Resettlement Planning Document

Short Resettlement Plan Document Stage: Final Project Number: 40914 September 2006

CAM: CPTL Power Transmission Project

Prepared by CPTL Power Transmission Lines Co. Ltd.

The short resettlement plan is a document of the borrower. The views expressed herein do not necessarily represent those of ADB’s Board of Directors, Management, or staff, and may be preliminary in nature.

CURRENCY EQUIVALENTS (as of 1 June 2006)

Currency Unit – $ KR 1.00 = $0.0002 $1.00 = KR 4,163

ABBREVIATIONS

ADB = Asian Development Bank

AP = Affected person

CPTL = (Cambodia) Power Transmission Lines Co. Ltd.

FY = Fiscal Year

GMS = Greater Mekong Subregion

IEE = Initial Environment Evaluation

KR = Riel

NR5 = National Road Five

NR6 = National Road six

OMF2/BP = ADB Operational Manual Bank Policy

OMF2/OP = ADB Operational Manual Operating Procedures

OSPF = Office of the Special Project Facilitator

PEA = Provincial Electricity Authority

PSCM = Private Sector Credit Committee

PSOD = Private Sector Operations Department

ROW = Rights of Way

RP = Resettlement Plan

SRP = Short Resettlement Plan

iii

WEIGHTS AND MEASURES

GWh – 1,000,000 kilowatt-hours Ha – hectare Km – kilometer kV – kilovolt kWh – kilowatt-hour (the energy of 1 kW of capacity operating for 1 hour) m – meter m2 – square meter mm – millimeter MVA – megavolt-ampere MW – megawatt (1,000,000 watts)

GLOSSARY

Affected - means any person or persons, household, firm, private or public person (AP) institution that, on account of changes resulting from the Project, will have its (i) standard of living adversely affected; (ii) right, title or interest in any house, land (including residential, commercial, agricultural, forest, salt mining and/or grazing land), water resources or any other moveable or fixed assets acquired, possessed, restricted or otherwise adversely affected, in full or in part, permanently or temporarily; and/or (iii) business, occupation, place of work or residence or habitat adversely affected, with or without displacement. In the case of a household, the term AP includes all members residing under one roof and operating as a single economic unit, who are adversely affected by a project or any of its components. Common - mean all resources or assets that are held in communal or village property ownership and include (but are not limited to) graves, burial grounds, resources wells, hand pumps and other affected drinking water sources, specimen trees, pagodas, churches and temples, shrines, religious symbols or sites, village ponds or community fishponds, schools, markets, community forest, community grazing land, irrigation canals and facilities, roads, paths, water supply lines and facilities, electricity lines and poles, and communication lines. Compensation - means payment in cash or in kind to replace losses of land, housing, income and other assets caused by the Project. All compensation is based on the principle of replacement cost, which is the method of valuing assets to replace the loss at current market rates, plus any transaction costs such as administrative charges, taxes, registration and titling costs. Cut-off date - means the date prior to which the occupation or use of the Project area makes residents/users eligible to be categorized as affected persons. The cut-off date coincides with the date of the census of affected persons within the Project area boundaries. Persons not covered in the census, because they were not residing, having assets, or deriving an income from the Project area, are not eligible for compensation and other entitlements. Affected people and local communities will be informed of the cut-off date for the Project.

Eligible - means affected persons who (i) hold title to land, or (ii) do not hold landholders title but whose possession of land can be legalized with a title pursuant to the Land Law of Cambodia. Entitlement - means a range of measures comprising compensation, income restoration support, transfer assistance, income substitution, and relocation support which are due to affected people, depending on the nature of their losses, to restore their economic and social base. Host - means the community already in residence at a proposed community resettlement or relocation site. Income - means the re-establishment of income sources and livelihoods of restoration affected people. Land - means the process whereby an individual, household, firm or private acquisition institution is compelled by a public agency to alienate all or part of the land it owns or possesses to the ownership and possession of that agency for public purposes in return for compensation equivalent to the replacement costs of affected assets. Rehabilitation - means assistance provided to project affected persons due to the loss of productive assets, incomes, employment or sources of living, to supplement payment of compensation for acquired assets, in order to achieve, at a minimum, full restoration of living standards and quality of life. Relocation - means the physical relocation of an AP from her/his pre-project place of residence. Replacement - means the method of valuing land, structures and other assets as cost follows: (i) Agricultural land: The replacement cost of agricultural land will be based on a) the pre-project or pre-displacement market value, whichever is higher, of land of equal productive potential or use located in the vicinity of the affected land; plus b) the cost of preparing the land to levels similar to those of the affected land; and, c) the costs of any registration and transfer taxes. (ii) Urban land: The replacement cost equals a) the pre- displacement market prices for land of equal size and use, with similar or improved public infrastructure and services in the vicinity of the affected land; and b) the costs of any registration and transfer taxes. (iii) Houses and other structures: The replacement cost equals a) the current market prices for new building materials to build a replacement structure with an area and quality similar to or better than the affected structure, or to repair a partially affected structure; plus b) the costs of transporting building materials to the construction site; c) the costs of any labor or contractors’ fees; and, d) the costs of any registration and transfer taxes. In determining the replacement cost of structures, no deductions are to be made for a) depreciation of the asset; b) the value of salvage materials; or, c) the value of benefits to be derived from the project. (iv) Annual crops: The replacement cost for annual crops is equivalent to the average production over the last three years multiplied by the current market prices for agricultural products at the time of compensation.

(v) Perennial plants and trees: The replacement cost for perennial plants and trees is equivalent to current market prices given the type, age and productive value of the plants and/or trees, including lost future productivity. (vi) Other assets (community, cultural, aesthetic): Compensation will be calculated on the basis of the current market prices at time of compensation for repairing and/or replacing assets; or, the costs of mitigation measures. For example, compensation for the relocation of a gravesite will include all expenditures for excavation and construction of a new grave of similar type; exhumation and transport of remains to new grave; and, other reasonable costs. Resettlement - means all measures taken to mitigate any and all adverse impacts of a project on AP property and/or livelihoods, including compensation, relocation (where relevant), and rehabilitation as needed. Resettlement - is a time-bound action plan with budget setting out compensation plan (RP) and resettlement strategies, objectives, entitlement, actions, responsibilities, monitoring and evaluation. The RP must be prepared and approved prior to loan appraisal for the Project. Severely means APs who will lose 10% or more of their total productive land affected person - and/or assets or income sources. (SAP) Significant - occur when 200 or more people experience major resettlement resettlement effects, that is, they are physically displaced and/or lose 10% or effects more of their productive, income-generating assets. Vulnerable - mean distinct groups of people who might suffer disproportionately groups or face the risk of being marginalized by the effects of resettlement and specifically include: (i) female headed households with dependents, (ii) disabled household heads, (iii) households falling under the generally accepted indicator for poverty, (iv) landless households, (v) elderly households with no means of support, and (vi) indigenous minorities.

NOTES

(i) In this report, “$” refers to US dollars and ¢ to US cents.

(ii) In this report, Riel (KR) refers to the legal tender of Cambodia.

(iii) The fiscal year (FY) ends on 31 December. FY before a calendar year denotes the year in which the fiscal year ends.

CONTENTS

I. INTRODUCTION 1 II. SCOPE OF LAND ACQUISITION AND RESETTLEMENT 9 III. SOCIO-ECONOMIC PROFILE 12 IV. LEGAL AND POLICY FRAMEWORK 14 V. COMPENSATION AND ENTITLEMENT POLICY 17 VI. PUBLIC DISCLOSURE, CONSULTATION AND GRIEVANCE REDRESS 17 VII. INSTITUTIONAL ARRANGEMENTS 19 VIII. MONITORING AND EVALUATION PROGRAM 19 IX. RESETTLEMENT COSTS 21 X. IMPLEMENTATION SCHEDULE 21

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06-1031 RM 1

I. INTRODUCTION

1. The proposed Power Transmission Project (the project) is being undertaken by Cambodia Power Transmission Lines Co. Ltd. (CPTL), a private company incorporated in Cambodia. The project consists of a 221 km 115 kV transmission line which imports least- cost electric power from Thailand to a switching yard located some 12 km north of the Thailand and Cambodia border town of Poipet, in Cambodia. The power is transmitted onward from the switching station, where it connects to the Provincial Authority of Thailand’s (PEA) 115 kV transmission line, to three substations located in the outskirts of each of the following towns: (i) Sisophon/Banteay Meanchey; (ii) Battambang; and (iii) Siem Reap. The project is predominantly constructed along the rights of way (ROW) of National Road 5 (NR5) and National Road 6 (NR6) using 22 m high reinforced concrete poles inserted into pre-cast concrete foundations. The only exceptions to construction being within the NR5 and NR6 ROW (apart from the switching station and the substations which are built on acquired land) are (a) an 18 km detour around the town of Sisophon/Banteay Meanchey (this 18 km section traverses through rice fields and uses 66 steel lattice towers which are 35 m in height) and (b) a small section (of about 12 km) from NR5 to the Thailand/Cambodian border crossing point which is 12 km north of Poipet, where the connection to Thailand is located (as well as the switching station). This section traverses land owned by an affiliated company of the sponsors and is also built using standard reinforced concrete poles similar to those described above.

2. Land requirements for the project are minimal as the majority of the construction occurs in the government-owned ROW of NR5 and NR6 and on land owned by ASK & KH Group, a subsidiary company of CPTL. Land owned by ASK & KH Group is being transferred to CPTL. The project has required the following land to be purchased to construct the project:

(i) 46,000 m2 - Banteay Meanchey substation;

(ii) 22,655 m2 - Siem Reap substation;

(iii) 14,189 m2 - Battambang substation;

(iv) 6,600 m2 (approximately) – for the 18 km detour around the town of Sisophon/Banteay Meanchey. A total of 66 plots of land were required for the construction of the steel lattice transmission towers; the standard size of each plot was 100 m2.

3. Land for the switchyards is owned by ASK and KH Group and is currently being transferred to CPTL. Land for the substations was purchased by CPTL between 12 November 2005 and 13 December 2005 and the construction of the three substations commenced in January 2006 and is due to be completed by October 2006. Compensation for land acquisition for the three substations has been completed with compensation and entitlements disbursed to the affected people (APs). Work has commenced on the section of the transmission line between Siem Reap and Banteay Meanchey. Foundations and poles have been installed along this section of the alignment. Stringing of the transmission line will take place in August 2006. It is expected that this section of the transmission line will be completed by the end of August 2006. Losses have been identified along the transmission line alignment between Siem Reap and Banteay Meanchey and funds have been set aside by CPTL to compensate APs. Disbursement of compensation was being implemented and about 60 per cent complete as at end July 2006. On the section of the transmission line between Banteay Meanchey and Battambang some installation of foundations has commenced. Losses have been identified along the transmission line alignment between Banteay Meanchey and Battambang, however, as construction is still in

2 the early stage, and surveying of the route and foundation location is still in progress and no compensation has been disbursed to APs. Land to accommodate the transmission towers along the 18 km Banteay Meanchey detour has been identified, surveyed and a deposit made to land owners to commence the purchase of this land. The remaining money for land will be made when the transfer of title takes place.

4. The project crosses seven districts, 34 communes and 127 villages. The pattern of settlement along both sides of NR5 and NR6 is linear in nature. Affected persons (APs) living alongside the NR5 and NR6 ROWs were compensated for temporary and permanent losses as a result of the project. The status of resettlement and adequacy of compensation for the section of the project where construction has commenced is documented in the Social Due Diligence Report prepared for the project in August 2006. A summary of project losses is provided in Table 1.

5. This Short Resettlement Plan (SRP) is prepared for and addresses the resettlement requirements for the 51 km section of transmission line in the ROW of NR5 which travels south between the Sisophon/Banteay Meanchey and Battambang substation(s) and the towers yet to be installed. The project footprint and area affected is small as this component of the project requires the installation of foundations which will accommodate the poles. The poles will be installed at an average distance of 80 m apart. As such some 637 pole installations will be required each occupying an area of about 1m2. As the poles are located in the government owned ROW no land purchase is required, however, compensation will be provided to APs for loss of assets, crops and business income resulting from construction to accommodate the project infrastructure.

6. A summary statement of involuntary resettlement objectives and strategy for the SRP is presented in Table 2.

Table 1 Summary of project losses

Project Number of No. of Component Trees Land Businesses Houses Affected APs Families

In Out of Wood Agricultural Wood with Fruit Other Property Property with land Store Restaurant galvanized Thatched Trees Trees number/ number/ 2 thatched 2 number/m roof m2 m roof

Sub stations 8/82,844m2 † 3 40* 8

Towers 55/6,660m2 55 55

Industrial estate - Banteay Meanchey Transmission Line

440 202 1/1m2 0 64/64m2 1 0 0 0 1 681 118

Banteay Manchey – Siem Reap Transmission Line

305 106 14/14m2 1/1m2 272/272m2 2 0 0 0 1 748 146

Banteay Meanchey – Battambang Transmission Line

1136 250 4/4m2 1/1m2 64/64m2 8 1 5 0 0 1091 198

Total 1881 558 19/19m2 2/2m2 463/7,904m2 11 1 8 0 2 2615 525

Notes: * estimate based on average household of 5 persons † includes access roads to the substations that were acquired as follows: - Banteay Manchey – two plots of land of about 6,000m2 involving two families - Siem Riep – one plot of land about 7,000m2 involving four families - Battambang – public access (no APs)

Table 2: Summary Statement of Involuntary Resettlement Objectives and Strategy I Organizational responsibilities

CPTL is responsible for overall management, financing of the SRP, disbursement of compensation with the assistance of the Provincial Authority and Village Chiefs, responding to grievances, and for progress reporting to lenders. Provisional Authorities in conjunction with Village Chiefs are responsible for the facilitation of the compensation program and progress reporting to CPTL.

II Community participation and disclosure arrangements

Community consultation has already occurred as a component of the Initial Environment Examination (IEE). Community consultation will be undertaken to identify APs, explain project impacts, explain AP entitlements and options, explain the grievance procedure, outline timing of the work. APs will be informed about the ADB’s Accountability Mechanism.

Consultation will include:

(i) Village Chief informs village about project through a village meeting (ii) Displays posted in village to raise awareness on project, advertise compensation cut off date and outline who to contact for more information (iii) CPTL with the Village Chief meet with AP to discuss impacts, entitlements and negotiate compensation (iv) Compensation agreement signed by AP (v) Village informed of commencement of construction and temporary inconveniences at least 2 weeks prior to construction commencing and who to contact if they have a grievance through village meeting, advertisements, radio announcements and posters in village (vi) Village informed of completion of construction.

III Findings of the socioeconomic survey and social and gender analysis

A preliminary social assessment has been conducted based on direct observation during the site visit undertaken by the International Resettlement Specialist on 24 -25 July 2006.

The pattern of development around the transmission line is predominantly linear and follows NR5. This pattern of development is typical along major roads as they are seen to be prime locations for small to medium sized businesses that will capture passing traffic. The towns along the transmission line route show signs of being industrious. This is exhibited through the well organized stalls and variety of businesses present within the towns which include; well established restaurants, building products stores, hardware stores, dentists, food and household good outlets, bike repair shops, battery recharge stalls, and electronic equipment shops, and rice mill factories (see Plate 1). Towns people show signs of having sufficient income and would not be classed as vulnerable or in poverty. An interview with an AP stated that his daily income was equivalent to about USD10/day.

The main crop grown in the area is rice, although not as predominant as in the Siem Reap to Poipet section of the project currently under constructed. This section of the project also consists of more fruit and mature trees.

Main livestock in the smaller towns and rural areas include pigs, chickens and ducks which are either raised for household (personal consumption) or to sell at local markets.

The standard of housing within this section of the project is good and seems to be of a

slightly higher standard than in the section currently being constructed. Houses in the section from Banteay Meancahey to Battambang are predominantly wood with either galvanized or tiles roofs (see Plate 2).

No ethnic minority groups were identified during AP discussions or the site visit.

Community social infrastructure along the transmission line includes, health centers, primary and secondary schools which indicate a well organized community where health and education needs are provided for. Thus one can conclude that almost all children of school age attend school and education levels would be moderate to high. Larger villages have schools. Children from smaller villages travel to schools in neighbouring towns. Larger villages have the medical facilities and villagers without facilities travel to nearby towns, or in more serious cases to the district or provincial hospital.

Bicycles are the dominant mode of transport in the smaller towns with motorcycle ownership dominating as the main mode of transport in the larger towns.

From the site visit no gender disparities were evident. Women were owners or minders of stalls; women were actively involved in construction activities and were comfortable in engaging in discussions with the consultants during the site visit (see Plate 3).

IV Legal framework, including eligibility criteria and an entitlement matrix

The Government of Cambodia’s current legislation governing land acquisition for public purposes is the Land Law (2001). The Land Law, however, does not cover APs without titles or ownership records such as squatters or roadside encroachers. CPTL recognizes that to obtain private sector funding from the ADB for this project, resettlement and relocation must be undertaken in accordance with the ADB’s Operations Manual F2/Bank Policies - Involuntary Resettlement. The ADB policy on resettlement states that the absence of formal or legal land title does not prevent APs from receiving policy entitlements (OMF2/BP paragraph 4(vii)). Nontitled affected people, including displaced tenants, sharecroppers, and squatters, are entitled to various options of resettlement assistance, provided that they cultivated/occupied the land before the eligibility cutoff date. Resettlement assistance to nontitled affected people may also include replacement land, although there is no entitlement to this for such affected people. The resettlement package may include measures to ensure that such affected people are able to find alternative sites or income sources, depending on their losses. OMF2/OP (paragraph 11) states that all eligible affected people, whether titled, legalized, or nontitled, need to be compensated a replacement cost through cash compensation or replacement assets.

Provincial Authorities and CPTL will undertake the following:

1. community consultation to identify APs, explain the SRP and its entitlement policies, identify and confirm with APs compensation entitlements, and outline the grievance procedure; 2. establish a cut-off date to reduce the opportunistic occupation of land and advertise this in affected villages; 3. undertake a verification process confirming individual’s entitlements; 4. negotiate compensation with identified APs; 5. ensure that the appropriate payments are made and recorded (by maintaining a database recording the identification and location of APs, inventory of losses, the compensation paid, and the date and method of payment); 6. establish and operate an easily accessible grievance process prior any compensation being issued, whereby individual appeals related to the compensation process are handled equitably; and 7. report monthly to the ADB on the SRP implementation and include the updated database. V Mechanisms for resolution of conflicts and appeals procedures

The Provincial Authorities are required to establish and operate a grievance process which is easily accessible to APs. This allows individual appeals related to the compensation process to be handled equitably. The grievance procedures are required to be established and be in place, and APs informed of them, before any compensation is issued or construction started.

An information sheet will be prepared in Khmer and will be distributed to all APs and will explain the grievance process and the routes through which grievances can be lodged. It is intended that grievances can be lodged through CPTL, the local authorities or the contractors on-site. An English version of the information sheet is provided in Appendix A.

Although not specifically on this section of NR5, road side communities along NR5 and NR6 have already been affected by the GMS Road Improvement Project and been subject of a socio-economic survey in 2002. Previous exposure to the compensation process will have already made APs aware of how compensation is decided and implemented. This SRP will be implemented in an environment where APs have knowledge and experience in dealing with resettlement impacts.

VI Identification of alternative relocation sites and selection

No relocation of houses, shops or other businesses is required on section of the project. As such, no alternative relocation sites are required.

This ROW is defined as being 30 m from the center line of the NR5. The project is designed to be constructed 26.5 m from the center line, to minimize disturbance to the villages and linear developments along ROW edge. Although there will be some impact on gardens and businesses to accommodate the poles none will require relocation. CPTL will work with APs to reach agreement on how poles will be accommodated and any structure requiring dismantling or modification will be placed or reassembled. In addition, loss of business income due to temporary closure will be compensated based on average daily income for the period the business cannot operate.

VII Inventory, valuation of, and compensation for, lost assets

CPTL has:

(i) prepared an inventory of losses and identified the number of APs (Table 1 and Table 3)

(ii) adopted the entitlements and unit compensation rates (Table 4)

(iii) prepared a compensation budget for losses identified (Table 5).

Although not envisaged, compensation for the loss of business, incomes and wages will be paid in cash at negotiated replacement cost until the business can recommence. APs will be compensated for the loss of fruit and timber trees located within or immediately on the edge of the ROW and affected by the project. Fruit tree compensation is based on the replacement cost of a mature mango tree which is US$50 per tree. This is to facilitate the ease of compensation payments as mango trees incur the highest compensation rate.

VIII Landownership, tenure, acquisition, and transfer

No further land purchase is required. No purchase of land is necessary for the installation of poles.

IX Access to training, employment, and credit

The Project will not permanently displace APs or impact on their income sources, therefore training, employment and credit rehabilitation measures are not be required.

X Shelter, infrastructure, and social services

The Project is not expected to displace housing units in the ROW. Given the small footprint area required to accommodate each pole (1 m2) it is highly unlikely that relocation of houses or businesses would be required. During the site visit undertaken with CPTL it was agreed that solutions would be discussed with APs. Relocation, from a project and social perspective would not be feasible and would in fact create greater social implications. Any affected structures to accommodate the poles will be compensated in cash at replacement cost, or disturbed areas and structures would be replaced and/or rehabilitated to the original condition or as agreed with APs once construction is complete. No community infrastructure or social services will be affected by the project.

XI Environmental protection and management

An Initial Environmental assessment (IEE) has been undertaken for the project and no major environmental impacts were identified. Land mine clearance is not required as the alignment of the transmission line follows the ROW of NR5. Typical construction practices to be used will manage all potential minor impacts identified.

XII Monitoring and evaluation

CPTL will establish a monthly monitoring program, whereby the Provincial Authorities will prepare monthly progress reports on all aspects of resettlement including compensation agreements, compensation disbursements, consultation and grievances raised by APs. The monthly reports will reflect the progress of SRP implementation with particular attention to compensation payments, consultation, and grievance resolution. CPTL will submit this report to ADB. The monthly report will be audited by an independent International Resettlement Specialist on completion of construction.

XIII A detailed cost estimate with budget provisions

A budget of US$500,000 has been allocated for the compensation of APs along the 51 km of transmission line and towers yet to be installed. This amount is based on losses and units rates of compensation provided in Tables 3,4 and 5. A 10 per cent contingency has been applied to account for unforeseen losses during construction of the project. In addition, costs for implementation and monitoring by the Provincial Authority and audit by an International Resettlement Specialist has also been included in the resettlement budget. The actual budget required is shown in Table 5 (US$408,705) however CPTL have ensured that adequate funds (over and above those calculated) have been allocated should any unforeseen circumstances arise such as disturbance to agricultural land not anticipated.

XIV An implementation schedule, showing how activities will be scheduled with time- bound actions in coordination with the civil works

Installation of the foundations and poles is scheduled to start in November 2006. The transmission line is to be completed by 30 April 2007. Prior to commencement of construction the following activities must be completed:

1. Identification of losses 2. Identification of APs, and the establishment of a cut-off date to be eligible for compensation 3. Consultation and explanation of the SRP, its entitlement policies, and grievance procedures 4. Verification process confirming individual’s entitlements

5. Negotiation of compensation with identified APs 6. The establishment of an easily accessible grievance process whereby individual appeals related to the compensation process are handled equitably 7. Payment of the APs (recorded using a database) 8. Monthly reporting to CPTL of the SRP implementation.

7. The Project has been classified as a Category B for Involuntary Resettlement. This SRP is being prepared and implemented in accordance with ADB policy.

II. SCOPE OF LAND ACQUISITION AND RESETTLEMENT

8. The project has a minimal footprint and requires the purchase of small parcels of land, approximately 1m2, along the transmission line alignment for the installation of poles. This section of the project will be constructed along the ROW of NR5. This ROW is defined as 30 m from the center line of the highway. However, the project is designed to be constructed 26.5 m from the center line, to minimize disturbance to the villages and linear development along the edge of the ROW and NR5. Each pole occupies about 1m2 in the ROW. Other components of the project have been addressed in the Social Due Diligence Report prepared in August 2006 and summarised in Table 1. This SRP addresses resettlement requirements along the transmission line alignment from Banteay Meanchey to Battambang. 9. This section of the project will not require relocation of houses, businesses or community facilities and where possible resettlement impacts will be avoided by trying to find alternative locations for poles to minimize impacts on assets and working with APs to find agreeable solutions where impact cannot be avoided. Where businesses are impacted and physical temporary dismantling of structures is required impacts would only occur for a few days. The NR5 road has been upgraded between Battambang and Sisophon/Banteay Meanchey and the ROW is well defined in many areas. The ROW is state owned and settlement on the ROW is prohibited. However, encroachment along linear developments, particularly main roads, is common. As such, contingency provision is made by CPTL for up to about 70 per cent of pole installation causing some claims for compensation (for loss of trees, impacts on stalls, construction disturbance, etc.). 10. No relocation of houses or businesses is expected and no land acquisition will occur. Impacts and losses as a result of this section of the project are shown in Table 3. The total number of APs is 1116. This comprises 1091 as a result of the transmission line and 25 APs as a result of the towers. The compensation rates are based on the replacement cost of assets, loss of income, and damage to crops during construction and unit rates are shown in Table 4. APs will have the choice of using compensation to purchase and replace items or using compensation for other means. The resettlement budget is show in Table 5.

Table 3: Inventory of losses

Location Trees Pole Installed Businesses Houses No. of Number of In Wood with Wood with Affected Affected Fruit Other In Out of agricultural District Commune Village Store Restaurant galvanized thatched Thatched People Families Trees * Trees+ Property Property land roof roof (Rice field) Mongkol Borey Town 50 3 35 7

Banteay Neang 45 5 35 7 Banteay Neang Khuta Leip 135 19 8 70 14.

13 Ou Prasat Ou Prasat 56 5 3 5 65 Mongkol Borey Phnum Thom 65 7 10 70 14 Thomey Phnum Thom Phnum Thom 68 5 1 55 11

Phnum Touch Tbong Watt Thamey 125 12 1 81 16

Oneo 85 11 7 70 14

Bong Pring Bong Pring 42 27 5 72 12

Poi Tasay 10 7 26 5

Chrouy Sdau Chrouy Sdau 156 19 75 15

Ta Meun Ta say 23 24 25 5

Ta Mor Kol Town 5 2 1 6 1 5** 96 Ta Mor Kol

Khasi Kham 55 12 8 1 62 12. Ta Pung Poi Sam Rhung 35 13 46 9

Whel Tria 112 37 9 105 21.

Ou Taki Puopel Ker 40 25 7 52 10 Ou Taki 15 12 5 30 6 Kho kho 14 5 21 4 TOTAL 1136 250 4 1 64 8 1 5 0 0 1091 198

Notes: * trees include fruit trees such as mango, coconut etc. + denotes mature trees over 100 years old ** the five houses made of wood with galvanised roof will not be moved or rebuilt. The poles will be constructed near the houses and as such any damage will be restored or renovated and compensation will be paid for inconvenience.

Table 4: Entitlement Matrix Rate of Losses Type Compensati Basis of Compensation Additional Measures on Trees Fruit Trees US$ 200.00 Cost of mature producing tree. Provision of compensation prior to cut the affected trees. (Mango, Coconut AP will be able to plant fruit trees in designated areas. Trees, Etc…) APs will be assisted in planting trees in new areas or adjacent to the ROW so long as heights and growth do not impact on the project in the future. Other Trees US$ 50.00 Cost per year length of trees. Provision of compensation prior to cut the affected trees. (Big/Century) AP will be able to plant trees in designated areas. APs will be assisted in planting trees in new areas or adjacent to the ROW so long as heights and growth do not impact on the project in the future. Pole In Property US$ 100.00 Cost of land affected per square meter. Provision of compensation prior to install pole. Installed Out of Property US$ 50.00 Cost of land affected per square meter. Provision of compensation prior to install pole.

In agricultural land US$ 100.00 Cost of affected agricultural land and rice Provision of compensation prior to install pole. (Rice field) per square meter. Business Store US$ 2500.00 Replacement and repair cost of similar Provision of compensation prior to dismantling. Salvage of materials from structure and cost of loss on income the existing store. Rehabilitation of disturbed area. based on daily average rates. Restaurant US$ 2500.00 Replacement and repair cost of similar Provision of compensation prior to dismantling. Salvage of materials from structure and cost of loss of income the existing restaurant. Rehabilitation of disturbed area. based on average daily rates.

Houses Wood with US$ 5000.00 Replacement cost of similar structure and Provision of compensation prior to dismantling. Salvage of materials from galvanized roof compensation cost per affected person. the existing house. Rehabilitation of disturbed area.

Wood with thatched US$ 3500.00 Replacement cost of similar structure and Provision of compensation prior to dismantling. Salvage of materials from roof compensation cost per affected person. the existing house. Rehabilitation of disturbed area.

Thatched US$1000 Replacement cost of similar structure and Provision of compensation prior to dismantling. Salvage of materials from compensation cost per affected person. the existing house/thatched. Rehabilitation of disturbed area.

Other US$100 Present cost of affected properties. Provision of compensation prior to dismantling. Salvage of materials from Property the existing property.

Table 5: Resettlement Budget Rate of Number Losses Type Compensation requiring Total (US$) (US$) compensation Trees Fruit Trees (Mango, 200 1136 $227,200.00 Coconut Trees, Etc…) Other Trees 50 250 $12,500.00 (Big/Century) Pole Installed In Property 100 4 $400.00 Out of Property 50 1 $50.00 In agricultural land 100 64 $6,400.00 (Rice field) Business Store 2500 8 $20,000.00 Restaurant 2500 1 $2,500.00 Houses Wood with 5000 5** $25,000.00 galvanized roof Wood with 3500 $0.00 thatched roof Thatched 1000 $0.00 Other Property 100 $0.00 Towers 10 x 10 m land 1100 25 $27,500.00 (100m2) Sub Total $321,550.00 Monitoring and Evaluation $50,000.00 Contingency (10%) $37,155.00 Total $408,705.00

Notes: (i) Compensation for businesses includes loss of income which is estimated, based on a worst case scenario, to be 1 week (7 days) with average income being US$10/day. (ii) The compensation budget is derived from the inventory of losses (Table 3) and compensation rates (Table 4). (iii) ** The five houses made of wood with galvanised roof will not be moved or rebuilt. The poles will be constructed near the houses and as such any damage will be restored or renovated and compensation will be paid for inconvenience

III. SOCIO-ECONOMIC PROFILE

11. A preliminary social assessment has been conducted based on direct observation during the site visit undertaken by the International Resettlement Specialist on 24 -25 July 2006.

12. The pattern of development around the transmission line is predominantly linear and follows NR5. This pattern of development is typical along major roads as they are seen to be prime locations for small to medium sized businesses that will capture passing traffic. The towns along the transmission line route show signs of being industrious. This is exhibited through the well organized stalls and variety of businesses present within the towns which include; well established restaurants, building products stores, hardware stores, dentists, food and household good outlets, bike repair shops, battery recharge stalls, and electronic equipment shops, and rice mill factories (see Plate 1). Towns people show signs

13 of having sufficient income and would not be classed as vulnerable or in poverty. An interview with an AP stated that his daily income was equivalent to about US$10/day.

13. The main crop grown in the area is rice, although not as predominant as in the Siem Reap to Poipet section of the project currently under constructed. This section of the project also consists of more fruit and mature trees.

14. Main livestock is the smaller towns and rural areas include pigs, chickens and duck which are either raised for household (personal consumption) or to sell at local markets.

15. The standard of housing within this section of the project is good and seems to be of a slightly higher standard that the section currently being constructed. Houses in the section from Banteay Meanchey to Battambang are predominantly wood with either galvanized or tiles roofs (see Plate 2).

16. No ethnic minority groups were identified during AP discussions or the site visit.

17. Community social infrastructure along the transmission line includes, health centers, primary and secondary schools which indicate a well organized community where health and education needs are provided for. Thus one can conclude that almost all children of school age attend school and education levels would be moderate to high. Larger villages have school. Children from smaller villages travel to schools in neighbouring towns. Larger villages have the medical facilities and villagers without facilities travel to nearby towns, or in more serious cases to the district or provincial hospital.

18. Bicycles are the dominant mode of transport in the smaller towns with motorcycle ownership dominating as the main mode of transport in the larger towns.

19. From the site visit no gender disparities were evident. Women were owners or minders of stalls, women were actively involved in construction activities and were comfortable in engaging in discussions with the consultants during the site visit (see Plate 3).

Plate 1 Stores along NR5 and consultations with stall owners.

Plate 2 Typical house type.

Plate 3 Women engage in construction of project substations

IV. LEGAL AND POLICY FRAMEWORK

20. The policy frame work and entitlements for the project have been formulated based on the laws of the Government of Cambodia, ADB’s Policy on Involuntary Resettlement (1995) and the ADB’s Operations Manual F2(2003), and approved resettlement plans for other ADB financed linear projects in Cambodia. The Government of Cambodia’s current legislation governing land acquisition for public purposes is the Land Law (2001). The Land

Law, however, does not cover compensation of APs without titles or ownership records such as squatters or roadside encroachers. The ADB’s Policy on Involuntary Resettlement (November 1995) will be adopted as the framework for this resettlement plan and the basis for establishing entitlements for APs without titles. 21. The common objective of these policies is to ensure that APs requiring resettlement as a result of the project should at least maintain their pre project standard of living. This SRP has been prepared with this as a guiding principle. The absence of title or certification of land will not preclude APs of compensation payment. In fact, given the project is built along government-owned ROW, by definition, all APs are without title, however, the Government has established a precedent on GMS Road Improvement Project of compensating for loss of ROW land use and this principal will also apply on this project. The guiding principles of resettlement for this project are presented in Table 6 below.

Table 6: Resettlement Principles and Approach Applicable to the Project Principles Approach

I Land acquisition and The Project was specifically designed to minimize the purchase of land involuntary resettlement and avoid encroachment on households, businesses, farmland and should be minimized. assets. The Project is constructed in the ROW of road NR5. This ROW is defined as 30 m from the center line of the highway. The Project is designed to be constructed 26.5 m from the center line, to minimize disturbance to the villages and structures along the edge of the ROW.

II Plans should be prepared Losses as a result of the project have been identified in Tables 1 and 3. for compensation, resettlement, and Table 4 outlines entitlements and measures to ensure that livelihood is rehabilitation of APs. at least maintained and APs are compensated for losses at replacement cost.

III Community participation is Community consultation has already occurred as a component of the assured. IEE. Community participation will be undertaken prior to resettlement to ensure the public is aware of the project. Community participation will include:

I. Village Chief informs village about project through a village meeting

II. Displays posted in village to raise awareness on project, advertise compensation cut off date which and outline who to contact for more information

III. CPTL with the Village Chief meet with AP to discuss impacts, entitlements and negotiate compensation

IV. Compensation agreement signed by AP

V. Village informed of commencement of construction at least 2 weeks prior to construction commencing and who to contact if they have a grievance through village meetings, advertisements, radio announcements and posters.

VI. Village informed of completion of construction.

IV APs will receive All APs identified by the Provincial Authorities who are expected to compensation for all losses experience losses which are documented in the inventory of losses at replacement cost for survey before the compensation cut off date will be entitled to assets and livelihoods. compensation and rehabilitation measures. Compensation will be at replacement cost to ensure losses can be replaced, income maintain, loss of production regained and pre-project standard of living is maintained. The basis of entitlements to be received by APs is

Principles Approach

provided in Table 4 and is consistent to entitlements and unit rates provided on the GMS National Road Improvement Project which traverses through the same area.

V APs will not be required to The project is to be built in the N5 ROW which is government owned have formal legal title to the land. No distinction will be made between APs with formal and informal land used by them to be title to land adjacent to the ROW. APs without title will be compensated eligible for compensation for loss of land use, assets and income. and rehabilitation measures.

VI Resettlement planning and The compensation and resettlement activities will be incorporated in to implementation are to be an the project program. As outlined, all losses and APs will be identified, integral part of Project compensation agreement finalized and compensation disbursed to APs design. prior to construction commencing.

VII Special measures have Based on the site visit undertaken, no vulnerable households were been included in the RP to encountered. However, during discussions with APs should vulnerable protect socially and households, such as women-headed families, children, elderly people economically vulnerable without support structures, and people living in extreme poverty groups. (earning less than $10 per month) be identified additional assistance measures such as additional monetary assistance will be provided to improve their socio-economic status. This is in accordance with the ADB’s OMF2/BP paragraph 4(ix).

VIII There will be effective Mechanisms are in place to acknowledge and respond to grievance procedures. AP grievances. An information sheet providing a detailed explanation of the grievance process with accessible routes through which grievances can be lodged will be produced in Khmer and distributed to all APs. An example is provided in Appendix A.

IX APs should be fully informed An information sheet about the project and entitlements will be and closely consulted on distributed to the APs during the resettlement planning stage and prior resettlement and to discussing compensation with APs, so they are fully aware of compensation options. entitlements and rights. The final SRP will be displayed in the provincial authorities’ offices and locally at the community hall. The summary SRP in the form of an information sheet will be disclosed to APs before ADB’s PSCM in accordance with ADB’s Public Communications Policy.

X APs will receive adequate All houses affected by pole installation will be compensated for losses. support if necessary to Based on the inventory of losses and the nature of the project, that is obtain replacement land and requiring small parcels of land it is highly unlikely that replacement land resettlement. will be required.

XI The land acquisition, SRP implementation will be closely monitored internally by CPTL in compensation, resettlement, conjunction with provincial authorities. Monthly progress reports on and rehabilitation process SRP implementation with particular attention to compensation will be monitored by CPTL, payments, consultation, and grievance resolution compensation will be the provincial authorities and provided to the ADB. An International Resettlement Specialist will audit ADB. the process on behalf of the ADB.

22. The resettlement framework has been designed to cover compensation for lost assets and restore or enhance the livelihoods of all APs. The APs will receive compensation for lost or resettled assets (structures, fruit and shade trees, etc), and temporary loss of income during construction. All compensation will be discussed, negotiated and agreed with the APs, and payment made based on the agreed market price based on a replacement value of losses.

V. COMPENSATION AND ENTITLEMENT POLICY

23. Whilst compensation will be negotiated between the Provincial Authorities and APs1, a minimum or baseline compensation level has been established to ensure replacement cost of losses. This minimum standard will be no lower than replacement cost.

24. The main minimum compensation rates include: (i) Structures residential and businesses - will be compensated at least at full replacement value with no deduction for age or depreciation or salvaged materials; (ii) Business/incomes or employment - cash compensation for the loss of business, incomes and wages at least at replacement cost based on average daily income generated until the business can recommence productivity; (iii) APs will be compensated for the loss of fruit and timber trees located within the ROW based on the cost of a mature producing tree and multiplied by a five years factor. This will compensate for lost income until the newly planted seedlings bear fruit. APs will be assisted in planting new trees in designated areas or adjacent to the ROW so as not to interfere with the transmission line.

25. Based on losses, shown in Table 3 and entitlements, shown in Table 4 a resettlement budget has been calculated and is shown in Table 5. The resettlement budget outlines the allocation of funds to ensure APs lifestyle and livelihood is not affected by the project.

VI. PUBLIC DISCLOSURE, CONSULTATION AND GRIEVANCE REDRESS

26. Community consultation has already occurred as a component of the IEE. Community participation will include:

(i) Village Chief informs village about project through a village meeting

(ii) Displays posted in village to raise awareness on project, advertise compensation cut off date which and outline who to contact for more information

(iii) CPTL with the Village Chief meet with AP to discuss impacts, entitlements and negotiate compensation

(iv) Compensation agreement signed by AP

(v) Village informed that construction will commence least 2 weeks prior to construction commencing and who to contact if they have a grievance through village meetings, advertisement, radio announcement and posters.

(vi) Village informed of completion of construction

27. The SRP (or its summary) on compensation and resettlement entitlements and options will be disclosed to APs immediately following completion of this Plan and will be posted in the ADB website. Disclosure of the SRP (or its summary) will occur through village meetings and signage around villages, and in Khmer so that it can be readily understood by all APs.

1 As is customary practice in Cambodia.

28. An information sheet will be prepared and distributed to all APs. The information sheet, which will be produced in Khmer so that it can be read and understood by APs, will include:

(i) a brief project description, potential impacts and schedule (ii) details on the entitlements outlined in the SRP and how APs can claim their entitlement(s) (iii) an outline the compensation process and set out minimum or indicative compensation rates at replacement cost (iv) an explanation of the disbursement of compensation process (v) an explanation timing of the disbursement of compensation (vi) an explanation of the grievance process with accessible routes through which grievances can be lodged.

An example information sheet is provided in Appendix A and will be translated in Khmer.

29. All APs will have the right to appeal against any aspect of the resettlement process which they disagree with. The consultation process and grievance process is shown in Figure 2.

Figure 2: Consultation, Compensation and Grievance Process.

Consultation Process

CPTL

G r Provincial Authority i e v a Village Chief n c e Village meeting to P inform villagers r o Compensation Process c e s survey team s identifies losses Village Chief discusses and informs AP of AP agreement compensation with APs impact

Compensation

compensation disbursement

Construction Provincial Authority CPTL Contractor

30. The main objectives of the grievance procedure are to provide an avenue for APs to voice dissatisfaction, make complaints or express grievances to Village Chiefs either verbally or in writing. Any hardship or dissatisfaction with the process can be taken to higher levels as shown in Figure 2 for resolution. As shown in Figure 2 the consultation, compensation and grievance process provides APs who have objections or concerns about the project, entitlements and disbursement of compensation with an accessible and known procedure through which to raise their objections and have them resolved.

31. If efforts to resolve disputes at the village and project level are still unresolved and unsatisfactory, APs have the right to directly discuss their concerns or problems with ADB’s Private Sector Operations Department (PSOD), through the ADB Cambodia Resident Mission office in Phnom Penh. If APs are still not satisfied with the responses of PSOD, they can directly contact the ADB's Office of the Special Project Facilitator (OSPF) as outlined in the attached "Information Guide to the Consultation Phase of the ADB Accountability Mechanism". An English version is provided in Appendix B.

32. The draft SRP or its summary information sheet will be disclosed to APs and uploaded on the ADB’s Involuntary Resettlement website. The final SRP will also be disclosed to the APs and uploaded on the ADB’s Involuntary Resettlement website.

VII. INSTITUTIONAL ARRANGEMENTS

33. Overall management and financing of the SRP will be the responsibility of CPTL, who will engage the relevant Provincial Authorities to oversee the implementation of the SRP. The Provisional Authorities will be required to undertake the following: (i) community consultation to identify APs, explain the SRP and its entitlement policies and resettlement options, including grievance procedures and solicit AP cooperation; (ii) establish a cut-off date to reduce the opportunistic occupation of land by people who want to take advantage of the compensation packages; (iii) undertake a verification process confirming individual’s entitlements; (iv) negotiate compensation with identified APs; (iv) ensure that the appropriate payments are made and recorded (by maintaining a database recording the identification and location of APs, inventory of losses, the compensation paid, and the date and method of payment); (v) respond to grievances and complaints; (vi) provide a monthly update report to CPTL which include an updated database on the SRP implementation.

34. The Provincial Authority may, and often does, seek the assistance of Village Chiefs in implementing the above mentioned responsibilities. For example compensation negotiations are typically undertaken by the Village Chief as shown in Figure 2.

VIII. MONITORING AND EVALUATION PROGRAM

35. During project implementation, CPTL will establish a monthly monitoring system involving the Provincial Authorities who will prepare progress reports on all aspects of compensation and resettlement activities and operations. The monthly reports shall reflect the progress in SRP implementation with particular attention to compensation payments, consultation, and grievance resolution. CPTL will submit these reports to the ADB showing progress of resettlement implementation. These monthly reports will be consolidated into a

final report. The SRP obligations (budget, implementation, reporting and finalization) will represent legal obligations of CPTL under the project loan documents.

36. Provincial Authority and Village Chief and external monitoring by third party international consultants have been developed for the project. The focus of internal monitoring is based on ensuring timely and effective completion of the compensation payment process. External monitoring is directed at confirming the effectiveness and sustainability of income and livelihood. Complete recovery from resettlement can be protracted and monitoring should therefore be undertaken for a reasonable period after construction is completed. Given that the resettlement impacts are not significant it is proposed that one external monitoring event be undertaken following completion of construction. Further monitoring will be at the judgment of the monitor following the outcome of the initial event.

37. Provincial Authorities, Village Chiefs and CPTL Contractors will monitor progress of compensation disbursement throughout construction. Internal monitoring criteria, duration of monitoring activities and monitoring activities are shown in Table 7.

Table 7 Internal monitoring Monitoring Measures Monitoring Period Responsibility Indicators Frequency

Performance Notification Monthly Notification to Provincial against SRP Survey and measurement completion plus Authority, Agreement signed 3 months after Village Chiefs Compensation disbursed construction Monitoring Maintaining Was compensation paid? Monthly From start of Provincial living Was compensation adequate compensation Authority, standards and on time? payments to Village Chiefs Were other entitlements completion plus delivered? 3 months Were services in place? Have affected businesses received entitlements? Levels of AP Do APs understand the Monthly Notification to Provincial satisfaction resettlement process? completion plus Authority, Do APs understand their 3 months Village Chiefs entitlements? Have APs experienced hardship arising from the project?

Consultation Have APs been notified? Monthly Notification to Provincial and Have village consultation completion plus Authority, Grievances meetings been held? 3 months Village Chiefs Do APs understand the grievance procedure? Have any APs used the grievance procedure? What were the outcomes?

38. CPTL will support and fund external monitoring by a third party ADB approved consultant. Specific objectives of external monitoring will be:

• To provide third party verification of the internal monitoring process

• To verify that APs income and livelihood have been at least maintained in accordance with ADB OMF2/BP and OMF2/OP

• To assess whether resettlement planning and entitlements were appropriate for meeting APs needs and identify lessons learnt for future project.

39. There is no one or two indicators that can be used to monitor whether APs livelihoods have been affected by the project as the area is further complicated by rapid change that will occur once NR5 is upgraded. To overcome these difficulties in establishing base cases external monitoring will rely on rapid appraisals involving consultations with a range of APs to qualitatively evaluate resettlement outcomes. The evaluation will be based on:

• Income levels and sources before and after the project

• Agricultural production data before and after the project

• Interviews with AP to gauge the extent to which the project affected their livelihood or income

• Review grievance procedures to assess the extent to which any hardships have occurred as a result of the project or been addressed.

40. Monitoring will take place after construction. Based on findings of monitoring additional monitoring events may be recommended. Reports will be prepared after the monitoring and submitted to CPTL and the ADB, outlining any remedial actions. Internal and external monitoring costs are built into the project budget.

IX. RESETTLEMENT COSTS

41. CPTL will ensure that resettlement budgets are delivered on time to the Provincial Authorities office for a timely disbursement to APs prior to disturbance taking place. The budgeted resettlement cost of this 51 km section of the Project is US$408,705, however, CPTL have set aside US$500,000 for resettlement. This amount is based on entitlements as specified in Table 4. The budget breakdown is shown in Table 5. 42. As shown in Table 5 a 10 per cent contingency is provided and allocation has been made for internal and external monitoring and evaluation.

X. IMPLEMENTATION SCHEDULE

43. The transmission line is to be completed by 30 April 2007 construction of the poles is to start in November 2006. Based on these dates the resettlement implementation schedule is shown in Table 8.

Table 8: Resettlement Implementation Schedule Activity Date Responsibility

Inform villages of project July 2006 Provincial Authority

Identification of APs, establishment of a cut-off July 2006 CPTL and survey team with date, explanation of the SRP, its entitlement assistance from Provincial policies, and grievance procedures Authority and Village Chiefs

Posting of Summary RP on ADB website September 2006 ADB

Public disclosure of RP to affected villages September 2006 Provincial Authority/Village Chiefs

Negotiation of compensation with identified August/September Provincial Authority/ Village APs 2006 Chiefs

Payment of the APs (recorded using a September/October CPTL provides funds to database) before displacement. 2006 Provincial Authority.

Provincial Authority to disburse compensation.

CPTL contractor to disburse if not already implemented by Provincial Authority during construction.

Inform villages of commencement of October 2006 CPTL or Village Chiefs construction and grievance procedure

Compensation and resettlement satisfactorily October 2006 CPTL completed and rehabilitation measures in place before commencement of civil works Construction commences November 2006 CPTL and Contractor

Construction completed 30 April 2007 CPTL and Contractor

Monthly reporting to CPTL of the SRP August 2006 – May Provincial Authority with implementation by Provincial Authority 2007. support from Village Chief

External Monitoring and evaluation November 2006 External Monitor

Appendix A - Information Flier

CPTL TRANSMISSION LINE PROJECT

BEANTEY MEANCHEY TO BATTAMBANG SECTION

The proposed Power Transmission Project is being undertaken by Cambodia Power Transmission Lines Co. Ltd. (CPTL). The project consists of a 221 km 115 kV transmission line which imports least-cost electric power from Thailand. The project is predominantly constructed along the rights of way (ROW) of National Road 5 (NR5) and National Road 6 (NR6) using 22 m high reinforced concrete poles inserted into pre-cast concrete foundations. On the section of the transmission line between Banteay Meanchey and Battambang installation of foundations and poles will take place. This will impact on some trees, stalls and gardens.

All people affected by the project will be notified. Compensation will be paid for losses to all people who have resided in the area prior to the date of this notice. Your Village Chief will be able to provide you with guidance on compensation amounts and negotiations and be of assistance during the compensation process should you require this. Compensation will be paid to affected people prior to construction commencing.

Construction of project will commence in November 2006 and is expected to be completed by the end of April 2007.

If you have any complaints or grievances you can:

Discuss these with or Village Chief in the first instance

If you are not satisfied with the outcome you can take your complaint or grievance to the Provincial Authority for resolution

If you are still not satisfied with the outcome you can take your complaint or grievance directly to the Asian Development Bank (ADB) who are financing the project. ADB contact details are:

CPTL would like to thank you for your co-operation.

Appendix B - "Information Guide to the Consultation Phase of the ADB Accountability Mechanism" – English version.

An Information Guide to the Consultation Phase of the ADB Accountability Mechanism

“We listen to people and communities affected by ADB-assisted projects” @ 2005 Asian Development Bank The views expressed in this pamphlet are those of the authors and do not necessarily reflect the views and policies of the Asian Development Bank or its Board of Governors or the governments they represent.

The Asian Development Bank does not guarantee the accuracy of the data included in this publication and accepts no responsibility for any consequence of their use. “We have been affected by an ADB-assisted project, we didn’t know this will ruin our farms, the source of our livelihood, our culture, our environment, what should we do?”

Discuss your problem first with the project staff. If you are unsatisfied with their responses you should address your concerns to:

The Office of the Special Project Facilitator (OSPF) Asian Development Bank 6 ADB Avenue Mandaluyong City 1550 Metro Manila, Philippines Tel: (+632) 632-4825 or Fax (+632) 636-2490 E-mail: [email protected] Website: www.adb.org/spf

At least two persons from your community can write a letter of complaint.

The complaint may also come from a local organization, association, or other groups of individuals from your community.

Some people find it easy to appoint a representative who can duly represent them.

• We, at the Office of the Special Project Facilitator, are ready to listen to your complaints with the aim to find satisfactory solutions to problems.

• We provide an independent forum for people and communities who have been adversely affected by an ADB-assisted project.

• We handle the Consultation Phase, which involves a series of activities and dialogue with all concerned parties to reach a good resolution. In situations where there is an Implementing Agency at the local level, your complaints should first be addressed to the

Remember Before approaching OSPF for a complaint, discuss your problem with the project staff of the Implementing/Executing Agency involved in the project, and with the Project Officer from the ADB Operations Department:

______

Document and attach correspondence, details of meetings, emails, and other communications. “ What do we have to prepare and consider before deciding to write a complaint to the Office of the Special Project Facilitator (OSPF)?”

We want to act on your complaint as efficiently as possible. So make sure you have done the following:

Before approaching OSPF for a complaint, discuss your problem with the project staff of the Executing/Implementing Agency involved in the project, and with the Project Officer from the ADB Operations Department.

Talk to other members of your group, neighbors, or community. Thoroughly assess the situation and determine if the problem you are experiencing is caused by an ADB-assisted project.

It is important to note how many of you are affected and in what way have you experienced such harm.

Write down detailed factual and verifiable descriptions of the harm you have experienced to support your complaint. This may include specific adverse effects to your livelihood, environment, or community.

Identify the name of your group or the complainant.

If you choose to have somebody represent you, e.g. an NGO, a local leader, etc., make sure you provide your representative with a letter of authority.

Indicate the complainant’s and authorized representative’s name, contact address, and other relevant information.

Indicate the name and location of the ADB-assisted project that has caused you harm.

If you decide to keep your name confidential, indicate it in your letter. We assure that all matters will be kept in confidentiality.

Agree with your group/community what action or outcome you expect from ADB.

Write your letter-complaint in either English or your national language. SAMPLE LETTER OF COMPLAINT

Date:

Office of the Special Project Facilitator Asian Development Bank 6 ADB Avenue 1550 Mandaluyong City Metro Manila, Philippines

Tel: (632) 632-632-4825 Fax: (632) 636-2490 Email: [email protected]

Dear Special Project Facilitator,

We, [(name of your group) or name of representative authorized by your group]______, whose names and addresses are attached, live in [location and country] ______.

We hereby present this complaint to the Special Project Facilitator. [If the complaint is filed through a representative, please provide the names of the project-affected people with their addresses and evidence of authority to represent them].

1. We are currently experiencing problems due to an ADB-assisted project [specify name and description of project, and specify the site and country where project is located].

2. The direct harm we experience is/are the following: [describe the problem]

3. We seek the following outcomes and remedies through the help of the Special Project Facilitator: [describe what you would like to happen, how the harm or problem can be resolved].

4. We have previously made efforts to address our problem with the EA/IA and ADB operations department concerned in the following manner: [list and attach correspondence, details of meetings, emails, and other communications].

5. We do not request that our identities be kept confidential [or] We request that our identities be kept confidential for the following reason: [state reason]

6. You can contact us at: [Specify directions how to set a meeting with you and/or your authorized representative].

______Signatures: Names: Addresses: Other contact information: Tel: Fax: Email: Attachments: (complete list of complainants and addresses, representative’s letter of authorization, if any)

Some matters not eligible for complaints/requests Allegations of fraud and corruption Procurement of goods, services, and consulting services Projects with a project completion report ADB personnel matters “ What happens when our letter of complaint is filed at OSPF?”

1. Within seven (7) days from receipt of your letter, we will register the complaint and we will send you an acknowledgment letter.

2. Within 21 days, we will determine the eligibility of your complaint.

• We will verify, in good faith, your first efforts to address the problems with the concerned ADB Operations Department and Executing Agency/Implementing Agency.

• We will study pertinent document and analyses regarding the issues mentioned in the complaint.

• We may visit and discuss the complaint with you and other concerned parties.

3. Once we determine that the complaint is eligible, we will come again and conduct a review and assessment. This will help us determine the nature of the problem, the parties involved, the remedies you are seeking, and most important of all, the proposed action to resolve the problem.

• From the time we receive your complaint, it will take about 49 calendar days to complete the review and assessment. If the matter is complicated, it might also take longer. But we will discuss this with you.

4. Upon completion of the review and assessment, we will send you or your representative our findings and recommendations.

5. When you receive the findings and recommendations, discuss these with your group.

• Write down your comments and suggestions. • Collectively, you have to decide whether to continue (or not) with the consultation process.

• Inform us of your decision. We must receive your decision within 14 days after you received the report.

If you decide to continue,

6. We will agree on possible courses of action or resolution together with all parties involved.

7. Thereafter, all parties will follow the agreed course of action until the problem is resolved.

“When does the consultation process stop?” As much as possible, we will continue the consultation process until such time that all parties agree to terminate the consultation process.

If you have serious concerns on compliance, you may file your complaint with the Compliance Review Panel. Address your letter to

The Secretary Compliance Review Panel Asian Development Bank Tel: (+632) 632-4149 or Fax: (+632) 636-2088 Email: [email protected] About the ADB and its Accountability Mechanism

ADB is a development finance institution whose mission is to help its member countries reduce poverty and improve their living conditions. ADB also provides policy dialogue, loans, and technical assistance.

To help assure the smooth flow of ADB support to its member/partner country, and address complaints that are raised by people who may be adversely affected by a Project, ADB has established an Accountability Mechanism.

The Accountability Mechanism has two offices:

• The Office of the Special Project Facilitator (OSPF) has a problem-solving role and handles the Consultation Phase. • The Compliance Review Panel investigates requests of policy violations. It handles the Compliance Review Phase.

Consultation Phase of the ADB Accountability Mechanism

An action-oriented dialogue toward achieving appropriate solutions to complaints from project-affected people.