External Resettlement Monitoring and Evaluation Report. People s Republic of China: Guiyang Integrated Water Resources Management (Sector) Project

Transcription

1 External Resettlement Monitoring and Evaluation Report # Semiannual Report December 2015 People s Republic of China: Guiyang Integrated Water Resources Management (Sector) Project External Resettlement Monitoring and Evaluation Report No. 4 for Other Subprojects Prepared by National Research Center for Resettlement, Hohai University for the Guiyang Municipal Government and the Asian Development Bank.

2 This external resettlement monitoring and evaluation 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.

3 ADB-funded Guiyang Integrated Water Resources Management (Sector) Project External Resettlement Monitoring and Evaluation Report (No.4) National Research Center for Resettlement, Hohai University, Nanjing, Jiangsu, China December 2015

4 Project leader : Chen Shaojun M&E staff : Chen Shaojun, Wu Jing, Wang Lifen Prepared by : Chen Shaojun, Wu Jing, Wang Lifen M&E agency : National Research Center for Resettlement, Hohai University (NRCR) Address : NRCR, Nanjing, Jiangsu Postcode : Tel : Fax : shaojun_chen@126.com nrcr@hhu.edu.cn

5 Contents 1 SUMMARY Introduction Latest Socioeconomic Profile of the Project Area M&E Procedure Scope Methods Reporting RESETTLEMENT AND ETHNIC MINORITY DEVELOPMENT IAS IAs Capacity of IAs Supervision and Inspection Capacity Building Suggestions on Capacity Building CONSTRUCTION AND RESETTLEMENT PROGRESS COMPENSATION RATES, AND FUND DISBURSEMENT AND USE Resettlement Policy Framework LA Procedure Compensation Rates Fund Disbursement and Use RESETTLEMENT AND LIVELIHOOD RESTORATION Resettlement and Livelihood Restoration Liaojiuzhai Subproject Jiancaogou Subproject Jinlong Subproject Affected enterprises Affected villages Maozhulin Subproject Jinjiaqing Subproject Women Vulnerable Population Liaojiuzhai Subproject Jiancaogou Subproject Jinlong Subproject Baiulation is available Jinjiaqing Subproject Jinjiaqing Subproject PUBLIC PARTICIPATION, INFORMATION DISCLOSURE AND GRIEVANCE REDRESS Public Participation Information Disclosure Grievance Redress EMDP Overview Liaojiuzhai and Jiancaogou Subprojects Jinlong Subproject Bais carried and Maozhulin Subprojects Jinjiaqing Subproject EMDP Implementation M&E... 41

6 8 CONCLUSIONS AND SUGGESTIONS Conclusions The LA and HD work of all subprojects has begun, and progress slightly differs from the schedule The grievance redress mechanism is unsound There is no definite supporting program for vulnerable groups The organizational structure for resettlement is sound and duties clearly defined Special needs in most subprojects have been met Suggestions Pay attention to requirements on construction commencement in state and ADB policies Continue to do well in information disclosure and public participation, and improve the grievance redress channels Pay attention to the livelihood restoration of the APs, and extra support for vulnerable groups Further strengthening the capacity building of the local PMOs Further strengthening information disclosure, public participation and grievance redress Strengthen file management on resettlement, social development and ethnic minority development Implement LA and HD in strict conformity with the established procedures and ADB s policies Suggestions on special issues of the subprojects PMO s responses, explanations and action plan APPENDIX 1 MINUTES OF THE TOPIC MEETING OF THE WUDANG DISTRICT GOVERNMENT.. 48 List of Tables Table 1 1 Subprojects and Geographic Distribution... 2 Table 1 2 Summary of Resettlement Impacts... 2 Table 1 4 M&E Reporting Schedule... 6 Table 2 1 Members of the Social and Environment Office... 7 Table 2 2 List of Persons Responsible for Resettlement and Social Development of the District/County PMOs... 7 Table 4 1 LA Compensation Rates of the Subprojects Table 4 2 Compensation Funds and Disbursement Table 5 1 Interview in a Village Affected by the Jinjiaqing Subproject Table 5 3 Information on Vulnerable Population Affected by the Project List of Figures Figure 2 1 Organizational Chart for Resettlement and Social Development... 7 Figure 5 5 Compensation Voucher of Hongfa Refractory Material Plant Figure 5-8 Field Photo on the Bai an River Reservoir Figure 5 10 List of Receivers of LA Compensation in Xinchang Village Figure 5 11 Interview with Villagers and Village Officials in Heping Village Figure 5 12 Spring Breeze Action in Wudang District and Xifeng County Figure 6 1 LA Announcement of the Liaojiuzhai Subproject Figure 6 2 Resettlement Willingness Survey for the Jiancaogou Subproject Figure 6 3 LA Public Hearing for the Jinlong Subproject (April 2013) Figure 6 4 Land Conflict Coordination for the Jinlong Subproject (July 2013) Figure 6 5 Lists of LA and HD Sizes, and Compensation Fees for the Liaojiuzhai Subproject Figure 6 6 Pre LA Announcement for the Jinlong Subproject Figure 6 7 Notice of Attachment Clearing for the Jinlong Subproject Figure 6 8 Notice on Seedling Compensation for the Jinlong Subproject Figure 6 9 Grievance Redress Report for the Jinlong Subproject... 39

7 Abbreviations ADB - Asian Development Bank AH - Affected Household AP - Affected Person DMS - Detailed Measurement Survey EMDP - Ethnic Minority Development Plan EMSA - Ethnic Minority Special Action FGD - Focus Group Discussion HD - House Demolition LA - Land Acquisition M&E - Monitoring and evaluation MLS - Minimum Living Security NRCR - National Research Center for Resettlement PMO - Project Management Office RP - Resettlement Plan WWTP - Wastewater Treatment Plant Units Currency unit = Yuan (CNY) USD1.00 = CNY6 1 hectare = 15 mu

8 1 Summary 1.1 Introduction Guiyang City is located in the watershed between the Wujiang River system in the Yangtze River basin and the Hongshui River system in the Pearl River basin, where land water storage and retention capacity is weak, and the ecological environment is vulnerable. In order to improve the flood protection and water supply capacity of the urban center of Guiyang City, and carry out integrated river management, the Guiyang Municipal Government has applied for a loan with the Asian Development Bank (ADB) for the implementation of the Guiyang Integrated Water Resources Management (Sector) Project (the Project ). The Project aims to develop local water resources effectively, improve water and soil conservation, promote economic and social development, and environmental protection. This report covers 5 subprojects, which involve irrigation and domestic water supply, and environmental protection mainly. The total investment in the 5 subprojects is million yuan, with an estimated resettlement budget of million yuan, accounting for 27.32% of total investment. See Table All the 7 subprojects involve LA, and 4 of them involve HD, for which resettlement plans (RPs) and ethnic minority special actions (EMSAs) have been prepared respectively. Based on the RPs of the subprojects, the main types of resettlement impacts of the Project are land acquisition (LA), house demolition (HD) and temporary land occupation. 4, mu of rural collective land will be acquired, and 84 houses of 28, m 2 and properties of 6, m 2 of 6 enterprises demolished for the 7 subprojects, affecting 840 households with 3,260 persons in 21 villages mu of land will be occupied temporarily, affecting 145 households with 579 persons. The estimated amount of resettlement costs is million yuan. See Table Latest Socioeconomic Profile of the Project Area 2 Guizhou Province: In 2014, Guizhou s GDP was billion yuan, a year-on-year increase of 10.8%, in which the added value of primary industries was billion yuan, up 6.6%; that of secondary industries billion yuan, up 12.3%; and that of tertiary industries billion yuan, up 10.4%. Guizhou s per capita GDP was USD4,295, up 16.1%. At the end of 2014, Guizhou s resident population was million, including an urban population of million, accounting for 40.01%, a year-on-year decrease of 2.18%. In 2014, Guizhou s total import and export volume was billion yuan, up 29.5%, number of fixed asset investment and construction projects 9,662, up 750, fixed asset investment billion yuan, up 23.6%, social retail sales of consumer goods billion yuan, up 12.9%, CPI up 2.4% year on year, residents per capita disposable income 12,371 yuan, up 9.0%. Guiyang City is located in central Guizhou Province, and is the capital city of Guizhou Province, an important integrated industrial base, and a hub of commercial and tourist services in southwestern China. Guiyang governs 6 districts (Yunyan, Nanming, Xiaohe, Huaxi, Wudang and Baiyun Districts, and Jinyang New District), one city (Qingzhen) and 3 counties (Kaiyang, Xifeng and Xiuwen). In 2014, Guiyang s GDP was billion yuan, a year-on-year increase of 13.9%, accounting for 27% of the GDP of Guizhou Province, in which the added value of primary industries was billion yuan, up 6.6%; that of secondary industries billion yuan, up 13.9%; and that of tertiary industries billion yuan, up 14.3%. In 2014, urban residents per capita disposable income was 24,961 yuan, a year-on-year increase of 9.4%; and rural residents per capita net income was 10,826 yuan, a year-on-year increase of 12.7%. At the end of 2014, Guiyang had a resident population of million, including a minority population of about 800,000, accounting for 17%. 1 Table 1-1 is abstracted from the RPs of the subprojects. 2 The information below is abstracted from the latest local economic and social development bulletins. 1

9 1 Xifeng County Liaojiuzhai External Resettlement M&E Report of the Guiyang Integrated Water Resources Management Project (No.4) Table 1-1 Subprojects and Geographic Distribution No. County Subproject Scope Details Location Main resettlement impacts Function Irrigation water Dam heightening supply and expansion 2 Jiancaogou 3 Xiuwen County Jinlong Bai an 4 River Kaiyang County 5 Maozhulin 6 Wudang District Jinjiaqing 7 Guiyang Yudongxia Domestic water supply and irrigation Irrigation, drinking water, urban water supply Urban water supply Irrigation, water supply Irrigation, urban water supply Urban water supply, industrial water Water source works, water supply and delivery works Water delivery pipelines, reservoir Reservoir, flood channels, diversion tunnel, access road Reservoir (incl. junction area), irrigation, water supply Dam, spillway, water intakes, diversion channel, etc. Reservoir (incl. junction area), Dongjiao No.2 WWTP, associated network and access road Liaojiuzhai Group of Shiqiao Village, Xiaozhaiba Town, Xifeng County Yonghong Village, Yongjing Town, Xifeng County Xinzhai and Xiaoshan Villages, Longchang Town, Xiuwen County Dingfang Village, Chengguan Town, Kaiyang County Maozhulin Group of Heping Village, Longshui Xiang, Kaiyang County Jiagang Village, Yangchang Town, Wudang District Dongfeng Town, Wudang District, Yongle Xiang, Nanming District, and Xingshi Town, Longli County Acquiring 53.9 mu of collective land permanently, occupying mu of collective land temporarily, affecting 185 and 58 persons respectively, affecting no minority population Affecting 43 households with 212 persons in total, acquiring mu of collective land, affecting no minority population Acquiring mu of land permanently, all being non-cultivated land, occupying mu of land temporarily, affecting 3 enterprises, affecting 3 minority persons temporarily Affecting 102 households with 399 persons in total, acquiring mu of land, affecting no minority population Affecting 86 households with 353 persons in total, acquiring mu of land, occupying 76.4 mu of land temporarily, affecting no minority population Affecting 109 households with 465 persons in total, acquiring mu of collective land permanently, demolishing properties of m 2 (private: m 2, public: m 2 ), 398 trees and 42 tombs, affecting no minority population Affecting 74 households with 302 persons, demolishing houses of 4, m 2, including residential houses of 26, m 2 and non-residential houses of 3, m 2, affecting 113 minority households with 465 persons Increasing downstream irrigation water supply, promoting local economic development, and improving people s living standard Supplying domestic water to residents in the county town, and irrigation water to 500 mu of farmland Supplying drinking water to urban and rural residents and livestock, and irrigation water for farmland Improving local water supply, protecting against floods Improving domestic and irrigation water supply, and intercepting floods Supplying water to the county town and irrigation water to 3,550 mu of farmland, protecting against floods Improving urban domestic and industrial water supply capacity, expanding water supply to the east part and additional areas of the urban area Table 1-2 Summary of Resettlement Impacts 3 No. County Subproject Temporary HHs Affected Estimated Affected Permanent Affected Temporary Temporary land AHs APs affected HD enterprise resettlement villages LA enterprises AHs APs occupation by HD properties budget / / / / (mu) (mu) / / / (m 2 ) / (m 2 ) / / (0,000 yuan) 3 Table 1-2 is abstracted from the RPs of the subprojects. 2

10 1 Liaojiuzhai (public) Xifeng 2 Jiancaogou (public: 336.6) 1 (WWTP) Xiuwen Jinlong (masonry timber) Bai an River Kaiyang 5 Maozhulin Wudang Jinjiaqing (public: 40.81) Guiyang Yudongxia Total (public: )

11 Xifeng County is located in central Guizhou Province, north of Guiyang City, right of the Wujiang River, and is governed by Guiyang City, 65km away from the urban center of Guiyang City. The county borders Kaiyang County on the east, Xiuwen County on the south, Jinsha County on the west and Zunyi County on the north. The county governs 4 towns and 6 Xiangs (in which Qingshan Xiang is a Miao Xiang), and 170 villages/communities with 1,538 groups, has a land area of 1,036.5 km 2, and is inhabited by 13 ethnic groups, including Han, Miao, Buyi and Dong. At the end of 2014, the county had a population of 268,678, including a nonagricultural population of 35,221, and a minority population of 14,974. In 2014, the county s GDP was billion yuan, a year-on-year increase of 22.02%; fiscal revenue 1.14 billion yuan, up 2.1%; social retail sales of consumer goods billion yuan, up 15.3%; urban residents per capita disposable income 24,482 yuan, up 14.1%; and rural residents per capita net income 9,782 yuan, up 15.2%. Xiuwen County is located in central Guizhou Province, 38km away from the urban center of Guiyang City, with a land area of 1,075.7 km 2. The county governs 10 townships and 217 villages/communities with 1,414 groups, and is inhabited by 22 ethnic groups, including Han, Miao, Buyi, Li and Dong. In 2014, the county s GDP was billion yuan, a year-on-year increase of 17.5%, in which the added value of primary industries was billion yuan, up 6.8%; that of secondary industries million yuan, up 18.3%; and that of tertiary industries million yuan, up 19.8%. Per capita GDP was 45,981 yuan, a year-on-year increase of 15.9%. The ratio of primary, secondary and tertiary industries was 13.36:45.79: There is one minority Xiang, but not within the subproject area. Kaiyang County is located on the south side of the Wujiang River in central Guizhou Province, with a land area of 2,026 km 2. The county governs 10 Xiangs and 6 towns (including two minority Xiangs: Gaozhai and Hefeng Miao-Buyi Xiangs), 108 villages/communities with 1,538 groups, and is inhabited by 13 ethnic groups, including Han, Miao, Buyi and Dong. In 2014, the county s GDP was billion yuan, up 16.3%, in which the added values of primary, secondary and tertiary industries grew 6.9%, 18.1% and 17.4% respectively. Urban residents per capita disposable income was 26,216 yuan, up 16%, and rural residents' per capita net income 10,453 yuan, up 17%. There are 3 minority Xiangs, but not within the subproject area. Wudang District is located in central Guizhou Province, northeast of Guiyang City. The district governs 5 towns and 5 Xiangs (including two Miao Xiangs), two sub-district offices and 129 village (community) committees, and is inhabited by a number of ethnic groups, including Han, Buyi, Miao and Gelao. In 2014, the district s GDP was billion yuan, a year-on-year increase of 16.4%, social investment in fixed assets billion yuan, up 26.1%, urban residents disposable income 24,505 yuan, up 9.6%, and rural residents per capita net income 11,939 yuan, up 26.1%. There are two minority Xiangs, but not within the subproject area. 1.3 M&E In November 2013, the Guiyang PMO appointed NRCR to conduct external M&E on the implementation of the RPs and ethnic minority development plans (EMDPs) of the subprojects in order to identify existing and potential issues, and propose solutions accordingly. Since the EMSAs have not been approved, the focus of this round of M&E is to track project progress and conduct a resettlement baseline survey Procedure Preparing the terms of reference of M&E Learning construction and resettlement progress Designing a sampling plan Baseline Survey Collecting resettlement policies, verifying DMS results and compensation rates, and monitoring the disbursement of compensation fees Establishing an M&E information system Compiling and analyzing information Preparing M&E reports Scope According to the survey, the main types of impacts of the Project are LA, HD and temporary land occupation. Therefore, this round of M&E covers the following: a. Compliance monitoring during RP implementation Evaluating if compensation, support for and the resettlement of the APs, information disclosure, public participation and grievance redress comply with the principles and procedures specified in the RPs; 4

12 Reviewing if the objectives of the RPs are fulfilled, especially if the living standard of the APs is improved or at least restored; Reviewing issues arising from RP implementation, and finding solutions in consultation with the IAs b. EMDP compliance inspection Evaluating if project activities have alleviated negative impacts on local minority communities and fully meet the requirements in the EMDPs; Supervising the community consultation and participation process of the affected minority population, and evaluating if the affected minority population receives culturally appropriate social and economic benefits; Identifying deficiencies in the EMDPs and finding solutions Some key M&E indicators are as follows: (a) Compliance of compensation and supporting materials In case of land replacement, if land size, location and output are equivalent; in case of cash compensation, if compensation is sufficient for replacement; If affected buildings are compensated for at replacement cost; If trees and crops are compensated for at market value; If all supporting measures specified in the RPs have been provided to the APs (b) Compliance of information disclosure Have project documents disclosed to communities (Resettlement Policy Framework, RPs, RIBs, etc.)? Has relevant information been disclosed in public places (DMS results, applicable compensation rates, payment of compensation, etc.)? Have the APs been fully consulted on land restoration, compensation policies, resettlement, livelihood restoration, grievance redress channels, etc.? Have concerns and suggestions of the APs been addressed during resettlement? How? (c) Compliance of resettlement Conditions of the resettlement site, e.g., roads, power and water supply Resettlement planning and implementation: consultation of resettlement measures, participation in resettlement planning, disclosure of the RP, and support for the displaced households; Livelihood and production stability after resettlement: How will the APs stabilize their livelihoods and production? (d) Compliance of income restoration Adequacy and effectiveness of income restoration measures, e.g., training, credit support Income restoration problems facing the APs (e) Satisfaction of the APs Satisfaction with the process of loss identification; Satisfaction with the compensation rates and support provided; Satisfaction with information disclosure and consultation; Satisfaction with the support for income and livelihood restoration; Satisfaction with the resettlement site (f) Compliance of grievance redress mechanism Efficiency of the grievance redress mechanism; Dispositions at different levels; Satisfaction with the grievance redress mechanism (g) For minority population or communities: Is information disclosure to minority population in culture and customs adequate? Is consultation with minority population in culture and customs adequate? Support for minority villages (see the EMDPs), such as tomb relocation, livelihood restoration, infrastructure, etc. Training and subsidies mentioned in the EMDPs; Concerns and suggestions of minority population about EMDP implementation If minority population is granted adequate rights and relevant policies have been adjusted so that the affected minority population is able to improve living standard rapidly Methods This round of M&E began in November NRCR established two task forces to conduct a field 5

13 survey on the 6 subprojects with the assistance of the Guiyang and local PMOs, and owners. The following methods were used: Literature review: learning the socioeconomic profile of the project area, and resettlement impacts of the project by collecting relevant documents, local policies and statistics FGD: FGDs are divided into resident and organizational FGDs: 1) Resident FGDs: with seriously affected households, vulnerable households, and women; 2) Organizational FGDs: with IAs, township governments, village committees, affected enterprises, where not less than 40% of participants should be women. Interview interviewing with heads of township governments and village committees, and residents, with focus on needs and suggestions of vulnerable groups Field visit visiting project sites to identify potential impacts during construction, and resettlement sites to see if sound infrastructure is available Reporting The external resettlement M&E work of the Project is undertaken by the National Research Center for Resettlement (NRCR) at Hohai University. In order to ensure the successful implementation of the RPs, external resettlement M&E will be scheduled based on the progress of the Project. NRCR will prepare an external M&E report semiannually during resettlement (from 2014), and an external M&E report and a post-evaluation report one year after the completion of resettlement. These reports will be submitted to the provincial PMO and ADB. Table 1-3 M&E Reporting Schedule No. Time Report 1 Jun No.1 semiannual report (including baseline survey) 2 Dec No.2 semiannual report, involving medium-sized reservoirs 3 Jun No.3 semiannual report, involving medium-sized reservoirs 4 Dec No.4 semiannual report, involving medium-sized reservoirs 5 Jun No.5 semiannual report, involving medium-sized reservoirs 6 Jun No.1 annual report 7 Jun No.2 annual report (post-evaluation report) 6

14 2 Resettlement and Ethnic Minority Development IAs 2.1 IAs In order to strengthen the supervision over and coordination of resettlement, and conduct resettlement properly, the Guiyang PMO has been established, which is responsible for leading and coordinating resettlement, organizing local PMOs to prepare internal monitoring reports, coordinating external resettlement M&E, conducting public participation, information disclosure and grievance redress, and leading and coordinating ethnic minority and social development activities. A social, environment and resettlement office with 4 members (including two women) has been established under the Guiyang PMO to lead and coordinate resettlement. See Table Table 2-1 Members of the Social and Environment Office Name Agency Tel Meng Jianjian (female) Guiyang PMO guiyangpmo@vip.163.com Yang Yang Guiyang PMO guiyangpmo@vip.163.com Cao Min (female) Guiyang PMO guiyangpmo@vip.163.com Yuan Weikai Guiyang PMO guiyangpmo@vip.163.com Local PMOs have been established in the subproject areas, responsible for the coordination of subproject preparation and implementation, headed by district or county heads, and composed of experienced leaders from the district or county departments concerned. The local PMOs have resettlement offices that have one or two persons responsible specifically for resettlement and social development. Guiyang PMO Social, Environment & Resettlement Office (4 persons) Design agency District/county PMOs Resettlement offices (1-2 persons) External M&E agency Affected townships Affected villages/groups, and APs Figure 2-1 Organizational Chart for Resettlement and Social Development The main responsibilities of the local PMOs are: (1) preparing and updating the RPs; (2) implementing the RPs; (3) disbursing and managing resettlement funds; (4) conducting internal supervision, supervision and organizational coordination; (5) preparing internal monitoring reports regularly; and (6) implementing the EMDPs and social development plans of the subprojects. See Table 2-2. Table 2-2 List of Persons Responsible for Resettlement and Social Development of the District/County PMOs No. County Subproject Agency in charge Name Name Tel 1 Liaojiuzhai Yang Xifeng County Water Xifeng Subproject Zhongshu Resources Bureau / County 2 Jiancaogou Subproject Jiang Jinhui Xifeng County Water Resources Bureau @qq.com 7

15 3 4 5 Xiuwen County Kaiyang County Wudang District Jinlong Subproject Bai an River Subproject Jinjiaqing Subproject Wang Jiayan (female) Yang Lin Yuan Jianzhong Xiuwen County Water Resources Bureau Kaiyang County Water Resources Bureau Wudang County Water Resources Bureau @qq.com hhslzyjsxy@sina.com.cn @qq.com 2.2 Capacity of IAs The local PMOs have rich experience in domestic projects and are familiar with the ADB policies, especially the Kaiyang, Xiuwen, Xifeng and Wudang PMOs. The external M&E team advises that the local PMO staff should be further trained in resettlement policies and practices in such forms as theoretical study, visit and exchange, especially visiting completed or ongoing ADB-funded projects, in order to further improve institutional efficiency and capacity. 2.3 Supervision and Inspection The Guiyang PMO implements an internal supervision mechanism to supervise resettlement activities and EMSAs. During resettlement, the Guiyang PMO and owners have specially appointed persons who conduct supervision and inspection on resettlement progress, fund use, house reconstruction, and income restoration, and solve issues in consultation with the APs timely. The resettlement IAs should report resettlement progress to the subproject owners monthly, which should report resettlement progress to ADB and the external M&E agency semiannually. In addition, the Guiyang PMO has appointed NRCR to conduct external M&E on resettlement progress, resettlement policies and their implementation, livelihood impacts and restoration, support for vulnerable groups, information disclosure, public participation, grievance redress, social and ethnic minority development, etc. to see if ADB s safeguard policies are complied with. 2.4 Capacity Building The Guiyang organized a resettlement survey in March 2012, and held an operational training session (involving over 30 trainees) on resettlement in December In January 2014, the Guiyang PMO invited NRCR to train relevant staff on the ADB policies and state regulations on reservoir resettlement. During the training, NRCR introduced the nature, purpose, methods and indicators of resettlement M&E, and materials to be collected. 2.5 Suggestions on Capacity Building The Guiyang PMO will take the following measures to strengthen institutional capacity: 1. Leadership responsibility system: establishing a leading team headed by the leader in charge of the district government and composed of leaders from departments concerned 2. Well-trained staff: All resettlement agencies are provided with staff experienced and proficient in policies and operations. 3. Definition of responsibilities: The responsibilities of all resettlement agencies have been defined in accordance with ADB s requirements, and the applicable state laws and regulations. 4. Staff training: The resettlement staff will be trained on resettlement policies and file management. 5. Public supervision: All resettlement information should be disclosed to the public for supervision. 6. Resettlement disclosure meetings are held irregularly and relevant information is disclosed as briefs. 7. The resettlement IAs will be provided with necessary vehicles and office facilities. 8

16 3 Construction and Resettlement Progress As of December 2015, among the 6 subprojects involving resettlement, the LA work of the Liaojiuzhai Subproject had been completed, and LA compensation fully paid to the AHs; the LA and HD work of the Jiancaogou Subproject had been largely completed, and the compensation for the completed LA and HD work paid to the AHs; except mu of collective barren hill acquired in Xinzhai Village for the Jinlong Subproject, the LA work in Xinzhai and Xiaoshan Villages had been completed, and LA compensation paid to the AHs; the LA work of the Bai an River Subproject had been completed, and LA compensation paid to the AHs; the HD work of this subproject had been completed, and HD compensation paid to the AHs; the LA work of the reservoir and junction construction areas of the Maozhulin Subproject had been largely completed, and the compensation for the completed LA work paid to the AHs; LA for the irrigation canal and water delivery pipeline construction areas of this subproject is expected to begin in May 2016; LA for the junction construction area of the Jinjiaqing Subproject had been completed, and LA compensation paid to the AHs; LA for the reservoir and irrigation canal construction areas of this subproject is expected to begin at the end of See Table 3-1 for a summary of the construction and resettlement progress of the subprojects: 9

17 No. Subproject Liaojiuzhai Subproject Jiancaogou Subproject Jinlong Subproject Bai an River Subproject Feb. Dec. 2014, being a small (2) reservoir External Resettlement M&E Report of the Guiyang Integrated Water Resources Management Project (No.4) Table 3-1 Construction and Resettlement Progress of the Subprojects Involving Resettlement Construction progress Resettlement progress Planned Actual Planned Actual As of December 2015, this subproject had been completed, Oct and the impoundment appraisal report had been submitted to Dec the county government and was being reviewed. Acceptance is expected to be completed by March Feb Jun Jan Jun Dec Dec. As of December 2015, the following tasks had been completed for this subproject: 1) mu of construction land had been acquired, 3 households with 6 persons resettled, houses of m 2 demolished, and 53 tombs relocated; 2) A 1.5km highway and a controlling railway crossover had been completed; 3) A 0.5km walkway and the main part of the office building of the waterworks had been completed; the water delivery pipeline had been installed for 300m; the dam body had been cast to a height of 1,055m (40m high); curtain grouting on the right dam shoulder had been completed, and that on the left dam shoulder was ongoing; overall construction progress was 78%. The Guiyang Municipal Development and Reform Commission approved the feasibility study report of this subproject in Apr, 2012, and the subproject design in Jun In Nov. 2012, the supervising agency was chosen. In Aug. 2013, the subproject leading group was established. In November 2013, the construction agency entered the site. As of December 2015, the temporary works, diversion tunnel excavation, dam foundation and slope excavation of this subproject had been completed, and the diversion tunnel had been put into operation. The primary next-step goal is to complete pre-flood construction tasks, including concrete casting below the dam level of 1,286.5m, dam body filling and dam surface flood protection. The cleanup of the Bai an River Subproject began in July 2014 and was completed in October As of December Oct Dec Nov Jun Nov Dec LA for this subproject has been completed, and LA compensation paid to the AHs mu of land in Shiqiao Village, Xiaozhaiba Town has been actually acquired, including 3.68 mu for the access road, mu for the reservoir and dam, mu for the stockyard, and mu for the flood canal, including mu of cultivated land and mu of woodland. LA compensation of 112, yuan has been paid for the access road, 1,045, yuan for the reservoir and dam, 321, yuan for the stockyard, and 177, yuan for the flood canal mu of land has been actually acquired for this subproject, including mu of cultivated land and mu of woodland,, for which 7,210, yuan has been paid in compensation; Houses of m 2 have been demolished, affecting two households, for which compensation has been fully paid. As of December 2015, LA had been largely completed, and LA compensation largely paid. A 1.5km highway and a controlling railway crossover had been completed. The temporary water delivery pipeline of the waterworks has been completed mu of land in Xinzhai and Xiaoshan Villages has been actually acquired in the inundation and junction areas of this subproject, including mu of non-irrigated land, mu of barren hill and mu of other land. As of December 2015, except mu of collective barren hill acquired in Xinzhai Village for the Jinlong Subproject, the LA work in Xinzhai and Xiaoshan Villages had been completed, and LA compensation paid to the AHs. The appraisal of the affected enterprises has been completed. The compensation of 1,828,210 yuan for Hongfa Refractory Material Plant has been paid; XBY s work shed has been identified for ownership, and will be compensated for at 550 yuan/m 2 ; the land will be compensated for at 10,500/mu, and the compensation of 40,086 has been fully paid; an agreement has been reached with Guizhou Aluminum Factory to complete aluminum mine excavation and compensation before impoundment. LA for this subproject began in As of November 2012, 228 mu of cultivated land, mu of land and 8.07 mu of other land in Qunxing 10

18 No. Subproject 5 6 Maozhulin Subproject Jinjiaqing Subproject Construction progress Resettlement progress Planned Actual Planned Actual , county-level inspection had been completed. In May 2015, the main part of this subproject was completed. As of December 2015, except the water and soil conservation work (expected to be completed by the end of December 2015), the other works had been completed. A cumulative direct investment of over 47 million yuan has been made. and Dingfang Villages, Chengguan Town, and Maojiayuan Village, Jiangnan Xiang had been acquired for this subproject, for which 19,046, yuan had been paid in compensation; houses and attachments of 1,452.4 m 2 had been demolished, affecting two households, for which 327,006.9 yuan had been paid in compensation. As of December 2015, LA and HD had been completed, and compensation fully paid to the AHs. Feb Feb. 2014, being a small (1) reservoir Feb Feb As of December 2015, two access roads of about 1km, and the installation of power transmission lines for the dam and stockyard had been completed, the excavation of the diversion and discharge tunnels completed for 260m, and the stockyard and mixing yard completed. It is expected that the diversion tunnel will be lined, the irrigation area and water delivery pipeline will break ground, and dam excavation will begin. As of December 2015, the dam-top highway, streetlamp installation and line burial had been completed. Jan end of Dec From Dec LA and HD in Heping Village began in As of October 2015, LA in the reservoir and junction construction areas had been largely completed, with mu of cultivated land and mu of woodland acquired in total, affecting 34 households with 132 persons, for which 3,012,181 yuan had been paid in compensation. Two AHs had not entered into LA compensation agreements due to land ownership and compensation issues, and were in negotiation as of December 2015, while the compensation for the other AHs had been paid directly. LA in Xinchang Village began in As of October 2015, LA in the reservoir and junction construction areas had been completed, with mu of cultivated land and 1.69 mu of woodland acquired in total, affecting 23 households with 93 persons, for which 84,655.1 yuan had been paid in compensation. As of December 2015, the compensation for the acquired land had been paid directly to the AHs. LA began in As of December 2012, mu of land had been acquired in the junction construction area. As of December 2015, 2,309, yuan had been paid in compensation in total. LA for the reservoir and irrigation canal construction areas is expected to begin in early December

19 4 Compensation Rates, and Fund Disbursement and Use 4.1 Resettlement Policy Framework The resettlement policies of the Project are based mainly on the applicable regulations and policies of the PRC, Guizhou Province and ADB, including: Land Administration Law of the PRC (effective from January 1, 1999, amended on August 28, 2004) Decision of the State Council on Deepening the Reform and Rigidly Enforcing Land Administration (SC [2004] No.28) (effective from October 21, 2004) Regulations on the Implementation of the Land Administration Law of the PRC (effective from January 1, 1999) Regulations on the Expropriation of Buildings on State-owned Land and Compensation Therefor (Decree No.590 of the State Council) Interim Regulations of the PRC on Farmland Occupation Tax (effective from April 1, 1987) Regulations on the Protection of Basic Farmland (effective from January 1, 1991) Regulations on Public Hearing on Land and Resources (effective from May 1, 2004) Guidelines on Improving Compensation and Resettlement Systems for Land Acquisition (MLR [2004] No.238) (effective from November 3, 2004) Administrative Measures for the Preliminary Examination of Land for Project Construction (Decree No.27 of the Ministry of Land and Resources) (effective from November 1, 2004) Measures for Announcement of Land Acquisition (effective from January 1, 2002) Notice of the Provincial Government on Strengthening the Land Acquisition Management of Key Construction Projects (GPG [2004] No.5) Notice of the General Office of the Guizhou Provincial Government on Doing a Good Job in the Employment Training and Social Security of Land-expropriated Farmers (GPGO [2007] No.126) Measures of Guizhou Province for the Implementation of the Land Administration Law of the PRC (Amended) (July 1, 2004) Implementation Measures for Farmland Occupation Tax of Guizhou Province (GPG [1987] No.55) Administrative Measures for Compensation for Woodland of Guizhou Province (Decree No.124 of the Guizhou Provincial Government) Land Administration Regulations of Guizhou Province (effective from January 1, 2001) Notice of the Guiyang Municipal Government on the Promulgation and Implementation of Uniform Annual Output Values and Location-based Compensation Rates for Land Acquisition (GMG [2009] No.100) Notice of the General Office of the Guizhou Provincial Government on the Connection between Old and New Compensation Rates for Land Acquisition (GPGO [2010] No.6) Handbook on Resettlement: A Guide to Good Practice, 1998 Safeguard Policy Statement (SPS), June 2009 ADB s Pulic Communications Policy, 2011 ADB s Accountability Mechanism Policy, 2012 According to the above laws, regulations and policies, the basic principles for resettlement of the Project are as follows: Adverse impacts should be minimized; If resettlement is inevitably, the affected villages and residents should be consulted to fix replacement costs and compensation rates; Necessary compensation and assistance should be provided to the affected population to improve or at least restore their income and living standard; The APs should receive sufficient information on compensation agreements, which should be prepared through adequate consultation with them; Special attention should be paid to vulnerable groups. 4.2 LA Procedure According to the applicable regulations, the examination and approval procedure for additional construction land consists of preliminary examination, project initiation, land use application, drafting, submission for approval, implementation, and land registration: The municipal/county land and resources bureau surveys the approved construction land 12

20 according to the project and land approvals, and freezes the land to be acquired to prevent unauthorized use or development; An LA agreement is entered into with the proprietor of the acquired land; Disclose LA resettlement programs, LA policies and procedures, and compensation rates, and specify LA range and land use for public supervision; Pay compensation to the affected village collective and its members timely and fully, and resettle the APs properly. 4.3 Compensation Rates The compensation rates for permanent LA under the Project are based on the applicable policies of Guizhou Province and Guiyang City, including the Notice of the Guiyang Municipal Government on the Promulgation and Implementation of Uniform Annual Output Values and Location-based Compensation Rates for Land Acquisition (GMG [2009] No.100), Notice of the General Office of the Guizhou Provincial Government on the Connection between Old and New Compensation Rates for Land Acquisition (GPGO [2010] No.6), etc., and by reference to land type, period of land use, etc. It has been found that the actual LA compensation rates of the Project are highly consistent with planned rates, and the compensation rates for HD of the Liaojiuzhai Subproject are slightly higher than those specified in the RP. See Table 4-1. Table 4-1 LA Compensation Rates of the Subprojects Subproject Item Compensation rate Former rate Actual rate Difference (yuan/mu) (yuan/mu) (yuan/mu) Land compensation + resettlement subsidy 22 times of 1,500 yuan Young crops AAOV Timber forest: Land compensation: 7 times; resettlement Woodland 17840; shrub subsidy: 3 times forest: Liaojiuzhai Land compensation: 4 times; resettlement Subproject Construction land subsidy: 3 times Other land Land compensation: 5 times; resettlement subsidy: 3 times Jiancaogou Subproject Jinlong Subproject Temporarily occupied land Occupation period AAOV + young crop compensation + maturation period compensation Cultivated land / Woodland / Other farmland / HD Masonry concrete structure (residence) Masonry timber structure (residence) Cultivated land 24 times Young crops Timber forest 10 times Shrub forest 10 times Construction land 7 times Unused land 4 times Other farmland 8 times Temporarily occupied land Occupation period AAOV + young crop compensation + maturation period compensation HD Bai an Cultivated land 10 times of AAOV (1,500 yuan/mu) Actually compensated for as cultivated land 5 Actually compensated for as cultivated land 6 According to the applicable provincial regulations, any property indicated as residence on its certificate of title but actually used for business operations, for which a business license and a certificate of tax registration are available, cash compensation at 50% of the actual operating size is granted in addition to compensation as residence. 13

21 Subproject Item Compensation rate River Subproject Former rate (yuan/mu) Actual rate (yuan/mu) Difference (yuan/mu) (Chengguan Town) times of subsidy (1,500 yuan/mu) + young crop compensation (1,500 yuan/mu) 10 times of AAOV (1,500 yuan/mu) + 10 Cultivated land times of subsidy (1,500 yuan/mu) + young (Jiangnan Xiang) crop compensation (1,500 yuan/mu) Construction land 4 times of AAOV (1,500 yuan/mu) + 3 times of subsidy (1,500 yuan/mu) times of AAOV (1,500 yuan/mu) + 3 times Shrub forest of subsidy (1,500 yuan/mu) + forest compensation (500 yuan/mu) 7 times of AAOV (1,700 yuan/mu) + 3 times Arbor forest of subsidy (1,500 yuan/mu) + forest compensation (2,000 yuan/mu) Unused land 4 times of AAOV (1,500 yuan/mu) Forest Maozhulin Subproject Jinjiaqing Subproject Temporarily occupied Forest Non-irrigated land Cultivated land Shrub forest Arbor forest Occupation period AAOV + young crop compensation + cultivated land compensation 10 times of AAOV (1,500 yuan/mu) + 10 times of subsidy (1,500 yuan/mu) + young crop compensation (1,500 yuan/mu) 7 times of AAOV (1,500 yuan/mu) + 3 times of subsidy (1,500 yuan/mu) + forest compensation (500 yuan/mu) 7 times of AAOV (1,700 yuan/mu) + 3 times of subsidy (1,500 yuan/mu) + forest compensation (2,000 yuan/mu) Other farmland / Unused land 4 times of AAOV (1,500 yuan/mu) Construction land 10 times of AAOV (1,500 yuan/mu) + 13 times of subsidy (1,500 yuan/mu) + young crop compensation (1,500 yuan/mu) Ordinary 1.0 time the location-based land price for cultivated land Basic farmland 1.2 times the location-based land price for cultivated land Woodland Young crops Other land types 0.4 time the location-based land price for cultivated land Occupation period compensation 10,842 yuan, maturation period Temporarily occupied compensation18,070 yuan, young crop land compensation 7,228 yuan, land reclamation cost 17,060 yuan Cultivated land 4.4 Fund Disbursement and Use As of December 2015, among the 6 subprojects involving resettlement, LA compensation fees totaling million yuan had been paid under the Liaojiuzhai Subproject, accounting for 34.33% of estimated resettlement budget. LA compensation fees totaling million yuan had been paid under the Jiancaogou Subproject, accounting for 45.29% of estimated resettlement budget, and the compensation for the two displaced households paid. LA compensation fees totaling million yuan had been paid under the Jinlong Subproject, accounting for 56.03% of estimated resettlement budget, where the mu of land occupied by the stockyard has been identified to be owned by the collectives of Xinzhai and 7 The compensation rate learned from an interview is 49,500 yuan/mu. 14

22 Xiaoshan Villages, and the LA compensation had not been paid; Hongfa Refractory Material Plant had been compensated for and its production restored; the work shed had been identified to be owned by XBY, which would be compensated for at 550 yuan/m 2, and the land involved would be compensated for at 10,500 yuan/mu. LA compensation fees totaling million yuan had been paid under the Bai an River Subproject, accounting for 76.95% of estimated resettlement budget. LA compensation fees totaling million yuan had been paid under the Maozhulin Subproject, accounting for 15.97% of estimated resettlement budget. LA compensation fees totaling million yuan had been paid under the Jinjiaqing Subproject, accounting for 6.27% of estimated resettlement budget. LA compensation fees had not been paid for most of the land acquired in the reservoir areas. The LA compensation rate of the Liaojiuzhai and Jiancaogou Subprojects is 33,000 yuan/mu, in which 30,000 yuan/mu is paid to the APs and 3,000 yuan/mu retained by the collective. See Table

23 No. Where: Item Planned investment External Resettlement M&E Report of the Guiyang Integrated Water Resources Management Project (No.4) Table 4-2 Compensation Funds and Disbursement Unit: 0,000 yuan Liaojiuzhai Jiancaogou Jinlong Bai an River Jinjiaqing Maozhulin Total Actual investment Percent (%) Planned investment Actual investment Percent (%) Planned investment Actual investment Percent (%) Rural resettlement % costs 3 % % 6 % 28 Permanent acquisition of collective % land Temporary land % occupation Houses and attachments Restoration costs of special facilities 3 % % % Reservoir or site clean-up costs % % Other costs % % Basic contingencies % % Taxes % % Social security fund Supporting fund for 8 vulnerable groups % % Total % % 5 % 02 %.729 % 2 6 % 429 Planned investment Actual investment Percent (%) Planned investment Actual investment Percent (%) Planned investment Actual investment Percent (%) Planned investment Actual investment Percent (%) % % % 16

24 No. 1. Training for APs 2. Vulnerable groups 3. Women Planned and investment The Xifeng PMO will appropriate a special fund of 10,000 yuan to offer skills training to AHs. The Xifeng PMO will appropriate a special fund of 13,800 yuan to support vulnerable groups. External Resettlement M&E Report of the Guiyang Integrated Water Resources Management Project (No.4) Table Non-cash Support of the Project (by the end of November 2015) Liaojiuzhai Jiancaogou Jinlong Actual and investment The Xifeng PMO has appropriated a special fund to offer skills training to AHs, but the specific amount is unknown. The Xifeng PMO will appropriate a special fund to support vulnerable groups, but the specific amount is unknown. Affected women will Skills training will be treated equally in be first made land contracting, available to female employment, skills laborers to ensure training, etc. to that their financial ensure that their status is not financial status is affected; not less not affected. than 30% of trainees will be women. Planned and investment The Xifeng PMO will appropriate a special fund of 25,400 yuan to offer skills training to AHs. The Xifeng PMO will appropriate a special fund of 20,000 yuan to support vulnerable groups. During construction, average workforce is 150 men/day, in which unskilled jobs account for 70%, i.e., 105 men/day, with an average pay of 50 yuan/day. The PMO will ensure that at least 30% of unskilled jobs are first available to women. Skills training will be first made available to female laborers to ensure that their financial status is not affected; not less than 30% of trainees will be women. Actual and investment Planned and investment The Xifeng PMO The Xiuwen PMO will appropriate has appropriated a a special fund of 13,000 yuan to special fund to offer offer skills training to AHs. skills training to AHs, but the specific amount is unknown. The Xifeng PMO will appropriate a special fund to support vulnerable groups, but the specific amount is unknown. Skills training will be first made available to female laborers to ensure that their financial status is not affected; not less than 30% of trainees will be women. Table Non-cash Support of the Project (by the end of November 2015) The PMO will appropriate a special fund of 5,000 yuan to support vulnerable groups. During construction, the PMO will ensure that at least 30% of unskilled jobs are first available to women. Skills training will be first made available to female laborers to ensure that their financial status is not affected; not less than 30% of trainees will be women. No. Bai an River Jinjiaqing Maozhulin Actual and investment The Xiuwen PMO has appropriated a special fund to offer skills training to AHs, but the specific amount is unknown. No special fund to support vulnerable groups has been disbursed. Skills training will be first made available to female laborers to ensure that their financial status is not affected; not less than 30% of trainees will be women. Planned and investment Actual and investment Planned and investment Actual and investment Planned and investment Actual and investment 1. Training for APs The Kaiyang PMO will appropriate a special fund of The Kaiyang PMO has appropriated a The Wudang PMO will appropriate a special fund of The Wudang PMO has The Kaiyang PMO will appropriate a special fund of 60,000 yuan to offer skills training appropriated a 36,300 yuan to offer skills 30,000 yuan has been disbursed. 17

25 2. Vulnerable groups 3. Women No. Bai an River Jinjiaqing Maozhulin 7,000 yuan to offer skills training to AHs. The Kaiyang PMO will appropriate a special fund of 30,000 yuan to support vulnerable groups. During construction, the PMO will ensure that at least 30% of unskilled jobs are first available to women. Skills training will be first made available to female laborers to ensure that their financial status is not affected; not less than 30% of trainees will be women. special fund of to AHs. 7,000 yuan to offer skills training to AHs. The Kaiyang PMO will appropriate a special fund of 03,000 yuan to support vulnerable groups. During construction, the PMO will ensure that at least 30% of unskilled jobs are first available to women. Skills training will be first made available to female laborers to ensure that their financial status is not affected; not less than 30% of trainees will be women. The Wudang PMO will appropriate a special fund of 20,000 yuan to support vulnerable groups. During construction, average workforce is 160 men/day, in which unskilled jobs account for 70%, i.e., 112 men/day, with an average pay of 60 yuan/day. The PMO will ensure that at least 30% of unskilled jobs are first available to women. Skills training will be first made available to female laborers to ensure that their financial status is not affected; not less than 30% of trainees will be women. special fund of 60,000 yuan to offer skills training to AHs. No special fund to support vulnerable groups has been disbursed. Skills training will be first made available to female laborers to ensure that their financial status is not affected; not less than 30% of trainees will be women. training to AHs. The Kaiyang PMO will appropriate a special fund of 20,000 yuan to support vulnerable groups. During construction, average workforce is 120 men/day, in which unskilled jobs account for 70%, i.e., 84 men/day, with an average pay of 60 yuan/day. The PMO will ensure that at least 30% of unskilled jobs are first available to women. Skills training will be first made available to female laborers to ensure that their financial status is not affected; not less than 30% of trainees will be women. No special fund to support vulnerable groups has been disbursed. Currently, dam shoulder excavation is underway using specialized machinery, and no woman is employed. 18

26 5 Resettlement and Livelihood Restoration 5.1 Resettlement and Livelihood Restoration Liaojiuzhai Subproject 1) Brief review of the RP The Liaojiuzhai Subproject involves permanent and temporary land occupation mainly, affecting 4 village groups of Shiqiao Village, Xiaozhaiba Town, Xifeng County mu of collective land will be acquired permanently for this subproject, including mu for the reservoir, 4.5 mu for the diversion canal and 7.24 mu for the access road. The acquired land includes mu of cultivated land, 5.4 mu of woodland, 1.61 mu of other farmland, mu of construction land and mu of state-owned land mu of collective land will be occupied temporarily, all being cultivated land. Permanent LA will affect44 households with 185 persons, including 32 households with 136 persons in Liaojiuzhia Group and 12 households with 49 persons in Huangjiagou Group. Temporary land occupation will affect 12 households with 58 persons in Liaojiuzhia Group. In addition, the Project will affect one drinking work, 45 fruit trees and 11 other trees. 2) Basic information of Shiqiao Village and socioeconomic impacts This village has 544 households with 2,034 persons, including 1,368 females, an agricultural population of 2,281, a minority population of 73 (Miao), a labor force of 1,180, including 434 female laborers and 45 minority laborers, a cultivated area of 1,703mu. In 2013, the village s food crop output was 1 million kg, gross agricultural output value 1 million yuan, and per capita net income 3,780 yuan. 3) Construction progress As of December 2015, this subproject had been completed, and the impoundment appraisal report had been submitted to the county government and was being reviewed. Acceptance is expected to be completed by March Figure 5-1 Photo of the Liaojiuzhai Subproject 4) Resettlement progress mu of land in Shiqiao Village, Xiaozhaiba Town has been actually acquired, including 3.68 mu for the access road, mu for the reservoir and dam, mu for the stockyard, and mu for the flood canal, including mu of cultivated land and mu of woodland. LA compensation of 112, yuan has been paid for the access road, 1,045, yuan for the reservoir and dam, 321, yuan for the stockyard, and 177, yuan for the flood canal. The land occupied temporarily for this subproject has been restored by the AHs, and restoration fees have been paid to the AHs. As of December 2015, the temporarily occupied land had been restored to the original condition. Since March 2015, villagers in Shiqiao Village have attended 3 agricultural skills training courses, 19

27 with 70 men-times of trainees in total, in which 40% were women. As of December 2015, the number of local laborers placed to unskilled jobs under this subproject was unknown. Particular attention will be paid to this in subsequent M&E. Figure 5-2 List of Receivers of LA compensation and Receipt of Restoration Fees for Temporary Land Occupation 5) Proposed resettlement program: LA has no impact on the village s economy, and the APs expect to get employed after LA or cover social insurance for LEFs. 3 vulnerable households with 10 persons in this village are affected by this subproject, and there is no special supporting measure for them. No land reallocation has been conducted after LA, because livelihood impacts are minor. By the end of November 2015, social insurance for LEFs was being covered, and the temporarily occupied land and roads had been restored. The temporarily occupied land that cannot be restored has been compensated for as permanently acquired land; for inundated food crops, the local government has promised to compensate 12,000 kg of food crops, which has been fully granted. The drinking water tank is expected to be completed by end of Since the flood diversion canal involves a temporary land occupation period of half a year, the amount of compensation actually received by the APs is very low, and the APs have a strong grievance, so the compensation rate for temporary land occupation has been raised to 1,500 yuan/mu per annum, paid for 5 years at a time, namely 7,500 yuan/mu (regardless of the actual period of occupation). This compensation has been paid. 6) Endowment insurance for LEFs: According to the survey, the endowment insurance policy for LEFs of this subproject are based on the Notice of the Guiyang Municipal Government on Issuing Opinions on Social Endowment Insurance for LEFs, and the Implementation Plan of Xifeng County for the Employment and Social Security of LEFs (XCG [2012] No.25). As of December 2015, 106 APs in this subproject had covered endowment insurance for LEFs. 7) Information disclosure, public participation and satisfaction survey: All villagers are much more familiar with this subproject, and are satisfied with the DMS results. They have not been involved in the development of resettlement and fund use programs. They think that information disclosure on this subproject and resettlement is inadequate. but the government has made concessions in subsequent land measurement and compensation rates, so no sharp conflict has occurred. Villagers overall perception of the role of the village organizations in resettlement planning and implementation has improved and is fairly good. 8) Social adaptation and fusion: Most villagers mostly feel ordinary or dissatisfied about their current lives. The respondents choose Not clear for the question I m unable to control things that will happen to me, Agree for I often feel helpless in face of problems in my life, I always feel unsmooth in everything, I can do whatever I really want to do, and My future life will be better, and Disagree for What will happen in my future life 20

28 depends on me, I often feel that I m not worse than those around me, and I always in a bad mood. Villagers think that the village organizations do well in solving living or production troubles for them, and get along well with villagers, and they can get help from neighbors when problems arise. They don t know how to evaluate the work of county, township and village officials during resettlement Jiancaogou Subproject 1) Brief review of the RP The affected area of this subproject includes the reservoir area, junction construction area and waterworks construction area, etc. This subproject affects 43 households with 212 persons in Jiancaogou, Dongyi and Dongsan Groups of Yonghong Village, Yongjing Town, Xifeng County mu of collective land will be acquired permanently, including 66.7 mu of cultivated land, mu of woodland, 13.3 mu of other farmland, 7.45 mu of construction land, and mu of state-owned land; 37 mu of land will be occupied temporarily. Houses of m 2 will be demolished, and 1,015 trees, one waterworks (1.5 million tons/year), a tractor road of 0.42km, water supply pipelines of 3.24km, and communication cables of 0.45km will be inundated. 2) Basic information and socioeconomic impacts: This village has 968 households with 2,486 persons, including 1,006 females, an agricultural population of 2,064, and a minority population of 15 (Miao), a labor force of 1,642, including 847 female laborers and 10 minority laborers, a cultivated area of over 186 mu, and per capita net income of 8,000 yuan. 3) Construction progress As of December 2015, the following tasks had been completed for this subproject: 1) mu of construction land had been acquired, 3 households with 6 persons resettled, houses of m 2 demolished, and 53 tombs relocated; 2) A 1.5km highway and a controlling railway crossover had been completed; 3) A 0.5km walkway and the main part of the office building of the waterworks had been completed; the water delivery pipeline had been installed for 300m; the dam body had been cast to a height of 1,055m (40m high); curtain grouting on the right dam shoulder had been completed, and that on the left dam shoulder was ongoing; overall construction progress was 78%. Figure 5-3 Photo of the Jiancaogou Subproject 4) Resettlement progress 3 groups of Yonghong Village have been affected by LA and HD mu of collective land has been acquired permanently, including mu of cultivated land and mu of woodland, for which 7,210, yuan has been paid in compensation; Houses of m 2 have been demolished, affecting two households, for which compensation has been fully paid. One waterworks will be inundated, but will be relocated until the new waterworks is put into operation. Since March 2015, villagers in Yonghong Village have attended 3 nonagricultural training courses, one on e-commerce and two on business startup, with 5-6 trainees each, including 2-3 women. As of December 2015, the number of local laborers placed to unskilled jobs under this subproject was unknown. Particular attention will be paid to this in subsequent M&E. 5) Proposed resettlement program The first announcement was published in November 2012, for 20.3 mu of acquired land, and the 21

29 second announcement published in February 2013, for over 100 mu of acquired land. LA compensation fees were paid in September The two households affected by HD have received full cash compensation. The temporary water supply pipeline has been completed and put into use, and will be laid again after the completion of the dam. LA has no impact on the village s economy, because the village is close to the county town, most land in the village has been acquired, and villagers main income sources are local employment and doing business. There is no minority resident in the affected area, and there is no special supporting measure for vulnerable groups. No land reallocation has been conducted after LA, because livelihood impacts are minor. As mentioned in the previous report, the existing water supply pipeline has been demolished for construction purposes, and a temporary one has been constructed at an investment of 200,000 yuan. According to the survey, the new temporary water delivery pipeline has been completed and begun to supply drinking water. After the new waterworks is put into operation, this temporary water delivery pipeline will be abandoned. As of December 2015, this extra cost had been paid by the government through consultation with the construction company. Figure 5-4 Payment Voucher for Temporary Water Supply Pipeline 6) Endowment insurance for LEFs According to the survey, the endowment insurance policy for LEFs of this subproject are based on the Notice of the Guiyang Municipal Government on Issuing Opinions on Social Endowment Insurance for LEFs, and the Implementation Plan of Xifeng County for the Employment and Social Security of LEFs (XCG [2012] No.25). As of December 2015, 25 APs in this subproject had covered endowment insurance for LEFs. 7) Information disclosure, public participation and satisfaction survey All villagers knew about this subproject and LA/HD at a meeting convened by the village committee, are dissatisfied with the DMS results, and think that the land compensation rates are too low. They are aware of compensation policies and rates for LA, but not aware of compensation and resettlement policies for HD, and have been involved in the development of resettlement and fund use programs. They think that information disclosure on this subproject and resettlement is inadequate, and that compensation rates should be increased. Through repeated communications, villagers have agreed to the specified compensation rate, and LA compensation has been paid to the AHs. They are satisfied with the role of the village organizations in resettlement planning and implementation. All villagers support this subproject. 8) Social adaptation and fusion Most villagers mostly feel ordinary or dissatisfied about their current lives. The respondents choose Not clear for the question I m unable to control things that will happen to me, and I can do whatever I really want to do, Agree for I often feel helpless in face of problems in my life, What will happen in my future life depends on me, I often feel that I m not worse than those around me, I always in a bad mood, 22

30 and I always feel unsmooth in everything, and Disagree for My future life will be better. Villagers think that the village organizations do well in solving living or production troubles for them, and get along well with villagers, and they can get help from neighbors when problems arise. They don t know how to evaluate the work of county and township officials, and are satisfied with the work of village officials during resettlement Jinlong Subproject This subproject affects two villages and 3 enterprises in Longchang Town Affected enterprises 1) Hongfa Refractory Material Plant Hongfa Refractory Material Plant is a private enterprise running on collective land; its appraisal has been completed, and the compensation of 1,828,210 yuan was paid in April 2014, in which the appraisal fee of 15,000 yuan was paid by this plant; this plant has been relocated and is continuing to operate. Figure 5-1 Compensation Voucher of Hongfa Refractory Material Plant 2) Xiuwen Wuhong Mineral Shop Xiuwen Wuhong Mineral Shop is abandoned and does not need resettlement. Based on consultation, its workshop will be compensated for at 550 yuan/m2, and the occupied collective construction land will be compensated for at 10,500 yuan/mu. In November 2014, the compensation for the workshop of 39,600 yuan was paid to the affected enterprise. For the collective construction land occupied by the workshop, LA compensation of 1,134 yuan has been paid. Through consultation with the AHs, 648 yuan has been paid to the village collective, and 486 yuan paid to the AHs. As of December 2015, LA and HD compensation had been fully paid. Figure 5-6 Payment Voucher of LA and HD Compensation for the Workshop 3) Guizhou Aluminum Factory: 23

31 Part of the mining area of this factory is within the inundation area, involving neither LA nor HD. Mining in this area will be completed before impoundment in Affected villages 1) Brief review of the RP The Jinlong Subproject involves permanent and temporary land occupation, affecting 22 groups of 5 villages and 3 industrial enterprises in Longchang Town. LA involves no directly affected population, and temporary land occupation will affect 61 persons. The reservoir has an inundated area of mu, including mu of land and 12.0 mu of water surface. The junction will occupy mu of land, and the water delivery and distribution area will occupy mu, totaling mu. This subproject affects 3 enterprises, which are Guizhou Aluminum Factory, Hongfa Refractory Material Plant and Xiuwen Wuhong Mineral Shop, and will occupy mu of their state-owned land permanently, which accounts for 0.14% of the land area of these enterprises only. This will affect these enterprises production and their employees income. Compensation will be otherwise negotiated. Abandoned simple houses of 2,440.17m 2 of Hongfa Refractory Material Plant and Xiuwen Wuhong Mineral Shop, and a debris dam of Guizhou Aluminum Factory will be demolished. In addition, after the completion of this subproject, water resources will be utilized more effectively. 2) Basic information of Xinzhai Village, Longchang Town, and socioeconomic impacts This village has 724 households with 2,876 persons, including 1,420 females, an agricultural population of 2,832, a minority population of 38 (Miao), 1,780 laborers, 812 female laborers and 20 minority laborers. About 50% of villagers work outside, in which about 400 work out of Guizhou Province, mainly in Zhejiang Province. This village has 2,100 mu of cultivated land, including 1,400 mu of irrigated land and 700 mu of non-irrigated land; 1,000 mu of hilly land (distributed evenly to villagers), and 300 mu of barren hilly land (collective). Farmers per capita annual net income is 3,800 yuan. 3) Basic information of Xiaoshan Village, Longchang Town, and socioeconomic impacts This village has 358 households with 1,258 persons, including 710 females, an agricultural population of 1,258, a minority population of 264 (Miao), 762 laborers, 371 female laborers and 176 minority laborers. This village has 1,491 mu of cultivated land. Farmers per capita annual net income is 2,840 yuan (excluding income from private mining). 4) Construction progress As of December 2015, the temporary works, diversion tunnel excavation, dam foundation and slope excavation of this subproject had been completed, and the diversion tunnel had been put into operation. The primary next-step goal is to complete pre-flood construction tasks, including concrete casting below the dam level of 1,286.5m, dam body filling and dam surface flood protection. 5) Resettlement progress LA in Xinzhai Village was conducted in two stages in April 2013 and November 2013 respectively. As of December 2015, except mu of collective barren hills, LA compensation had been fully paid. The LA compensation paid to the village collective will be used for public welfare mainly. As of December 2015, the village collective had purchased 60 plowing machines using the collective LA compensation. The collective water house has been demolished for dam construction, affecting villagers water use and irrigation. In view of this, Guangxi Haihe Water Conservancy Construction Co., Ltd. has built a drinking house at an investment of tens of thousands yuan. 24

32 Figure 5-7 Temporary Drinking House Built by Haihe Company for Xiafang Village In April 2013, an LA announcement was published in Xiaoshan Village. As of September 2013, LA compensation had been fully paid. All land acquired for the inundation and junction areas is barren land, and the AHs are satisfied with the LA compensation rate mu of land in Xinzhai and Xiaoshan Villages has been actually acquired in the inundation and junction areas of this subproject, including mu of non-irrigated land, mu of barren hill and mu of other land. As of December 2015, except mu of collective barren hill acquired in Xinzhai Village for the Jinlong Subproject, the LA work in Xinzhai and Xiaoshan Villages had been completed, and LA compensation paid to the AHs. LA for the water delivery canal has not begun and expected to begin in early In 2015, the Longyang Town Labor and Social Security Bureau organized business startup, driving and crop cultivation training, which was freely available to the APs. Since March 2015, 9 sessions of business startup training have been offered, lasting 10 days each, involving 260 trainees in total, in which 50% are women; one session of driving training has been offered, involving 17 trainees. Kiwi cultivation training is offered to 10 households, which offer training to more households. Since March 2015, 7 sessions of kiwi cultivation training have been offered in Xinzhai Village, involving trainees each; 6 6 sessions of vegetable cultivation training have been offered in Xiaoshan Village, in which 70% of the trainees are women. As of December 2015, 25 men and 4 women (Q1), 30 men and 5 women (Q2), 20 men (Q3), and 12 men (Q4) had received unskilled jobs under this subproject. In the subproject area there are 14 vulnerable groups with 34 persons, none of which is affected by LA, and all of which receive MLS subsidies of yuan/month, plus annual subsidies of 1,000-2,000 yuan from the village collective. 6) Endowment insurance for LEFs: According to the survey, the endowment insurance policy for LEFs of this subproject are based on the Notice of the Guiyang Municipal Government on Issuing Opinions on Social Endowment Insurance for LEFs, and the Implementation Plan of Kaiyang County for the Employment and Social Security of LEFs. As of December 2015, the county labor and social security bureau were preliminarily identifying the LEFs in this subproject. 7) Information disclosure, public participation and satisfaction survey All villagers are much more familiar with this subproject, and are satisfied with the DMS results. Villagers have been involved in resettlement and fund use planning, and have received a lot of support from Guangxi Haihe Water Conservancy Construction Co., Ltd. As mentioned in the previous report, Haihe Company said that construction has been slowed down due to the low availability of government funds. As of December 2015, Haihe Company had advanced part of construction costs through consultation, and the government had promised to pay the same when funds were available. It was mentioned in the previous report that some AHs thought the compensation was insufficient and asked for further compensation. Through coordination, such further compensation would not be granted. As of December 2015, no grievance had occurred. Villagers overall perception of the role of the village 25

33 organizations in resettlement planning and implementation has improved. 8) Social adaptation and fusion After more than one year of adaptation, most villagers think they are leading a better life now. Villagers think the village organizations are able to solve living or production troubles for them, and have played a good role in resettlement planning and implementation Baihe River Subproject 1) Brief review of the RP The affected area of this subproject includes the reservoir area, junction area and access road. This subproject involves permanent and temporary land occupation mainly, affecting 7 village groups of 3 villages in two townships in Kaiyang County. 102 households with 399 persons will be affected directly, and 10 households with 37 persons in Wumuqing Group of Maojiayuan Village, Jiangnan Xiang will be affected temporarily mu of collective land will be acquired, including mu of cultivated land; 30 mu of land will be occupied temporarily, including 20 mu of cultivated land; houses of m 2 will be demolished, and some ground attachments affected. 2) Basic information of Qunxing Village and socioeconomic impacts This village has 1,300 households with 5,081 persons, and a cultivated area of 4,016 mu. The main food crops are paddy rice, corn and wheat, and the main cash crops are vegetables, rape and pepper. Over 200 mu of land in this village has been acquired for this subproject, affecting 79 households. By the end of March 2012, LA compensation fees had been fully paid to the AHs. The compensation rate for cultivated land is 49,500 yuan/mu and that for woodland 17,000 yuan/mu. 3) Basic information of Dingfang Village and socioeconomic impacts This village has 1,789 households with 6,295 persons, including an agricultural population of 5,260 and 2,380 females. This village has a minority population of 404, including 44 Miao people and 360 Buyi people. This village has 3,147 laborers and 5,412 mu of cultivated land, and the main crops are paddy rice and corn. 4) Basic information of Maojiayuan Village and socioeconomic impacts This village has a land area of 21.8 mu, a cultivated area of 4,894 mu, 26 village groups and a population of 4,186. In 2014, the village s per capita net income was 7,532 yuan, and there were 80 MLS households and 12 five-guarantee households. The village enjoys convenient traffic and is suitable for investment. The village has 2,500 mu of barren hills, which can be used for cultivation, stockbreeding and tourism. The main crops here include paddy rice, corn, rape, peanut, walnut, etc. In recent years, most villagers have mastered some practical skills through training and remote education. 5) Construction progress The cleanup of the Bai an River Subproject began in July 2014 and was completed in October As of December 2015, county-level inspection had been completed. In May 2015, the main part of this subproject was completed. As of December 2015, except the water and soil conservation work (expected to be completed by the end of December 2015), the other works had been completed. A cumulative direct investment of over 47 million yuan has been made. 26

34 Figure 5-2 Field Photo on the Bai an River Reservoir 6) Resettlement progress LA for this subproject began in As of November 2012, 228 mu of cultivated land, mu of land and 8.07 mu of other land in Qunxing and Dingfang Villages, Chengguan Town, and Maojiayuan Village, Jiangnan Xiang had been acquired for this subproject, for which 19,046, yuan had been paid in compensation; houses and attachments of 1,452.4 m 2 had been demolished, affecting two households, for which 327,006.9 yuan had been paid in compensation. As of December 2015, LA and HD had been completed, and compensation fully paid to the AHs. According to the Notice of the Guiyang Municipal Government on Adjusting AAOV Rates for Land Acquisition: the LA compensation rates are 36,000 yuan/mu for cultivated land, 17,000 yuan/mu for woodland, 4,000 yuan/mu for commercial forests and 6,000 yuan/mu for other land. Since March 2015, the county labor and social security bureau has organized free nonagricultural and agricultural skills training, including computer, SYB, chemical, catering, cooking, tobacco cultivation, vegetable cultivation, pepper cultivation, etc % of trainees are women. As of December 2015, 11 men and 7 women had received unskilled jobs under this subproject. 7) Endowment insurance for LEFs According to the survey, the endowment insurance policy for LEFs of this subproject are based on the Notice of the Guiyang Municipal Government on Issuing Opinions on Social Endowment Insurance for LEFs, and the Implementation Plan of Kaiyang County for the Employment and Social Security of LEFs. As of December 2015, 21 LEFs had covered endowment insurance for LEFs. 8) Information disclosure, public participation and satisfaction survey All villagers are quite familiar with this subproject. Several coordination meetings were held on LA, compensation rates and resettlement modes to collect comments and suggestions from villagers. The APs support LA and this subproject, and are satisfied with the compensation rates. Villagers overall perception of the role of the village organizations in resettlement planning and implementation has improved, and they think that these organizations played an important coordination role. 9) Social adaptation and fusion The survey shows that since almost no HD is involved, villagers have no obstacle in social adaptation and get along well. The only dispute is over land delimitation, and has been settled through mediation by village officials Maozhulin Subproject 1) Brief review of the RP The affected area of this subproject includes the reservoir area, junction construction area, irrigation canal construction area, and water delivery pipeline construction area. This subproject involves collective land acquisition and temporary land occupation only. 27

35 LA affects 86 households with 353 persons in 13 groups of 4 villages in Longshui Xiang, Kaiyang County mu of collective land will be acquired permanently, including mu of cultivated land, mu of woodland, mu of other farmland and 4.25 mu of unused land; 76.4 mu of land will be occupied temporarily, including 52.7 mu of cultivated land and 23.7 mu of other farmland. 2,155 trees and one tomb will be inundated. 2) Basic information of Heping Village and socioeconomic impacts This village has 475 households with 1,761 persons, including an agricultural population of 1,761 and 853 females. This village has a minority population of 30, including 5 Miao people, 7 Buyi people and 18 people of other ethnic groups. This village has 725 laborers and 2,051 mu of cultivated land, and the main crops are paddy rice and corn. In 2013, villagers per capita annual net income was 4,252 yuan. The main income source was farming, accounting for 73.25%. 3) Basic information of Xinchang Village and socioeconomic impacts Xinchang Village: This village has 1,434 households with 4,718 persons, including an agricultural population of 4,620 and 2,158 females. This village has a minority population of 58. This village has 725 laborers and 5,014 mu of cultivated land, and the main crops are paddy rice and corn. In 2013, villagers per capita annual net income was 4,252 yuan. The main income source was farming, accounting for 71.06%. 4) Construction progress As of December 2015, two access roads of about 1km, and the installation of power transmission lines for the dam and stockyard had been completed, the excavation of the diversion and discharge tunnels completed for 260m, and the stockyard and mixing yard completed. It is expected that the diversion tunnel will be lined, the irrigation area and water delivery pipeline will break ground, and dam excavation will begin. Figure 5-9 Photo of the Maozhulin Subproject 5) Resettlement progress LA and HD in Heping Village began in As of October 2015, LA in the reservoir and junction construction areas had been largely completed, with mu of cultivated land and mu of woodland acquired in total, affecting 34 households with 132 persons, for which 3,012,181 yuan had been paid in compensation. Two AHs had not entered into LA compensation agreements due to land ownership and compensation issues, and were in negotiation as of December 2015, while the compensation for the other AHs had been paid directly. It was mentioned in the previous report that the farming road was blocked for dam construction. The APs have agreed to use another road, and the contractor has promised to restore the blocked road to the original condition after the completion of construction. LA in Xinchang Village began in As of October 2015, LA in the reservoir and junction construction areas had been completed, with mu of cultivated land and 1.69 mu of woodland acquired in total, affecting 23 households with 93 persons, for which 84,655.1 yuan had been paid in compensation. As of December 2015, the compensation for the acquired land had been paid directly to the AHs. 28

36 LA for the irrigation canal and water delivery pipeline construction areas of this subproject is expected to begin in May In 2015, two sessions of fruit tree cultivation training were offered in Heping Village, with 100 trainees each, in which 30% were women. Villagers in Xinchang Village have attended agricultural skills training many times, with 30 trainees per session. As of December 2015, no nonagricultural skills training had been offered in the two villages. 10 men and two women (Q1), 15 men and 3 women (Q2), 10 men and two women (Q3), and 12 men and 3 women (Q4) have received unskilled jobs under this subproject. Figure 5-3 List of Receivers of LA Compensation in Xinchang Village 6) Endowment insurance for LEFs According to the survey, the endowment insurance policy for LEFs of this subproject are based on the Notice of the Guiyang Municipal Government on Issuing Opinions on Social Endowment Insurance for LEFs, and the Implementation Plan of Kaiyang County for the Employment and Social Security of LEFs. As of December 2015, 64 LEFs in Heping and Xinchang Villages each had covered endowment insurance for LEFs. 7) Information disclosure, public participation and satisfaction survey Villagers knew about LA from oral notification or disclosure by the village committee, are satisfied with the DMS results, and are clear about the LA range, LA compensation policies and rates. Although they have not been involved in resettlement and fund use planning, they are satisfied with the LA compensation rate and support this subproject. 8) Social adaptation and fusion The survey shows that since almost no HD is involved, villagers have no obstacle in social adaptation and get along well. 29

37 Figure 5-4 Interview with Villagers and Village Officials in Heping Village Jinjiaqing Subproject 1) Brief review of the RP The affected area of this subproject includes the reservoir area, junction construction area and irrigation construction area. This subproject affects 109 households with 465 persons in 9 groups of 3 villages in Yangchang Town, and 3 groups of Hongqi Village in Baiyi Xiang, Wudang District mu of collective land will be acquired permanently, including mu of cultivated land, mu of woodland, mu of other farmland, 0.31 mu of housing land and 3.89 mu of traffic land, and 2.8 mu of state-owned land mu of land will be occupied temporarily, including 38.4 mu of cultivated land, 8.96 mu of woodland, 0.07 mu of other farmland and 0.4 mu of traffic land, and 0.63 mu of state-owned land. Houses of m 2 will be demolished, and some attachments, 398 trees and 42 tombs inundated. 2) Basic information of Jiagang Village This village has 465 households with 1,600 persons, including 750 women, an agricultural population of 1,300, and a minority population of 120, including 30 Miao people, 30 Buyi people, and 30 people of other ethnic groups. The village has 980 laborers, 430 female laborers and 60 minority laborers. About 50% villagers work outside, mostly in Zhejiang Province. This village has a cultivated area of 1,478 mu. Villagers main income source is outside employment, and LA compensation will be used for house construction and doing small business mainly. Farmers per capita annual net income is 6,800 yuan. 3) Basic information of Pingba Village This village has 408 households with 1,204 persons, including 586 women, an agricultural population of 1,204, and a minority population of 105, including 80 Miao people, 21 Buyi people, and 4 people of other ethnic groups. The village has 800 laborers, 305 female laborers and 50 minority laborers. Most laborers work outside. There is a brickyard in this village, with a workforce of 28, all being local villagers, including 15 women, with an average monthly pay of 2,000 yuan, an annual output value of 200,000 yuan and an annual profit of around 20,000 yuan. This village has a cultivated area of 34 mu. Farmers per capita annual net income is 8,560 yuan. 4) Basic information of Hongqi Village This village has 576 households with 2,285 persons, including 1251 women, an agricultural population of 2,285, and a minority population of 32, including 5 Miao people, 20 Buyi people, and 7 people of other ethnic groups. The village has 1,046 laborers, 625 female laborers and 12 minority laborers. This village has a cultivated area of 1, mu. Farmers per capita annual net income is 10,500 yuan. 5) Construction progress Construction began in April The dam body was completed in August As of December 30

38 2015, impoundment was pending the completion of LA in the reservoir area. Figure 5-12 Photo of the Jinjiaqing Subproject 6) Resettlement progress LA began in As of December 2012, mu of land had been acquired in the junction construction area. As of December 2015, 2,309, yuan had been paid in compensation in total. In November 2015, the district government held a topical meeting on LA compensation and resettlement, involving heads from competent authoriites. LA for the reservoir and irrigation canal construction areas is expected to begin at the end of The fund shortage problem mentioned in the previous report that had been partly solved as of December 2015, and the balance of the LA compensation is expected to be available by early It was mentioned in the previous report that the construction team blocked the main access road of the village for construction purposes, so that affected villagers had to take a long detour. In March 2015, the construction of this road was completed, and the former muddy path was turned into a cement road, providing greater traffic convenience to villagers. As of December 2015, no grievance had been received. In March 2015, the town labor and social security bureau offered cooking training, involving 48 trainees, in which 30% were women. In April 2015, a SYB course was offered to 30 villagers in Machang Village, all of whom passed the examination and received certificates. As of December 2015, 4 men had received unskilled jobs under this subproject. Table 5-1 Interview in a Village Affected by the Jinjiaqing Subproject Date: November 18, 2015 Venue: Jinjiaqing Reservoir dam Interviewees: Lin XX and Zhou XX in Jiagang Village Information: The government reached an agreement with the families of Lin XX and Zhou XX some villagers in 2012 that some of their land was to be occupied for two years for the stockyard, and compensated for at 1,807 yuan/mu per annum. However, construction was not completed by the expiry of the two-year period of temporary land occupation in December It was mentioned in the previous report that Lin s family required that the temporarily occupied land be turned into permanently acquired land, because the temporarily occupied land could not be restored. This requirement has been approved, and the government has compensated for the occupied land at the location-based land price of 30,000 yuan/mu and promised not to withdraw the compensation paid for temporary land occupation. As of December 2015, LA compensation had been paid. Since the temporarily occupied land of Zhou s family can be restored, its requirement has been rejected, its land will still be compensated for as temporarily occupied land, and the compensation is expected to be paid by the end of As of December 2015, no grievance had been received. 31

39 7) Endowment insurance for LEFs The endowment insurance policy for LEFs of this subproject are based on the Notice of the Guiyang Municipal Government on Issuing Opinions on Social Endowment Insurance for LEFs. Endowment insurance for LEFs will be covered in a unified manner after the completion of LA. 8) Information disclosure, public participation and satisfaction survey The government issued the order to stop cultivation in 2009 and published the announcement twice in The village committee distributed the RIB twice in Villagers are aware of LA through a village meeting, well recognize DMS results, and support this subproject. Villagers are satisfied with the LA compensation rate. 9) Social adaptation and fusion The survey shows that since almost no HD is involved, villagers have no obstacle in social adaptation and get along well. 5.2 Women The 6 subprojects affect 613 women in total, which enjoy the same rights as the affected men. In 2015, the Xiuwen PMO continued to provide technological and skills training and small-amount secured loans to women. In addition, women s federations at different levels have conducted activities on social ethics, women s care and assistance for poor women among women in conjunction with rural environmental management and beautiful country building. In 2015, poor households were offered assistance, including consolation money of 17,500 yuan to 20 poor households, a subsidy for the protection of women s rights and interests of 7,000 yuan to 4 poor households, subsidies for two types of cancer for poor mothers of over 70,000 yuan to 7 women suffering from uterine cancer or breast cancer, and a family planning supporting fund of 17,000 yuan for Xiaobao Village, Xishan Town. In 2015, the Kaiyang County Government offered employment and business startup training to women together with the county labor and social security bureau around the county s industry transformation and upgrading objectives, and also enacted relevant preferential policies, including business startup subsidy, rental subsidy and small-amount secured loans. Publicity on preferential policies was also conducted. In 2015, the Wudang District Women s Federation organized a special job fair, offering over 2,000 jobs. At the fair, over 3,000 copies of publicity materials on relevant laws and policies were distributed. In the first half of 2015, small-amount loans totaling 1.91 million yuan were granted to 26 women, and great support was provided to rural women s cooperatives. In 2015, assistance was provided to local children and women. 32

40 Figure 5-5 Spring Breeze Action in Wudang District and Xifeng County 5.3 Vulnerable Population For the purpose of the Project, vulnerable groups include the disabled, five-guarantee households, widows, low-income or poor population, and ethnic minorities. Among the 5 subprojects, only the Jinjiaqing Subproject affects 67 minority persons Liaojiuzhai Subproject The vulnerable population affected by this subproject is 24, including 5 poor households with 21 persons, an old widow living alone, and one MLS household with two persons. In the subproject area, members of MLS and poor households receive an MLS benefit or poverty subsidy of yuan from the civil affairs bureau per month. No other special supporting measure for the affected vulnerable population is available yet Jiancaogou Subproject This subproject affects 8 vulnerable households with 8 persons. See Table 5-2. Table 5-2 Summary of Vulnerable Population Affected by the Jiancaogou Subproject No. Group Head of Ethnic Family Vulnerable Gender HH group size members Cause Policy applied 1 WXX Han 2 1 M 64 years, blind MLS 2 WXR Han 1 1 F 63 years, blind Poverty relief 3 Jiancaogou WXM Han 1 1 M 88 years, widow, poor Poverty relief 4 YCQ Han 1 1 F 68 years, poor Poverty relief 5 XAL Han 2 1 M 74 years, widow, poor MLS 6 ZGF Han 1 1 F 71 years, widow, poor MLS 7 Dongsan ZYF Han 1 1 F 68 years, widow, poor Poverty relief 8 ZJS Han 1 1 M 72 years, widow, poor MLS Total 8 HHs 10 8 In the subproject area, members of MLS and poor households receive an MLS benefit or poverty subsidy of yuan from the civil affairs bureau per month. No other special supporting measure for the affected vulnerable population is available yet Jinlong Subproject This subproject affects one vulnerable household with 3 persons, and a minority population of 3 (Miao) temporarily. No special supporting measure for the affected vulnerable population is available yet Baiulation is available This subproject affects 9 vulnerable households with 19 persons. See Table 5-3. Table 5-2 Information on Vulnerable Population Affected by the Project Type HHs Persons Restoration measures taken Disability, MLS, widows 2 2 Poverty ) Granting allowances and free medical care to MLS households monthly; 2) Granting a subsidy of 30 yuan per month per capita to disabled persons; 3) Making unskilled jobs and related training to laborers in these households at the construction stage Providing skills training to at least two members of each poor household (at least one woman) No special supporting measure for the affected vulnerable population is available yet Jinjiaqing Subproject This subproject affects 6 vulnerable households with 10 persons. See Table

41 No. External Resettlement M&E Report of the Guiyang Integrated Water Resources Management Project (No.4) Group Table Summary of Vulnerable Population Affected by the Jiancaogou Subproject Head of HH Ethnic group Family size Vulnerable members Gender Cause Policy applied Subsidy (yuan per capita per month) 1 Temporary WY Han 3 1 M 38 years Pingsha assistance 50 2 ng, LQJ Han 1 1 M 34 years, disabled MLS 45 3 Heping LQQ Han 1 1 M 28 years MLS 45 4 Village 64 years, disabled, LQZ Han 1 1 M poor MLS years, widow, JYY Han 1 1 M Shuiwei five-guarantee MLS 60 6 BMZ Han 3 3 M Disabled, poor MLS 60 Total 6 HHs 10 8 No special supporting measure for the affected vulnerable population is available yet Jinjiaqing Subproject This subproject affects no vulnerable population. 34

42 6 Public Participation, Information Disclosure and Grievance Redress 6.1 Public Participation Public participation is an important means to ensure the successful implementation of resettlement. At the feasibility study, RP preparation and implementation stages, the local PMOs conducted a series of activities to involve the APs in the Project. At the resettlement planning stage, great importance was paid to public participation and consultation. During the feasibility study, the local PMOs and design agency collected comments on the project design from local governments, agencies concerned and APs extensively. At the implementation stage, the local PMOs also held FGDs with officials of local governments and village committees regularly. It has been found that effective public consultation activities were conducted during the DMS and resettlement, and all APs are satisfied with these activities. In addition, the IAs respected local customs and conducted effective consultation during resettlement. For example, tomb relocation is prohibited in January, March, May, July and September in the lunar calendar according to local customs, which has been taken in account during LA. Figure 6-1 LA Announcement of the Liaojiuzhai Subproject Figure 6-2 Resettlement Willingness Survey for the Jiancaogou Subproject 35

43 Figure 6-3 LA Public Hearing for the Jinlong Subproject (April 2013) Figure 6-4 Land Conflict Coordination for the Jinlong Subproject (July 2013) 6.2 Information Disclosure At least two LA announcements have been published in the counties affected by LA. During LA, the DMS results have been confirmed by the APs. Jiancaogou Subproject: The first LA announcement was published in November 2012, and the second announcement published in February Jinlong Subproject: A pre-la announcement was published in March 2013, a seedling compensation announcement published in June 2013, and an attachment clearing announcement published in July

44 Figure 6-5 Lists of LA and HD Sizes, and Compensation Fees for the Liaojiuzhai Subproject Figure 6-6 Pre-LA Announcement for the Jinlong Subproject 37

45 Figure 6-7 Notice of Attachment Clearing for the Jinlong Subproject Figure 6-8 Notice on Seedling Compensation for the Jinlong Subproject 6.3 Grievance Redress The grievance redress channels are smooth in all project counties, and the APs may file a written or oral appeal about any aspect. For example, although the woodland acquired for the Jinlong Subproject is collective land, some of it has been converted into farmland by villagers in Xinzhai Village. Therefore, some villagers were dissatisfied with the compensation rate and filed an appeal with the Xinzhai Village Committee, which submitted a grievance redress report to the Longchang Town Government in May This report was approved in the same month. According to this report, all woodland converted into farmland before the announcement date would be compensated for as farmland, and the compensation rate is increased by 22,500 yuan/mu. See Figure 6-9. It was mentioned in the previous report that the compensation rate for the work shed owned by XBY involved in the Jinlong Subproject was being negotiated (XBY wanted compensation at the rate for residential houses, but the government offered compensation of 39,600 yuan at the rate of 550 yuan/m 2 for simple sheds, plus land compensation of 1,134 yuan (10,500 yuan/mu for construction land), totaling 40,734 yuan). According to the survey, XBY finally agreed to the compensation rate offered by the government through repeated negotiations. As of December 2015, LA and HD compensation had been paid to XBY. It was mentioned in the previous report that in the Jinjiaqing Subproject, the construction team has blocked the main access road of the village for construction purposes, so that villagers have to take a long detour. Villagers have expressed a strong grievance about this. According to the survey, in March 2015, the construction of this road was completed, and the former muddy path was turned into a cement road, providing greater traffic convenience to villagers. As of December 2015, no grievance had been received. In 2012, the government reached an agreement with some AHs to occupy some land for two years at a compensation rate of 1,807 yuan/mu per annum, where the occupied land would be returned by December However, construction had not been completed by the end of 2014, and the AHs required that the temporarily occupied land be turned into permanently acquired land. According to the survey, through repeated negotiations, the temporarily occupied land of one household will be compensated for as permanently acquired land because it cannot be restored, and the government has promised not to withdraw the compensation paid for temporary land occupation; the remaining temporarily occupied land 38

46 will still be compensated for as temporarily occupied land, and the compensation is expected to be paid by the end of As of December 2015, no grievance had been received. Figure 6-9 Grievance Redress Report for the Jinlong Subproject It was mentioned in the previous report that part of the main water delivery pipeline of the waterworks was demolished for construction purposes, and a temporary one had been constructed at an investment of 200,000 yuan. According to the survey, the new temporary water delivery pipeline has been completed. After the new waterworks is put into operation, this temporary water delivery pipeline will be abandoned. As of December 2015, this extra cost had been paid by the government through consultation with the construction company. Some grievances arouse from inadequate communication. For example, a footpath inundated by the Jiancaogou Subproject was not compensated for. Later, the local PMO built a replacement road at the cost of over 4 million yuan without further compensation. In 2015, the inundated land under the Jiancaogou Subproject was restored and rebuilt. The external M&E team also collected some pending grievances and appeals: Jinlong Subproject: In 2014, the compensation for about 260 trees of Yang XX, a villager in Xinzhai Village because the Xiuwen County Government was short of funds. In 2015, the government wanted to compensate for such trees at the rate for young trees, but Yang XX did not agree and insisted that such trees should be compensated for at the rate for adult trees. As of December 2015, negotiation was underway. During the M&E, it was suggested and it was also requested by ADB, the full Grievance Redressal Committee of the project should hold a coordination meeting by the end of Jan More details and special attention will be paid to the above issue in future M&E reports, and its disposition and related records will also be reported to ADB. 39

47 7.1 Overview 7 EMDP In the area affected by the 6 subprojects, except that the Jinjiaqing Subproject involves 67 minority persons, the other subprojects involve no minority population. The project area has a total beneficiary population of 175,408, including a minority population of 16,636, accounting for 9.48%. In the area affected by the 6 subprojects, the affected minority persons enjoy the same social and economic status as the local Han people, and different ethnic groups are intermarried and all communicated in Chinese. The affected minority persons show no different from the local Han people except ethnic festivals, enjoy the same entitlement to compensation as the local Han people in the Project, and have priority in employment and skills training under the Project Liaojiuzhai and Jiancaogou Subprojects The Liaojiuzhai Subproject aims to meet irrigation water demand in 7 groups of Shiqiao Village, and supply drinking and ecological water, benefiting 1,211 persons, including a minority population of 10, accounting for 0.83%. There is no minority in the area affected by this subproject. The Jiancaogou Subproject includes urban water supply and farmland irrigation, and will serve a population of about 35,000 in and around the county town, and 500 mu of farmland, including a minority population of 1,855, accounting for 5.3%. There is no minority in the area affected by this subproject. Since the beginning of reservoir construction in Xifeng County, activities for ethnic minorities have been carried out actively to protect their interests and carry forward their customs. In 2015, the county ethnic and religious affairs bureau invested 170,000 yuan in campus-based minority culture performances, helping some schools in Qingshan Miao Xiang with ethnic dance training and embroidery. In 2015, the Miao reed-pipe dancing team in Qingshan Miao Xiang won a third place at the 10 th National Ethnic Minority Games. During the Spring Festival, 35 poor minority households were visited, and granted rice and oil, and 3 religious places and two retirees were visited, and granted consolation money of 7,500 yuan. Ethnic cultural activities have been conducted in Xinhua Community. Community publicity on ethnic minority policies has been conducted effectively, and assistance in employment, social security and education provided. Minority residents have been assisted in solving difficulties and problems in business operations and lives Jinlong Subproject This subproject will improve farmland irrigation, solve the drinking problem, and supply water to the county town. This subproject involves no minority population. From 2012 to 2015, 162 projects have been implemented in Xiuwen County, with a total investment of million yuan, including 152 infrastructure, ethnic culture and industry restructuring projects with a total investment of million yuan, and discounted loans totaling million yuan. These projects have improved local minority residents production and living conditions greatly, and promoted their industry development. Agriculture has been developed greatly to increase local minority residents income, including melon cultivation. Training on laws, regulations and practical agricultural skills have been offered. Financial and technical support has been offered to returned minority migrant workers. In 2015, the Xiuwen County Government invested over 100,000 yuan to support traditional minority festival activities, especially minority singing and dancing Bais carried and Maozhulin Subprojects This Bai an River Subproject will meet urban drinking water and downstream ecological water demand, benefiting 121,100 persons, in which minority population accounts for 10%. This subproject involves no minority population. The Maozhulin Subproject aims to supply domestic water supply to 2,890 persons in and around Longshui Xiang, and improves downstream farmland irrigation. This subproject involves no minority 40

48 population. In 2015, the Kaiyang County Ethnic and Religious Affairs Bureau further improved infrastructure in rural minority areas in conjunction with the local beautiful countryside building and rural environmental management programs in order to build a number of demonstration parks of modern efficient agriculture with sound infrastructure and operating mechanisms, and distinctive minority characteristics, and promote urban-rural integration. Efforts were made to introduce enterprises into backward minority areas with such preferential policies as subsidies and discounted loans in order to promote the adequate, nearby employment of minority residents, and increase their income. The Kaiyang County Ethnic and Religious Affairs Bureau has made great efforts in promoting minority culture conservation and development, with focus on traditional minority festivals, education, publication and art performances Jinjiaqing Subproject This subproject will improve urban water supply to Yangchang Town, and the irrigation of 3,550 mu of downstream farmland. Yangchang Town has a population of 15,207, including a minority population of 2,661. This subproject affects a minority population of 67. In 2015, Wudang District became a demonstration district in ethnic unity and advancement, and disbursed special funds of 160,000 yuan. The Wudang District Government helped minority townships and villages strive for central, provincial and municipal financial support through well-off society building, beautiful countryside building and minority characteristic industry development. To date, 26 projects have been applied for successfully, with a total investment of million yuan. The Wudang District Government has offered great manpower, financial and material support in minority culture development, with focus on minority festivals and sports. 7.2 EMDP Implementation M&E According to the survey, there is a small minority population in the project area, and there is almost no negative impact on minority population, which will benefit greatly from the Project from domestic and irrigation water supply. 1) Protecting local minority population from construction impacts As of December 2015, no dispute over construction had been received. Non-horning signs had been set up near villages, sprinkling vehicles were available at most construction sites, and construction and domestic waste was transferred by well-covered trucks to designates for land-filling. Construction had no environmental impact. The construction staff respected local customs. However, safety facilities were inadequate on most construction sites. 2) Offering special training courses for minority officials Guizhou is a province with a large minority population, and minority officials are a bridge for better communication between the government and minority population. In May 2015, the first special training course for minority officials in Wudang District was held in order to improve their overall hands-on capacity. 3) Improving irrigation conditions All the 6 subprojects will improve local farmland irrigation and cultivation conditions. 4) Improving the living environment Local environmental protection is relatively backward and local residents environmental awareness is relatively weak. After the completion of the Project, ecological measures will be taken to protect vegetation and improve local infrastructure, so that solid waste and wastewater will be collected centrally, thereby improving the living environment and promoting physical health. 5) Labor skills training for minority population Labor skills training will play an active role in improving local residents knowledge level and skills, and is a priority for local agencies concerned, such as the embroidery training courses for Miao people and embroidery cooperative in Xifeng County, and the training course for rural female minority cooks in Kaiyang County. There are also many other labor skills training in the project area, covering forest and fruit cultivation, farm machinery repair, beauty care, and hairdressing, generating excellent economic and social benefits. 41

49 8 Conclusions and Suggestions 8.1 Conclusions The LA and HD work of all subprojects has begun, and progress slightly differs from the schedule. The LA and HD work of the Liaojiuzhai Subproject has been completed, that of the Jiancaogou and Jinlong Subprojects largely completed, that of the Jiancaogou and Maozhulin Subprojects began ahead of schedule, and that of the Jinjiaqing Subproject slightly behind schedule The grievance redress mechanism is unsound. The task force has found that in all subjects, a sound grievance redress mechanism has not been established, and grievances and appeals are mostly handled through village-level coordination and by water resources bureaus; no dedicated staff is responsible for appeal handling. Relatively, the grievance redress work of the Jinlong Subproject is the most effective; the Bai an River Subproject and the two subprojects in Xifeng County do well in file management. However, the leader of the Jiancaogou Subproject has changed, and the new leader is still not familiar with relevant affairs yet There is no definite supporting program for vulnerable groups. The local PMOs conducted livelihood restoration activities and taken some supporting measures for vulnerable groups, such as footpath construction and road surface hardening in Yongjing Town, and rural minimum living security for vulnerable groups. However, there are still some deficiencies, especially the sustainable livelihood restoration of vulnerable groups The organizational structure for resettlement is sound and duties clearly defined. The organizational structure for resettlement is sound and duties clearly defined, but the capacity of some local PMOs has to be further strengthened Special needs in most subprojects have been met. Jinlong Subproject: It was mentioned in the previous report that the compensation rate for XBY s work shed was being negotiated, and its compensation had not been paid (the AP expects compensation at the rate for residential houses, but the government plans to compensate it at 550 yuan/m 2 for simple sheds, amounting to 39,600 yuan (72 m 2 ), plus land compensation of 1,134 yuan (10,500 yuan/mu for construction land), totaling 40,734 yuan). According to the survey, XBY finally agreed to the compensation rate offered by the government through repeated negotiations. As of December 2015, LA and HD compensation had been paid to XBY. Jinjiaqing Subproject: It was mentioned in the previous report that the construction team had blocked the main access road of the village for construction purposes, so that affected villagers had to take a long detour. According to the survey, in March 2015, the construction of this road was completed, and the former muddy path was turned into a cement road, providing greater traffic convenience to villagers. As of December 2015, no grievance had been received. In addition, the government reached an agreement with some villagers in 2012 that some of their land was to be occupied for two years for the stockyard, and compensated for at 1,807 yuan/mu per annum. However, construction was not completed by the expiry of the two-year period of temporary land occupation in December The APs require that the temporarily occupied land be turned into permanently acquired land. According to the survey, through repeated negotiations, the temporarily occupied land of one household will be compensated for as permanently acquired land because it cannot be restored, and the government has promised not to withdraw the compensation paid for temporary land occupation; the remaining temporarily occupied land will still be compensated for as temporarily occupied land, and the compensation is expected to be paid by the end of As of December 2015, no grievance had been received. Jiancaogou Subproject: It was mentioned in the previous report that part of the main water delivery pipeline of the waterworks was demolished for construction purposes, and a temporary one had been constructed at an investment of 200,000 yuan. According to the survey, the new temporary water delivery pipeline has been completed. After the new waterworks is put into operation, this temporary water delivery pipeline will be abandoned. As of December 2015, this extra cost had been paid by the government through consultation with the construction company. Liaojiuzhai Subproject: It was mentioned in the previous report that flood diversion canal construction was affected due to LA progress, because many villagers preferred permanent LA to temporary land occupation. According to the survey, through repeated negotiations, the AHs finally agreed to compensation as temporarily occupied land after repeated negotiations in June As of December 2015, the compensation had been paid to the AHs, and no grievance had occurred. Bai an River Subproject: It was mentioned in the previous report that some villagers did not 42

50 understand the resettlement policy very well, and objected the practice of deducting endowment insurance premiums for LEFs from LA compensation. As of December 2015, 21 APs in this subproject had covered endowment insurance for LEFs. 8.2 Suggestions Pay attention to requirements on construction commencement in state and ADB policies. According to the Notice of the General Office of the State Council on Strengthening the Management of Newly Constructed projects (SCO [2007] No.64), for any new project to commence, land use approval must be obtained, and a contract on the compensated use of state-owned land or permit for the allocation of state-owned land entered into. This means that before the commencement of the Project, the proposed site, preliminary land examination and land use plan should have been approved, and a contract on the compensated use of state-owned land or permit for the allocation of state-owned land entered into Continue to do well in information disclosure and public participation, and improve the grievance redress channels. For doubts of some villagers about endowment insurance for LEFs, the local PMOs should make patient and careful explanations, and make every AH aware of relevant policies. The IAs should strengthen file management on LA and HD compensation, information disclosure, public participation and grievance redress, and prepare relevant materials from the baseline survey to the first semiannual report properly for submission to ADB in the first semiannual report Pay attention to the livelihood restoration of the APs, and extra support for vulnerable groups. For the subprojects involving vulnerable groups, the local PMOs should take the livelihood restoration and social security measures specified in the RPs timely. This is also a focus on future M&E. In addition, great importance should be attached to extra support for vulnerable groups to ensure their sustainable livelihood restoration. Relevant evidence will be provided in subsequent M&E reports Further strengthening the capacity building of the local PMOs Further strengthen the training of the staff of the local PMOs and IAs, and improve the mechanisms for LA and HD compensation, and livelihood restoration. In addition, sound mechanisms on information disclosure, public participation and grievance redress should be established Further strengthening information disclosure, public participation and grievance redress The IAs should strengthen file management on information disclosure, public participation and grievance redress, and prepare relevant materials properly to provide a basis for future M&E. For grievance redress, the IAs should designate dedicated staff members to collect and record grievances, progress, dispositions, etc., give written replies to appellants directly for specific grievances, and convene a village/community meeting to address common grievances. In future project implementation, the IAs should register and manage grievances and dispositions properly, and submit relevant materials to the Guiyang PMO monthly. The Guiyang PMO will inspect the registration of grievances and appeals regularly together with the external M&E agency. The grievance registration form should cover accepting agency, time and location of acceptance, appellant, appeal, proposed solution, actual disposition, signature, etc. This report contains some grievances from the APs (see Section 6.3), and their dispositions will be tracked in subsequent M&E reports and reported to ADB Strengthen file management on resettlement, social development and ethnic minority development. The local PMOs should collect data on resettlement, social development and ethnic minority development, which will be a focus of the next M&E report. The local PMOs and IAs should collect and save relevant materials, and establish files to provide a basis for the subsequent M&E reports and even the completion report Implement LA and HD in strict conformity with the established procedures and ADB s policies. Currently, the policies and procedures on LA and HD are increasingly sophisticated, and administrative provisions on HD appraisal, ruling, public hearing, etc. are in place. It is advised to comply strictly with these procedures in subsequent LA and HD Suggestions on special issues of the subprojects Liaojiuzhai Subproject: Do well in subsequent safety and publicity work. Jiancaogou Subproject: Increase compensation for the additionally acquired land and pay it timely; increase the investment in the temporary water supply pipeline. Jinlong Subproject: Coordinate compensation with the affected villagers to protect their interests. 43

51 Jinjiaqing Subproject: LA for the reservoir and irrigation canal construction areas should begin as soon as possible in order not to affect construction progress. Bai an River Subproject: Do well in subsequent safety and publicity work. 8.3 PMO s responses, explanations and action plan No. Subproject Liaojiuzhai Subproject Jiancaogou Subproject Jinlong Subproject Issues noted in the monitoring report Only part of compensation payment has been completed. Flood diversion canal construction is delayed due to LA progress as many villagers prefer permanent LA to temporary land occupation. The temporarily occupied land that cannot be restored will be compensated for as permanently acquired land; compensation for inundated food crops to be paid. Information disclosure on resettlement and entitlements is inadequate. Vulnerability assistance has not been provided. It has been verified through survey that over 20 mu of land above the reservoir also falls in the inundation area and shall be acquired. Information disclosure on resettlement and entitlements is inadequate. No vulnerability assistance. The compensation for XBY s work shed has not been paid (the AP expect compensation at the market rate for residential houses. However, the Actions required from PMO/Executing Agency Full payment of compensation for all acquired assets as per the RP. Include all types of entitlements, including the rehabilitation assistance, and their payment status. Please discuss this with PMO/EA and seek their response on the same along with a timeline as to by when this will be resolved. Conduct adequate community consultations s to ensure that all APs have complete and correct information pertaining to resettlement and entitlements. Provide vulnerability assistance as per the RP. Conduct adequate community consultations to ensure that all APs have complete and correct information pertaining to resettlement and entitlements. Provide vulnerability assistance as per the RP. Conclude a written agreement on negotiated rate and payment of 100% compensation in compliance with the RP. PMO s Responses To The Indicative Timeline To Complete Actions And Explanation Of The Current Status As of April 2016 According to the survey, through repeated negotiations, the AHs finally agreed to compensation as temporarily occupied land after repeated negotiations in June As of December 2015, the compensation had been paid to the AHs, the temporarily occupied land would be restored by the AHs, the flood canal had been completed, and no grievance had occurred. The temporarily occupied land that cannot be restored has been compensated for as permanently acquired land; for inundated food crops, the local government has promised to compensate 12,000 kg of food crops, which has been fully granted. Ongoing As of April 2016 According to the survey, the 20 mu of land will not be inundated, and no LA is necessary. Ongoing As of April 2016 As of April

52 No. Subproject 4 5 Bai an River Subproject Maozhulin Subproject Issues noted in the monitoring report government plans to compensate at the rate of 550 yuan/m 2 for simple sheds, amounting to 39,600 yuan (72 m 2 ), plus land compensation of 1,134 yuan (10,500 yuan/mu for construction land), totaling 40,734 yuan) mu of land occupied by the stockyard has been identified to be owned by the collectives of Xinzhai and Xiaoshan Villages. The LA compensation has not been paid. In 2014, the compensation for about 260 trees of Yang XX, a villager in Xinzhai Village because the Xiuwen County Government was short of funds. In 2015, the government wanted to compensate for such trees at the rate for young trees, but Yang XX did not agree and insisted that such trees should be compensated for at the rate for adult trees. Negotiation is underway. No vulnerability assistance. Some villagers do not understand the resettlement policy very well and object to the practice of deducting endowment insurance premiums for LEFs from LA compensation. No vulnerability assistance. Due to limited funds, LA has only been partially completed in Heping Village while LA is yet to begun in the inundation area. Actions required from PMO/Executing Agency Pay the LA cost timely Resolve the problem through negotiation Provide vulnerability assistance as per the RP. Undertake consultations with the villagers and share the translated copy of the entitlement matrix with them. Explain the procedure for compensation payment to the villagers. Also, document this consultation. Provide vulnerability assistance as per the RP. As of October 2015, LA in the reservoir and junction construction areas had been largely completed, with mu of cultivated land and mu of woodland acquired in total, affecting 34 households with PMO s Responses To The Indicative Timeline To Complete Actions And Explanation Of The Current Status The remaining mu of land in Xinzhai Village is collective land, for which the LA compensation has not been paid for the moment. Through consultation between the government and the village committee, the compensation will be paid timely when the government has money., As of April 2016 The government and Yang XX are negotiating actively,.as of April 2016 As of December 2015 As of December 2015 As of December 2015 As of December

53 No. Subproject 6 Jinjiaqing Subproject Issues noted in the monitoring report Currently, villagers have strong grievances related to LA. No formal disclosure of the RP and entitlements. The construction team has blocked the main access road of the village for construction purposes. As a result, the villagers have to take a long detour. Villagers have expressed strong concerns about this. Some land, which was taken on lease for temporary use, needs to be permanently acquired. The government is willing to acquire this land permanently at the location-based rate of 30,000 yuan/mu, but this rate excludes the prior compensation for temporary land occupation, which is not acceptable to APs. No agreement has been reached on this yet. Actions required from PMO/Executing Agency 132 persons, for which 3,012,181 yuan had been paid in compensation. Two AHs had not entered into LA compensation agreements due to land ownership and compensation issues, and were in negotiation as of December 2015, while the compensation for the other AHs had been paid directly. It was mentioned in the previous report that the farming road was blocked for dam construction. The APs have agreed to use another road, and the contractor has promised to restore the blocked road to the original condition after the completion of construction. Organize consultation meetings with the affected households to disclose the key provisions of the RP and resettlement entitlement. Also, translate the copy of the RP and entitlement matrix in the local language and distribute the same amongst the affected HHs. Consult with the construction team and resolve the problem The government should negotiate with farmers and resolve this problem 46 PMO s Responses To The Indicative Timeline To Complete Actions And Explanation Of The Current Status By end of September 2015 It was mentioned in the previous report that the construction team blocked the main access road of the village for construction purposes, so that affected villagers had to take a long detour. In March 2015, the construction of this road was completed, and the former muddy path was turned into a cement road, providing greater traffic convenience to villagers. As of December 2015, no grievance had been received. Through repeated negotiations in 2015, the temporarily occupied land of one household will be compensated for as permanently acquired land because it cannot be restored, and the government has promised not to withdraw the compensation paid for temporary land occupation; the remaining temporarily occupied land will still be compensated for as temporarily occupied land, and the compensation is expected to be paid by the end of As of December 2015, no grievance had been received.

54 No. Subproject 7 GRM Issues noted in the monitoring report Due to shortage of funds, land in the inundation area has not been acquired. Evaluate the status of grievance mechanism and its effectiveness in each subproject; conduct a meeting with full Grievance Redressal Committee and review records of GRM. Based on this, the monitoring report should include specific information on the effectiveness and efficiency of the GRM. Actions required from PMO/Executing Agency The fund shortage problem mentioned in the previous report that had been partly solved as of December 2015, and the balance of the LA compensation is expected to be available by early During the M&E, PMO has agreed the full Grievance Redressal Committee of the project will hold a coordination meeting in Jan More details and special attention will be paid to the above issue in future M&E reports, and its disposition and related records will also be reported to ADB PMO s Responses To The Indicative Timeline To Complete Actions And Explanation Of The Current Status As of April 2016 By the end of Jan 2016 and report in the next M&E report 47

55 Appendix 1 Minutes of the Topic Meeting of the Wudang District Government 48

56 49