared by PMS2, (iv) the MoU of ADB review mission with special attention to fulfillment of loan covenants and any documentation generated by the main stakeholders of the Project relating Land acquisition. The documentation from the GRM will be another source of key information. This report focuses on the review of pending issues in compensation for site clearance of the project recognized in the following documents: (i) Memorandum of Understanding (Co-Financiers Review Mission) dated 25 - 29 November 2019; (ii) Quarter 3 & Quarter 4/2019 independent monitoring reports approved by ADB; and (iii) Quarter 1 and Quarter 2/2020 internal resettlement monitoring reports. 15. Participatory Rapid Assessment: The Field Visit of External Resettlement Monitoring Consultant has covered interviews with all stakeholders relating with LAR activities including ADB, HPC, MRB, PMS2, and with Contractors CP03 and CP05 to know the affections to the construction works. The Expert will maintain interviews with local authorities and AHs, in construction site and resettlement areas in order to (i) monitor the LAR policy implementation; (ii) the satisfaction of AHs; (iii) the livelihood and income of AHs; (iv) grievance or pending grievances (if any); and (v) the accessibility, identification and approach to the competent agencies of each individual, AHs and especially vulnerable groups will be different (the Grievance Redress Coordination Regulation will be further improved to deal with this problem). a. Group discussion - For MRB, DPCs and DCARBs, group discussions will help find out advantages, disadvantages and solutions during the implementation and seek information to reassess the application of the Project's compensation, support and resettlement policies. - For AHs, group discussions will help evaluate other aspects relating to the rights of affected people. The discussion will include the vulnerable groups such as women, the poor and the elderly... to get their opinions on such topics as: community participation, efficiency

External report on resettlement monitoring – 1st haft, 2020 Pages 14 / 74

HANOI METRO RAIL SYSTEM PROJECT

Line 3: Nhon - Hanoi Station Section of construction investment, the capacity of the project implementation staff, and the effectiveness of the GRM... b. Interview: - In-depth interviews: AHs, project implementation staff and responsible persons are interviewed in the process of compensation, support and resettlement based on the predetermined contents by the Consultant. This information will complement the information obtained from the survey and analysis of available documents. - Questionnaire survey: During monitoring, this method can be used as a tool to evaluate the resettlement implementation. However, the Consultant do not use the questionnaire survey in this reporting period. - Interviews will be conducted for both men and women, the elderly and other vulnerable groups. c. Information achieves: The information collected through the consultation will be analyzed by the Consultant and included in the periodic reports. MRB, PMS2, and Consultant still achieve these reports on the project's archiving system and use them for later reviews and reports. 16. Direct observation: This method helps obtain timely and useful information that complements to the collected data to better understand the context in which the data is collected and to interpret survey results. During the evaluation, the direct observation method is frequently applied. The monitoring consultant directly observes the site clearance and living conditions of some households, and visits the project construction sites. Information gathered from this method is stored by recording and photographing.

III. SUMMARY OF PROJECT IMPACTS

Impacts on households and agencies/organizations 17. The project affects 555 HHs and organizations (534 HHs and 21 organizations)1. 18. Among 534 HHs affected by the project, 199 HHs are relocated 2 (130 HHs are eligible for the grant of resettlement land plots or resettlement houses and 69 HHs are not). By the end of Q2/2020, 129/130 AHs have received resettlement apartments, except that 01 AH has not yet received resettlement apartment. 19. In addition, among 534 households affected by the project, 86 households have business affected.

1 In the second quarter of 2020, 15 households and 06 organizations affected with land acquisition are added (all of these households and organizations have been acquired for the first time and continued to be acquired, so that we should not count double). 2 In quarter 2/2020, there are 3 more households to be relocated due to the additional land acquisition for package CP03.

External report on resettlement monitoring – 1st haft, 2020 Pages 15 / 74

HANOI METRO RAIL SYSTEM PROJECT

Line 3: Nhon - Hanoi Station Section

Impacts of land acquisition 20. The total of 204,134.52 m2 of land are acquired to implement the project, in which 17,612.1 m2 are sidewalks, roads, and other public land; and 186,522.42 m2 belong to 534 HHs and 21 agencies/organizations. 21. For the affected land owned and managed by the HHs and agencies/organizations, the project has acquired 186,427.70 m2 out of the total of 186,522.42 m2 of land3 to be acquired, accounting for 99.95% of the required volume. The remaining land area that has not been acquired is 94.72 m2, which is within the area affected by the construction of Station S9 and Station S11 of Package CP03. For the remaining components, the land acquisition has been completed 100% of the required volume. Particularly the land acquisition in Quarter 2 of 2020, 608.20 m2 (including additional acquired land), has been completed.

Payment of compensation and support 22. Till the period of preparing this report, the total cost of compensation, support and resettlement approved for the project is VND 678,281,285,220. The total cost has been paid is VND 650,577,322,089. The total cost has not been paid are VND 27,703,963,131. In the second quarter of 2020, the DCARBs have paid VND 33,263,861,952 to the AHs for compensation, support and resettlement (including the AHs that suffer from additional land acquisition). 23. By the end of Quarter 2/2020, among 534 HHs and 21 organizations affected by the project, 529 HHs and 21 organizations have received full compensation and support, the rest of 06 HHs affected by Station S9 and Station S11 of Package CP03 have not received compensation and support. In addition, among 15 HHs and 06 organizations affected due to additional land acquisition at Station S9 and Station S10, 9/15 HHs and 5/6 organizations have received compensation, and the rest 6/15 HHs and 1/6 organizations have not received compensation.

Income restoration program 24. By the end of June 30, 2020, 529/534 HHs have received the Project’s income restoration support.

Constraints and complaints 25. Till the period of preparing this report, the project remains 52 complaints or pending issues relating to the compensation, support and resettlement. In addition, there are impacts caused by the construction, including 43 complaints in the depot and access ramp area (Phase 2), and 09 complaints or pending issues in Package CP03 relating to some recommendations for design of ventilation system at Station S9. Some complaints have been resolved by the competent authorities but not yet thoroughly.

3 Among 186,522.42 m2 of land, 185,879.4 m2 were acquired before and 643.02m2 of land are further acquired in Q2/2020 at Station S9 and Station S10.

External report on resettlement monitoring – 1st haft, 2020 Pages 16 / 74

HANOI METRO RAIL SYSTEM PROJECT

Line 3: Nhon - Hanoi Station Section

B. FINDINGS AND MONITORING RESULTS

IV. INFORMATION DISCLOSURE AND COMMUNITY CONSULTATION

26. By the end of Quarter 2/2020, the Independent Resettlement Monitoring Consultant's general assessment is that the project requirements of information dissemination and community consultation have been complied. The MRB should continue monitoring and supporting the DCARBs, Construction Contractors and Consultants to fullfil this task well with regard to impacts arising during the project implementation, especially the underground from S9 to S12. 27. For ADB-financed projects, the disclosure of project information and resettlement plans have been given special attention. This is to ensure that all AHs are fully consulted and involved in the entire project process. Information is fully and widely disseminated at each stage of the Project to help AHs to grasp information, participate and understand their rights, interests and obligations to the Project. Information contents are disclosed to AHs include: (i) the Project's general information; (ii) the Project's compensation, support and resettlement policy; (iii) the Project's complaint regulations; (iv) social and environmental safeguards plans; (v) and not limited to other information. 28. For this project, the dissemination of information is mainly through: resident meetings, announcements to each AH, posting at the offices of local authorities, providing PIBs, posters, face-to-face meetings with AHs…etc organized by MRB, DPCs, DCARBs and Project Consultants at the affected community meeting room of WPCs. During the current project implementation phase, the information dissemination is enhanced in the areas where there are impacts on people's lives and where households have complaints. The information contents disseminated include: (i) information about the compensation policy and benefits of the AHs; (ii) information on environmental impacts; (iii) problems arising during the Project's construction and equipment installation that affect people; and (iv) information on complaints and complaint resolution; and information on income restoration. 29. MRB has worked closely with the DPCs, WPC and concerned departments to disseminate the project information, which is kept updated, construction activities and additional impacts (if any). Apart from previous complaints, during the reporting period there are no questions from HHs in the informational interviews relating to the project's construction. 30. MRB confirmed that they have recorded all meeting documents and consultation with AHs. The AHs that met the experts also said that they are fully aware of their rights and where they can file complaints. The External Resettlement Monitoring Consultant will continue to review the documents to see if any further corrective actions are required. 31. For the information dissemination, the community consultation to prepare the uRP for the tunnels has been fully implemented by the Consultant. It is estimated that the tunnel drilling for the underground section from Kim Ma to Tran Hung Dao Station will be conducted

External report on resettlement monitoring – 1st haft, 2020 Pages 17 / 74

HANOI METRO RAIL SYSTEM PROJECT

Line 3: Nhon - Hanoi Station Section in Q1-Q2/2021. The meeting for information dissemination, community consultation and socio-economic survey was conducted by HGU/LHC from August 2018 to December 2019 and will continue to be implemented until impacts are fully identified. The policy of compensation, support and temporary resettlement for AHs who must be temporarily resettled due to the construction of the tunnel has been prepared by the contractor and is in the process of waiting for comments of the stakeholders and finalizing for submission to MRB, ADB agree and HPC for review and approval. Immediately after this policy is approved by ADB and HPC, An action plan appendix for temporary affected households will be submitted to ADB and MRB for approval prior to the construction of the tunnel.

V. LAND ACQUISITION

32. MRB has coordinated with DPCs and DCARBs to fully implement the land acquisition procedures in accordance with the laws. The determination of land area to be acquired was public and transparent with the participation of the affected households, neighbouring families and the stakeholders. Questions on land area were promptly answered so that by the time of preparation this report, there are no records of any questions about compensation claims. The Project's land acquisition progress has not met the requirements of the “Adjusted Plan of Partial Site Handover for the Remaining Areas” agreed by HPC and ADB. MRB has explained that, for Station S9, Station S10 and Station S11, construction activities are happening on the northern strip and the contractor has yet to provide specific plan for construction at the southern strip, where there is still a problem. Thus, the Adjusted Plan of Partial Site Handover for the Remaining Areas has no effect on the construction progress is a suitable judgment. Particularly for the additional land acquired 643,02 m2 for Staion S9 and S10, a complete RP addendum/ DDR, should be prepared by MRB and submit to ADB for approved to ensure the compliance with the ADB policy 4. The details of land acquisition impacts caused by the project implementation are presented below.

5.1. Land acquisition and impact 33. The total of 204,134.52 m2 of land (including 643.02 m2 of additional land acquisition required at Station S9 and Station S10 in Q2/2020) are acquired for the project, of which 17,612.1 m2 land are for sidewalks, roads and 186,522.42 m2 of land are managed and used by 534 households and 21 organizations. 34. Among the total of 534 AHs, there are 199 households to be relocated and 86 households to be affected with business. Among 199 relocated HHs, 130 HHs are eligible to be resettled, including 21 AHs in the depot area and access ramp. They will be resettled in Xuan Phuong resettlement site. 109 HHs affected by the underground tunnels and underground stations (Station S9 to Station S12: Package CP03) will be resettled in the

4 In this revised reports, detail are presented this content in: Para 46; Section 6, Table 21, and Para 109 Part XII. Conclusion, and Para 125 Part XIII. Recommendation.

External report on resettlement monitoring – 1st haft, 2020 Pages 18 / 74

HANOI METRO RAIL SYSTEM PROJECT

Line 3: Nhon - Hanoi Station Section apartments in N07 Dich Vong building, Cau Giay district and CT2 building at Ao Hoang Cau - Dong Da district. 35. For the depot area and access ramp - Phase 1, there are total of 229 AHs, and the total agricultural land acquired is 148,340 m2. 36. For the depot area and access ramp - Phase 2, there are total of 156 AHs, and the total land acquisition area is 21,824.6 m2, of which 90 AHs are relocated, 30 AHs have business affected, and 21 AHs are eligible for resettlement land and will be resettled in Xuan Phuong resettlement site, Tay Tuu ward, Bac Tu Liem District. 37. For Chem - Ha Dong area (high voltage 110kv), there are 04 AHs in total and the total agricultural land acquired is 190 m2. 38. For the viaduct area and elevated stations of Package CP01 and Package CP02, there are a total of 02 affected agencies and the total land area owned by the state to be acquired is 325.9m2. 39. For underground components and underground stations of Package CP03, there are a total of 164 AHs and organizations, of which there are 145 AHs and 19 organizations affected. The total acquired land area is 33,454.02 m2 (including 643.02 m2 of additional land acquired in Q2/2020), of which 15,841.92 m2 of land is used by AHs and 17,162.1 m2 is public land. Among 145 AHs, there are 56 business AHs and 109 HHs eligible for resettlement at N07 Dich Vong resettlement site, Cau Giay district and Ao Hoang Cau resettlement site, Dong Da district. 40. Impacts caused by the construction of the tunnel are being addressed by the HGU/LHC Contractor (Package CP03) through the BCS, BRA and other potential impacts survey. Information on impacts and mitigation measures will be added to the next report. A policy and an action plan on compensation, support and temporary resettlement for AHs affected by the tunnel construction will be prepared by HGU contractor to submit MRB and approved by ADB and HPC/MRB before the tunnel drilling is implemented, as required by the donors as well as the regulations of SPS 2009 - ADB. 41. The impacts 5 are summarized and presented in Table 3 below.

5 Impacts of the construction of the underground tunnel from Giang Vo street to Tran Hung Dao street are not included.

External report on resettlement monitoring – 1st haft, 2020 Pages 19 / 74

HANOI METRO RAIL SYSTEM PROJECT

Line 3: Nhon - Ha Noi Station Section

Table 3: Summary of project impacts

`Total number of AHs and Number of Number Total affected land area (m2) agencies AHs eligible Wards/communes/ Number of No. Number of for Public land stations Number of AHs business Land of AHs and Total affected resettlement Total (sidewalks, of AHs HHs agencies agencies arrangement roads) A. Phase 1: Depot and access ramp Tay Tuu, Xuan Phuong 229 229 0 0 0 0 148,340.0 0 148,340.0 Total A 229 229 0 0 0 0 148,340.0 0.0 148,340.0 B. Phase 2: Depot and access ramp 1 Depot 0 21 30 13,552.6 0 13,552.6 156 156 90 2 Access ramp 0 8,272.0 0 8,272.0 Total B 156 156 0 90 21 30 21,824.6 0 21,824.6 C. Chem - Ha Dong: High voltage 110kv 1 Phuc Dien 4 4 0 0 0 0 190.0 0 190.0 Total C 4 4 0 0 0 0 190.0 0 190.0 D. Viaduct and elevated station 1 CP01&CP02 2 0 2 0 0 0 325.9 0 325.9 Total D 2 0 2 0 0 0 325.9 0 325.9 E. Underground station 1 Station S9 15 13 2 8 8 13 12,911.32 5,321.20 7,590.12 2 Station S10 30 23 7 20 20 10 7,608.70 4,189.90 3,418.80 3 Station S11 66 62 4 43 43 18 6,957.00 3,309.20 3,647.80 4 Station S12 53 47 6 38 38 15 5,977.00 ,791.80 1,185.20 Total E 164 145 19 109 109 56 33,454.02 17,612.10 15,841.92 Grand total 555 534 21 199 130 86 204,134.52 17,612.10 186,522.42 Source: Internal monitoring reports of the DCARBs

External report on resettlement monitoring – 1st haft, 2020 Pages 20 / 74

HANOI METRO RAIL SYSTEM PROJECT

Line 3: Nhon - Hanoi Station Section

5.2. Land acquisition in major areas: 42. Among the total of 204,134.52 m2 of land acquired by the Project, 17,612.1 m2 are public land including sidewalks, traffic land... which are not compensated; and 186,522.42 m2 of land are used by HHs, individuals and agencies. By the end of Q2/2020, the total area acquired for the project is 186,427.70 m2 (accounting for 99.95%). The remaining area of the AHs that has not yet been acquired is 94.72 m2. Particularly in the second quarter of 2020, in Package CP03, there were 608.20 m2 of land acquired at Station S9 and Station S10 including additional acquisition land. The data are detailed in Table 4 below.

Table 4: Summary of land acquisition

Total affected land area (m2) Total area of acquired land (m2) Land N Wards/comm Land of Acquired Acquired Still to acquisi Public o. unes/stations Total AHs and by the end in be tion land agencies of Q2/2020 Q2/2020 acquired rate (%) A. Phase 1: Depot and access ramp Tay Tuu, Xuan 1 148,340.0 0 148,340.0 148,340.0 0 0 100 Phuong Total A 148,340.0 0.0 148,340.0 148,340.0 0.0 0.0 100 B. Phase 2: Depot and access ramp 1 Depot 13,552.6 0 13,552.6 13,552.6 0 0 100 2 Access ramp 8,272.0 0 8,272.0 8,272.0 0 0 100 Total B 21,824.6 0 21,824.6 21,824.6 0 0 100 C. Chem - Ha Dong: High voltage 110kv 1 Phuc Dien 190.0 0 190.0 190.0 0 0 100 Total C 190.0 0 190.0 190.0 0 0 100 D. Viaduct and elevated station 1 CP01&CP02 325.9 0 325.9 325.9 0 0 100 Total D 325.9 0 325.9 325.9 0 0 100 E. Underground station 1 Station S9 12,884.00 5,321.20 7,562.80 7,562.80 29.60 0.00 100.00 Additional land acquisition of 27.32 0 27.32 0 0.00 27.32 0 Station S9 2 Station S10 6,993.00 4,189.90 2,803.10 2,803.10 0.00 0.00 100.00 Additional land acquisition of 615.70 0 615.70 578.60 578.60 37.10 93.97 Station S10 3 Station S11 6,957.00 3,309.20 3,647.80 3,617.5 0.00 30.30 99.17 4 Station S12 5,977.00 4,791.80 1,185.20 1,185.20 0.00 0.00 100.00 Total E 33,454.02 17,612.10 15,841.92 15,747.20 608.20 94.72 99.40 Total 204,134.52 17,612.10 186,522.42 186,427.70 608.20 94.72 99.95 Source: Internal monitoring reports of the DCARBs

43. Under the direction of HPC and the urging of ADB, the plan for the land acquisition progress of 4 underground stations (Stations: S9, S10 and S11) has been urgently

External report on resettlement monitoring – 1st haft, 2020 Pages 21 / 74

HANOI METRO RAIL SYSTEM PROJECT

Line 3: Nhon - Hanoi Station Section coordinated by MRB with the stakeholders. However, by the end of Q2/2020, still some outstanding issues have not been resolved, so the land acquisition progress plan has been adjusted to hand over partially where land is acquired according to agreed content at the meeting of HPC, ADB and MRB. The details of MRB's adjusted partial handover plan for the remaining land area are as follows:

Table 5: Adjustment plan for partial handover

Actual Remaining The deadline for Adjusted N situation until area not Works District handing over land handover o. the end of handed to the contractors deadline Q2/2020 over (m2) 1 Station S9 - on the South Additional land Ba Dinh Q1/2020 unfinished Q3/2020 27.32 acquisition 2 Station S10 - on the South Additional land Dong Da Q1/2020 unfinished Q3/2020 37.10 acquisition 3 Station S11 South site Dong Da Q1/2020 unfinished Q3/2020 30.3 Total 94.72 Source: Internal monitoring reports of DCARBs

5.3. Additional land acquisition for Station S9 and S10: 44. The compensation, support and resettlement for additional acquisition land for underground stations will comply with the provisions of the approved RF and the uRP. Additional support policies for the AHs that are acquired several times have been reviewed before the compensation plans are prepared 6. The total area of additional acquisition land is 643.02 m2, of which 264.62 m2 land used by households and 378.40 m2 is used by organizations. 45. The DONRE has updated the land use plan for the additional acquisition area of Station S9 and Station S10 to submit to the People's Council of Hanoi city for approval. At the same time, since July 2018, MRB has worked with local authorities to implement the consultation and information disclosure, DMS and preparation of compensation, support and resettlement plans for AHs.

6 The Ba Dinh DPC issued Official Letter No.2254/UBND-DSDT dated October 12, 2018 requesting the HPC to approve additional support for the affected households whose land is acquired several times. The HPC issued Official Letter No.8550/VB-GPMB dated October 30, 2018 to assign the DONRE to preside over and coordinate with the DÒF, the DOC and the related units to inspect and guide Ba Dinh DPC to carry out the land acquisition and compensation and support according to the regulations, ensuring synchronous policies in the city. The DONRE issued Official Letter No.2855/STNMT-CCQLDD reporting the HPC on the proposal to support the site clearance policy for AHs whose land is acquired several times, support for house renting and support for business production for business households, for the households with additional land acquisition.

External report on resettlement monitoring – 1st haft, 2020 Pages 22 / 74

HANOI METRO RAIL SYSTEM PROJECT

Line 3: Nhon - Hanoi Station Section

46. In order to comply with ADB SPS - 2009, MRB is required to submit to ADB and HPC a complete performance report on the uRP compliance, which was approved in August 2015 for the additional land acquisition at S9 and S10. The procedure is as follows: - At the MOUs in April 2019 and November 2019, ADB and MRB agreed that “ADB will support MRB by mobilizing an expert to prepare a RP Addendum for the additional land acquisition in S9 and S10”. This content is still in the discussion and both sides come to the temporary agreement at the end of Q1/2020. - In Q2/2020, ADB and MRB come to an agreement that “ADB will support MRB by mobilizing an expert to prepare a Due Diligence Report (DDR) for the additional land acquisition in S9 and S10”. - This content will be kept monitored and the results will be included in the next external reports on resettlement monitoring. 47. For this additional second land acquisition (for original households whose land was acquired for the first time), MRB cooperated with DPC of Ba Dinh and Dong Da, WPCs and concerned organizations and mass organizations publicly apologized in writing to each AH and organization that was acquired in the first time and acquired in the second time. MRB also coordinated with DPCs and Consultant Systra to publicly organize the planning, demarcation and hand over the land acquisition landmarks for the Contractor CP03, DCARBs and send land acquisition notices to 15 AHs. The details of additional acquisition area are shown in Table 6 below.

Table 6: Additional land acquisition for construction at Station S9 and S10

No. Agencies/ No. of AHs (to be Grand total organizations (to be acquired both times) Stations acquired both times) Acquisition No. of No. of Acquisition Acquisition Amount Amount area AHs/agencies plans area area S9 27.32 4 4 27.32 4 0 0 S10 615.70 17 17 237.30 11 378.40 6 Total 643.02 21 21 264.62 15 378.40 6 Source: Internal monitoring reports of the DCARBs

48. The approved total number of compensation and support plans is 21 plans (including 15 AHs and 06 affected organizations). In June 2019, the plans were publicly announced and sent directly to AHs and organizations. However, due to some problems relating to AHs on the design of Ventilation system at Station S9 that need to be reviewed and the resettlement policy for AHs due to the second land acquisition should be considered. Therefore, the land acquisition plan has been adjusted. 49. As of Q2/2020, the districts have paid compensation and support for 9/15 AHs and 5/6 organizations for the additional land acquisition. The remaining 6/15 AHs and 1/6 organizations will be paid in Q3/2020. The acquired land area is 578.60 m2, of which 142.68 m2 of land is owned by AHs and 378.40 m2 of land used by the organizations, and the

External report on resettlement monitoring – 1st haft, 2020 Pages 23 / 74

HANOI METRO RAIL SYSTEM PROJECT

Line 3: Nhon - Hanoi Station Section remaining 94.72 m2 of land is owned by the AHs has not been recovered (divided into Station S9 is 27.32 m2 and Station S10 is 67.40 m2).

5.4. Buildings of households encroached on elevated station (S4, S5 and S7) 50. All households with encroachment structures at Stations: S4, S5 and S7, were affected due to NH32 Expansion Project and were compensated. However, after NH32 was completed, they continued building structures illegally on this public land/sidewalk within the right of way of Hanoi Metro Line 3 Project. MRB has worked closely with the local leaders (Nam Tu Liem district, Cau Giay district and relating wards) to invite all households involved to announce the illegal reclamation of public land. After being mobilized and explained, all households were aware of their illegal behavior and voluntarily demolish encroached assets. The action plan has a deadline to ensure 01 household demolish and site clearance for the Project is ensured in Q3/2020. According to information from MRB, the performance results in the reporting period are as follows: a. The total number of encroachers: 76 households (of which, S4: 59 HHs, S5: 01 Orgnization, S7: 16 HHs). List of house numbers please refer to Section 3.5, Appendix 3; b. The total number of households that have dismantled themselves to return to the status quo before encroachment: 75 households (of which, S4: 59 HHs, S5: 01 HHs, S7: 15HHs); c. Not dismantled yet: 01 HH lives in 269 Cau Giay Street - Staircase No.4, S7. MRB is cooperating with DPCs and WPCs to continue persuading and negotiating the households to implement the self-dismantlement. A contingency measure to avoid demolition is also required by the Construction Contractor to consider using technical measures to narrow the scope of the foundation.

VI. APPROVAL OF COMPENSATION, ASSISTANCE AND PAYMENT

51. The compensation, support and resettlement plan after being made was publicized for 20 days as prescribed and sent to all AHs and each AHs, in coordination between MRB with the DPCs and the DCARBs. All questions and recommendations of AHs were promptly reviewed and answered by the professional staff. The compensation and payment were carried out in accordance with the procedures and paid directly once to the AHs at the headquarters of the WPCs at least one month before the construction started. The compensation replacement cost was applied according to the unit prices issued by HPC for all affected assets and acquired land. The specific analysis about the price lists is as follows: - For land prices in Hanoi city areas, when we compared 03 decisions of HPC, we found that the unit prices were significantly increased to match the market prices as shown in: No.96/2014/QD-UBND dated 29th December, 2014; No.19/2017/QD-UBND dated 30th May, 2017 (for the period of 2015 - 2019); and the newest No.30/2019/QD-UBND dated 31st December, 2019 (for the period of 2020 - 2024). - For the construction prices of new houses, temporary houses and structures, 03 decisions of HNPC show that the unit prices were adjusted annually to match the market prices, including:

External report on resettlement monitoring – 1st haft, 2020 Pages 24 / 74

HANOI METRO RAIL SYSTEM PROJECT

Line 3: Nhon - Hanoi Station Section

No.02/2016/QD-UBND dated 21st January, 2016; No.06/2017/QD-UBND dated 03rd March, 2017; and No.18/2019/QD-UBND dated 14th October., 2019. - The above compensation unit prices after being issued were publicly announced. For the project, the information about the unit prices was promptly informed to each affected household together with the compensation and support plans for them as well as disclosed in community meetings and posted on the notice boards of the ward people's committees. 52. By the end of Q2/2020, all AHs and organizations have been approved with the compensation, support and resettlement plans in accordance with the Project's Policy. Particularly for Package CP03, the local compensation committees have approved 188/188 compensation and support plans for 145 AHs and 19 affected organizations. On the other hand, payment of compensation and support to affected households and organizations has been basically completed. In particular with additional affected households and organizations at S9 and S10.

6.1. Households and agencies receiving compensation and support 53. Among 555 households/organizations affected by the project (534 AHs and 21 agencies, not taking into account the number of second land acquisition households which is presented in the following pages), 529 AHs and 21 organizations received full compensation and support money in 2019 (95.3%). In the first 6 months of 2020, only 1 additional organization (Q1/2020) and 01 AH (Q2/2020) received compensation and support, the remaining 5 AHs have not received compensation or support (03 AHs in Station S11 and 02 AHs in Station S9). MRB has been cooperating with the DPCs and local agencies to continue to persuade these 05 AHs; 54. For the additional land acquisition 7 at S9 and S10, 9/15 AHs and 5/6 affected organizations have received compensation and support, and the remaining 6/15 AHs and 1/6 affected organizations are still being considered for compensation payment (Table 20 will shows the causes of this problem) due to the following reasons: (i) Procedures for merging new land assets of AHs with the remaining assets (01 AH). This procedure means: According to HPC current regulations, if the remaining land area of a land plot after the acquisition is less than 30m2, it will be fully acquired. However, that household bought an adjacent area of land so that it wouldn't be acquired and went through the process of merging into a plot of land and applying for a LURC, and result in delay in handing over land to the project. (ii) 01 AH has requested to assess the bearing strength of the house after being partially cut/ acquired 8 is Mrs. Nguyễn Kinh Anh HH, No, 23 Quoc Tu Giam street, Văn Chương ward, Dong Da District 9.

7 The total number of AHs and agencies that have not received compensation and support money does not include additional land acquisition households in Station S9 and Station S10 due to double affection. 8 MRB hired an independent consultant (Song Da Thang Long Joint Stock Company) to perform the assessment at the request of the AH. 9 Detail in Para 95 Item 9.3 Chapter IX

External report on resettlement monitoring – 1st haft, 2020 Pages 25 / 74

HANOI METRO RAIL SYSTEM PROJECT

Line 3: Nhon - Hanoi Station Section

55. The details of additional acquisition area are shown in Table 7 below

External report on resettlement monitoring – 1st haft, 2020 Pages 26 / 74

HANOI METRO RAIL SYSTEM PROJECT

Line 3: Nhon - Ha Noi Station Section

Table 7: Summary of payment for affected households and organizations

HHs and organizations HHs and organizations HHs and organizations HHs and organizations that received that received that received Total affected households and that have not received compensation and compensation and compensation and N Wards/communes/sta organizations (Org.) compensation and support payment in support payment in the support payment by the o. tions support the Q1/2020 Q2/2020 end of the Q2/2020 Total Org. HHs Org. HHs Org. HHs Org. HHs Org. HHs Total A. Phase 1: Depot and access ramp Tay Tuu and Xuan 1 229 0 229 0 0 0 0 0 229 0 0 0 Phuong Total A 229 0 229 0 0 0 0 0 229 0 0 0 B. Phase 2: Depot and access ramp 1 Depot 156 0 156 0 0 0 0 0 156 0 0 0 2 Access ramp Total B 156 0 156 0 0 0 0 0 156 0 0 0 C. Chem - Ha Dong- High voltage 110kv 1 Phuc Dien 4 0 4 0 0 0 0 0 4 0 0 0 Total C 4 0 4 0 0 0 0 0 4 0 0 0 D. Viaduct and elevated station 1 CP01&CP02 2 2 0 0 0 0 0 2 0 0 0 0 Total D 2 2 0 0 0 0 0 2 0 0 0 0 E. Underground station 1 Station S9 15 2 13 0 0 0 1 2 11 0 2 2 Station S9 – additional land 4 0 4 0 0 0 0 0 0 0 4 4 acquisition 2 Station S10 30 7 23 0 0 0 0 7 23 0 0 0 Station S10 – additional land 17 6 11 0 0 5 9 5 9 0 2 3 acquisition 3 Station S11 66 4 62 1 0 0 0 4 59 0 3 3 4 Station S12 53 6 47 0 0 0 0 6 47 0 0 0 Total E 164 19 145 1 0 0 1 19 140 0 5 5 Total 555 21 534 1 0 0 1 21 529 0 5 5 Source: Internal monitoring reports of the DCARBs

External report on resettlement monitoring – 1st half, 2020 Pages 27 / 74

HANOI METRO RAIL SYSTEM PROJECT

Line 3: Nhon - Ha Noi Station Section

6.2. Approval of compensation, support and payment plans 56. By the end of Q2/2020, the total cost of compensation, support and resettlement approved for the Project is VND 678,281,285,220, of which VND 650,577,322,089 have been paid and VND 27,703,963,131 have not been paid. Except Package CP03, other packages have been paid 100% for all affected households and organizations. 57. The approval value for the compensation, support and resettlement plans at the end of Q4/2019 is VND 636,261,566,842, by the end of Q1/2020 is VND 637,571,745,201, and Q2/2020 is VND 678,281,285,220. Correspondingly, the value approved in Q1/2020 is VND 1,310,178,359 and Q/2020 is VND 40,709,540,019 (for households with additional land acquisition at Station S9 and Station S10 in Package CP03). 58. In the first quarter of 2020, MRB and the DCARBs organized the payment of compensation, support and resettlement with the total amount of VND 10,224,410,753 to the affected households and organizations, in which: Station S9 is VND 1,978,393,641; Station S10 is VND 2,968,920,790; and Station S12 is VND 5,277,096,322. 59. In the second quarter of 2020, MRB and the DCARBs organized the payment of compensation, support and resettlement with the total amount of VND 33,263,861,952 to the affected households and organizations, in which: the payment for Station S9 is VND 409,967,100; Station S10 is VND 31,728,290,838; Station S11 is VND 1,060,464,014; and Station S12 is VND 65,140,000. 60. For Package CP03, the total approved compensation, support and resettlement cost is VND 605,754,310,223, of which VND 578,050,347,092 have been paid and VND 27,703,963,131 have not been paid. However, due to many problems arising such as inheritance procedures and bearing strength assessment of the whole house before the partial truncation, it is impossible to complete the payment of compensation, support and resettlement according to the plan. Therefore, the payment plan will be postponed to the end of Quarter 3/2020 and early Quarter 4/2020. Currently, MRB and the DCARBs are continuing to persuade and willing to pay compensation, support and resettlement right after there is the consent of the affected households and organizations. 61. The summary of the cost that have been paid to the affected households and organizations is detailed in Table 8 below:

External report on resettlement monitoring – 1st haft, 2020 Pages 28 / 74

HANOI METRO RAIL SYSTEM PROJECT

Line 3: Nhon - Ha Noi Station Section

Table 8: Summary of compensation and support Unit: VND

Total value of Total compensation Total compensation Total compensation N Wards/communes/stations compensation value paid in value unpaid in value paid to Total unpaid value o. approved Q1/2020 Q2/2020 Q2/2020

A. Phase 1 – Depot and access ramp 1 Tay Tuu and Xuan Phuong 42,900,000,000 0 42,900,000,000 0 Total A 42,900,000,000 0 42,900,000,000 0 B. Phase 2 - Depot and access ramp 1 Depot 28,914,525,857 0 28,914,525,857 0 2 Access ramp Total B 28,914,525,857 0 28,914,525,857 0 C. Chem - Ha Dong; High voltage 110kv 1 Phuc Dien 272,449,140 0 272,449,140 0 Total C 272,449,140 0 272,449,140 0 D. Viaduct and elevated station 1 CP01&CP02 440,000,000 0 440,000,000 0 Total D 440,000,000 0 440,000,000 0 E. Underground station 1 Station S9 46,099,763,853 1,978,393,641 409,967,100 33,056,689,129 13,043,074,724 2 Station S10 139,418,300,260 2,968,920,790 31,728,290,838 134,582,517,256 4,835,783,004 3 Station S11 294,802,226,111 0 1,060,464,014 284,977,120,708 9,825,105,403 4 Station S12 125,434,019,999 5,277,096,322 65,140,000 125,434,019,999 0 Total E 605,754,310,223 10,224,410,753 33,263,861,952 578,050,347,092 27,703,963,131 Total 678,281,285,220 10,224,410,753 33,263,861,952 650,577,322,089 27,703,963,131 Source: Internal monitoring reports of the DCARBs

External report on resettlement monitoring – 1st half, 2020 Pages 29 / 74

HANOI METRO RAIL SYSTEM PROJECT

Line 3: Nhon - Hanoi Station Section

VII. RESETTLEMENT AND RELOCATION OF PUBLIC WORKS

7.1. Preparation of resettlement sites 62. For the preparation of the resettlement site for land acquisition of area for construction the depot area and access ramp (Phase 2): The adjacent land areas of TT6.1A and TT6.1C, the site has been cleared and invested with synchronous infrastructure according to the Vietnamese standards and qualified to hand over to the AHs. The procedures for housing construction permit and land use right certificates will be supported and facilitated by the local authorities as soon as the households receive the hand-over of land. 63. For the preparation of resettlement housing fund for land acquisition in package CP03 (Area for construction of underground stations): HPC approved the construction of the Resettlement House Fund - Building N07 with an area of 5.3 ha in Dich Vong, Cau Giay district and the Resettlement House Fund of high-rise building of the Site Clearance Project at Ao Hoang Cau, Dong Da district to relocate AHs of the Project 10. With the total of 170 apartments qualified for resettlement for the HHs and for immediate handover, including: (i) 51 apartments in Building N07 with an area of 5.3 ha in Dich Vong ward, Cau Giay district, and (ii) 119 apartments in Building CT2 in Ao Hoang Cau, Dong Da district. The details of apartment area and number are described in Table 9 below.

Table 9: Locations, areas and number of apartments to be arranged for resettlement households

Total In which The area of each Buildings Addresses apartments (apartments) apartment (m2) N07 Dich Vong ward, Cau 51 25 59.50 Giay district 13 79.45 13 59.87 CT2 Ao Hoang CT2-A 15 59.46 Cau, Dong 15 59.41 Da district 60 15 59.30 15 63.61 CT2-B 24 8 67.67 8 52.77 8 57.99 CT2-C 35 9 62.09 13 68.67 13 70.80 Total 170 Source: Internal monitoring reports of the DCARBs 64. HPC has assigned relevant DPC to publicly announce the locations of the resettlement sites serving the affected households who are relocated by the Project. At the same time, the

10 Follow official letter No.9502/UBND-XDGT dated December 04, 2014 and No.4920/UBND-XDGT dated July 17, 2015 of HPC; and official letter No.2010/SXD-PTN date March 22, 2016 of DOC External report on resettlement monitoring– 1st half, 2020 Pages 30 / 74

HANOI METRO RAIL SYSTEM PROJECT

Line 3: Nhon - Hanoi Station Section

DCARBs have organized many visits for households to visit the resettlement sites for their choice. 65. MRB coordinated with DCARBs have also organized a public draw for resettlement apartments (including lease purchase). For AHs that have been allocated with resettlement apartments, MRB and DCARBs will coordinate with the DONRE, Land use right registration office, Department of Construction to complete related documents and submit them to HPC to issue house sale decisions and house ownership certificates as prescribed.

7.2. Resettlement and stabilization of displaced households 66. Among 199 AHs to be relocated by the project, 130 AHs are eligible for the resettlement arrangement (21 AHs in Depot and 109 AHs in Package CP03)11, and the remaining 69 AHs are not eligible for the resettlement arrangement. 67. Among 130 AHs that are eligible for the provision of land plots or resettlement apartments, 21 AHs in Tay Tuu ward are provided with resettlement land in Xuan Phuong resettlement site, Bac Tu Liem district; and 109 AHs in Ba Dinh district, Dong Da district and Hoan Kiem district are provided with resettlement apartments in Ao Hoang Cau Building in Dong Da district and Building N07 in Cau Giay district. By the end of Q2/2020, 129/130 AHs eligible for resettlement have been handed over the land plots or resettlement apartments, except 01 AH that has not received a resettlement apartment. All AHs who have been handed over land plots or resettlement apartments have been granted with LURC. 68. For 21 AHs eligible to receive resettlement land affected by Phase 2 (Depot and access ramp): Bac Tu Liem DCARB has completed the handover of resettlement land to them in Xuan Phuong resettlement site. The resettlement site has been built with adequate national standard infrastructure, located near the school and is not far from the place where the land is acquired for the project, so it does not significantly affect the lives of the AHs. In the previous reporting period, when we interviewed 02 AHs, they informed that the water supply system was incomplete, but in this reporting period, we found that the water supply system was complete. 69. For 109 AHs in Package CP03, 108 AHs have been handed over resettlement apartments12, of which 08 AHs are in Station S9, 19 AHs in Station S10, 43 AHs in Station S11, 38 AHs in Station S12, the remaining 01 AH in Station S9 has not been handed over (Section 9.2, Item d and Table 19 will show the cause of this problem).

11 In quarter 2/2020, there are 3 more AHs eligible for resettlement, including 02 AHs in Station S9 and 01 AH in Station S10 (including additional land acquisition). 12 For receiving relocation apartment should follow some steps: (i) HHs agree with compensation plan; (ii) HHs agree to handover the land and receive the compensation (DCARBs will deduct the amount for buying relocation apartment in the compensation amount); (iii) DPCs submit documentations and transfer relocation payment to DOC; (iv) DOC reviews the documentations and submit to HPC for approval and issue Decision for selling relocation apartments; (v) HHs register permanent residence at the local police to prepare for electricity and water contracts; (vi) send documents to DONRE for LURC.

External report on resettlement monitoring– 1st half, 2020 Pages 31 / 74

HANOI METRO RAIL SYSTEM PROJECT

Line 3: Nhon - Hanoi Station Section

70. For 69 AHs who are relocated but cannot afford to arrange resettlement, according to HPC's direction, it is necessary to review the conditions to ensure the stabilization of the AHs and avoid long-term complaints (this content is detailed in Item a, Section 9.2, Chapter 9). 71. The relocation status of the AHs is detailed in Table 10 below:

Table 10: Resettlement status of the AHs

No. of AHs No. of AHs No. of AHs No. of AHs who who No. of who have that have No. received received AHs received their not N of land/resett land/resett Wards/commu eligible land/resettlem received o reloc lement lement nes/stations for ent resettleme . ated apartment apartment resettle apartments to nt HHs s in s in ment the end of land/apart quarter quarter quarter 2/2020 ments 1/2020 2/2020 A. Phase 1: Depot and access ramp Tay Tuu and 1 0 0 0 0 0 0 Xuan Phuong Total A 0 0 0 0 0 0 B. Phase 2: Depot and access ramp 1 Depot 0 90 21 0 21 0 2 Access ramp Total B 90 21 0 0 21 0 C. Chem - Ha Dong (Underground 110kv high voltage line) 1 Phuc Dien 0 0 0 0 0 0 Total C 0 0 0 0 0 0 D. Viaduct and elevated station 1 CP01&CP02 0 0 0 0 0 0 Total D 0 0 0 0 0 0 E. Underground station (CP03) 1 Station S9 8 8 0 3 8 0 Additional land acquisition of 1 1 0 0 1 1 Station S9 2 Station S10 18 18 1 0 18 0 Additional land acquisition of 1 1 0 1 1 0 Station S10 3 Station S11 43 43 0 2 43 0 4 Station S12 38 38 0 0 38 0 Total E 109 109 1 6 108 1 Total 199 130 1 6 129 1 Source: Internal monitoring reports of the DCARBs

External report on resettlement monitoring– 1st half, 2020 Pages 32 / 74

HANOI METRO RAIL SYSTEM PROJECT

Line 3: Nhon - Hanoi Station Section

7.3. Relocation of public works 72. MRB has been proactively coordinating with the governing bodies in the entire process of construction and relocation of underground structures to meet the handover progress of the site and the construction plan for each phase of the contractor as proposed. At the same time, the MRB closely coordinated and exchanged information with the People's Committees of the districts and wards to make the most favourable for the public works managing agencies in the process of relocation and re-arrangement of public works. 73. Till the reporting period, public facilities such as electric poles, transmission lines, communication lines, public structures and other public facilities have been basically dismantled and replaced by new ones to hand over the site for the Project. The relocation and demolition of the executing agencies met the construction progress of the Project and the standards and regulations of the management agencies.

VIII. INCOME RESTORATION

8.1. For AHs at the depot and access ramp (Phase 1) 74. The Income Restoration Activities in Phase 1 was implemented between 2006 and 2008, and the land acquisition was only on agricultural land of Tu Liem DPC (now is Bac Tu Liem DPC).

Table 11: Support for income restoration of AHs (Depot and access ramp Phase 1)

Items Decision by HPC Status Plan Support AHs that were acquired over 30% of agricultural land Completed N/A for AHs were entitled to cash support for occupation change due to training and the support amount for occupation previous training and occupation change is 25,000 VND/m2 land Not Q3, Q4/ acquisition According to the content of Official letter at the No.3667/TTTP-P2 dated August 6, 2019, Hanoi Completed 2020 affected Inspectorate is proposing to HPC to consider area supporting with 5 times of the agricultural land prices according to the land prices decided at the time of approving the additional plan for 135 AHs. HPC has issued Official letter No.9820/VP-GPMB dated October 16, 2019, assigned DONRE to preside over and coordinate with the Department of Finance, Hanoi Inspectorate, Bac Tu Liem DPC to solve it (for details, please see Item 9.2 Chapter IX)

External report on resettlement monitoring– 1st half, 2020 Pages 33 / 74

HANOI METRO RAIL SYSTEM PROJECT

Line 3: Nhon - Hanoi Station Section

8.2. For AHs in depot and access ramp (Phase 2) 75. The Income Restoration Activities in Phase 2 was implemented from in 2014 and ended in 2016 in accordance with the policies of the uRP approved for the depot and access ramp (Phase 2). The Bac Tu Liem DPC developed an income restoration plan applying the RF for the underground stations section for the AHs. The DCARB made plan and decision and paid 100% payment this support to AHs. 76. The policy to support stabilization and job change was applied according to Decision No.23/2014/QD-UBND dated June 20, 2014 and Decision No.3855/UBND-DT dated 28 June 2016 by HPC. Please see the detailed in Table 12:

Table 12: Support for income restoration of AHs (Depot and access ramp Phase2)

Kinds of support 13 Status Plan Support for job change by 5 times of agricultural land prices Completed N/A based on the unit prices stipulated Support for living stabilization equal to 2,160,000 VND/person Completed N/A The AH members who have completed the vocational training Completed N/A with graduated certificates are supported with cash which equals to 7,000,000 VND/person for tuition and 4,650,000 VND/person for buying practical toolkits Support for vulnerable AHs Completed N/A Suport for directly operating business without business license Completed N/A Support on stabilization of production and business Completed N/A Displacement support/ transportation allowance Completed N/A Support for rental allowance Completed N/A Support for self-relocating No (No AHs N/A chose self- relocating) Bonus for timely handover of land Completed N/A 77. The livelihood restoration policies based on the updated RP in relation to the depot and access ramp phase 2, include:

Table 13: Support follow uRP of AHs (Depot and access ramp Phase2)

Items Provisions in the URP Status Plan Supporting the Supporting the connection of microfinance loans to Completed N/A connection of households affected by the construction of the depot so microfinance that they can re-establish shops at suitable locations or loans to rebuild houses for rent. The DPC has widely

13 Decition No.23/2014/QD-UBND dated 20/6/2014 and No. 3855/UBND-DT dated 28/6/2016 of HPC.

External report on resettlement monitoring– 1st half, 2020 Pages 34 / 74

HANOI METRO RAIL SYSTEM PROJECT

Line 3: Nhon - Hanoi Station Section

Items Provisions in the URP Status Plan households communicated the microfinance support in policy banks affected for the households in each WPC. Households that are interested can directly go to the policy banks at the WPCs where they live to get advice of bank staff on preferential loans with very low interest rates and get facilitated the preparation of loan documentation Prioritize the MRB coordinates with the Metro Operations Company Completed N/A recruitment of and directs the construction contractors to take specific the project recruitment plans which are favorable to the project construction AHs. The recruitment information is publicly announced and operation on the mass media and notified to the WPCs where for those of there are AHs. The WPCs will notify AHs and guide both gender them to apply for jobs. Employees/workers recruited by who are the Metro Operations Company have been sent to interested in China to study and will return to work in the project and capable operation phase enough For vocational The DPC have made public information on vocational Completed N/A training of the training courses to all project AHs. However, up to the state programs time of the report, there have been no cases registered to participate in the vocational training courses. The reason may be that they already have their own jobs and are not interested in that

78. Please see the detailed implementation results in Table 14 and Table 15:

Table 14: The payment progress for the HHs belonging to the vulnerable group (Depot and access ramp)

The remaining AHs Wards (Bac Tu Liem No. of AHs eligible to No. of AHs No. that have not district) receive support received support received support 1 Minh Khai 3 3 0 2 Tay Tuu 25 25 0 Total 28 28 0 Source: Internal monitoring reports of the DCARBs

Table 15: Payment schedule for support production and business stabilization (Depot and access ramp)

No. of AHs No. of AHs The remaining Wards (Bac Tu Liem No. eligible to receive received AHs that have not district) support support received support

External report on resettlement monitoring– 1st half, 2020 Pages 35 / 74

HANOI METRO RAIL SYSTEM PROJECT

Line 3: Nhon - Hanoi Station Section

1 Minh Khai 6 6 0 2 Tay Tuu 23 23 0 Total 29 29 0 Source: Internal monitoring reports of the DCARBs

8.3. For households affected by tunnels and underground stations (CP03) 79. The Income Restoration Policy for the households affected by the tunnels and the underground stations has been implemented by MRB and the DCARBs in accordance with the agreed regulations for the Project RP and its annexes. Table 16 below shows the details of the benefits that have been exercised and performance evaluation.

Table 16: Support for income restoration of AHs in CP03

Items Provisions in the URP Status 14 Plan Support for The HHs whose only land was previously affected Yes/ Q3, Q4/ affected and houses were partly demolished (partly cut out) Ongoing 2020 households due without relocation, now affected again (partly cut to previous land out) but without relocation: Assistance by 1,000,000 acquisition at the VND/m2. affected area The HHs whose land was previously affected (cut out or relocated), now totally affected and have to relocate: Assistance by 80,000,000 VND/land owner. Support for Cash assistance is 5,000,000 VND/HH if relocating Yes/ Q3, Q4/ relocating within the city; 8,000,000 VND/HH if relocating to Ongoing 2020 houses and other provinces/cities assets Support for Cash assistance is equivalent to 30kg of Yes/ Q3, Q4/ livelihood rice/person/month for all family members Ongoing 2020 stabilization - For 3 months for the AHs whose houses are partly affected - For 6 months for the ẠHs whose houses are fully affected Support on - For HHs who are leasing their house out for Yes/ Q3, Q4 stabilization of business: (i) 30% of annual income after tax Ongoing /2020. production and according to the average income of 03 continuous Para 81 business years if the HHs have registration and pay tax for 15 AHs income from leasing out of the house or business; have (ii) 2,500,000 VND/HH if the HHs have no received registration and do not pay tax for the income from this leasing support.

14 There are remaining 05 HHs and 01 orgnizaton have not yet received the compensation payment as mentioned in Para 53, 54 án table 20.. External report on resettlement monitoring– 1st half, 2020 Pages 36 / 74

HANOI METRO RAIL SYSTEM PROJECT

Line 3: Nhon - Hanoi Station Section

Items Provisions in the URP Status 14 Plan - For HHs having business with license affected and Still 41 having to relocate: (i) Assistance in cash equivalent AHs have to 30% annual income after tax according to the not yet average income of 03 continuous years; (ii) received Assistance for transportation of goods to the new this location; (iii) Assistance for costs of finding the new support. relocation to re-establish business. - For HHs having business without license affected and having to relocate: 2,500,000 VND/HH - Assistance for vocational trainings and Yes/ Q3, Q4/ employment for the affected production, business Ongoing 2020 households who have to relocate: all members of the HHs who are in labor age and unemployed shall be offered a free vocational training course - Cash assistance to find job or to purchase equipment for establishing business: 4,650,000 VND/person Support for rental - For the HHs who have to relocate and are eligible Yes/ Q3, Q4/ allowance to be compensated on land and house, registered Ongoing 2020 for relocating to resettlement apartments: 1,000,000 VND/person. The assistance period is calculated from the time when affected land is handed over to the time of having the notice of receiving the apartment - For the HHs opt to self-relocate: 1,000,000 VND/person for 3 months Support for self- Assistance by cash, calculated by the formula: T= Yes/ Q3, Q4/ relocating Stdc x G x 0,3, in which: Ongoing 2020 - T: Assistance amount for self- relocation - Stdc: Area of apartment as in the individual resettlement plan approved by DPC (m2) - G: Average selling unit rate of the apartment approved by Department of Construction in the relocating building of the Project (VND/m2) Support for the Cash assistance is VND 500,000/renting contract Not yet Q3, Q4/ house renters 2020 Para 80 Bonus for timely - For AHs whose residential land is totally or partly Yes/ Q3, Q4/ handover of land acquired but their houses are totally demolished (i) Ongoing 2020 30,000,000 VND/HH if land is handed over within 01 day from the date of receiving compensation and support; (ii) 20,000,000 VND/HH if land is handed over within 04 days from the date of receiving compensation and support; (iii) 15,000,000 VND/HH if land is handed over within 05 days from the date

External report on resettlement monitoring– 1st half, 2020 Pages 37 / 74

HANOI METRO RAIL SYSTEM PROJECT

Line 3: Nhon - Hanoi Station Section

Items Provisions in the URP Status 14 Plan of receiving compensation and support; (iv) 10,000,000 VND/HH if land is handed over on the required land-handover date. - For AHs whose land is partially acquired: Cash assistance is 500,000 – 2,000,000 VND/m2 depending on the time of handover Assistance for - Cash assistance for the actual movement relating Yes/ Q3, Q4/ the State owned costs Ongoing 2020 agencies and - Assistance for renting of the workplace while organizations waiting for the new relocation arranged by the City. who have land acquired 80. With regards to the support the people who rent affected houses, up to the reporting time there have been no AHs coming to receive support, even a multiple of communication and notifications of local government. According to the land-owners, the reason is that they have returned the rented houses and moved for a long time and can’t contact them to inform them to receive money. 81. Regarding the support of business stabilization: MRB has been working closely with HPC15, Hanoi Tax Department16, and the Tax Departments of Ba Dinh, Dong Da and Hoan Kiem districts to request the Tax Departments of Hoan Kiem17, Ba Dinh and Dong Da districts18 to confirm the average income of business AHs. In order to ensure the rights and equity of the remaining 41 AHs, MRB will coordinate and request the People's Committees, Tax Departments of Ba Dinh and Dong Da districts to provide this confirmation and payments for these remaining APs in Q3-Q4/2020. Till the period of preparing this report, among the total of 56 business AHs by Package CP03, only 15 AHs have received business support, of which 11 AHs in Station S9 and 04 AHs in Station S12, Hoan Kiem district, and the remaining 41 AHs have not received.

15 Official Letter No.2281/UBND-TNMT dated April 8, 2015 regarding the supplementary support policy (applied to the underground part), including the support for the stability of production and business for business households that have registered or unregistered business or tax-free. 16 Official Letter No.67423/CT-QLD dated 13/10/2017 requesting the Tax Departments of Ba Dinh, Dong Da and Hoan Kiem districts to confirm the average income after tax of business households. 17 The Tax Department of Hoan Kiem district has sent Official Letter No.14935/CCT-CN-THD dated August 1, 2018 to Hoan Kiem District Investment Project Management Board to confirm the average income after tax of 12 HHs. 18 On May 20, 2019, the MRB sent an Official Letter No.1032/DDDT-THDA1 to the Tax Department of Dong Da district, requesting the determination of the average income after tax for households doing business in the site clearance area for the construction of the underground station S10 of Hanoi City Railway Project. But so far, the MRB has not received a response from the Tax Department of Dong Da district.

External report on resettlement monitoring– 1st half, 2020 Pages 38 / 74

HANOI METRO RAIL SYSTEM PROJECT

Line 3: Nhon - Hanoi Station Section

Table 17: Payment for support production and business stabilization in package CP03

No. of AHs that have No. of AHs that Tunnel and Total number not received received payment for No. underground of business payment for production and stations AHs production and business support business support 1 Station S9 13 11 2 2 Station S10 10 0 10 3 Station S11 18 0 18 4 Station S12 15 4 11 Total 56 15 41 Source: Internal monitoring reports of DCARBs 82. As envisaged in the RF and RP/uRP for the underground section “any temporary livelihood impacts during construction shall be compensated”. This concern has been raised during the mission in April 2019 and at the meeting in November 2019 with HPC, ADB continued to mention the consideration of policy support for temporary/ long-term impacts on business households during project construction in the surrounding area of Project fences (at stairs of floating station and underground station, surrounding project fence...). HPC Chairman replied that “Vietnamese law has not regulated yet, however, HPC will consider reducing business tax for households if they have a legitimate opinion, but so far there is no specific decision for this. The MRB will continue to report to the HPC and the interagency review of this request and ADB will have a further discussion with the HPC in the next missions.

IX. GRIEVANCE REDRESS MECHANISM

9.1. Legal basis for settlement of complaints and problems 83. In accordance with ADB Safeguard Policy 2009, the Borrower shall establish and maintain a grievance redress mechanism to receive and facilitate the resolution of the concerns of project affected residents. According to ADB’s requirements, the project grievance redress mechanism (GRM) has been developed since the project preparation phase and the contents of the grievance redress mechanism was consulted with the affected people and communities in the consultation meetings. 84. A grievance redress mechanism has been developed and complete by MRB on the Borrower's legal basis 19, seeking opinions and compliments of the specialized agencies of

19 The Borrower's legal basis: (i) Law on Complaints No.02/2011/QH13 dated 11/11/2011 of the National Assembly; (ii) Government Decree No.75/2012/ND-CP dated October 3, 2012; (iii) Circular No.07/2013/TT-TTCP dated October 31, 2013 of the Government Inspectorate; (iv) Decision No.80/QD-UBND dated 14/11/2014 of HPC.

External report on resettlement monitoring– 1st half, 2020 Pages 39 / 74

HANOI METRO RAIL SYSTEM PROJECT

Line 3: Nhon - Hanoi Station Section

HPC, local authorities at all levels, and meaningful consultations with the affected communities and AHs. 85. At the present time, ADB and MRB have worked closely with the stakeholders throughout the process of (i) development of the GRM content, (ii) reviewing and collecting stakeholders’ opinions and finalizing the regulations of MRB. 86. MRB acknowledges that: (i) Complainants are liable to freely opt whichever channels they want to submit their complaints, i.e. local authorities at all levels, MRB office or MRB representative at the construction sites. However, as of the monitoring period, no complaints have been sent directly to MRB; (ii) The analysis of the receipt of letters, how to send complaints, where to send complaints, and consultation with people shows that most project AHs understand that local authorities20 will be the preferred agencies for them to address their concerns. On the other hand, all project AHs understand and trust the Project Grievance Redress Mechanism that they have been consulted about and was made public; and (iii) Depending on the simplicity or complexity of complaints, within a week after receiving the information, MRB will take timely action in providing information, closely coordinating with the specialized agencies, DPC, WPC, report to HPC for instructions to resolve complaints as soon as possible. 87. Regarding the Complaint Grievance Redress Coordination Regulation, although MRB has made great efforts and powerful actions, the mechanism is still in the completion process have not been approved by HPC until the preparation of this report and ADB will continue to comment on this with the HPC (the preparation process for this mechanism is presented in Section 3.1, Appendix 3 of this report). On September 25, 2019, HPC issued Official Letter No.9003/VP-DT stating that the coordination mechanism for resolving complaints of organizations and individuals relating to the project implementation should be implemented in accordance with the laws and regulations stated in Decision No.80/QD-UBND dated November 14, 2014 of HPC (compare are present in table 18)

20 Most complaints have been filed with the local authorities including the WPCs, DPCs, or HPC and/or Hanoi Inspector.

External report on resettlement monitoring– 1st half, 2020 Pages 40 / 74

HANOI METRO RAIL SYSTEM PROJECT

Line 3: Nhon - Hanoi Station Section

Table 18: Similarities and differences between ADB and HPC policy on GRM

Content of Comment, Review No. Criteria (*) Decision No.80/QD-UBND dated November 14, 2014 of the HPC (Difference/ similarity) a How does HPC view and There is the cooperation and participation of the advisory bodies to scrutinize Similar maintain records of qualifying records, at the same time, there is a clerical department that keeps records complaints from the project on a careful legal basis of eligible claims of the project stakeholders i.e. the stakeholders? DPCs of Bac Tu Liem, Cau Giay, Ba Dinh, Dong Da and Hoan Kiem as well as the people's committees of the wards, MRB, contractors and other related agencies. b How to actively solve with Immediately after receiving complaints, we classify the complaints and have Similar complaints? the advisory agencies reviewing the legality and responding to the complaints, petitions or inquiries in accordance with the legal regulations. In addition, at the people's committees of the districts, wards, MRB set specific reception schedule to record people’s comments and to reply their letters to improve the quality of the complaint settlement. c How is the provision of the The provision of the information about the selected mechanisms or how to Similar information about the take action to resolve complaints have been manifested before and during the selected mechanisms or how project implementation, since the dissemination of the project information, to take action to resolve socioeconomic surveys, and public consultation meetings have been carried complaints? out at the people's committees of the districts, the wards, and MRB in accordance with ADB's guidance. d How are periodic reports that Periodic reports that summarize number of complaints received, number Similar summarize number of resolved and settlement results of complaints or actions selected are complaints received, number prepared on the weekly, monthly, quarterly basis, including holding review resolved and settlement meetings to learn from experiences. results of complaints or actions selected, prepared?

External report on resettlement monitoring– 1st half, 2020 Pages 41 / 74

HANOI METRO RAIL SYSTEM PROJECT

Line 3: Nhon - Hanoi Station Section

Content of Comment, Review No. Criteria (*) Decision No.80/QD-UBND dated November 14, 2014 of the HPC (Difference/ similarity) e How are reports submitted to HPC has been assigned MRB to prepare quarterly social reports such as Similar ADB as required? resettlement monitoring reports, environmental reports, gender action reports and other related reports as required in Loan 2741 as well as ADB - SPS 2009. f The content is not stated in The information is promptly and transparently disclosed including documents There is a preeminent loan term 2741 related to complaints, actions to resolve complaints, coordination, urge and difference in the participation consultation before issuing decisions, inspection, examination and of the advisory agencies supervision and periodic reports made by concerned agencies at each level before issuing decisions, such as the City Inspectorate, the City People's Council and National inspection and supervision by Assembly deputies and is strictly complied with the provisions of the laws of concerned agencies at each Vietnam. level such as the City Inspectorate, the City People's Council and National Assembly deputies and is strictly complied with the provisions of the laws of Vietnam. g Eligible complaints This includes complaints of any service provider, anyone responsible for Complied project implementation, complaints of misuse of fund and other unusual behaviors, and complaints due to any safeguard issues, including resettlement, environment, ethnic minorities and gender relating to the project. MRB established a Grievance Reception, Screening and Resolution Unit (GRSSU) in October 2018. (*) In the requested loan term as well as the content of ADB's letter dated February 20, 2020 to the HPC.

External report on resettlement monitoring– 1st half, 2020 Pages 42 / 74

HANOI METRO RAIL SYSTEM PROJECT

Line 3: Nhon - Hanoi Station Section

Table 19: Project's complaint statistics information 21

Land acquisition & Land acquisition & resettlement- CP3 Construction resettlement- Depot Total Status 2017 2019 2020 2017 2018 2019 2020 2019 2020

To Q3 Q2 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q2 Q1 Q2 % date

Receive (quarterly) 42 0 6 0 0 40 44 0 0 13 1 1 3 3 0 9 0 9 0 0 9 0

Receive 42 42 48 0 0 40 84 84 84 97 98 99 102 105 105 114 114 9 9 9 171 100 (cumulative)

Settlement 0 0 0 5 5 0 0 1 4 62 5 8 11 5 2 0 6 0 3 0 119 69.6 (quarterly)

Unresolved (end of 42 42 48 43 43 40 84 83 79 30 26 19 11 9 7 0 3 9 6 0 52 30,4 Quarter)

Data collected from Q3-2017 through the end of the reporting period

21 Before the mobilization of PMS2, the grievance statistic has not been updated. The national resettlement specialist under PMS2 has supported MRB to collect data and establish a monitoring system for grievance management. This number was consolidated from all Internal Quarterly Resettlement Monitoring Report of the Project (QIII/2017 to now). Therefore, there is no exact grievance statistic data before the Q3/2017.

External report on resettlement monitoring– 1st half, 2020 Pages 43 / 74

HANOI METRO RAIL SYSTEM PROJECT

Line 3: Nhon - Hanoi Station Section

88. According to the Internal Monitoring Report, by the end of Quarter 2/2020, the project received 171 complaints22 and exists 52 complaints relating to the compensation and resettlement, of which 43 complaints are relating to the depot and access ramp and 09 complaints are relating to Package CP03. Compared to the previous monitoring, the number of outstanding complaints is 64 cases, thus, 12 complaints have been resolved till this reporting period. However, it must be objectively assessed that the resolution has been on time, both in settlement timeline according to the Vietnamese laws and the Project GRM and at all levels, especially Hanoi Inspectorate and Nam Tu Liem DPC. The statistics of complaints from 2017 up to now are presented in Table 19 above.

9.2. Complaints in the depot and access ramp 89. In fact, there are some persistent complaints from AHs in relation to the project continuously sent to ADB and MRB (especially complaints groups phase 1 represented by Mr. Kiem and phase 2 represented by Mrs. Tham). These complaints have been resolved by the HPC, the Inspector of Hanoi City, the DONRE, relevant agencies and the Bac Tu Liem DPC in accordance with the Law, but the households still submit petitions. MRB has actively coordinated with ADB and AHs that have complaints to forward their complaints to the Bac Tu Liem DPC and Hanoi Inspectorate for consideration and resolution. The successive Consultant will work with MRB to organize meeting, collect information (of Mr. Kiem and Ms. Tham and his followers), analyze, synthesize and include in the next report (the details in Section 3.2, Appendix 3). a) Phase 1: 90. Household complaints are mainly related to the job change support. Follow the Official letter No.3667/TTTP-P2 dated August 6, 2019 of Hanoi Inspectorate recommended that HPC should consider supporting equal to 5 times of the agricultural land prices based on the land prices at the period when the additional plan is approved. The HPC has assigned the Bac Tu Liem DPC to clarify the budget for additional support for each household, but until the reporting period, there was no result. The MRB needs to advise the HPC accelerate the next steps to pay additional support to the AHs and to completely resolve this complaint. b) Phase 2: 91. Opening with 56 complaints dated December 26, 2015, mainly related to the conditions for allocation of resettlement land and other contents. According to the internal quarterly monitoring reports, the complaints started in 2014. Bac Tu Liem DPC and the concerned agencies have repeatedly resolved but the majority of the AHs disagreed with the settlement and continued to file the complaints to the superior, and when they still disagreed with the resolution of the local authorities, they filed the complaints with the ADB for the final on February 15, 2020.23

22 The grievances of AHs by the Project have been submitted to WPCs, DPCs, Ha Noi PC and even to ADB. 23 Related to 69 households who have to relocate but are not eligible for resettlement land and some other recommendations

External report on resettlement monitoring– 1st half, 2020 Pages 44 / 74

HANOI METRO RAIL SYSTEM PROJECT

Line 3: Nhon - Hanoi Station Section

92. In Appendix 4 - External report on resettlement monitoring Q3 and Q4/2019, the External Resettlement Monitoring Consultant gave some comments in the section of the comments of the External Resettlement Monitoring Consultant as follows: “It is recommended that ADB and/or MRB request HPC and Bac Tu Liem DPC to review the case of HHs: Nguyen Van Luan and Nguyen Thi Tinh, before the Tay Tuu WPC ward coerces them to avoid that they have not received satisfactory answers and continue to complain”. In this reporting period, the AHs is still being considered and settled by Hanoi Inspectorate, in coordination with Bac Tu Liem DPC, Tay Tuu WPC and relevant agencies in accordance with the current law. Coercive measures to dismantle construction works encroaching on agricultural land, are still applied by Tay Tuu WPC to ensure the land handover progress for the project implementation. (Details for this case are in section 3.3 - Appendix 3, this Report). However, up to the date of enforcement follow the Decition of Tay Tuu WPC: - The MRB cooperated with the Construction Contractor to mobilize and persuade household agree to move out of the project area. In addition, the Contractor provided a cash support to the household with VND 30 million and arranged workers and vehicles to help dismantling, transport the household's property to the rental house. - The successive Consultant will continue to work with MRB to collect information related to this case in the following report. c) Complaints about cracked houses due to construction impacts 93. Immediately after receiving information and complaints from several AHs living at 70 Tay Tuu Street, Tay Tuu ward, Bac Tu Liem DPC (at the access ramp of Package CP01), MRB issued letter directing the construction contractors and requesting the local authorities to coordinate to settle complaints24 (the details of the process of handling complaints by the stakeholders are presented in (Section 3.4, Appendix 3- This report). 94. Accordingly, in addition to adjusting construction technical measures to not continue to affect people's houses, MRB has coordinated with the specialized agencies to identify the cause and agreed to assign the construction contractors to be responsible for repairing cracks for the AHs right after completion of the construction of access ramp. In the end of Quarter 1/2020 and Quarter 2/2020, complaints of AHs due to the construction in this depot area have been resolved.

9.3. Complaints in package CP03 95. For Station S11, there are currently 3 cases: surveying the bearing strength of the whole house; inheritance procedure; and the proposal to buy one more resettlement apartment, that have not been resolved. The entire amount of compensation and support of the three above AHs has been transferred to the local State Treasury in accordance with the law. With househlod Mrs. Nguyen Kim Anh, Address No, 23 Quoc Tu Giam street, Văn Chương ward, Dong Da District. Immediately after receiving recommendations from the AHs, MRB worked with relevant agencies to complete the procedures for the inspection.

24 Official Letter No.440/DSDT-DA1 dated 8/3/2019 and Official Letter No.945/DSDT-VP-DA1 dated 10/5/2019 External report on resettlement monitoring– 1st half, 2020 Pages 45 / 74

HANOI METRO RAIL SYSTEM PROJECT

Line 3: Nhon - Hanoi Station Section

- On April 8, 2019, the Urban Management Department sent a document to the DOC and the Inspection Department to agree on the content of the MRB guidance; - On June 21, 2019, the Dong Da DPC issued Official Letter No.1098/UBND to MRB to request to hire a qualified verification unit according to the law; and - For hire a verification, MRB have to adjusted the budget estimates for the implementation of compensation, support and resettlement for the construction of the underground stations: S10 and S11, mentioning the funding for the appraisal. By the end of Quarter 2/2020, it is still waiting for the approval of the Dong Da DPC; - According to MRB, details of the evaluation will be made public only after there is the HPC's approval. Therefore, the details about the process of evaluation, appraisal and approval of results will be updated in the next report; 96. As for Station S10, in quarter 2/2020, there are 3 cases: 02 AHs are relating to the proposal to buy more resettlement apartments; and one organization has not provided a bank account for MRB to pay compensation and support. 97. As for Station S9, 08 AHs complained about the construction of ventilation system of Station S9. Hanoi Inspectorate has inspected the complaints and answered the AHs in writing. Based on the conclusion of Hanoi Inspectorate, HPC has issued Notice No.100/TB- VP that there will be coercive measures by the end of 2018 against 8 non-compliant AHs. However, due to the Contractor has yet to provide a specific plan for construction of this section, the local authorities postponed the force eviction still now. With the adjusted technical solutions for the ventilation system25 and the propaganda and campaign of the local leaders so far, most of these AHs have accepted the design plan for the ventilation system, in which 6/8 AHs have received compensation. Particularly, household Mrs. Nguyen Thi Van Anh has requested additional support in house repair and additional support for land acquisition two times26 and is being considered for settlement. 98. The affected business during the project construction as questioned are the preliminary presentations in Para 82 of this report, and the updated information will be in the next report. MRB has been working closely with the stakeholders to resolve complaints of the AHs and organizations. The details of complaints or problems in priority area of Package CP03 are recorded in Table 15 below.

25 The MRB and the consultants researched and applied the most advanced European technology solutions, referring to the current technical standards and guidance of the Ministry of Construction to adjust the design of ventilation system at Station S9 which can be applicable for the whole project. The ventilation shaft designed in S9 has been reviewed and agreed by the Ministry of Construction, the Ministry of Justice, HPC and other departments (DOC, Department of Planning and Architecture, Hanoi Inspectorate, and relevant agencies). 26 The documents related to the resolution of this petition include: (i) Official Letter No.2254/UBND-DSDT dated October 12, 2018 of the Ba Dinh DPC and the MRB, requesting HPC for approval: (ii) Official Letter No.8550/VB- GPMB dated October 30, 2018 of HPC, assigned the DONRE to preside over and coordinate with the DOF, the DOC and the relevant agencies to inspect and guide Ba Dinh DPC to implement in accordance with the regulations and ensuring synchronous policies in the city; (iii) Official Letter No.2855/STNMT-CCQLDD dated April 8, 2019 of the DONRE, reporting to HPC on the opinions of the DONRE on the request for additional support for house repair and additional support for land acquisition 2 times and instructing the Ba Dinh DPC to implement the compensation plan in accordance with the law. External report on resettlement monitoring– 1st half, 2020 Pages 46 / 74

HANOI METRO RAIL SYSTEM PROJECT

Line 3: Nhon - Hanoi Station Section

Table 20: Contents of the complaints or problems in Package CP03

Total Content of complaints or problems/and resolution of the No. Stations Organizati AHs concerned parties ons 1 S9 3 0 For the first land acquisition: - 06/08 AHs that disagreed with the location of the ventilation system designed near people's houses agreed with the project policy and received money and handed over the land in April 2019, after being settled by Hanoi Inspectorate and technical solutions of the project. - 02/08 AHs have not agreed to receive money and MRB is cooperating with the DPCs and WPCs to continue convince them. For the second land acquisition: - 01 AH is in the payment procedure: the DPC is checking the authorization documents and claiming the inheritance to complete the payment procedure (Trieu Hoang Trung's); - 03 AHs have not agreed to receive compensation money and MRB is cooperating with the DPC and WPC to continue convince them. 2 S10 2 1 For the second land acquisition: - 02 AHs have not agreed to receive money because they do not agree with the compensation plan and is claiming to buy one more resettlement apartment. - 01 organization: Pullman hotel has not provided bank account for MRB to transfer the compensation money. 3 S11 3 0 - Household Kim Anh - 23 Quoc Tu Giam is in the process of house bearing strength assessment after being partially acquired before handing over. - Household Do Viet Hung - 43 Quoc Tu Giam, handed over the land to the project but due to the inheritance procedures, they have not received a resettlement house. - Household Nguyen Van Thuan - 27K, has handed over the land to the project and is claiming to buy one more resettlement apartment, so he has not received compensation money. Total 8 1 9 Note: - In quarter 2/2020, there are 3 more cases of 2 AHs and 1 organization. Therefore, the total number of complaints or problems in Q2/2020 is 9 cases relating to Package CP03. - The whole amount of compensation and support money of AHs that have not agreed to receive will be transferred to the local State Treasury. After they complete the procedures or agree to receive money, MRB will pay them in full as prescribed.

X. ASSESSMENT OF IMPLEMENTATION OF COMMITMENTS

99. According to the Memorandum of Understanding (MOU) of the Donors’ Compliance Review on 18-29 November 2019, the contents agreed among ADB, the Donors, HPC and MRB will be reviewed and evaluated in the period when this monitoring report is preparing. By the end of Quarter 2/2020, there are still a number of issues that need to be committed to implement in the coming time, details for comparison are in the table 21. For the Loan terms External report on resettlement monitoring– 1st half, 2020 Pages 47 / 74

HANOI METRO RAIL SYSTEM PROJECT

Line 3: Nhon - Hanoi Station Section compliance status Loan 2741 – VIE on Resettlement and safeguard measures are present in table 22 below.

Table 21: Comparison of the implementation progress of MOU in November 2019

Action plan in MOU in Performance results in quarter November 2019 2/2020 Adjustment No. completion Completion Content Content Reason time time 1 The remaining 6 Q1/2020 01 AH has been paid. Complaint Q3/2020 AHs have not The remaining 5 AHs s have not been paid; have not been paid. been 15 AHs and 6 9/15 AHs and 5/6 settled organizations organizations have been due to additional paid. The remaining 6/15 land acquisition AHs and 1/6 have not been organizations due to paid additional land acquisition have not been paid. 2 Handing over Q1/2020 All 04 AHs have been Complaint Q3/2020 resettlement handed over. s have not apartments to 4 been remaining AHs. 2/3 AHs due to additional settled Handing over land acquisition have resettlement been handed over and apartments to 3 the remaining 1/3 AHs AHs due to has not been handed additional land over. acquisition 3 Settlement of Q2/2020 There are 3 problems or Complaint Q3/2020 the remaining complaints due to s have not 49 complaints additional land been acquisition. So the total settled of 52 complaints or problems need to be resolved. 4 Submission of Q1/2020 MRB has instructed HPC Q3/2020 compensation, HGU/LHC to complete the needs to support & Policy according to the review and resettlement contributions of the ADB approve a policy for the and stakeholders. On specific tunnels that is June 25, 2020, it was policy for implemented by submitted to the HPC for the HGU and the consideration and restricting subcontractors approval. There is a need land use for a specific policy to LHC. restrict land use on the tunnel and the tunnel ROW (Details of process are in Section 3.4,

External report on resettlement monitoring– 1st half, 2020 Pages 48 / 74

HANOI METRO RAIL SYSTEM PROJECT

Line 3: Nhon - Hanoi Station Section

Action plan in MOU in Performance results in quarter November 2019 2/2020 Adjustment No. completion Completion Content Content Reason time time Appendix 3). 5 Submission of Q2/2020 Immediately after ADB Waiting for Q3/2020 the updated and HPC approved the approval resettlement compensation and of HPC. plan appendix resettlement policy for for the impacts the impact of the tunnels, of the tunnels the HGU submitted the construction - uRP appendix for the Package CP03 impacts of the tunnels construction to MRB, ADB and HPC for approval. For the above issue, ADB and MRB will need further discussion. 6 Submission of Q1/2020 ADB will support MRB by The Q2/2020 the completion mobilizing an expert to agreed report of the prepare a RP Addendum MOU in implementation for the additional land April, 2019 results to ADB acquisition in S9 and S10 and and HPC on the November, compliance with 2019 the application Q2/2020 ADB will support MRB by Q3-Q4/2020 of the uRP mobilizing an expert to approved in prepare a Due Diligence August 2015 for Report (DDR) for the AHs due to the additional land acquisition additional land in S9 and S10 acquisition in Station S9 and Station S10. 7 Resolving Q1-Q4/ 2020 According to Point a Wait for Q3/2020 complaint Section 9.2 and DONRE to continues at the Appendix 3 preside depot and over access ramp for resolve AHs 8 Approving the As soon as According to Section 9.3 Q3/2020 Coordination possible and Appendix 3 Regulation on complaint settlement 9 Assessment of Q4/2019 Hanoi DOT has HPC will Q3/2020 temporary approved the Traffic consider effects during Management Plan to reducing construction minimize temporary the rental impacts caused by the rate for Project's construction, in business

External report on resettlement monitoring– 1st half, 2020 Pages 49 / 74

HANOI METRO RAIL SYSTEM PROJECT

Line 3: Nhon - Hanoi Station Section

Action plan in MOU in Performance results in quarter November 2019 2/2020 Adjustment No. completion Completion Content Content Reason time time which impacts of barriers HHs on business households affected will be taken into by the consideration. barriers. MRB and HPC have not yet received feedback from the people about the impact of the construction of the barriers.

External report on resettlement monitoring– 1st half, 2020 Pages 50 / 74

HANOI METRO RAIL SYSTEM PROJECT

Line 3: Nhon - Hanoi Station Section

Table 22: Loan terms compliance status Loan 2741 – VIE on Resettlement and safeguard measures

Description Content Comments No. SPS Requirements/ Loan Terms HPC will do and request MRB to guarantee that (Problems) a The RP for the project is implemented in accordance with its Land acquisition is not yet completed for the Partially terms; underground section. Some outstanding grievances at complied the depot and access line sections are being addressed. b All land and rights-of-way required for the projects are made Land handover for the underground section is Partially available in a timely manner; significantly delayed. complied c The provisions of the RP, including compensation and Has been implemented strictly according to RP / uRP Complied entitlements for APs, shall not be downgraded and are and appendices, which have been approved. implemented in accordance with all the Borrower's applicable laws and regulations and SPS; d All APs are consulted and given adequate opportunity to APs are consulted during RP preparation, updating, Complied participate in resettlement planning and implementation; implementation and monitoring. e Compensation and resettlement assistance are given to APs Compensation, assistance and resettlement for AHs by Partially prior to their dispossession and displacement; underground stations will be completed in Quarter 3 - complied Quarter 4 of 2020. f Timely provision of counterpart funds is made for land Budget is available for land acquisition and resettlement. Complied acquisition and resettlement activities; g Any obligations in excess of the RP budget estimate are promptly met; h APs are at least as well off as they would have been in the Business support will be provided to 41 AHs in Partially absence of the project; underground stations in Quarter 3 - Quarter 4 of 2020. complied i The RP is revised as necessary to reflect any significant material The RF and the RP for the Underground Section have Complied changes in the project scope, and submit any such changes to been updated reflecting the provisions of the new Land ADB for its acceptance; Law 2013 and other recently issued regulations and

External report on resettlement monitoring– 1st half, 2020 Pages 51 / 74

HANOI METRO RAIL SYSTEM PROJECT

Line 3: Nhon - Hanoi Station Section

Description Content Comments No. SPS Requirements/ Loan Terms HPC will do and request MRB to guarantee that (Problems) covering all additional land acquisition impacts by the Stations. j HRB supervises the contractors to ensure compliance with Has been complying with the request of the sponsor Complied requirements of the RP; k Adequate staff and resources are committed to supervising and MRB had establishment of the Grievance Receiving, Complied monitoring implementation of the RP; and Screening and Settling Unit (GRSSU) assigned dedicated staff to supervise and monitor RP implementation. l An external monitoring agency, acceptable to ADB is engaged The external resettlement monitoring report Quarter 1 - Partially by HRB before the conduct of detailed measurement survey to Quarter 2 of 2020. will be submitted in November, 2020 complied monitor compliance and forward reports to ADB and HPC as (Delayed from requests due to personnel changes) and specified in the RP. Quarter 3 - Quarter 4 of 2020 will be submitted in January, 2021. m Policies and resettlement action plans appendix / temporary Must be approved in Quarter 3 - Quarter 4 of 2020, Partially resettlement for impacts of the construction of the tunnel before the implementation of the drilling Tunnel complied

External report on resettlement monitoring– 1st half, 2020 Pages 52 / 74

HANOI METRO RAIL SYSTEM PROJECT

Line 3: Nhon - Hanoi Station Section

XI. UPDATE RP FOR IMPACTS OF TUNNEL CONSTRUCTION (CP03)

100. Due to effects that possibly take place during the construction of the underground tunnels on the households living along the tunnels, HGU was required to prepare a Building Condition Survey (BCS) report and a Building Risk Assessment (BRA) report. Based on the BCS report, the BRA report and the current regulations, the contractors must identify all potential impacts, mitigation measures and prepare a Compensation and Resettlement Policy for the impacts of the tunnels construction. At the report period, HGU preliminary identified 11 affected buildings of 10 households and the BCS and BRA activities are being carried out by HGU with specialized machines. The final information will be updated when HGU completes the BCS and BRA and submits the official report to MRB and ADB for review and approval. 101. According to HGU's request at the end of 2018, MRB has approved LHC (as the subcontractor) to carry out research and propose compensation, support and resettlement policies for the impacts identified from the above BCS, BRA and other social impacts (if any), and update these policies to the RP of the tunnel. From September 2018 to October 2019, HGU/ LHC cooperated with MRB and DPCs to implement activities of (i) disseminating information; (ii) socio-economic survey; (iii) consultations with the community, local authorities at all levels, relevant authorities and prepare proposals for policies. 102. HGU/ LHC has prepared 2 plans on compensation, support and resettlement policies for 10 households of 11 buildings identified through BCS, and consulted with the stakeholders. MRB actively took the lead, coordinated collecting comments from ADB and concerned agencies and finalized and submitted to the HPC for consideration and approval on June 25, 2020. 103. In order for HGU/ LHC to have a basis for researching and proposing appropriate solutions and improving this uRP in Q3/2020, it is essential to have a mutual agreement between ADB, MRB and HGU in determining the impacts through BCS and BRA. 104. Details of stakeholder activities are provided in Section 3.5, Appendix 3.

External report on resettlement monitoring– 1st half, 2020 Pages 53 / 74

HANOI METRO RAIL SYSTEM PROJECT

Line 3: Nhon - Hanoi Station Section

C. CONCLUSIONS AND RECOMMENDATIONS

XII. CONCLUSIONS

105. The project dissemination of information in general and the project's compensation, support and resettlement policy in particular have been jointly implemented by MRB with the consulting units and the concerned parties. Most of the AHs, relevant local officers interviewed by PMS2 Social Safeguard Specialists, as well as MRB officers confirmed they received complete and up-to-date project information as well as information on compensation, support and resettlement policies from implementing unit. 106. The project's compensation, support and resettlement policies have been meaningfully consulted and promptly and fully disseminated to AHs and communities. This is an important base to receive the consensus and support of people and communities towards the project in addition to promptly resolving questions, petitions, complaints and somewhat satisfactorily resolving outstanding complaints. 107. The detailed measurement survey (DMS) of affected assets has been fully informed to the AHs by the DCARBs and MRB in an open and transparent manner. The heads of AHs and representatives of MRB, local authorities, the Site Clearance Steering Committee of the City and the DPCs in the project area have been fully involved in the entire DMS process. Shortcomings and errors in the DMS process have been promptly reviewed and additionally adjusted. 108. The compensation replacement costs have been applied to all affected assets and affected land and made publicly available to AHs. The compensation for payment has been done in accordance with the procedures and paid one time to the APs at the WPCs headquarters and at least one month before construction. 109. At the time of making this report, social safeguard documents (it‘s a RP Addendum/ DDR as agreed between ADB and MRB) for the additional land acquisition in S9 and S10 have not been prepared for the submission to ADB and HPC for approval to comply with SPS 2009 – ADB. 110. The project's compensation, support and resettlement has been transparently implementing by HPC, MRB, the DPCs, the DCARBs and the DCLDFs. The resettlement land plots and apartments have been fully and promptly prepared to meet the resettlement needs of AHs. Information on the resettlement sites has been publicly announced and AHs can visit the resettlement sites many times. The resettlement land plots and apartments have been selected in the form of a transparent public draw. 111. The additional supports to help AHs to soon restore their livelihoods and income specified in the project's RF, RP and uRP have been fully implemented and highly appreciated by AHs and the communities. 112. With regard to the complaints in Package CP03, MRB has worked closely with HPC, the DPCs, the DCARBs, Hanoi Inspectorate, COH Reception Committee and relevant

External report on resettlement monitoring– 1st half, 2020 Pages 54 / 74

HANOI METRO RAIL SYSTEM PROJECT

Line 3: Nhon - Hanoi Station Section agencies to continue resolving and promptly deal with the arising in the coming time, in order to minimize social impacts of the project. With regard to the complaints that have been for many years in the depot and access ramp and have not been completely resolved and caused frustration and difficulties in livelihood restoration of AHs, it is very necessary for HPC to pay more attention and drastic directions to settle them. 113. Some issues in the MOU27 in November 2019 that have not been implemented on schedule as agreed still need more attention and settlement of HPC and the relating agencies. 114. The approval of compensation, support and temporary resettlement policy and uRP for tunnel has not been completed according to the plan outlined by the following reasons: (i) the scope and method of determining impacts; (ii) remedial options for impacts; (iii) compensation and support policies for limited land use; and (iv) selecting funding sources to use for compensation... On the other hand, there is inconsistency between ADB, MRB and HGU in identifying impacts and remedial options which is a factor influencing implementation progress.

XIII. RECOMMENDATIONS

Responsible/ Para Activity recommendations Timeline coordinating

115. In order to ensure the project progress, more attention HPC/ Q3/ and drastic direction of HPC and the close coordination of MRB 2020 the relevant agencies of the City, DPCs, WPCs with MRB in the entire process of the project compensation, support and resettlement is very necessary.

116. MRB needs to closely monitor and urge the consultants to MRB/ Q3, Q4/ promote information disclosure and community Consultants 2020 consultation that has been done very well previously. At the same time, attention to the efficient disclosure of information and meaningful consultation with the stakeholders during the preparation of the uRP Appendix for the tunnels section.

117. Although the remaining un-handed-over/acquired land DPCs/ Q3/ area is not many (94.72 m2) in Package CP03 (including MRB 2020 the additional land acquisition areas at Station S9 and Station S10), MRB needs to urge the DPCs and the DCARBs to urgently complete the land acquisition, handover the sites to the construction contractors in the

27 The MOU of the Donor Compliance Review Mission, which took place 18-29 November 2019, was agreed between the ADB, the Donors, the HPC and the MRB.

External report on resettlement monitoring– 1st half, 2020 Pages 55 / 74

HANOI METRO RAIL SYSTEM PROJECT

Line 3: Nhon - Hanoi Station Section

Responsible/ Para Activity recommendations Timeline coordinating third quarter of 2020 to ensure not to affect the completion of the project.

118. The progress of approving compensation plan in Quarter DPCs/ Q3/ 1 and Quarter 2 of 2020 has basically been completed, MRB 2020 however, about VND 27 billion still has not been disbursed. MRB should urge the DPCs to organize advocacy delegation with the participation of the local mass organizations to convince AHs to receive compensation money and to complete legal procedures to protect construction and ensure the project progress.

119. It needs to complete the procedures for delivery of the DPCs, Q3/ resettlement apartment for the remaining AHs as soon as DCARBs/ 2020 in Quarter 3/2020. For the AHs that are relocated by the MRB project but are not eligible for resettlement, appropriate measures to ensure their stable livelihood, especially for AHs displaced from the depot and access ramp area (phase 2) should be considered.

120. MRB needs to urge in writing with Ba Dinh and Dong Da District Tax Q3/ Tax Departments to confirm the average income of 41 Departments/ 2020 business AHs in Q3/2020. MRB

121. Hanoi Inspectorate is the leading agency, coordinating Hanoi Q3/ with the COH Reception Committee, DPCs, relevant Inspectorate/ 2020 agencies and MRB to soon complete the Complaint MRB Settlement Coordination Mechanism and submit it to HPC and ADB for approval in the short term.

122. Hanoi Inspectorate as the leading agency, the DPCs, Hanoi Q3/ MRB and the relating agencies are responsible for Inspectorate/ 2020 coordinating to resolve the remaining complaints of MRB households (complaints last for many years in the depot and access ramp - phase 1 and phase 2) and other arising (if any) in the future.

123. The consistent agreement between ADB, MRB and HGU HGU/ Q3/ in the option of the remedial measures to include in the MRB 2020 compensation, support and temporary resettlement policy ADB in relation to the impacts of the tunnel construction is also very necessary. A meeting for HGU to present the implementation method and BCS and BRA results are needed; and LHC will describe corrective measures and

External report on resettlement monitoring– 1st half, 2020 Pages 56 / 74

HANOI METRO RAIL SYSTEM PROJECT

Line 3: Nhon - Hanoi Station Section

Responsible/ Para Activity recommendations Timeline coordinating specific policy intended to apply for the land use restriction along the tunnel. On that basis, ADB, MRB and concerned agencies agreed for completing the compensation, support and temporary resettlement policies and uRP of the tunnel impacts (CP03) and submitting it to HPC and ADB for approval. The tentative time for completion of this action is in Quarter 3/2020.

124. In order to close the support for those who rent houses, DPCs, Q3/ the DPCs, the DCARBs need to complete notices stating DCARBs/ 2020 the deadline for settlement and payment of this support MRB (Example: notice on mass media from 30 days to 90 days).

125. MRB should be in close coordination and strongly support MRB/ Q3/ the Social Safeguard Consultant mobilized by the ADB to ADB 2020 prepare a RP Addendum/ DDR Report for the additional land acquisition in S9 and S10 and submit in ASAP.

126. On impacts due to construction on the business HPC/ Q3/ households, MRB have to continue to report to the HPC MRB, ADB 2020 and the interagency review of this request. ADB side have to deeper discussion with the HPC during the next missions.

127. MRB continues to urge the People's Committee of Dong Dong Da Q3/ Da district to approve the adjustment of the budget for the DPC/ 2020 organization of compensation and resettlement for the MRB underground stations: S10 and S11, including the funding for the appraisal and assessment of the safety level when demolishing the old house, No. 23 Quoc Tu Giam.

128. For prolonged complaints, if households disagree with DPCs, Q3, Q4/ settlement decisions by the competent authorities, the WPCs/ 2020 final measure they should choose will be the final MRB decisions of the Court, according to the project GRM (step 3). To ensure their entitlements, the Consultant suggests that MRB should coordinate with DPCs and WPCs to guide households to implement this procedure in accordance with Vietnamese Law and the project GRM. On the other hand, the successive Consultant suggests to take (i) legal assistance for the households in need, and (ii) litigation cost support.

External report on resettlement monitoring– 1st half, 2020 Pages 57 / 74

HANOI METRO RAIL SYSTEM PROJECT

Line 3: Nhon - Hanoi Station Section

APPENDIX

Appendix 1: The List of affected households and organizations in CP03

1.1. Station S9:

No. Name of AHs Address Note 1 Đỗ Thị Mùi 477 KM 2 Nguyễn Đình Thành 475 KM 3 Phạm Thị Giáp 473 KM Three households 4 Tạ Tường Hải 471 KM with cut areas were 5 Nguyễn Thị Hương 469 KM approved by the City 6 Phạm Thị Thanh Mai 467 KM People's Committee for pending issues in 7 Phạm Văn Tuyên 423 KM 2016 8 Triệu Hoàng Trung 427+429 KM 9 Đỗ Hữu Viêm 419+421 KM 10 Nguyễn Thị Vân Anh 425 KM

No. Name of organization Address Note 1 Vehicle parking company 2 Hoan Cau Company Limited

1.2. Station S10:

No. Name of AHs Address Note 1 Cao Văn Tuý - Nguyễn Thị Hà 29B Cát Linh Bà Lê Thanh Hương và các đồng thừa kế có 2 29C Cát Linh quyền lợi, NV liên quan. 3 Trần Kim Phương 33 Cát Linh 4 Nguyễn Đức Hiền - Phạm Thu Lan 1/33 Cát Linh Vũ Huy Sỹ và những người có QL, NV liên 5 4/33 Cát Linh quan đến bà Nguyễn Thị Xuyến (đã chết) 6 Trần Xuân Tùng - Nguyễn Tuyết Lan 33A Cát Linh 7 Bùi Tuấn Anh 33A Cát Linh 8 Lê Công Kỷ - Lê Thị Thủy 33B Cát Linh 9 Trần Mạnh Hưng - Nguyễn Kim Oánh 33D Cát Linh 10 Nguyễn Hoàng Cường - Vũ Thị Bích Dung 33E Cát Linh 11 Đỗ Trung Kiên - Nguyễn Thị Hải 33L Cát Linh 12 Nguyễn Văn Thắng - Trần Thị Phú 33H Cát Linh

External report on resettlement monitoring– 1st half, 2020 Pages 58 / 74

HANOI METRO RAIL SYSTEM PROJECT

Line 3: Nhon - Hanoi Station Section

No. Name of AHs Address Note Trần Thị Thanh - Hồ Quang Thắng - Hồ Thị 13 2/35 Cát Linh Thảo - Hồ Quang Thành 14 Phạm Quốc Cường - Vũ Hồng Hạnh 37 Cát Linh 15 Vũ Hồng Yến 37A Cát Linh 16 Ngô Văn Thanh - Nguyễn Thị Toán 37B Cát Linh 17 Đàm Thế Xương 37C Cát Linh 18 Phan Đình Lực 37D Cát Linh 19 Trần Thế Hải - Phạm Kim Phượng 39 Cát Linh 20 Đào Minh Ngọc - Đào Thúy Nga 41 Cát Linh (tầng 1) Đào Thị Như Phương - Đào Thúy Nga - Đào 21 41 Cát Linh (tầng 2) Đức Minh 22 Đào Đức Minh 41 Cát Linh (tầng 1) 23 Lê Minh Hùng 41 Cát Linh (tầng 2)

No. Name of organization Address Note 1 Cat Linh Primary School 31A Cát Linh 2 Cat Linh Secondary School 31 Cát Linh Traffic Work Experimental Consulting Joint Stock 33D và 3/33 3 Company 1 (Cienco1) Cát Linh 4 Vinafco Joint Stock Company 33L Cát Linh Guest house number 3 - Office of People's Committee 5 33C Cát Linh of Lao Cai province Hanoi Housing Management and Development 6 35B Cát Linh Company Limited 7 Pullman Hotel - Global Toserco Company Limited 40 Cát Linh

1.3. Ga S11:

No. Name of AHs Address Note Van Chuong ward 1 Phạm Xuân Mỹ 23 QTG 2 Nguyễn Quang Giao - Nguyễn Thu Lương 23 QTG 3 Nguyễn Kim Anh 23 QTG 4 Nguyễn Lan Phương 23 QTG Nguyễn Kim Anh and people with concerned 5 23 QTG entitlements and obligations related to 6 Ngô Xuân Hưởng 23 QTG

External report on resettlement monitoring– 1st half, 2020 Pages 59 / 74

HANOI METRO RAIL SYSTEM PROJECT

Line 3: Nhon - Hanoi Station Section

No. Name of AHs Address Note 7 Nguyễn Thị Hậu - Nguyễn Văn Tùng 23 QTG 8 Nguyễn Hồng Vân 27H QTG 9 Nguyễn Sơn Đông 27A QTG 10 Hoàng Bá Hiền 27B QTG 11 Trần Mạnh Hà - Trần Thanh Thủy 27C QTG 12 Nguyễn Văn Dũng - Nguyễn Thị Bình 27D QTG 13 Tăng Thị Nhàn 27E QTG 14 Ngô Hồng Quân - Nguyễn Thị Thái 27G QTG 15 Nguyễn Văn Thuần 27K QTG 16 Phạm Thế Hùng - Nguyễn Thị Nga 27I QTG 17 Nguyễn Tuấn Anh - Vương Kim Dung 29 QTG 18 Phạm Ngọc Phi - Ngô Thị Chí Thanh 29 QTG 19 Đỗ Thị Nguyên 31 QTG 20 Ngô Quang Huy 31 QTG 21 Lê Đình Toàn - Trần Thị Tính 33 QTG 22 Mai Thị Liên 35 QTG 23 Phạm Ngọc Long - Nguyễn Thị Đào 37 QTG 24 Lê Đình Minh - Chu Bích Thủy 37 QTG 25 Nguyễn Đình Thuận - Nguyễn Thị Liên 37 QTG 26 Phạm Ngọc Long - Nguyễn Thị Đào 39 QTG Dang Thi Lien and people with concerned 27 entitlements and obligations related to Mr. 41 QTG Nguyen Tien Dung (dead) Tran Thi Lang and and people with concerned 28 41 QTG entitlements and obligations 29 Mai Thị Liên 43 QTG Mr. Do Thien Son and people with concerned 30 43 QTG entitlements and obligations 31 Đỗ Thiện Sơn - Đoàn Thị Hoa 43 QTG 32 Đỗ Thiện Hải - Huỳnh Thị Thoa 43 QTG 33 Đỗ Thiện Hà - Chử Thị Vĩnh 43 QTG Do Viet Hung and people with concerned 34 entitlements and obligations related to Mr. Do 43 QTG Chi Hung and Ms. Nguyen Thi Hoanh 35 Nguyễn Thị Phượng 45 QTG Doan Thi Thanh Bich and people with 36 47 QTG concerned entitlements and obligations related

External report on resettlement monitoring– 1st half, 2020 Pages 60 / 74

HANOI METRO RAIL SYSTEM PROJECT

Line 3: Nhon - Hanoi Station Section

No. Name of AHs Address Note to Mr. Do Duy Ky (dead) 37 Vũ Ngọc Giao - Trần Thị Hồng 49 QTG 38 Nguyễn Bá Lâm - Nguyễn Thị Thoa 49A QTG 39 Hoàng Thịnh Trường 1/49 QTG 40 Phạm Thị Ngọc Hòa 1/49 QTG Cao Thị Xiêm and people with concerned 41 entitlements and obligations related to to Mr. 2/49 QTG Nguyen Thao (dead) 42 Nguyễn Đăng Tiệm - Thế Thị Thìn 4/49 QTG 43 Vũ Đức Thắng 5/49 QTG 44 Trần Hữu Trâm - Bùi Thị Nhi 9/51 QTG 45 Nguyễn Việt Dũng - Nguyễn Thị Nga 51B QTG Ông Trần Tuấn Đức, Bà An Thị Thúy Hà and people with concerned entitlements and 46 51 QTG obligations related to Mr. Tran Nhan Tai and Mrs. Bui Thi Tinh (dead) Đỗ Văn Lán and people with concerned 47 entitlements and obligations related to Ms. 51 QTG Nguyen Thi Toi (dead) 48 Ngô Văn Hưng - Đỗ Lệ Hằng 1/51 QTG 49 Nguyễn Thị Chung - Nguyễn Thiện Hồ 11/51 QTG Bà Phạm Thị Dõi and people with concerned 50 entitlements and obligations related to ông Đỗ 53 QTG Văn 51 Đào Đức Hiền - Hà Thị Thái 53 QTG 52 Phạm Thị Tâm - Vũ Nhật Hòa 55 QTG 53 Nguyễn Thị Phượng 55B QTG 54 Nguyễn Quốc Dũng - Khúc Thiên Hương 57 QTG Bà Đỗ Thị Phúc and people with concerned 1 ngõ Lương Sử A - 55 entitlements and obligations related to QTG 56 Vũ Viết Liêm - Trần Thị Hiền 2 ngõ Lương Sử B 57 Đàm Minh Trâm - Phạm Thị Thanh Hương 12 ngõ Lương Sử A 58 Nguyễn Hoàng Anh 7 ngõ Lương Sử B 59 Đặng Thị Thanh Hương 9 ngõ Lương Sử B Van Mieu ward 60 Nguyễn Văn Son - Nguyễn Thị Phượng 56A Quốc Tử Giám 61 Phạm Văn Chương - Nguyễn Thị Lan Anh 56A Quốc Tử Giám

External report on resettlement monitoring– 1st half, 2020 Pages 61 / 74

HANOI METRO RAIL SYSTEM PROJECT

Line 3: Nhon - Hanoi Station Section

No. Name of organization Address Note 1 Ho Chi Minh National Academy of Politics 56B Quốc Tử Giám 2 Ministry of Planning and Investment 65 Văn Miếu 3 Hanoi Urban Environment Company Limited 49 Quốc Tử Giám 4 Thang Long GTC Company Limited 27 Quốc Tử Giám

1.4. Station S12: Cua Nam Ward and Tran Hung Dao Ward

No. Name of AHs Address Note 1 Bà Nguyễn Huyền Trang và ông Phan Hải Cường 107 THĐ 2 Ông Nguyễn Văn Hoằng và bà Nguyễn Thị Nga 107 THĐ 3 Ông Hà Quang Tuấn 107 THĐ 4 Ông Lê Công Biển 107 THĐ 5 Ông Nguyễn Ngọc An 107 THĐ 6 Bà Lê Thị Minh Tâm 107 THĐ 7 Bà Phạm Thị Sỹ 107 THĐ 8 Ông Nguyễn Bình Phúc 107 THĐ 9 Bà Nguyễn Thị Minh 107 THĐ 10 Ông Trần Quang Thến 107 THĐ 11 Bà Vũ Thị Thúy Hằng 107 THĐ 12 Bà Nguyễn Thị Từ 107 THĐ 13 Bà Hoàng Thị Huyền - Nguyễn Hoàng Quân 107 THĐ 14 Ông Nguyễn Đình Tập 107 THĐ 15 Ông Lê Minh Thuy 107 THĐ 16 Ông Nguyễn Đức Trùy 107 THĐ 17 Ông Vũ Văn Toàn 107 THĐ 18 Bà Nguyễn Thị Thịnh 107 THĐ 19 Ông Đặng Văn Thiều 107 THĐ 20 Ông Phạm Ngọc Ánh 107 THĐ 21 Ông Vũ Văn Kiêm 107 THĐ 22 Bà Trương Thị Mỹ Hạnh 107 THĐ 23 Ông Lưu Trí Hoan 107 THĐ 24 Ông Trần Đình Đồng 107 THĐ 25 Ông Lê Đức Tùng và các đồng thừa kế 102B THĐ 26 Bà Nguyễn Thị Hà Thanh 102B THĐ 27 Ông Lê Ánh Hồng 98A THĐ 28 Ông Đinh Anh Tuấn và bà Nguyễn Thị Thúy Hường 48C PBC 29 Bà Nguyễn Thúy Quỳnh và ông Nguyễn Phú Cường 98A THĐ

External report on resettlement monitoring– 1st half, 2020 Pages 62 / 74

HANOI METRO RAIL SYSTEM PROJECT

Line 3: Nhon - Hanoi Station Section

No. Name of AHs Address Note 30 Ông Phan Văn Minh 107 THĐ 31 Ông Nguyễn Đình Bình và bà Trần Thị Thu Huế 107 THĐ Bà Nguyễn Thị Tiến and co-heirs of ông Nguyễn Ngọc 32 98A THĐ Thiện 33 Bà Nguyễn Thúy Hương 98A THĐ 34 Bùi Đức Vĩ - Bùi Đức Thắng - Bùi Thanh Sơn 100 THĐ 35 Ông Nguyễn Đăng Thu 102 THĐ Đào Tuyết Hoa - Đào Tuyết Hà - Đào Thị Mỹ Hiền - 36 102B THĐ Đào Mỹ Hằng 37 Ông Trịnh Văn Luận và ông Đỗ Tuấn Anh 48 PBC 38 Bà Đinh Thị Kim Anh 48C PBC 39 Ông Nguyễn Quốc Lịch 48 PBC Ông Nguyễn Viết Pháp and co-heirs of bà Nguyễn Thị 40 102 THĐ Thắng Bùi Mạnh Cường - Lê Thanh Lan - Bùi Thái Linh - Bùi 41 98A THĐ Thái Ly 42 Ông Nguyễn Đình Bình và bà Trần Thị Thu Huế 102B THĐ Đinh Văn Trung - Nguyễn Thị Dung - Lê Thị Kim 43 Phượng - Đinh Thị Thanh Hiếu - Đinh Thùy Hương - 102B THĐ Phạm Hoàng Tùng 44 Ông Nguyễn Gia Linh 102 THĐ 45 Bà Nguyễn Thị Thanh Nhàn 99 THĐ 46 Ông Chu Trọng Huyến và Bà Trịnh Thị Tâm 48 PBC 47 Bà Nguyễn Thị Viên 98A THĐ

No. Name of organization Address Note 1 Hoan Kiem District People's Committee 106B THĐ 2 Vietnam Institute of Educational Science 101 và 106 THĐ Hanoi locomotive station - Yen Vien locomotive 3 106B THĐ factory Construction Enterprise 1 - Bach Dang Company 4 Limited - General Department of Logistics - 106B THĐ Ministry of Public Security Vietnam - Soviet Friendship Labor Cultural 5 91 THĐ Palace, Hanoi Labor Confederation 6 Vietnam Railway Corporation 107 THĐ

External report on resettlement monitoring– 1st half, 2020 Pages 63 / 74

HANOI METRO RAIL SYSTEM PROJECT

Line 3: Nhon - Hanoi Station Section

Appendix 2: The list of people met during the report preparation phase

No. Name Position/ Address 1 Nguyen Cao Minh General Director of MRB 2 Nguyen Ba Son Manager of PID1 of MRB 3 Nguyen Tuan Anh Head, Resettlement Unit/ Deputy Manager of PID1 of MRB 4 Nguyen Hoang Nam Manager of Financial Accounting Department of MRB 5 Vu Duc Chinh PIC for S9 LAR of MRB 6 Phuong Tien Luong PIC for S10 LAR of MRB 7 Truong Chi Tai PIC for S11 LAR of MRB 8 Nguyen Tuan Dung PIC for S12 LAR of MRB 9 Nguyen Duy Tung PIC for S12 LAR and Head of data/report consolidation team of MRB Nguyen Quang Thien PIC for Environmental issues 10 Luu Trung Dung Deputy Manager of Admin Dept./ Head of grievance team of MRB 11 Nguyen Thi Nhung Member of grievance team of MRB Nguyen Duy Hung Member of grievance team of MRB 12 Nguyen Tai Thu PIC for CP1 of MRB 13 Nguyen Thanh Phong Leader of Financial team, PID1 of MRB 14 Nguyen Tung Lam Officer of Dong Da DCARB 15 Tran Trong Khang Deputy of Construction Inspector of Dong Da 16 Nguyen Van Dung Officer of Ba Dinh DCARB 17 Bui Trung Hoa Vice Chairman of Tay Tuu WPC 18 Nguyen Van Chi Renter at 27I Quoc Tu Giam street 19 Nguyen Thi Tinh Tay Tuu ward, Bac Tu Liem district 20 Nguyen Van Luan Tay Tuu ward, Bac Tu Liem district 21 Nguyen Minh Phuong Tay Tuu ward, Bac Tu Liem district 22 Nguyen Thi Thoa Tay Tuu ward, Bac Tu Liem district 23 Nguyen Thien Cuong Tay Tuu ward, Bac Tu Liem district 24 Nguyen Khac Kien Tay Tuu ward, Bac Tu Liem district 25 Nguyen Khac Luong Tay Tuu ward, Bac Tu Liem district 26 Nguyen Thi Yen Tay Tuu ward, Bac Tu Liem district 27 Nguyen Trong Thanh Tay Tuu ward, Bac Tu Liem district 28 Chu Huu Hung Tay Tuu ward, Bac Tu Liem district 29 Chu Huu Dang Tay Tuu ward, Bac Tu Liem district

External report on resettlement monitoring– 1st half, 2020 Pages 64 / 74

HANOI METRO RAIL SYSTEM PROJECT

Line 3: Nhon - Hanoi Station Section

30 Nguyen Thien Binh Tay Tuu ward, Bac Tu Liem district 31 Phan Thi Ky Tay Tuu ward, Bac Tu Liem district 32 Nguyen Thi Lan Tay Tuu ward, Bac Tu Liem district 33 Bui Van Truong Tay Tuu ward, Bac Tu Liem district 34 Pham Van Ngoc Kim Ma ward, Ba Dinh district 35 Nguyen Quang Vinh Kim Ma ward, Ba Dinh district 36 Nguyen Thi Van Anh Kim Ma ward, Ba Dinh district 37 Nguyen Quang Thang Kim Ma ward, Ba Dinh district 38 Pham Van Tuyen Kim Ma ward, Ba Dinh district 39 Nguyen Manh Cuong Kim Ma ward, Ba Dinh district 40 Tran Dung Son Kim Ma ward, Ba Dinh district 41 Nguyen Thi Huong Kim Ma ward, Ba Dinh district 42 Tran Xuan Tung Cat Linh ward, Dong Da district 43 Bui Tuan Anh Cat Linh ward, Dong Da district 44 Le Cong Ky Cat Linh ward, Dong Da district 45 Tran Manh Hung Cat Linh ward, Dong Da district 46 Nguyen Hoang Cuong Cat Linh ward, Dong Da district 47 Do Trung Kien Cat Linh ward, Dong Da district 48 Tran Thi Phu Cat Linh ward, Dong Da district 49 Vu Hong Yen Cat Linh ward, Dong Da district 50 Tran The Hai Cat Linh ward, Dong Da district 51 Dao Minh Ngoc Cat Linh ward, Dong Da district 52 Dao Duc Minh Cat Linh ward, Dong Da district 53 Duong Dinh Chien Head of No.20 residential area of Van Chuong ward 54 Nguyen Van Son Quoc Tu Giam ward, Dong Da district 55 Nguyen Van Thuan Quoc Tu Giam ward, Dong Da district 56 Nguyen Ngoc An Tran Hung Dao ward, Hoan Kiem district 57 Pham Thi Sy Tran Hung Dao ward, Hoan Kiem district 58 Tran Quang Thien Tran Hung Dao ward, Hoan Kiem district 59 Vu Thi Thuy Hang Tran Hung Dao ward, Hoan Kiem district 60 Nguyen Thi Tu Tran Hung Dao ward, Hoan Kiem district 61 Nguyen Hoang Quan Tran Hung Dao ward, Hoan Kiem district 62 Nguyen Duc Truy Tran Hung Dao ward, Hoan Kiem district 63 Nguyen Dinh Tap Tran Hung Dao ward, Hoan Kiem district 64 Le Minh Thuy Tran Hung Dao ward, Hoan Kiem district 65 Vu Van Toan Tran Hung Dao ward, Hoan Kiem district 66 Nguyen Thi Thinh Tran Hung Dao ward, Hoan Kiem district

External report on resettlement monitoring– 1st half, 2020 Pages 65 / 74

HANOI METRO RAIL SYSTEM PROJECT

Line 3: Nhon - Hanoi Station Section

Appendix 3: Detailed complaint resolution process

External report on resettlement monitoring– 1st half, 2020 Pages 66 / 74

HANOI METRO RAIL SYSTEM PROJECT

Line 3: Nhon - Hanoi Station Section

External report on resettlement monitoring– 1st half, 2020 Pages 67 / 74

HANOI METRO RAIL SYSTEM PROJECT

Line 3: Nhon - Hanoi Station Section

External report on resettlement monitoring– 1st half, 2020 Pages 68 / 74

HANOI METRO RAIL SYSTEM PROJECT

Line 3: Nhon - Hanoi Station Section

External report on resettlement monitoring– 1st half, 2020 Pages 69 / 74

HANOI METRO RAIL SYSTEM PROJECT

Line 3: Nhon - Hanoi Station Section

External report on resettlement monitoring– 1st half, 2020 Pages 70 / 74

HANOI METRO RAIL SYSTEM PROJECT

Line 3: Nhon - Hanoi Station Section

External report on resettlement monitoring– 1st half, 2020 Pages 71 / 74

HANOI METRO RAIL SYSTEM PROJECT

Line 3: Nhon - Hanoi Station Section

External report on resettlement monitoring– 1st half, 2020 Pages 72 / 74

HANOI METRO RAIL SYSTEM PROJECT

Line 3: Nhon - Hanoi Station Section

External report on resettlement monitoring– 1st half, 2020 Pages 73 / 74

HANOI METRO RAIL SYSTEM PROJECT

Line 3: Nhon - Hanoi Station Section

Appendix 4: Some photos in the monitoring phase

Resettlement apartments at N07 Building Resettlement apartments at CT2 Building (Dich Vong ward, Cau Giay district) (Hoang Cau ward, Dong Da district)

Depot House No. 269 Cau Giay street encroaching households at S7

Meeting with MRB on the tunnel survey

External report on resettlement monitoring – 1st half, 2020 Pages 74 / 74