PRC: Anhui Chao Lake Environmental Rehabilitation Project

Transcription

1 Resettlement Plan February 2014 PRC: Anhui Chao Lake Environmental Rehabilitation Project Updated Resettlement Plan for Chao Lake Basin Lu an Eastern New Town District Water Environment Improvement Subproject Prepared by the Lu an municipal government for the Asian Development Bank. This is an updated version of the draft originally posted in June 2012 available on

2 CURRENCY EQUIVALENTS (as of 13 February 2014) Currency unit yuan (CNY) CNY1.00 = $ $1.00 = CNY (i) (ii) NOTE The fiscal year (FY) of the Government of the People s Republic of China and its agencies ends on 31 December. FY before a calendar year denotes the year in which the fiscal year ends, e.g., FY2013 ends on 31 December In this report, "$" refers to US dollars. This resettlement plan is a document of the borrower. The views expressed herein do not necessarily represent those of ADB's Board of Directors, Management, or staff, and may be preliminary in nature. Your attention is directed to the terms of use section of this website. 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-financed Anhui Chao Lake Environmental Rehabilitation Project Resettlement Plan for the Chao Lake Basin Lu'an Eastern New Town Distric ct Water Environment Improvement Project (Updated version) ADB-financed Project Working Group of the Lu'an Municipal Government December 2013

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5 Preface ADB-financed Project Working Group of the Lu'an Municipal Government finished the RP under guidance of technical assistance team of ADB in November, The RP is based on laws and regulations of PRC and ADB polices about Involuntary Resettlement. It is mainly providing solution for resettlement of Lu'an Eastern New Town District Water Environment Improvement Project. Since the administration division of Lu'an Eastern New Town District, where the Subproject locates in has been adjusted and overall planning of the district has been adjusted accordingly, the former site of the Subproject in cross of Wangjiang Road and Shouchun Road is no longer in accord with the requirement of the overall planning and became long-term land of the Subproject. Meanwhile roads nearby have been adjusted, which goes against short construction of the WWTP. After several field visits and negotiation with related departments, comparison of sites of the Subproject was reconducted and new site was chosen. The site was changed to middle north part of the Eastern New Town District, cross of Wengfeng Road and Yiyuan Avenue, west of Yiyuan Avenue and east of Binhe Avenue. It is open space now. The site after change is more reasonable in technical and practical in economic and easier to prevent and control urban water pollution and improve urban infrastructure and economic development. In September of 2013, according to the latest project design plan, the update of the RP was finished on the basis of socio-economic survey of project area and complete survey of affected persons. In December 2013 the RP was updated again to incorporate the updated project design, actual project progress and ADB s review comments. Since the construction content, compensation standard of the resettlement and the amount of compensation fee have no change, the updated contents include: 1) updated instruction was added; 2) project influence was updated; 3) information of affected persons; 4) socio-economic information of the project area; 5) project status of the plan referred to and plan progress. The updated contents are as follow: No. 1 2 Category of update Adjustment of the site of the WWTP Affected village by WWTP Original plan Current plan Description Proposed site is in the northeast of the Eastern New Town District, cross of Wangjiang Road and Shouchun Road Shangdun Group and Laojiaying Group of Guantang Village, Sanshipu town Proposed site is in middle north part of the Eastern New Town District, cross of Wengfeng Road and Yiyuan Avenue, west of Yiyuan Avenue and east of Binhe Avenue. It is open space now. Shunhe Group and Liushitai Group of Laojiaying Village, Sanshipu town The reason to change the site: the administration division of Lu'an Eastern New Town District, where the Subproject locates in has been adjusted and overall planning of the district has been adjusted accordingly, the former site of the Subproject in cross of Wangjiang Road and Shouchun Road is no longer in accord with the requirement of the overall planning. Pipe network will be adjusted accordingly, location of pump station has not changed

6 No. Category of update 3 Project impacts Original plan Current plan Description mu of land will be acquired permanently for the Subproject, including mu (98%) of cultivated land and 2 mu of pond (2%) Attachment: 6 telegraph poles, 6 tombs mu of land will be acquired permanently for the Subproject, including mu (98.5%) of cultivated land and 1.5 mu of pond (1.5%) Attachment: 7 telegraph poles, 9 tombs The total area of land acquisition has not changed. Affected persons 33 households with 168 persons were affected by the Subproject permanently 28 households with 145 persons were affected by the Subproject permanently 4 in which: female Affected vulnerable groups 6 households with 11 persons, who are all household enjoying the minimum living security 5 households with 10 persons, who are all household enjoying the minimum living security 5 Compensation and resettlement policy Did not change 6 Resettlement method New affected persons agree with former resettlement plan after negotiation. Did not change 7 Information disclosure and public participation Land acquisition announcement: Feb Announcement of compensation and resettlement options for land acquisition: Feb Verification of DMS results: Feb to Mar of 2012 Determination of income restoration programs: before implementation Training program for APs: Jun to Dec of 2012 Monitoring: Jul of 2012 to Jul of 2015 Land acquisition announcement: Sep of 2013 Announcement of compensation and resettlement options for land acquisition: Sep of 2013 Verification of DMS results: Sep of 2013 Determination of income restoration programs: Oct of 2013 Training program for APs: Sep of 2013 to Dec of 2015 Monitoring: Dec of 2013 to Dec of 2016

7 No. Category of update Original plan Current plan Description 8 The total resettlement costs The total resettlement costs of the Subproject are 6,280,800 yuan, in which those for the WWTP are 6,009,100 yuan or 95.67% of total costs, those for the Shengli Road pump station 120,000 yuan or 2.01% of total costs and those for the Wangjiang Road pump station 145,800 yuan or 2.32%of total costs. Rural land acquisition costs of are 3,437,700 yuan or 54.73% of total costs, compensation fees ground attachments 3,300 yuan or 0.05% of total costs, land taxes 1,772,300 yuan or 28.21% of total costs, and other costs 1,070,800 yuan or 17.05% of total costs. The total resettlement costs of the Subproject are 6,280,800 yuan, in which those for the WWTP are 6,009,100 yuan or 95.67% of total costs, those for the Shengli Road pump station 120,000 yuan or 2.01% of total costs and those for the Wangjiang Road pump station 145,800 yuan or 2.32%of total costs. Rural land acquisition costs of are 3,437,700 yuan or 54.73% of total costs, compensation fees ground attachments 3,300 yuan or 0.05% of total costs, land taxes 1,772,300 yuan or 28.21% of total costs, and other costs 1,070,800 yuan or 17.05% of total costs. Did not change 9 Implementation schedule The Subproject will start from 2012 to Land acquisition was planned to start from April, 2012 to August, The Subproject will start from 2013 to Land acquisition was planned to start from October, 2013 to June, External monitoring for resettlement of the Subproject will be adjusted accordingly. All the data referred to in the RP are provided by ADB-financed Project Working Group of the Lu'an Municipal Government.

8 Letter of Commitment Through the Ministry of Finance, Anhui Provincial Government has applied for a loan from ADB to finance Anhui Chao Lake Environmental Rehabilitation Project. And Chao Lake Basin Lu'an Eastern New Town District Water Environment Improvement Project is one of its subprojects. Therefore, it must be implemented in compliance with the guidelines and policies of ADB on social security. This Resettlement Plan is in line with ADB s Safeguard Policy Statement (2009) and will constitute the basis for land acquisition, house demolition and resettlement of this subproject. The Plan also complies with the laws of the People s Republic of China and local regulations, as well as with some additional measures and the arrangements for implementation and monitoring for the purpose of achieving better resettlement results. Lu'an Municipal Government hereby approves the contents of this Resettlement Plan and guarantees that funds will be made available as stipulated in the budget. Lu'an Municipal Government has discussed the draft Resettlement Plan with relevant units that have confirmed their acceptance via Lu'an Project Management Office for ADB Financed Projects (Lu'an PMO) and Lu'an Municipal Drainage Co., Ltd. (LAMD), and authorizes the LAMD as the responsible agency to generally manage the implementation of this subproject and relevant resettlement activities, and the local governments of the affected areas to be responsible for the implementation of this subproject and related resettlement activities within the respective jurisdictions. Agencies Signature date Lu'an Municipal Government Lu'an Municipal Drainage Co., Ltd.

9 ABBREVIATIONS AAOV - Average Annual Output Value ADB - Asian Development Bank AH - Affected Household AP - Affected Person DMS - Detailed Measurement Survey FGD - Focus Group Discussion CLMA Chao Lake Management Authority LAMD - Lu'an Municipal Drainage Co., Ltd. LEF - Land-expropriated Farmer M&E - Monitoring and Evaluation MLS - Minimum Living Security NRCR - National Research Center for Resettlement PMO - Project Management Office PRC - People s Republic of China RIB - Resettlement Information Booklet RP - Resettlement Plan Units Currency unit = Yuan (CNY) 1.00 yuan = $ hectare = 15 mu

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11 1. Resettlement planning Executive Summary The Subproject is one of the subprojects of the ADB-financed Anhui Chao Lake Environmental Rehabilitation Project (the Project). The Subproject will play a significant role in benefiting residents living and working beside Chao Lake in health, welfare and economy, and promoting the improvement of the water quality of the Chao Lake basin through sustainable engineering and non-engineering measures. Land acquisition and resettlement under the Subproject will involve 4 village groups of 3 villages in Sanshipu Town, Jin an District, Lu'an Municipality. The Subproject will break ground in 2013 and be completed in 2015, and land acquisition, compensation and resettlement will be started in October 2013 and end in June The estimated resettlement costs of the Subproject are 6,280,800 yuan, accounting for 2.99% of the Subproject s budget. 2. Project impacts The impact of resettlement of the subproject is mainly permanent land occupation and the influence involves in Shunhe Group and Liushitai Group of Laojiaying Village, Hedong Group of Sanshipu Village and Shangdun Group of Guantang Village in Sanshipu Town, Jin an District, Lu an Municipality. The Subproject does not involve in house demolition and temporary land occupation. According to the latest version of FSR, mu of land will be acquired permanently for the Subproject, including mu (98.5%) of cultivated land and 1.5 mu of pond (1.5%), affecting 28 households with 145 persons, in which: 1) the WWTP need to occupy mu which will affect 24 households with 129 persons; 2) pump station in Shengli Road will occupy 1.98 mu, which will affect 2 households with 7 persons; 3) pump station in Wangjiang Road will occupy 2.3 mu, which will affect 2 households with 9 persons; 4) the pipe network will go along with the road or pipejacking will be applied, which will not involves in land acquisition or land occupation. Ground attachments affected by the Subproject mainly include telegraph poles, tombs and trees, etc. The Subproject does not involve permanent occupation of state land, temporary land occupation, house demolition or demolition of enterprise and public institution. The Subproject will affect 28 households with 145 persons and main resettlement impacts are summarized in the table below. Item Unit Quantity Collective land mu Permanent collective including: cultivated land acquisition land mu pond mu 1.5 APs Household 28 Person 145 There are 5 households with 10 persons of vulnerable groups in the scope of influence of the Subproject, which account for 2.4% of the total APs and they are all persons enjoying the minimum living security. There are 71 women in the APs, account for 48.96%. No households that single women as major labor because of widowed, divorced or abandoned have been found during persons affected by resettlement.

12 3. Policy framework and entitlements In order to avoid or reduce negative impacts of land acquisition, adequate consultation was conducted on the potential site of the Subproject, the affected village groups and persons at the feasibility study stage. An optimum option was selected through comparison. This Resettlement Plan (RP) is based on the Land Administration Law of the PRC (2004), the Decision of the State Council on Deepening the Reform and Rigidly Enforcing Land Administration (SC [2004] No.28), the applicable policies of Anhui Province, and ADB s SPS (2009) SR-2. According to the above policies, and in consultation with local governments and APs (APs), the resettlement requirements of the Subproject are: 1) Involuntary resettlement should be avoided where feasible, 2) The APs are granted compensation and rights that can at least maintain or even improve their livelihoods in the absence of the project, 3) The APs are given compensation and assistance in resettlement whether legal title is available or not, 4) If the land available to everyone is insufficient to maintain his/her livelihood, replacement in cash or in kind and other income-generating activities are provided for the lost land, 5) The APs fully understand their entitlements, the method and standard of compensation, the livelihood and income restoration plan, and the project schedule, and participate in the implementation of the Resettlement Plan, 6) The land acquisition shall not start before APs are satisfied with the compensation and resettlement (plan); 7) The executing agency and an independent agency / third party should monitor the compensation, relocation and resettlement operations, 8) Vulnerable groups (include women) are provided with special assistance or treatment so that they can lead to a better life, and all APs should have an opportunity to benefit from the project. At least two members of each AH will receive skills training, including at least one woman, 9) The RP is consistent with the master plans of the affected city (district/county) and township, 10) The resettlement expenses are sufficient to cover all affected aspects. 4. Resettlement strategy Compensation for collective land acquisition includes land compensation fees, resettlement subsidies and young crop compensation. In Lu'an Municipality, the uniform average annual output value (AAOV) of irrigated land is 1,450 yuan/mu, including land compensation fees of 9 times and resettlement subsidies of 15 times, amounting to 34,800 yuan/mu. In addition, the compensation rate for young crops is 900 yuan/mu. Income restoration measures for the APs include cash compensation, skills training and priority employment for the Subproject. According to statistical analysis the influence of land acquisition of the Subproject to the agricultural production of people of resettlement is not much. Based on traditions, land compensation fees and resettlement subsidies will be distributed within village groups in a unified manner together with land reallocation, and young crop compensation fees will be paid directly to the affected households (AHs). After receiving land compensation fees, the AHs will use them for soil improvement and the expanded reproduction of household sideline operations. Lu an PMO, Implementation Agency and the local government paid special attention to the vulnerable groups during the process of resettlement. Besides arrangement of resettlement in project implementation plan, they provided specific help to improve working and living conditions: a) provide professional training for labor in households of vulnerable groups (at least one person for each household), and offer different kinds of information and guidance on career, which

13 will increase their employment opportunity; b) give priority to labor in households of vulnerable groups for non-technical jobs during implementation process of the Subproject; c) give priority to vulnerable groups on adjustment of land; d) a living wage of 290 yuan/month will be paid by local government. For the willing of women, they will get same salary as men for the same job during implementation of the Subproject. Priority will be given to affected women labor in technical training in case their economic status and income would not be damaged. At the same time women could receive related information during resettlement process and could take part in justice counsel and resettlement. The compensation agreement has to be signed by both the husband and wife. During resettlement implementation, a FGD for women will be held to introduce the resettlement policies and improve the awareness of women. Detailed training plan for the Subproject also has been prepared after negotiation. 5. Public participation and information disclosure All APs have been informed of key points of this RP by various means, including meeting, interview, FGD, public participation and community consultation. The above activities are designed to involve the APs in the Subproject, and their opinions have been fully embodied in this RP. The Resettlement Information Booklet (RIB) and this RP has been distributed to the APs or groups by the end of March 2012, and this updated RP will be distributed to affected villages, towns and counties in December of 2013 and public to everyone. The information and resettlement policy of the Subproject would be published through newspaper and radio. The final version of the resettlement plan will be uploaded on ADB s website in February A grievance redress system has been established. All agencies will accept grievances and appeals from the APs for free, and costs so reasonably incurred will be disbursed from the contingencies. 6. Grievances and appeals An appeal procedure has been established to settle disputes over compensation and resettlement. The aim is to respond to appeals of the APs timely and transparently. Grievances about the Subproject may be from collective land acquisition and land occupation. Correspondingly, the ADB-financed Project Working Group of the Anhui Provincial Development and Reform Commission, the Lu'an PMO, Lu'an Municipal Drainage Co., Ltd. (LAMD), and the affected township government and village committees will coordinate and handle grievances and appeals arising from resettlement. The APs may file appeals about any aspect of resettlement, including compensation rates. 7. Organizations The Chao Lake Management Authority (CLMA) will be the executive body of the whole project; The Lu'an PMO is responsible for coordination with the CLMA. Lu'an Municipality Urban Construction & Investment Co., Ltd. (LAMD) is the implementing agency of the Subproject, and LAMD and the Sanshipu Town Government will be responsible for the implementation of this RP. Lu an Municipal Land Resources Bureau and each affected town government and village committee will take part in the implementation of this RP. Specific persons have been appointed from project lead team and implementation agency to take charge of resettlement of the Subproject, sum to 34 people.

14 8. M&E and reporting In order to ensure the successful implementation of this RP, resettlement implementation will be subject to internal and external monitoring. The internal monitoring agencies are the CLMA, Lu'an PMO LAMD and other departments concerned (e.g., the land and resources bureau), and an internal monitoring report will be submitted to ADB semiannually. The CLMA will appoint an independent agency to conduct external monitoring and evaluation (M&E) semiannually, and M&E costs will be included in the resettlement budget. Baseline survey of external monitoring and evaluation started in April, 2012 and Monitoring Report No.1 is proposed to conducted in January, 2014, Monitoring Report No.2 will be conducted in July, 2014; Evaluation Report No.1 will proceed in January, 2015 and Evaluation Report No.2 will proceed in January, Resettlement budget The total resettlement costs of the Subproject are 6,280,800 yuan, in which those for the WWTP are 6,009,100 yuan (95.67%), those for the Shengli Road pump station 120,000 yuan (2.01%) and those for the Wangjiang Road pump station 145,800 yuan (2.32%).

15 Glossary Affected person (or household) People (households) affected by project-related changes in use of land, water or other natural resources. Compensation Cut-off-date Entitlement Money or payment in kind to which the people affected are entitled in order to replace the lost asset, resource or income. The date after which people will NOT be considered eligible for compensation, i.e. they are not included in the list of APs as defined by the census. Range of measures comprising compensation, income restoration, transfer assistance, income substitution, and relocation which are due to affected people, depending on the nature of their losses, to restore their economic and social base. Income restoration Reestablishing income sources and livelihoods of people affected. Resettlement Rebuilding housing, assets, including productive land, and public infrastructure in another location. Resettlement impact Loss of physical and non-physical assets, including homes, communities, productive land, income-earning assets and sources, subsistence, resources, cultural sites, social structures, networks and ties, cultural identity, and mutual help mechanisms. Resettlement plan A time-bound action plan with budget setting out resettlement strategy, objectives, entitlement, actions, responsibilities, monitoring and evaluation. Vulnerable group Distinct groups of people who might suffer disproportionately from resettlement impacts, include the disabled, five-guarantee households, female-headed households, low-income people and ethnic minorities.

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17 CONTENTS 1 OVERVIEW OF THE SUBPROJECT Background and Description of the Subproject Background of the Subproject Components of the Subproject and Identification of Resettlement Summary of Resettlement Impacts Estimated Resettlement Investment and Implementation Plan IMPACTS OF THE SUBPROJECT Measures to Avoid or Minimize Land Acquisition Principles for Project Design and Site Selection Comparison and Selection of Options and Reduce Resettlement Measures Scope of Impact Survey of the Subproject Survey Methods and Process Permanent Acquisition of Collective Land and Impact Analysis Collective Land Acquired Permanently for the Subproject Impact Analysis of Permanent Acquisition of Collective Land Silt Dump Infrastructure and Ground Attachments Affected by the Subproject Affected Population Summary Affected Vulnerable Groups Impacts of the Subproject on Women SOCIOECONOMIC PROFILE Socioeconomic Profile of Affected Areas Socioeconomic Profile of Affected City Socioeconomic Profile of Affected Townships Socioeconomic Profile of Affected Villages Socioeconomic Profile of the Affected Population Sampling Information Age Structure Educational Level Income and Expenditure Employment Gender Analysis Willingness Survey of APs LEGAL FRAMEWORK AND POLICIES Laws, Regulations and Policies Applicable to Resettlement Abstract of ADB Policies Provisions of Laws, Regulations and Policies of the PRC Main Differences between ADB Policies and PRC Laws Compensation Principles of the Subproject Cut-off Date of Compensation Compensation Rates for Resettlement Impacts of the Subproject Acquisition of Collective Land Compensation for Attachments and Infrastructure Vulnerable groups Supporting Measures for Women Entitlement Matrix RESETTLEMENT AND INCOME RESTORATION Resettlement Objectives I

18 5.2 Resettlement Restoration Programs for Affected Villages Summary of Resettlement Restoration Programs for Affected Villages Restoration Measures for Permanent Land Acquisition Employment Promotion Program and Training of APs Protection of Women s Rights and Interests Assistance Measures for Vulnerable Groups Restoration Program for Ground Attachments RESETTLEMENT ORGANIZATIONAL STRUCTURE Resettlement Implementation and Management Agencies Organizational Setup Organizational Responsibilities Staffing and Equipment Staffing Equipment Institutional Training Program PUBLIC PARTICIPATION AND GRIEVANCE REDRESS Public Participation Participation at the Preparation Stage Participation Plan at the Implementation Stage Grievances and Appeals RESETTLEMENT BUDGET Resettlement Budget Resettlement Investment Schedule and Funding Sources Disbursement, Management and Monitoring of Resettlement Funds Disbursement of Resettlement Funds Management and Monitoring of Resettlement Funds RESETTLEMENT IMPLEMENTATION PLAN Principles for Resettlement Implementation Resettlement Implementation Schedule MONITORING AND EVALUATION Internal Monitoring External Monitoring Scope and Methodology of External Monitoring External Monitoring Reporting Resettlement Post-evaluation APPENDIXES Appendix 1 Sewer Lines of the Subproject Appendix 2 Provisions of Land Laws, Regulations and Policies of the PRC and Anhui 48 Appendix 3 Gender Analysis Form Appendix 4 Minutes of Public Participation Meetings Appendix 5 Resettlement Information Booklet List of Tables TABLE 1-1 COMPONENTS OF THE SUBPROJECT... 1 TABLE 1-2 SUMMARY OF RESETTLEMENT IMPACTS OF THE SUBPROJECT... 2 TABLE 2-1 SUMMARY OF ADMINISTRATIVE DIVISIONS AFFECTED BY RESETTLEMENT... 4 TABLE 2-2 TYPES OF AFFECTED LAND AND SUMMARY OF THE AFFECTED POPULATION... 5 TABLE 2-3 SUMMARY OF COLLECTIVE LAND ACQUIRED FOR THE SUBPROJECT... 6 TABLE 2-5 SUMMARY OF AFFECTED GROUND ATTACHMENTS... 9

19 TABLE 2-6 SUMMARY OF THE AFFECTED POPULATION... 9 TABLE 2-7 SUMMARY OF AFFECTED VULNERABLE GROUPS TABLE 3-1 SOCIOECONOMIC PROFILE OF THE SUBPROJECT AREA TABLE 3-3 AGE STRUCTURE OF SAMPLE POPULATION TABLE 3-4 EDUCATIONAL BACKGROUND OF SAMPLE POPULATION TABLE 3-5 INCOME OF SAMPLE HOUSEHOLDS TABLE 3-6 TYPES OF CROPS AND TYPES OF WORK OF SAMPLE HOUSEHOLDS TABLE 3-8 AGE STRUCTURE OF AFFECTED WOMEN TABLE 3-8 EDUCATIONAL BACKGROUND OF AFFECTED WOMEN TABLE 3-9 INCOME STRUCTURE OF AFFECTED WOMEN TABLE 4-1 ABSTRACT OF MEASURES FOR THE ACQUISITION OF COLLECTIVELY OWNED LAND OF HEFEI AND LU'AN MUNICIPALITIES TABLE 4-2 PRINCIPLES FOR RESETTLEMENT TABLE 4-3 SUMMARY OF AAOVS AND COMPENSATION RATES FOR LAND ACQUISITION OF ANHUI PROVINCE TABLE 4-4 SUMMARY OF COMPENSATION RATES FOR YOUNG CROPS TABLE 4-5 SUMMARY OF COMPENSATION RATES FOR OTHER ATTACHMENTS TABLE 4-6 ENTITLEMENT MATRIX TABLE 5-1 AGRICULTURAL TECHNICAL TRAINING PROGRAM IN THE SUBPROJECT AREA TABLE 6-1 LIST OF MEMBERS OF RESETTLEMENT AGENCIES TABLE 6-2 EQUIPMENT OF RESETTLEMENT AGENCIES TABLE 6-3 RESETTLEMENT OPERATIONAL TRAINING PROGRAM TABLE 7-1 PUBLIC PARTICIPATION ACTIVITIES AT THE PREPARATION STAGE TABLE 8-1 RESETTLEMENT BUDGET SHEET TABLE 9-1 SCHEDULE OF RESETTLEMENT ACTIVITIES TABLE 10-1 PROGRESS REPORT OF LAND ACQUISITION AND RESETTLEMENT TABLE 10-2 IMPLEMENTATION SCHEDULE OF FUND USE TABLE 10-3 KEY INDICATORS TO BE MONITORED TABLE 10-4 RESETTLEMENT M&E AGENDA III

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21 1 OVERVIEW OF THE SUBPROJECT 1.1 Background and Description of the Subproject Background of the Subproject For a long time, Chao Lake has played a crucial role in flood regulation, urban and rural water supply, ecological balancing and regional development. However, with the rapid economic and social development of the basin, the environmental stress on Chao Lake is increasing year by year, and the conflicts between the rapid growth of pollutant discharge and the backward urban infrastructure and between integrated pollution control and the existing management structure are sharpening. Therefore, water environment integrated improvement must be implemented to inhibit the trend of water quality deterioration, improve the quality of the basin s water environment, and restore the natural landscape of the Chao Lake basin gradually. The Asian Development Bank (ADB) plans to provide a loan of US$250 million to the PRC for the Anhui Chao Lake Environmental Rehabilitation Project (total investment billion Yuan RMB), and Lu'an Eastern New Town District Water Environment Improvement Subproject (the Subproject) is one of its 14 subprojects Components of the Subproject and Identification of Resettlement Impacts The Subproject has 4 components: WWTP, Shengli Road pump station, Wangjiang Road pump station and sewer network, in which only 3 components involve land acquisition. See Table 1-1. Table 1-1 abovecomponents of the Subproject No. Component Scope of construction 1 WWTP 2 3 Shengli Road pump station Wangjiang Road pump station 4 Sewer network Middle of the east new town, the junction of Yiyuan Avenue and Wangjiang Road and the west side of Yiyuan Avenue, with a capacity of 20,000 m 3 /d (phase 1) Design discharge: 509L/s (long-term), with separate switching room and administrative room, etc. Design discharge: 910L/s (long-term), with separate switching room and administrative room, etc. Total length 27.95km, to be constructed along with roads, pipe diameter D500-1,600mm, burial depth 8-9 m, minimum top soil thickness below driveways not less than 0.7m Resettlement impact Acquiring mu of land Acquiring 1.98 mu of land Acquiring 2.3 mu of land Goes along with road, no permanent land acquisition This RP has been updated on the basis of the updated project design and actual project progress. If the project design change results in any major change in the resettlement impacts, at the implementation stage, this RP will be updated timely Summary of Resettlement Impacts The main resettlement impact of the Subproject is permanent land acquisition, and no house demolition is involved mu of collective land will be acquired permanently for the Subproject, affecting 28 households with 145 persons, in which: 1

22 1) mu of land will be acquired for the WWTP, affecting 24 households with 129 persons; 2) 1.98 mu of land will be acquired for the Shengli Road pump station, affecting 2 households with 7 persons; 3) 2.3 mu of land will be acquired for the Wangjiang Road pump station, affecting 2 households with 9 persons; and 4) The sewer network will go along with the road or pipe-jacking will be applied, no land acquisition will be involved. Table 1-2 Summary of Resettlement Impacts of the Subproject No. Component Affected population Acquired land Households Population (mu) Remarks 1 WWTP Shengli Road pump Wangjiang Road pump sewer network Total Goes along with road, no permanent land acquisition Land acquisition will affect Shunhe Group and Liushitai Group of Laojiaying Village, Hedong Group of Sanshipu Village and Shangdun Group of Guantang Village in Sanshipu Town, Jin an District, Lu an Municipality. See Error! Reference source not found. for the location of the WWTP. Figure 1-1 Schematic Map of the Wastewater Treatment Plant 1.2 Estimated Resettlement Investment and Implementation Plan The total resettlement costs of the Subproject are 6,280,800 yuan, in which those for the WWTP are 6,009,100 yuan, those for the Shengli Road pump station

23 120,000 yuan and those for the Wangjiang Road pump station 145,800 yuan. Rural land acquisition costs of are 3,437,700 yuan, compensation fees ground attachments 3,300 yuan, land taxes 1,772,300 yuan, and other costs 1,070,800 yuan. The construction period of the Subproject is two years. The RP will be implemented from October 2013 to June

24 2 IMPACTS OF THE SUBPROJECT 2.1 Measures to Avoid or Minimize Land Acquisition Principles for Project Design and Site Selection Resettlement impacts have been minimized at the design stage on the following principles: Avoiding or minimizing occupation of existing and planned residential areas; Avoiding or minimizing occupation of high-quality farmland; Gaining access to the proposed construction sites through existing state and local roads; Avoiding or minimizing occupation of environmentally sensitive areas; The APs will participate in project design and planning to reduce resettlement impacts Comparison and Selection of Options LAMD, and the Anhui Construction Engineering Surveying and Design Institute and ADB have conducted site selection carefully to minimize land acquisition and avoid house demolition. At the detailed design stage, the project will be further optimized to avoid or reduce resettlement impacts in consultation with the APs. 2.2 Scope of Impact Survey of the Subproject The Subproject involves the permanent land acquisition and influence to few infrastructure and ground attachments, and does not involve permanent occupation of state-owned land, temporary land occupation, demolition of house or enterprise and public institution. The Subproject will affect 4 village groups of 3 administrative villages in one township of one municipality. See Table 2-1. Table 2-1 Summary of Administrative Divisions Affected by Resettlement No. Component Town Village Group 1 WWTP Sanshipu Laojiaying Shunhe, Liushitai 2 Shengli Road pump station Sanshipu Sanshipu Hedong 3 Wangjiang Road pump station Sanshipu Guantang Shangdun 2.3 Survey Methods and Process In September and October 2011, the survey team of the National Research Center for Resettlement at Hohai University (NRCR) conducted an impact survey on 20 households among the 28 households affected by land acquisition according to the Feasibility Study Report, and a sampling socioeconomic survey, covering household population, impacts of land acquisition, household economic status, and expected resettlement modes. During the survey, the survey team also listened to opinions of the village committees and villagers on land acquisition and resettlement, and conducted extensive consultation. In November 2011, the RP for the Subproject was completed on the basis of the feasibility study and survey data. This RP analyzes and evaluates the resettlement impacts and risks of the Subproject, and proposes preliminary remedies. 4

25 A detailed measurement survey was carried out in March 2012 by a survey team of the Land and Resources Bureau of Lu an Municipality. Project impacts in terms of land acquisition and project affected persons have been verified. The details are summarized in the following sections. In December 2013, this RP has been updated on the basis of the updated project design and actual project progress, and the final RP will serve as the basis of resettlement implementation. During the survey, the survey staff also listened extensively to expectations of the village committees and villagers on land acquisition and resettlement, and conducted extensive consultation. The key findings are as follows: 1) Almost all APs know that the Subproject is about to break ground, and support it; 2) Almost all APs think that they are affected slightly by land acquisition, because: a) agriculture accounts for a small percentage of their household income; b) land abandonment rate is high due to employment and business operations; and c) they can continue to farm on the remaining land after acquisition. 3) All APs think compensation fees for land acquisition should be distributed in the traditional manner, i.e., after land acquisition: a) land will be reallocated within village groups in a unified manner; and b) land compensation fees and resettlement subsidies will be distributed within villager groups, and young crop compensation fees will be paid to land contractors. 2.4 Permanent Acquisition of Collective Land and Impact Analysis Collective Land Acquired Permanently for the Subproject mu of land will be acquired permanently for the Subproject, including mu (98.5%) of cultivated land (all are Irrigated land) and 1.5 mu of pond (1.5%), affecting 28 households with 145 persons. See Table 2-2. Table 2-2 Types of Affected Land and Summary of the Affected Population Acquisition of collective land Affected (mu) population No. Village Group Farmland Pond Subtotal House Sub- Irrigated - total land holds People 1 Shunhe WWTP Laojiaying 2 Liushitai / Shengli 3 Road pump Sanshipu Hedong / station Wangjiang 4 Road pump Guantang Shangdun / station Total Percentage (%) / / / Component Township Sanshipu 5

26 2.4.2 Impact Analysis of Permanent Acquisition of Collective Land Compensation fees for land acquisition will be paid directly to each village group, and distributed internally according to traditions: 1) Land compensation fees and resettlement subsidies will be distributed evenly to the whole registered population of the group; and 2) Land will be reallocated by reference to land type and output. Among the 4 affected village groups, Shunhe Group (land loss rate 18.83%) and Liushitai Group (land loss rate 31.92%) affected by the WWTP have higher land loss rates; the groups affected by the Shengli Road and Wangjiang Road pump stations have lower land loss rates of less than 1%. See Table 2-3. Table 2-3 Summary of Collective Land Acquired for the Subproject No.Component Village Group Households People Men Wome n Labor force Existing Agricultural land labor force (mu) Acquired land (mu) Land loss rate (%) 1 Laojiaying Shunhe WWTP 2 Laojiaying Liushitai Shengli 3 Road pump station Sanshipu Hedong Wangjiang 4 Road pump Guantang Shangdun station Total Since the subproject is close to the near suburb of Lu'an Municipality, there is a low level of enthusiasm for agricultural production in the subproject area, and land abandonment is prevalent, with an abandonment rate of 35%, as shown in Figure 2-1. For this reason, the actual per capita income loss rate arising from land acquisition is lower than estimated (about 75% of the estimated value). See Table 2-4. Figure 2-1 Scenes of Abandoned Land in the Subproject Area In addition to cultivated land, 1.5 mu of pond in Shunhe Group will also be acquired. This pond was abandoned in 2006 and is no longer suitable for cultivation. See Figure

27 Figure 2-2 Scenes of Abandoned Pond The subproject area is hilly in landform, where paddy rice, wheat and corn are grown mainly, outside employment is prevalent, land abandonment is serious, and the contribution of agricultural income to household income is low. The actual income per mu is about 700 yuan, and 70-80% of the APs income is from outside employment. In sum, the AHs have a low level of reliance on land, and land acquisition will affect their gross income slightly. 7

28 No Component WWTP Shengli Road pump station Wangjiang Road pump station Village Laojiayin g Laojiayin g Sanship u Guantan g Group Table 2-4 Impact Analysis of Collective Land Acquisition by Group Current Situation land acquisition impact Land loss rate Income loss (yuan) 1 House - Populati holds on Affected Cultivated House - land (mu) holds Affected Population Cultivated land (mu) Percentage of households (%) Percentage of population (%) Land loss rate (%) Annual loss (yuan) Average loss per household (yuan) Average loss per capita (yuan) Percentage of per capita income Shunhe Liushitai Hedong Shangdun Total Total Calculation formula: Annual loss=land that are acquisition (production value - cost) coefficient of rate of lands are wasted; per household loss= Annual loss/number of households in the group; loss of per capita: Annual loss/number of persons in the group. 8

29 2.5 Silt Dump No silt dump will be built for the Subproject, and silt will be dumped in the domestic waste landfill of Lu'an Municipality. This landfill is located at the piedmont of the Guodi Mountain at the edge of the urban area, with an area of 60 mu, put into use in No compensation is involved. See Figure 2-3. Figure 2-3 Real Scenes of Domestic Waste Landfill of Lu an Municipality 2.6 Infrastructure and Ground Attachments Affected by the Subproject Ground attachments affected by the Subproject mainly include telegraph poles, tombs and trees. See Table 2-5. Table 2-5 Summary of Affected Ground Attachments No. Component Village Type Proprietor Unit Qty. 1 Telegraph poles Collective / 7 WWTP Laojiaying 2 Tombs Individuals / 4 3 Shengli Road pump station 2.7 Affected Population Summary Sanshipu Trees Collective / 6 The Subproject will affect 28 households with 145 persons, all are farmers. See Table 2-6. Item Land acquisition House holds Table 2-6 Summary of the Affected Population Laojiaying Sanshipu Guantang Shunhe Liushitai Hedong Shangdun House House Population Population -holds -holds Subtotal House House Population Population -holds -holds Population

30 2.7.2 Affected Vulnerable Groups Among the AHs, 5 households with 10 persons fall into vulnerable groups, accounting for 2.4% of the affected population, mainly being five-guarantee households and households receiving MLS support. See Table 2-7. No. Compon ent Table 2-7 Summary of Affected Vulnerable Groups Vulnera Househ Lab Na Vulnerab ble old or Village Group me le group populati populati forc on on e Mal e Gender 1 PXH MLS 1 6 / 1 5 Laojiayi Shunhe 2 WWTP PXD MLS ng 3 Liushitai / / / / / / / 4 Shengli Road pump station Wangjian g Road pump station Sanship u Fema le Hedong ZRH MLS WS 5 MLS Guanta Shangd Y ng un 6 YXF MLS Total / / Impacts of the Subproject on Women In the population affected by the Subproject, there are 71 women, accounting for 48.96%. No female-headed household due to bereavement of spouse, divorce or abandonment has been found among the AHs. According to the survey, the affected women enjoy the same legal rights as men, including land contracting, education receiving, family planning and participation in election. Most of the interviewed female laborers think that they enjoy the same level of autonomy in production and operations as men, and elect to work outside or do small business voluntarily. Of course, men and women play different roles in family life and production, where women do more housework, take care of children, deal with household sideline operations (e.g., stockbreeding) and handwork, while men deal with transport or work outside. Generally, the working hours of women are times those of men. Due to outside employment, low agricultural income, high labor intensity in farming and land abandonment, the contribution of agricultural production to women s income has declined greatly, and land acquisition will affect women s income slightly. In the subproject area: 1) Boys and girls have equal opportunities in education, and parents are always willing to support their children s education; 2) Due to the tradition of fostering girls in a rich manner and boys in a poor manner, young women s rights and interests are well protected; 3) Under the influence of the family planning policy and local culture, young women have a great advantage over men in marriage. According to the survey, women have the same concerns as those of men: (1) Compensation rates should be based on land output and resettlement cost; (2) Compensation fees should be distributed within village groups in the traditional way; and 3) The contribution of agricultural income to household income and the APs reliance on land are dropping. 10

31 Women have the following needs that are different from those of men: (1) Women expect both cash compensation and land reallocation; (2) Women want skills training in environmental protection, female health and employment; and (3) Women have a low level of interest in village-level management. 11

32 3 SOCIOECONOMIC PROFILE 3.1 Socioeconomic Profile of Affected Areas Socioeconomic Profile of Affected City Lu'an Municipality Lu'an Municipality governs 5 counties (Shouxian, Huoqiu, Shucheng, Jinzhai and Huoshan), two districts (Jin an and Yu an), the Lu'an Economic and Technological Development Zone (province level), and Yeji Reform and Development Pilot Zone (county level), and has 2 urban districts, 156 townships and 8 sub-district offices, with a land area of 17,976 km 2 and a population of million. In 2010, Lu'an per capita disposable income of urban residents was 14,508 yuan, per capita nonproductive expenditure of urban residents 10,712 yuan, per capita housing size m 2, per capita net income of rural residents 4,714 yuan, and per capita nonproductive expenditure of rural residents 3,807 yuan. In 2010, Lu'an s GDP was billion yuan; the added value of primary industries was billion yuan, that of secondary industries billion yuan and that of tertiary industries billion yuan. Jin an District Jin'an District is located in the east of Lu'an Municipality, and is the political, economic and cultural center of Lu'an Municipality, governing 22 townships. The district is a national key production base of commodity grain and one of the top vegetable producing counties (districts) of the province. In 2010, the district s GDP was 8.12 billion yuan, population 860,000, per capita net income of rural residents 4,986 yuan and per capita disposable income of urban residents 15,620 yuan. See Table 3-1. No. Region Table 3-1 Socioeconomic Profile of the Subproject Area Land area (km 2 ) Population (10,000) Regional GDP (10 8 yuan) Fiscal revenue (10 8 yuan) Per capita net income of farmers (yuan) Per capita disposable income of urban residents (yuan)_ 1 Lu'an Municipality Jin an District Remark Socioeconomic Profile of Affected Townships Sanshipu Town Sanshipu Town is located at the east gate of Lu'an, 50km away from Hefei Municipality and 10km away from the urban area of Lu'an Municipality, run through by National Highway 312, the Ningxi and Hewu Railways, and the Pishihang Canal. The town governs 26 villages and one sub-district, with a population of 68,000 and a cultivated area of 75,000 mu. In 2010, the town s GDP was 803 million yuan, fiscal revenue 60 million yuan and per capita net income of farmers 4,320 yuan. Nonagricultural industries develop rapidly, and there are a number of business groups in the town Socioeconomic Profile of Affected Villages The Subproject will affect 4 village groups of 3 villages in Sanshipu Town. Based on the information obtained from the socioeconomic survey, for the 4 affected village groups, average population per household is , per capita cultivated area 12

33 mu and per capita income 2,890 ~ 4870 yuan. The traditional crops of these villages are paddy rice, wheat and corn. The APs main income sources are secondary and tertiary industries, and their employment income accounts for 70-85% of gross income. Summary sheet of basic information of affected villages please see Table Socioeconomic Profile of the Affected Population Sampling Information The Subproject will affect 28 households with 145 persons, among which 20 households with 92 persons have been sampled. See Table 3-2. Table 3-2 Composition of Survey Samples All Sample No. Compnent Village Group households households Percentage % 1 Shunhe WWTP Laojiaying 2 Lliushitai Subtotal Shengli Road pump station Sanshipu Hedong Wangjiang Road Guantang Shangdun pump station Age Structure Subtotal Total Among the 92 surveyed persons, 10 are aged 0-17 years, accounting for 10.87%, 41 are aged years, accounting for 44.57%, 24 are aged years, accounting for 26.09% and 17 are aged 60 years, accounting for 18.48%. See Table 3-3. Table 3-3 Age Structure of Sample Population >60 Subtotal No. Compnent Village Group 1 Shunhe WWTP Laojiaying 2 Liushitai Shengli Road Sanshipu pump station Hedong Wangjiang 4 Road pump Guantang Shangdun station 5 Total Percentage / Educational Level Among the 92 surveyed APs, 4 are illiterate, accounting for 4.6%, 47 have received primary school education, accounting for 54.02%, 29 have received high school education, accounting for 33.33%, and 7 have received undergraduate education, accounting for 8.05% (there are 5 preschool children). See Table

34 Componen t WWTP Shengli Road pump station Wangjiang Road pump station Table 3-4 Educational Background of Sample Population Primar High Illiterat Undergraduat Subtota Village Group y schoo e e l school l Laojiayin g Shunhe Liushitai Sanshipu Hedong Guantang Shangdu n Total Percentage / Remarks 5 preschoo l children Income and Expenditure No. Among the sample households, per capita net annual agricultural income is from 200 yuan to 363 yuan, accounting for 5%-11% of gross income, and per capita annual employment income from 2,911 yuan to 6,207 yuan, accounting for 89%-94% of gross income. See Table 3-5. Component Village Group Table 3-5 Income of Sample Households Net Farm income (yuan) Per capita (yuan) Percent Farm Income Employment income (yuan) Percent Per Nonfarm capita Income (yuan) Subtotal (yuan) Per capita (yuan) % % 1 WWTP Laojiayin Shunhe g Liushitai Shengli Road pump station Wangjia ng Road pump station Subtotal Sanshi pu Guantan g Hedong Shangd un Total The average annual expenditure of the sample households is about 14,560 yuan, in which staple food expenses account for 43.38%, clothing expenses 12.23%, living equipment expenses 3.67%, household appliance expenses 3.13%, healthcare and medical expenses 6.12%, traffic and communication expenses 7.97%, education, culture and amusement expenses 9.35%, entertaining expenses 12.46%, and expenses on other commodities and services 1.69% Employment The sample households deal with crop cultivation mainly, and most of their laborers are working outside and stably paid. See Table

35 Table 3-6 Types of Crops and Types of Work of Sample Households No. Crops Types of work 1 Paddy rice, wheat, vegetables, corn, cereals, potato, prickly ash, cotton Cook, repairer, bricklayer, mechanic, accountant, electrician, shipper, driver, carpenter, worker Gender Analysis Among the sample households, there are 39 women, including 6 aged 0-17 years, accounting for 14.81%, 12 aged years, accounting for 29.63%, 13 aged years, accounting for 34.57%, and 8 aged over 60 years, accounting for 20.99%. See Table 3-8. Table 3-2 Age Structure of Affected Women No. Component Village Group >60 Subtotal 1 Shunhe WWTP Laojiaying 2 Liushitai Shengli Road pump station Sanshipu Hedong Wangjiang Road pump Guantang Shangdun station Total Percentage (%) Among the affected women, 2 are illiterate, accounting for 5.56%; 15 have received primary school education, accounting for 41.67%, 18 have received high school education, accounting for 50%, and one has received undergraduate education, accounting for 2.78%, and the others are 3 preschool children. See Table Table 3-8 Educational Background of Affected Women No. Component Village Group Illiterate Primary High school school Undergraduate Subtotal 1 Shunhe WWTP Laojiaying 2 Liushitai Shengli 3 Road pump Sanshipu Hedong station 4 Wangjiang Road pump Guantang Shangdun station Total Percentage (%) Among the affected women, agricultural income accounts for 64% of gross income and employment income accounts for 36% of gross income. These women s income accounts for 31.4% of household income. See Table 3-9. Table 3-3 Income Structure of Affected Women Agricultural Employment Gross No. Component Village Group income (%) income (%) income (%) 1 WWTP Laojiaying Shunhe

36 Agricultural Employment Gross No. Component Village Group income (%) income (%) income (%) 2 Laojiaying Liushitai Subtotal Shengli Road pump station Sanshipu Hedong Wangjiang Road pump station Guantang Shangdun Total In the subproject area, women s overall educational level is lower than that of men. Over 50% of women do housework and only 36% of them do seasonal casual labor. For women who undertake most of housework, the improvement of living conditions will mitigate their labor burden and adverse environmental impacts. In particular, river management will improve the quality of the water environment and local living conditions, which will benefit women Willingness Survey of APs During the socioeconomic survey, the survey team also conducted a willingness survey, the results of which are as follows: Awareness: 97.8% of the respondents know that the Subproject will be implemented and 2.2% are not clear about this. No one is completely unclear about the Subproject. Support: 94.7% of the respondents support the Subproject and 5.3% don t care. Degree of impact: 5.6% of the respondents think the Subproject has no adverse impact, 69.1% think it will affect traffic and 11.6% think there are other adverse impacts. Resettlement: 11.9% of the respondents require cash compensation without land reallocation, and 88.1% require both cash compensation with land reallocation, i.e., compensation fees will be distributed evenly in the collective and land will be reallocated. 16

37 4 LEGAL FRAMEWORK AND POLICIES 4.1 Laws, Regulations and Policies Applicable to Resettlement The resettlement policies of the Subproject are based mainly on the applicable regulations and policies of ADB and the PRC, including: 1) ADB policies Involuntary Resettlement, November 1995 Resettlement Operation Manual (OM/F2), October 2003 Gender Issue, February 2003 Safeguard Policy Statement (SPS), June ) Laws, regulations and policies of the PRC Land Administration Law of the PRC (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) (October 21, 2004) Guidelines on Improving Compensation and Resettlement Systems for Land Acquisition (MLR [2004] No.238) (November 3, 2004) Measures for the Administration of the Preliminary Examination of the Land Used for Construction Projects (Decree No.27 of the Ministry of Land Resources, effective from December 1, 2004) Provincial and local policies Detailed Rules of Anhui Province for the Management of the Collection and Use of Farmland Reclamation Fees (Cai Zong [2001] No.1061) Measures of Anhui Province for the Arbitration of Disputes over Compensation for Land Acquisition (APGO [2004] No.101) (January 1, 2005) Guidelines of the Anhui Provincial Government on Doing Well in Employment and Social Security for Land-expropriated Farmers (APG [2005] No.63) Measures of Anhui Province for the Implementation of the Land Administration Law of the PRC (Amended) (July 1, 2004) Notice of the Anhui Provincial Government on Publishing the Compensation Rates for Land Acquisition of Anhui Province (APG [2009] No.132) (December 31, 2009) Notice of the General Office of the Anhui Provincial Government on Issuing the Measures for the Administration of Compensation Reserves for Land Acquisition of Anhui Province (APGO [2010] No.22) (May 4, 2010) Notice of the Lu'an Municipal Government on Issuing the Compensation Rates for Land Acquisition within the Urban Construction Planning Area (LMGS [2010] No.70) Notice of the General Office of the Lu'an Municipal Government on Adjusting the Minimum Living Security Standard for Urban Residents within the Municipal Jurisdiction (LMGO [2011] No.60) 4.2 Abstract of ADB Policies The objectives of ADB on involuntary resettlement are: to avoid involuntary resettlement wherever possible; to minimize involuntary resettlement by exploring project and design alternatives; to enhance, or at least restore, the livelihoods of all displaced persons in real terms relative to pre-project levels; and to improve the 17

38 standards of living of the displaced poor and other vulnerable groups. ADB s basic policy requirements are: 1. Screen the project early on to identify past, present, and future involuntary resettlement impacts and risks. Determine the scope of resettlement planning through a survey and/or census of displaced persons, including a gender analysis, specifically related to resettlement impacts and risks. 2. Carry out meaningful consultations with APs, host communities, and concerned nongovernmental organizations. Inform all displaced persons of their entitlements and resettlement options. Ensure their participation in planning, implementation, and monitoring and evaluation of resettlement programs. Pay particular attention to the needs of vulnerable groups, especially those below the poverty line, the landless, the elderly, women and children, and Indigenous Peoples, and those without legal title to land, and ensure their participation in consultations. Establish a grievance redress mechanism to receive and facilitate resolution of the APs concerns. Support the social and cultural institutions of displaced persons and their host population. Where involuntary resettlement impacts and risks are highly complex and sensitive, compensation and resettlement decisions should be preceded by a social preparation phase. 3. Improve or at least restore, the livelihoods of all displaced persons through (i) land-based resettlement strategies when affected livelihoods are land based where possible or cash compensation at replacement value for land when the loss of land does not undermine livelihoods, (ii) prompt replacement of assets with access to assets of equal or higher value, (iii) prompt compensation at full replacement cost for assets that cannot be restored, and (iv) additional revenues and services through benefit sharing schemes where possible. 4. Provide physically and economically displaced persons with needed assistance, including the following: (i) if there is relocation, secured tenure to relocation land, better housing at resettlement sites with comparable access to employment and production opportunities, integration of resettled persons economically and socially into their host communities, and extension of project benefits to host communities; (ii) transitional support and development assistance, such as land development, credit facilities, training, or employment opportunities; and (iii) civic infrastructure and community services, as required. 5. Improve the standards of living of the displaced poor and other vulnerable groups, including women, to at least national minimum standards. In rural areas provide them with legal and affordable access to land and resources, and in urban areas provide them with appropriate income sources and legal and affordable access to adequate housing. 6. Develop procedures in a transparent, consistent, and equitable manner if land acquisition is through negotiated settlement to ensure that those people who enter into negotiated settlements will maintain the same or better income and livelihood status. 7. Ensure that displaced persons without titles to land or any recognizable legal rights to land are eligible for resettlement assistance and compensation for loss of nonland assets. 8. Prepare a resettlement plan elaborating on displaced persons entitlements, the income and livelihood restoration strategy, institutional arrangements, monitoring and reporting framework, budget, and time-bound implementation schedule. 18

39 9. Disclose a draft resettlement plan, including documentation of the consultation process in a timely manner, before project appraisal, in an accessible place and a form and language(s) understandable to APs and other stakeholders. Disclose the final resettlement plan and its updates to APs and other stakeholders. 10. Conceive and execute involuntary resettlement as part of a development project or program. Include the full costs of resettlement in the presentation of project s costs and benefits. For a project with significant involuntary resettlement impacts, consider implementing the involuntary resettlement component of the project as a stand-alone operation. 11. Pay compensation and provide other resettlement entitlements before physical or economic relocation. Implement the resettlement plan under close supervision throughout project implementation. 12. Monitor and assess resettlement outcomes, their impacts on the standards of living of displaced persons, and whether the objectives of the resettlement plan have been achieved by taking into account the baseline conditions and the results of resettlement monitoring. Disclose monitoring reports. 4.3 Provisions of Laws, Regulations and Policies of the PRC The Land Administration Law of the PRC is the main legal basis of the Subproject, and the Ministry of Land and Resources, and the Anhui Provincial Government have promulgated applicable regulations and policies on this basis. The Decision of the State Council on Deepening the Reform and Rigidly Enforcing Land Administration (SC [2004] No.28) promulgated in October 2004 defines the principles and rates of compensation for land acquisition and resettlement, land acquisition procedures, and monitoring system, and the Guidelines on Improving Compensation and Resettlement Systems for Land Acquisition (MLR [2004] No.238) play a similar role. These legal documents have become the legal basis for resettlement of the Subproject. The key provisions of the above policies are outlined in Appendix 2. In order to regulate the acquisition of collectively-owned land, protect the lawful rights and interests of owners and users of such land, and ensure successful urban construction, the Lu'an Municipal Government has formulated measures and regulations in accordance with the Real Property Right Law of the PRC, the Land Administration Law of the PRC and the regulations on its implementation, the Measures of Anhui Province for the Implementation of the Land Administration Law of the PRC, etc. See Table 4-1. Table 4-1 Abstract of Measures for the Acquisition of Collectively Owned Land of Hefei and Lu'an Municipalities Item Key points Index Administrative agency The municipal land and resources department shall be responsible for the unified administration of land acquisition tasks of the municipality, and the municipal land acquisition office thereunder shall handle routine affairs of land acquisition as entrusted by the municipal land and resources department. Article 3 of the Measures of Lu'an Municipality for the Acquisition of Collectively-owned Land (Decree [2008] No.136) 19

40 Item Key points Index The approval procedures for land acquisition shall be as follows: (1) The organization applying for land acquisition shall prepare submittals as required, and file an application with the municipal land and resources department. (2) The municipal land acquisition office shall survey the ownership, type and area of the land to be acquired, agricultural population involved, and ownership, types and quantities of ground attachments together with the district labor and social security department and the local police station; the survey results shall be confirmed jointly by the rural collective economic organization concerned (or village or community committee, known collectively as the rural Article 4 of the collective economic organization), affected households and Measures of Lu'an proprietors of ground attachments. (3) The municipal land Municipality for the and resources department shall notify the purpose and Acquisition of location of the land to be acquired, compensation rate, Collectively-owned resettlement mode and opinion on the endowment Land (Decree insurance for LEFs together with the municipal labor and [2008] No.136) social security department to the affected rural collective economic organization and households in writing. (4) The municipal land and resources department shall prepare a farmland conversion program, a cultivated land supplementation program and a land acquisition program, which shall be submitted for approval after review by the municipal government. (5) According to the payment notice for construction land, the municipal finance department shall make transfer payment of fees for using new construction land, and the organization applying for land acquisition shall make transfer payment of other approved taxes and fees. Approval procedures of land acquisition Compensation fees for land acquisition and management thereof Administrative agency Approval procedures of land acquisition Compensation fees for land acquisition shall include land compensation fees, resettlement subsidies, and compensation fees for ground attachments and young crops. Land compensation fees and resettlement subsidies shall be based on the compensation rates for land acquisition approved by the provincial government; the compensation rates for houses, ground attachments and young crops shall be as stipulated by the municipal government. Land compensation fees shall be paid as follows: (1) 70% shall be used for the endowment insurance for LEFs, and transferred directly to the special financial account of the endowment insurance fund for LEFs; (2) 30% shall be paid to the rural collective economic organization owning such land, and the use thereof shall be supervised by the district government under measures otherwise stipulated. The municipal land and resources department shall be responsible for the unified administration of land acquisition tasks of the municipality, and the municipal land acquisition office thereunder shall handle routine affairs of land acquisition as entrusted by the municipal land and resources department. The approval procedures for land acquisition shall be as follows: (1) The organization applying for land acquisition shall prepare submittals as required, and file an application with the municipal land and resources department. (2) The municipal land acquisition office shall survey the ownership, type and area of the land to be acquired, agricultural population involved, and ownership, types and Articles 6 and 7 of the Measures of Lu'an Municipality for the Acquisition of Collectivelyowned Land (Decree [2008] No.136) Notice of the Lu'an Municipal Government on Issuing the Compensation Rates for Land Acquisition within the Urban Construction Planning Area (LMGS [2010] No.70) 20

41 Item Key points Index quantities of ground attachments together with the district labor and social security department and the local police station; the survey results shall be confirmed jointly by the rural collective economic organization concerned (or village or community committee, known collectively as the rural collective economic organization), affected households and proprietors of ground attachments. (3) The municipal land and resources department shall notify the purpose and location of the land to be acquired, compensation rate, resettlement mode and opinion on the endowment insurance for LEFs together with the municipal labor and social security department to the affected rural collective economic organization and households in writing. (4) The municipal land and resources department shall prepare a farmland conversion program, a cultivated land supplementation program and a land acquisition program, which shall be submitted for approval after review by the municipal government. (5) According to the payment notice for construction land, the municipal finance department shall make transfer payment of fees for using new construction land, and the organization applying for land acquisition shall make transfer payment of other approved taxes and fees. Compensation fees for land acquisition and management thereof Compensation fees for land acquisition shall include land compensation fees, resettlement subsidies, and compensation fees for ground attachments and young crops. Land compensation fees and resettlement subsidies shall be based on the compensation rates for land acquisition approved by the provincial government; the compensation rates for houses, ground attachments and young crops shall be as stipulated by the municipality. 4.4 Main Differences between ADB Policies and PRC Laws Compensation for land Difference: ADB policies require that compensation should be sufficient to offset any income loss, and restore long-term income-generating potential (i.e., replacement cost). Chinese standards are based on Average Annual Output Value (AAOV). Solution: An early-stage solution is to provide replacement land, which is hardly practical. Cash compensation is the preference of most people, though they cannot ensure the rational use of such compensation. Therefore, further technical support is needed to monitor the income of seriously affected households, especially those in vulnerable groups, and local governments should provide assistance to those in need. Compensation and resettlement of vulnerable groups Difference: ADB policies require that special compensation is granted to all vulnerable groups, especially seriously affected households faced with impoverishment. Chinese provisions do not require social analysis, and compensation is based only on the amount of loss. Solution: Special funds are available to assist the vulnerable groups, who have been identified during the DMS. All measures have been specified in the RP. 21

42 Consultation and disclosure Difference: ADB policies require APs are fully informed and consulted as soon as possible. Chinese provisions have improved the transparency of disclosure and compensation. However, APs still play a weak role in project decision-making, and the disclosure period is usually too short. Solution: Consultation has begun at the early stage (before and during the technical assistance). The Lu'an PMO agrees to disclose the RP to APs as required by ADB. Lack of legal title Difference: ADB policies require all demolished house/property, whether lawful or not, should be compensated for at replacement cost. According to Chinese laws, people without local registered residence are not entitled to the same compensation as local people. In addition, prevailing Chinese laws stipulate that no compensation should be provided for the acquisition of illegally owned/occupied land and illegal constructed/possessed houses. Solution: For an ADB financed project, all APs, whether lawful or not, whether having ownership or right of use, will be protected, and provided with compensation or assistance to replace or restore lost assets/property. Resettlement monitoring, evaluation and reporting Difference: ADB requires that internal and external resettlement monitoring be conducted. However, there is no such requirement in Chinese laws, expect for reservoir projects. Solution: Internal and external resettlement monitoring systems have been established for all ADB financed projects, and this has been included in the RP. The requirements for internal and external monitoring reporting are specified in the RP. 4.5 Compensation Principles of the Subproject The principles for compensation and entitlement of the Subproject have been developed in accordance with the regulations and policies of the PRC and ADB, with the aim of ensuring that APs obtain sufficient compensation and assistance measures so that their production and livelihoods are at least restored to pre-project levels. See Table 4-2. Table 4-2 Principles for Resettlement Principles 1 Involuntary resettlement should be avoided where feasible. The APs are granted compensation and rights that can at least maintain or even improve 2 their livelihoods in the absence of the project. The APs are given compensation and assistance in resettlement whether legal title is 3 available or not. 4 The APs will be consulted during resettlement planning and implementation. If the land available to everyone is insufficient to maintain his/her livelihood, replacement 5 in cash or in kind and other income-generating activities are provided for the lost land. 6 Compensation for the loss of structures, trees and crops will be at replacement cost. The APs fully understand their entitlements, the method and standard of compensation, 7 the livelihood and income restoration plan, and the project schedule, and participate in the implementation of the Resettlement Plan. 8 A grievance redress mechanism will be established and in place during the project. The land acquisition shall not start before APs are satisfied with the compensation and 9 resettlement (plan) 22

43 10 No civil works will commence prior to the disbursement of all entitlements. 11 The executing agency and an independent agency / third party should monitor the compensation, relocation and resettlement operations. Vulnerable groups are provided special assistance or treatment so that they lead a better 12 life, and all APs should have an opportunity to benefit from the project. At least two members of each AH receive skills training, including at least one woman. 13 The RP is consistent with the master plans of the affected city (district/county) and township. 14 The resettlement expenses are sufficient to cover all affected aspects. 4.6 Cut-off Date of Compensation The original cut-off date for the eligibility for compensation was 30 April 2012, which has already been disclosed. Later with the WWTP site adjustment, the latest cut-off-date for compensation was 31 October Any newly claimed land, newly built house or settlement in the subproject area by the APs after this date will not be entitled to compensation or subsidization. Any building constructed or tree planted purely for extra compensation will not be counted in. 4.7 Compensation Rates for Resettlement Impacts of the Subproject Acquisition of Collective Land The land compensation rates of the Subproject will comply with the Notice of the Anhui Provincial Government on Publishing the Compensation Rates for Land Acquisition of Anhui Province (APG [2009] No.132), where the 3 affected villages are located in Sanshipu Town, Jin an District and subject to the Class II rates. See Table 4-3. Table 4-3 Summary of AAOVs and Compensation Rates for Land Acquisition of Anhui Province Area Uniform Farmland Region AAOV No. Range Land Resettlement Rate (yuan/mu) compensation subsidy (yuan/mu) Sanshipu Town and Chengbei Xiang, Jin an Lu'an II District; Chengnan and Municipality Xin an Towns, Yu an District Compensation fees for land acquisition will be paid to each affected village collective and village group, and will distributed evenly to the whole registered population of the group. Compensation fees for young crops will be paid to their proprietors. See Table 4-4. Table 4-4 Summary of Compensation Rates for Young Crops No. Item Compensation rate for young crops (yuan/mu) 1 Irrigated land Pond

44 4.7.2 Compensation for Attachments and Infrastructure The compensation rates for ground attachments of the Subproject will comply with the Notice of the Lu'an Municipal Government on Issuing the Compensation Rates for Land Acquisition within the Urban Construction Planning Area (LMGS [2010] No.70). See Table 4-5. No. Diameter (cm) Table 4-5 Summary of Compensation Rates for Other Attachments Trees Other Amount of Amount of compensation compensation Component (yuan) (yuan) Diameter (cm) Amount of compensation (yuan) Ordinary Fruit Ordinary Fruit Cement 50 yuan each trees trees trees trees Telegrap 1 Seedling h poles Wood 15 yuan each Bamboo 10 yuan each 200 yuan Single each Tombs 300 yuan Double each Vulnerable groups / The vulnerable groups affected by the Subproject are entitled to the following preferential policies: (1) Laborers in vulnerable households (at least one each) will be provided with occupational training, and employment information and guidance in order to increase their job opportunities; (2) Laborers in vulnerable households will be employed for unskilled jobs with priority during construction; (3) Vulnerable groups will have priority in land reallocation Supporting Measures for Women In addition to the above compensation policies for land acquisition, women are also entitled to the following special supporting policies: 1) Women will have priority in employment; 2) Women will have priority in receiving skills training; 3) Women will receive relevant information during resettlement, and are able to participate in resettlement consultation; during resettlement implementation, a FGD for women will be held to introduce the resettlement policies; 4) Small-grant secured loan for women: The handling financial institution will grant a small-grant secured loan of up to 80,000 yuan to a single eligible woman 2 ; 2 Acoording to the notification from Ministry of Finance,Ministry of Human resources and social security,p eopl s Bank of China and All- China Women s Federeation regarding to the completing the policy of financial discount small guarant eed loans to promote women s business and employment.(financial[2009]no.72),the specific conditio ns of urban and rural women who are applying the small guaranteed loans are the following: urban lai d- off women,universities and technical institues graduates females,and rural women workers returning a 24

45 for a partnership of eligible women, the highest amount of loan will be 100,000 yuan per capita (not more than 1 million yuan in total). Such loans will be fully discounted by the government finance; 5) The compensation agreement must be signed by the couple. See Appendix 3 for a detailed gender analysis. 4.8 Entitlement Matrix The entitlement matrix has been established in accordance with the applicable policies in this chapter, as shown in Table 4-6. nd venturing who are qualified for the terms of the current small guaranteed loans condition;all kinds o f advanced women models who have been rewarded by subdistricts and townships level or above,urban and rural selfemployed women who have participated vocational training or startup training with desires of entrepreneurship; personnel of the economic entity which are partnership or organized by the people who re qualified for the above condtions;laborintensive small firms which mainly consist of women and legally run with a certain mount of owned fun d meanwhile meet the prescribed requirements;leadership of the women base,member of the women federation;urban and rural honesty and trustworthy and solvent women who have fixed residence or b usiness places,and qualified for the legal working age and in good health,having a complete civil capa city,and the proposed starups or employments,women getting rich projects meeting the national policy regulations and Xinjiang i ndustry structure adjustment requirements. 25

46 No. 1 2 Type of impact Permanent land acquisition Vulnerable groups Table 4-6 Entitlement Matrix Degree of impact APs Compensation and resettlement policy Measures mu, including mu of cultivated land and 2 mu of pond Five-guarantee households, households receiving MLS support 4 village groups of 3 villages in Sanshipu Town, Jin an District, Lu'an Municipality 28 households with 145 persons 5 households with 10 persons 3 Women / 71 females 4 5 Infrastructure and ground attachments Grievances and appeals Telegraph poles, trees, tombs Proprietors 1) Land compensation fees and resettlement subsidies will be distributed evenly to the whole registered population of the group; and 2) Land will be reallocated to spread the losses equally by reference to land type and output. Compensation fees for ground attachments and young crops will be paid to their proprietors. 1) Laborers in vulnerable households will be provided with occupational training, and employment information and guidance in order to increase their job opportunities; 2) Laborers in vulnerable households will be employed for unskilled jobs with priority during construction; 3) Vulnerable groups will have priority in land reallocation; 4) The local government will pay an MLS benefit of 290 yuan per month. 1) Women will have priority in employment and at least 16( 30% ) of them will receive unskilled jobs; 2) Women will have priority in receiving skills training; 3) Women will receive relevant information during resettlement, and are able to participate in resettlement consultation; 4) Eligible women may apply for a small-grant secured loan; 5) The compensation agreement must be signed by the couple. 1) Affected special facilities will be restored by proprietors after receiving compensation from the owner of the Subproject, or reconstructed by the owner according to the original size, standard and function; 2) Compensation fees will be calculated and disbursed for ground attachments as stipulated. / All APs Free; all costs so reasonably incurred will be disbursed from the contingencies Measures for land compensation allocation and land reallocation will be determined by the village meeting. Vulnerable households will be reidentified at the beginning of resettlement implementation, and monitored closely until the completion of assistance measures. The women s federation will provide acceptable education to women. 26

47 5 RESETTLEMENT AND INCOME RESTORATION 5.1 Resettlement Objectives The objective of resettlement of the Subproject is to develop an action plan for restoration and restoration for those affected by the Subproject so that they benefit from the Subproject, and their living standard is improved or at least restored to the pre-project level. 5.2 Resettlement Restoration Programs/Measures for Affected Villages Summary of Resettlement Restoration Programs for Affected Villages The main impact of the Subproject is permanent land acquisition. The permanent acquisition of collective land will affect 4 village groups in Sanshipu Town of Jin an District, with mu of collective land acquired in total, including mu of cultivated land and 1.5 mu of pond. Since the APs have diversified income sources, land abandonment rate is high in the subproject area, and the APs will lose part of their land only. So land acquisition does not influence agricultural production and income much. According to the willingness survey for 20 households, most of the AHs (88.1%) expect to distribute compensation fees for land acquisition and reallocate land in the traditional way, i.e.: 1) Land compensation fees and resettlement subsidies will be distributed evenly to the whole registered population of the group; 2) Land will be reallocated to spread the losses equally by reference to land type and output; 3) Compensation fees for ground attachments and young crops will be paid to their proprietors. After receiving compensation fees, the AHs will invest them in employment, crop cultivation and skills training. During the survey, almost all AHs supported the Subproject. They think that the Subproject will improve local wastewater treatment conditions and environmental hygiene, and bring productive and living convenience. Since land acquisition will affect different villages to varying degrees, restoration programs have been developed based on the degree of impact, the availability of remaining land resources and the willingness of the APs in consultation with the village committees and the AHs. Since the APs will still have a certain amount of land after acquisition, most of them think that land acquisition will affect them slightly and prefer cash compensation Restoration Measures for Permanent Land Acquisition There are 4 livelihood restoration measures for permanent land acquisition mainly: 1) Cash compensation and land reallocation: Based on traditions, a) Land compensation fees and resettlement subsidies will be distributed evenly to the whole registered population of the group; b) Land will be reallocated to spread the losses equally by reference to land type and output; c) Compensation fees for ground attachments and young crops will be paid to their proprietors. 27

48 2) Improvement of agricultural conditions: Village collectives will raise funds and use 20% compensation fees for collective land for infrastructure construction to improve agricultural production conditions, improve crop output, increase farmers income and improve their living standard. 3) Crop restructuring: Each village will adjust crop and stockbreeding structure based on its geographic location and market conditions to increase agricultural income. For example, Laojiaying Group may develop characteristic crops such as Florists Chrysould likehemum, Lu an marijuana and these could solve employment of about 40 APs and predicted annual pure income per capita could reach yuan/year; Shangdun Group may develop aquaculture, which could arrange employment of 10 persons and predicted annual pure income per capita could reach yuan/year. 4) Labor transfer: The government will guide enterprises to recruit APs with priority, such as toy making, apparel processing, farm product processing and other labor-intensive enterprises. It is considered that these enterprises could take in 500 labors and their monthly wage will be about 1500 yuan. About 30 APs have reached employment intention. During project construction, the implementing agency will also take some assistance measures, including: a) Give priority to the APs for employment to generate cash income for them, after negotiation construction unit will provide 900 temporary jobs during construction and 20 permanent jobs after completion for APs, and will give priority to APs who suffered more land loss and the monthly wage will be about 2000 yuan; b) The APs will be given priority in labor output; and c) During the whole production restoration process, the APs (particularly women) will be trained on nonagricultural skills so they can secure good, stable jobs. For detailed training plan please see Table 5-1. The above measures will make sure that all the APs reach sound settlement. 5.3 Employment Promotion Program and Training of APs Based on the Feasibility Study Report prepared by the design agency, the Subproject will generate 900 temporary jobs at the construction stage, and 20 permanent jobs at operating stages, sum to 1200 jobs (over 70% are unskilled jobs). The Lu'an PMO will ensure the APs have priority in obtaining unskilled jobs and their remuneration is not less than the average level of similar local jobs. Training needs depend on the resettlement and restoration mode preferred by the APs. In order to ensure that the APs change the traditional employment concept, build up a proper sense of occupation and master necessary labor skills, the Lu'an PMO will give various trainings, such as agricultural skills training, pre-job training and professional skills training to them together with the labor and social security department. All APs may select several trainings from the following training programs to attend for free. See Table 5-1. Table 5-1 Agricultural Technical Training Program in the Subproject Area Trainees Funding Agency Funding No. Town Time Trainees per Scope (10,000 annum responsible source yuan) 1 Sanshipu AHs 100 Breakfast and Sanshipu Town Labor & Social 1.5 Government budget 28

49 No. Town Time Trainees Trainees per annum Scope catering Agency responsible Security Office Funding (10,000 yuan) Funding source 2 Sanshipu AHs Sanshipu AHs Sanshipu AHs Sanshipu AHs Sanshipu AHs 100 Apparel processing Building and decorative materials Breakfast and catering Apparel processing Building and decorative materials Sanshipu Town Labor & Social Security Office Sanshipu Town Labor & Social Security Office Sanshipu Town Labor & Social Security Office Sanshipu Town Labor & Social Security Office Sanshipu Town Labor & Social Security Office Government budget Government budget Government budget Government budget Government budget 5.4 Protection of Women s Rights and Interests At the RP preparation stage, women in the subproject area took an active part in the impact survey, and were consulted about ideas on income restoration programs. Women support the Subproject, and think the Subproject will promote the utilization of water resources, avoid water pollution, reduce the incidence of infectious diseases and protect people s health. In addition, they expect cash compensation, job opportunities from the Subproject and nonagricultural skills training. During project implementation, women will receive equal pay for equal work like men do. Priority will be given to female labor in terms of skills training so as to ensure their economic status and income. Women will receive relevant information during resettlement, and are able to participate in resettlement consultation. A compensation agreement must be signed by the couple. During resettlement implementation, a FGD for women will be held to introduce the resettlement policies. 5.5 Assistance Measures for Vulnerable Groups Among the APs, 5 households with 10 persons fall into vulnerable groups. During the whole relocation process, the Lu'an PMO, implementing agency and local government will pay particular attention to the resettlement of vulnerable groups. In addition to the living and production resettlement measures under the RP, vulnerable groups will be provided with certain assistance to improve their living and production conditions: (1) Laborers in vulnerable households (at least one each) will be provided with occupational training, and employment information and guidance in order to increase their job opportunities; (2) Laborers in vulnerable households will be employed for unskilled jobs with priority during construction; (3) Vulnerable groups will have priority in land reallocation; and (4) The local government will pay a MLS benefit of 290 yuan/month. 29

50 5.6 Restoration Program for Ground Attachments The Subproject will affect telegraph poles, trees and tombs. Telegraph poles will be restored by village collectives after receiving compensation; trees will be compensated for in cash; tombs, which are owned by individuals, will be relocated to a site designated by the village group by individuals themselves after compensation. 30

51 6 RESETTLEMENT ORGANIZATIONAL STRUCTURE 6.1 Resettlement Implementation and Management Agencies Organizational Setup In order to ensure successful resettlement as desired, government agencies at different levels of Lu'an Municipality will ensure successful project preparation and resettlement implementation by establishing an effective organizational structure and building its capacity. Since March 2011, the resettlement agencies of the Subproject have been established successively, and their responsibilities defined clearly. The agencies responsible for resettlement in the Subproject mainly include: Chao Lake Management Authority(CLMA) ADB-financed Project Working Group of the Lu'an Municipal Government Lu'an PMO LAMD Lu'an Municipal Land and Resources Bureau Jin an District Government Affected village (community) committees Affected villages and groups External M&E agency 31

52 See Figure 6-1 Figure 6-1 Organizational Chart Organizational Responsibilities Chao Lake Management Authority(CLMA) Leading the decision-making and construction of the 14 subprojects ADB-financed Project Working Group of the Lu'an Municipal Government Leading the decision-making and construction of the Subproject Lu'an PMO (1) Contacting with the ADB-financed Project Working Group of the Lu'an Municipal Government, ADB and the functional departments concerned of Anhui Province (2) Ensuring that all plans related to resettlement of the Subproject are approved by the competent departments of the state, Anhui Province and Lu'an Municipality; (3) Inspecting and directing the implementing agency LAMD (1) Appointing a resettlement consulting agency to prepare for resettlement; (2) Coordinating the consulting agency with other agencies at the preparation stage; (3) Coordinating the implementation progress of the Subproject and the RP; 32

53 (4) Reporting the resettlement fund disbursement plan and supervising the disbursement of funds; (5) Coordinating the work of the resettlement agencies; (6) Raising resettlement funds; (7) Disbursing resettlement funds; (8) Responsible specifically for resettlement implementation; (9) Tracking and supervising the disbursement of resettlement funds; (10) Handling grievances and appeals of APs arising from resettlement; (11) Supporting the work of the external M&E agency; (12) Collecting and compiling information required for internal monitoring reporting; (13) Managing resettlement archives; (14) Training persons responsible for resettlement Lu'an Municipal Land and Resources Bureau (1) Applying for a land use permit and a construction planning permit with the competent departments; (2) Formulating resettlement policies in coordination with the departments concerned; (3) Responsible for all-around affairs of land acquisition (including social insurance for LEFs) Jin an District Government (1) Participating in the DMS; (2) Participating in the calculation of compensation fees for AHs; (3) Disbursing compensation fees to APs; (4) Designing and constructing resettlement housing; (5) Formulating measures for the allocation of resettlement housing; (6) Handling grievances and appeals of APs arising from resettlement; (7) Allocating resettlement housing; (8) Giving employment skills training to APs; (9) Implementing employment measures for APs Affected village (community) committees and groups (1) Participating in the DMS; (2) Participating in the calculation of compensation fees for AHs; (3) Supervising the disbursement of compensation fees to APs; (4) Designing and constructing resettlement housing; (5) Formulating measures for the allocation of resettlement housing; (6) Handling grievances and appeals of APs arising from resettlement; (7) Allocating resettlement housing; (8) Giving employment skills training to APs; (9) Implementing employment measures for APs External M&E agency The CLMA will employ a qualified M&E agency as the external resettlement M&E agency. Its main responsibilities are: (1) Observing all aspects of resettlement planning and implementation as an independent M&E agency, monitoring and evaluating the effectiveness of resettlement and the social adaptability of the APs as set out in this RP, (2) Submitting resettlement M&E reports to the CLMA and ADB; and (3) Providing technical advice to the CLMA in data collection and processing. 33

54 6.2 Staffing and Equipment Staffing In order to ensure the successful implementation of the resettlement work, all resettlement agencies of the Subproject have been provided with full-time staff, and a smooth channel of communication has been established. See Table 6-1. Table 6-1 List of Members of Resettlement Agencies No. 1 Agency ADB-financed Project Working Group of the Lu'an Municipal Government Person responsible Workforce Staff Wang Xiang 11 Civil servants 2 Lu'an PMO Yang Guangtian 7 Civil servants 3 LAMD Yin Jun 4 Civil servants 4 Lu'an Municipal Land and Resources Bureau Liu Xingwang 4 Civil servants 5 Jin an District Government Du Jikun 3 Civil servants 6 Village/community heads Wu Shifu, Wu Aimin 5 Village officials Total Equipment The resettlement agencies at all levels of the Subproject have been provided basic office, transport and communication equipment, including desks and chairs, PCs, printers, telephones, facsimile machines and vehicles. See Table 6-2. Table 6-2 Equipment of Resettlement Agencies No. Agency Computer Camera Vehicle Office (m 2 ) Remark 1 ADB-financed Project Working Group of the Lu'an Municipal Government 2 Lu'an PMO LAMD Lu'an Municipal Land and Resources Bureau Jin an District Government Village committees Total Institutional Training Program For the purpose of resettlement, the resettlement staff must be trained under a training program, which will be prepared by the Anhui Provincial PMO and the Anhui Provincial Development and Reform Commission. A staff training and human resources development system will be established for the municipal, county, township and village resettlement agencies. Training will be given in such forms as workshop, training course, visit and on-site training, covering: 1) ADB s resettlement policies and principles; 2) differences between ADB and Chinese policies; 3) resettlement planning and implementation management; 4) key points to be noted during resettlement implementation; and 5) resettlement M&E. See Table

55 Table 6-3 Resettlement Operational Training Program Agency No. responsible Scope of training Trainees Time A B C D Drawing on experience 1 Lu'an PMO in resettlement for ADBfinanced projects from staff Resettlement office other provinces 2 3 External M&E agency External M&E agency 4 Lu'an PMO 5 Lu'an PMO 6 7 Resettlement implementing agency Resettlement implementing agency 8 Lu'an PMO ADB s resettlement policies Updates of state policies on land acquisition and house demolition Experience and lessons in resettlement of other places Computer operation and data processing Resettlement procedures and policies for ADB-financed projects Resettlement policies and practice Internal experience in resettlement Resettlement office staff Resettlement office staff Resettlement office staff Resettlement office staff Town resettlement office, village resettlement teams Town resettlement office, village resettlement teams Resettlement office staff Cost (0,000 yuan) Oct Oct Oct Dec Jan Jan Jan

56 7 PUBLIC PARTICIPATION AND GRIEVANCE REDRESS 7.1 Public Participation In order to lay a solid foundation for the resettlement work of the Subproject, protect the lawful rights and interests of the APs and entities, and reduce grievances and disputes, great importance is attached to the participation of and consultation with the APs at the preparation and implementation stages. At the design stage, LAMD, the design agency and NRCR disclosed project information, solicited comments from the APs extensively, and consulted with them about common concerns Participation at the Preparation Stage Since August 2011, the project owner, the design agency and the survey team of NRCR have conducted a series of socioeconomic survey and public consultation activities (with 30% of participants being women) under the direction of technical assistance experts. At the preparation stage, the PMO, implementing agency and design agency conducted extensive consultation on land acquisition and resettlement. See Table 7-1 for the participation activities at the preparation stage and Appendix 4 for the minutes of public participation meetings. The RIB was distributed in April Table 7-1 Public Participation Activities at the Preparation Stage Responsi # of No. Time Activity Participants ble Party persons LAMD, design institute, Jin an District Government, PMO and Sanshipu Town Government, Guantang, Sanshipu and related Project design Laojiaying Village Committees, representatives of groupsdepartme and APs nts LAMD, design institute, Jin an District Government, PMO and Optimization of Sanshipu Town Government, Guantang, Sanshipu and related project design Laojiaying Village Committees, representatives of groupsdepartme and APs nts LAMD, municipal land and resources bureau, district landpmo and and resources branch, Lu an Land Acquisition and related DMS Resettlement Office, Sanshipu Town Government, departme Guantang, Sanshipu and Laojiaying Village Committees, nts representatives of groups and APs Social assessment Resettlement modes and willing Resettlement policies (first version) Resettlement policies (updated version) LAMD, NRCR, APs, municipal land and resources bureau, labor and social security bureau, women s federation, poverty reduction office, disabled persons federation, affected enterprise and public institution LAMD, NRCR, APs LAMD, Sanshipu Town Government, Guantang, Sanshipu and Laojiaying Village Committees, representatives of groups and APs Publish information and resettlement policy of the Subproject through radio and newspaper, LMSC, Sanshipu Town Government, Guantang, Sanshipu and Laojiaying Village Committees, representatives of groups and APs Lead by NRCR, cooperat ed by LMSC Lead by NRCR, cooperat ed by LMSC Lead by NRCR, cooperat ed by LMSC PMO impleme nted impleme nted impleme nted impleme nted impleme nted Will be impleme nted 36

57 No. Time Activity Participants Disclosure of the RP and RIB Anhui Provincial PMO Responsi ble Party PMO # of persons Disclosure of the draft RP ADB s website ADB Will be impleme nted Participation Plan at the Implementation Stage With the progress of project preparation and implementation, the implementing agency has conducted and will conduct further public participation. See Table 7-2. Table 7-2 Public Participation Plan Purpose Mode Time Agencies Participants Topics Land acquisition announcement Announcement of compensation and resettlement options for land acquisition Verification of DMS results Determination of income restoration programs Training program for APs Monitoring Village bulletin board, village meeting Village bulletin board, village meeting Sep Sep Field survey Sep Village meeting (many times) Village meeting Villager participation Oct Sep 2013 ~ Feb 2015 Dec 2013.~De c 2016 Lu anl PMO, land and resources bureau, LAMD, municipal, town and village officials Lu anl PMO, land and resources bureau, LAMD, municipal, town and village officials Lu an PMO, land and resources bureau, municipal, town and village officials Lu an PMO, land and resources bureau, municipal, town and village officials Labor and social security bureau, town and village officials Town and village officials All APs All APs All APs All APs All APs (including 51 working aged women) All APs Disclosure of land acquisition area, compensation rates and resettlement modes, etc. Compensation fees and mode of payment 1) Finding out anything omitted to determine the final impacts 2) List of lost land and assets of APs 3) Preparing basic compensation agreements Discussing the final income restoration program and the program for use of compensation fees Discussing training needs 1) Resettlement progress and impacts 2) Payment of compensation 3) Information 37

58 Purpose Mode Time Agencies Participants Topics disclosure 4) Livelihood restoration and house reconstruction 7.2 Grievances and Appeals Since public participation is encouraged during the preparation and implementation of the RP, no substantial dispute will arise. However, unforeseeable circumstances may arise during this process. In order to address issues effectively, and ensure the successful implementation of project construction and land acquisition, a transparent and effective grievance redress mechanism has been established. The basic grievance redress system is as follows: Stage 1: If any right of any AP is infringed on in any aspect of land acquisition or resettlement, he/she can report this to the village committee. The village committee or the AP may resort to the township government to solve the issue. The township government shall record such appeal and solve it together with the village committee or the AP within 2 weeks. Stage 2: If the appellant is dissatisfied with the disposition of Stage 1, he/she may file an appeal to LAMD within one month after receiving such disposition, which shall make a disposition within 3 weeks. Stage 3: If the appellant is dissatisfied with the disposition of Stage 2, he/she may file an appeal to the Lu'an PMO within one month after receiving such disposition, which shall make a disposition within 4 weeks. Stage 4: If the appellant is still dissatisfied with the disposition of Stage 3, he/she may file an appeal to competent administrative authorities level by level in accordance with the Administrative Procedure Law of the PRC for arbitration after receiving such disposition. Stage 5: If the grievant person is still dissatisfied with the arbitration award of Stage 4, he/she may file an action in a civil court in accordance with the Civil Procedure Law of the PRC after receiving the arbitration award. All agencies will accept grievances and appeals from the APs for free, and costs so reasonably incurred will be disbursed from the contingencies. During the whole construction period of the Subproject, these appeal procedures will remain effective to ensure that the APs can use them to address relevant issues. The above grievance redress system will be communicated to the APs at a meeting or through the RIB, so that the APs know their right of appeal. In addition, the appeal process will be published to affected population on mass media. 38

59 8.1 Resettlement Budget 8 RESETTLEMENT BUDGET All costs incurred during land acquisition and resettlement will be included in the general budget of the Subproject. Based on prices of December 2011, the total resettlement costs of the Subproject are 6,280,800 yuan, in which those for the WWTP are 6,009,100 yuan or 95.67% of total costs, those for the Shengli Road pump station 120,000 yuan or 2.01% of total costs and those for the Wangjiang Road pump station 145,800 yuan or 2.32%of total costs. Rural land acquisition costs of are 3,437,700 yuan or 54.73% of total costs, compensation fees ground attachments 3,300 yuan or 0.05% of total costs, land taxes 1,772,300 yuan or 28.21% of total costs, and other costs 1,070,800 yuan or 17.05% of total costs. See Table 8-1. If necessary, the budget will be revised during the project implementation to take into account various factors, including price inflation. Table 8-1 Resettlement Budget Sheet Unit: 10,000 yuan No. Item WWTP Wangjiang Shengli Road Road pump Subtotal pump station station Compensation fees for collective land 1.1 acquisition Pond Infrastructure and attachments Subtotal of Survey and design costs (3% of direct 3 resettlement costs) Implementation management costs (5% 4 of direct resettlement costs) External M&E costs (4% of direct 5 resettlement costs) Internal M&E costs (2% of direct 6 resettlement costs) Training costs (3% of direct resettlement 7 costs) Contingencies (10% of the sum of 1-7) Fees for using new construction land Land Land acquisition management taxes costs Farmland occupation tax Land reclamation costs Water resources construction fund Support fund for vulnerable groups (1% 14 of direct resettlement costs) Subtotal of Total

60 8.2 Resettlement Investment Schedule and Funding Sources All resettlement funds of the Subproject are from local counterpart funds and domestic loans. Before or during project construction, the investment plan will be implemented in 2013 in order not to affect the production and livelihoods of the AHs. 8.3 Disbursement, Management and Monitoring of Resettlement Funds Disbursement of Resettlement Funds The Subproject s resettlement funds will be disbursed on the following principles: All costs related to land acquisition will be included in the general budget of the Subproject, disbursed by LAMD directly to the functional departments concerned of the township government through a special account according to the compensation rates, and then distributed to the affected villages/groups; land compensation fees will be paid before acquisition Management and Monitoring of Resettlement Funds Resettlement funds must be disbursed in strict conformity with the compensation rates specified in the applicable state regulations on land acquisition and the policies in the RP. Compensation fees for land and attachments will be approved by the resettlement implementing agency. LAMD will appoint a consulting agency to conduct regular internal audits on the use of resettlement funds. The finance and audit departments of the Lu'an Municipal Government have the power to monitor and audit the use of resettlement funds. The external M&E agency will perform follow-up monitoring on the use of compensation fees by the AHs during external monitoring. 40

61 9 RESETTLEMENT IMPLEMENTATION PLAN 9.1 Principles for Resettlement Implementation According to the project implementation schedule, the Subproject will be constructed from 2013 to In order that the resettlement schedule links up the construction schedule of the Subproject, land acquisition will begin in October 2013 and end in June The basic principles for resettlement implementation are as follows: Land acquisition should be completed at least 3 months prior to the commencement of construction, and the starting time will be determined as necessary. During resettlement, the APs shall have opportunities to participate in the Subproject. Before the commencement of construction, the range of land acquisition will be disclosed, the RIB distributed and public participation activities conducted properly. 9.2 Resettlement Implementation Schedule The general resettlement schedule of the Subproject has been drafted based on the progress of project construction, land acquisition and house demolition, and resettlement preparation and implementation. The exact implementation schedule may be adjusted due to deviations in overall project progress. See Table 9-1. Table 9-1 Schedule of Resettlement Activities No. Task Target Agencies responsible Time 1 Information disclosure 1.1 RIB 3 villages Lu an PMO and LAMD Oct Disclosure of the RP on CLMA, Lu an ADB s website PMO and ADB Feb RP and budget 2.1 Approval of RP and budget Government and (including compensation 6,280,800 yuan LAMD rates) Oct Village-level income restoration programs 3 villages Village committee Feb Finalizing of the RP based Lu an PMO and / on the detailed design LAMD Sep DMS 3.1 DMS on the 3 affected Land and villages resources bureau Mar Compensation agreement 4.1 Village-level land Land and 3 villages compensation agreement resources bureau Oct Implementation of livelihood restoration measures 5.1 Distribution of land compensation fees to households and land reallocation 4 village groups Town and village collectives Oct Jun 2014 Status 41

62 No. Task Target Agencies responsible 5.2 Implementation of training Labor and social 4 village groups program security bureau Confirming vulnerable Civil affairs 5.3 households and taking 4 village groups bureau and Lu an assistance measures PMO 5.4 Hiring APs at the construction stage 6 Capacity building Training of staff of LAMD, 6.1 and the land and resources bureau 6.2 Training of county, township and village officials 4 village groups 15 persons 400 persons Lu an PMO, labor and social security bureau, and contractor ADB/PPTA consultant Lu an PMO, and land and resources bureau Time Oct 2013 Dec Oct 2013 Dec Oct 2013 Jun Feb~ Jun 2012 Feb~ Jun 2012 Status Implement ed Implement ed 7 M&E 7.1 Baseline survey As per the RP External M&E Implement Apr agency ed 7.2 Establishment of internal CLMA, Lu an Implement As per the RP Jun M&E mechanism PMO and LAMD ed 7.3 Appointing an external M&E agency One CLMA Jul Ongoing 7.4 Internal monitoring reporting Semiannual CLMA, Lu an report PMO and LAMD From Jul 2013 Ongoing 7.5 External monitoring reporting Semiannual External M&E Jan No.1 report report agency Jul No.2 report 7.6 External evaluation reporting Annual report External M&E Jan No.1 report agency Jan No.2 report Post evaluation 7.7 Post-evaluation report One report agency and CLMA Jul Public consultation and documentation Implementing agency Ongoing 9 Grievance redress and documentation Implementing agency Ongoing 10 Disbursement of compensation fees 10.1 Disbursement to Already in Initial funds Mar implementing agency place 10.2 Disbursement to villages Most funds Implementing agency Oct Disbursement to households Most funds Implementing agency and village committees Oct Commencement of civil construction 11.1 The Subproject LAMD Dec

63 10 MONITORING AND EVALUATION In order to ensure the successful implementation of the RP and realize the objectives of resettlement properly, land acquisition, house demolition and resettlement activities of the Subproject will be subject to periodic M&E according to ADB s resettlement policies, including internal and external monitoring Internal Monitoring Internal resettlement monitoring will be performed by the CLMA, Lu'an PMO, LMSC and other departments concerned (e.g., land and resources bureau). The CLMA will develop a detailed internal monitoring plan for land acquisition and resettlement, including: (1) Investigation, coordination of and suggestion on key issues of the resettlement and implementing agencies during resettlement; (2) Restoration of the household income of APs; (3) Working mechanism, training, working hours and efficiency of local resettlement offices; (4) Special support for vulnerable groups; (5) Payment, use and availability of compensation fees for land acquisition; (6) Level of public participation and consultation during land acquisition and resettlement; (7) Resettlement training and its effectiveness. The CLMA will submit an internal monitoring report to ADB semiannually. Such report should indicate the statistics of the past 6 months in tables, and reflect the progress of land acquisition, resettlement and use of compensation fees through comparison. Table 10-1 and Table 10-2 provide some formats. Table 10-1 Progress Report of Land Acquisition and Resettlement, Town, District (County) Cut-off date: MM/DD/YY Date completed: MM/DD/YY Item Unit RP DMS Actual during Accumulative Proportion implementation total completion Permanent land acquisition Mu Payment of land compensation 10,000 yuan Personnel training Person Job arrangement Person Reported by: Signature (person responsible): Official seal: of Table 10-2 Implementation Schedule of Fund Use, Town, District (County) Cut-off date: MM/DD/YY Date completed: MM/DD/YY Affected unit Description 3 Unit/ Qty. Village 1 Village 2 Collectives Investment required (yuan) Compensation received (yuan) Adjusted compensation Proportion of compensation 3 Fill building of village-level road (number), labor training and employment or subsidy for vulnerable groups, etc. in Description. 43

64 APs Reported by: Signature (person responsible): Official seal: 10.2 External Monitoring According to ADB s policies, the CLMA will employ a qualified, independent and experienced resettlement agency as the independent resettlement M&E agency. The external M&E agency will conduct follow-up M&E of resettlement activities periodically, monitor resettlement progress, quality and funding, compliance with the RP as well as rational of ADB policies and give advice. It shall also conduct follow-up monitoring of the APs production level and living standard, and submit M&E reports to the CLMA and ADB Scope and Methodology of External Monitoring (1) Baseline survey The external M&E agency will conduct a baseline survey of the affected villages and village groups affected by land acquisition to obtain baseline data on the monitored displaced households production level and living standard. The production level and living standard survey will be conducted semiannually to track variations of the APs production level and living standard. This survey will be conducted using such methods as panel survey (sample size: 100% of the households affected by land acquisition, to be sampled randomly), random interview and field observation to acquire necessary information. A statistical analysis and an evaluation will be made on this basis. (2) Periodic M&E During the implementation of the RP, the external M&E agency will conduct periodic follow-up resettlement monitoring semiannually of the following activities by means of field observation, panel survey and random interview: Payment and amount of compensation fees; training; Support for vulnerable groups; Restoration and rebuilding of infrastructure and special facilities; Production resettlement and restoration; compensation for lost properties; timetables of the above activities (applicable at any time); Resettlement organization/performance-capacity issues; Use of compensation fees for collective land and income of APs; Income growth of labor through employment; and Whether APs have benefited from the Subproject. (3) Public consultation and participation The external M&E agency will attend public consultation meetings held during resettlement implementation to evaluate the effectiveness of public participation. (4) Grievance redress The external M&E agency will visit the affected villages and groups periodically, and inquire the Lu'an PMO, town resettlement office and implementing agencies that 44

65 accept grievances about how grievances have been handled. It will also meet complainants and propose corrective measures and advice for existing issues so as to resolve problems quickly make the resettlement process more effectively External Monitoring Reporting A routine monitoring report shall at least include the followings: (I) monitoring objects of the report; (II) the progress of the resettlement; (III) main findings; (IV) main existing problems; (V) basic appraisal, comments and suggestions; (VI) grievances received and closed out; (VII) consultation undertaken and how items have been addressed. The external monitoring report should include the indicators detailed in Table Table 10-3 key indicators to be monitored Resettlement impacts and implementation / item 1 Permanent Land Acquisition Area (mu) AH AP Planned (RP) Updated (RP) Actual Completed in current period Completed in total 2 resettlement compensation (CNY) AP s incomes and expenditures Year Average annual income per capita (Yuan/person) 2 Average annual expenditure per capita(yuan/person) Cumulative completion The external M&E agency will submit a monitoring or evaluation report to ADB and the CLMA semiannually. See Table 10-4 for the schedule for report submission. Table 10-4 Resettlement M&E Agenda Report Date 1 Socioeconomic Baseline Survey Apr (Implemented) 2 Monitoring Report No.1 Jan Monitoring Report No.2 Jul Evaluation Report No.1 Jan Evaluation Report No.2 Jan Resettlement Post-evaluation After project implementation, the theory and methodology of post-evaluation will be applied to evaluate the Subproject s resettlement activities on the basis of M&E to obtain successful experience and lessons in land acquisition and property demotion as a reference for future work. The post-evaluation agency will be entrusted to prepare terms of reference for post-evaluation, establish a system of evaluation indicators, conduct socioeconomic analysis and survey, and prepare the Resettlement Post-evaluation Report of the Subproject for submission to the CLMA and ADB. 45

66 APPENDICES Appendix 1 Sewer Lines of the Subproject No According to the recommended option, the total length of the sewer network is 27.95km, pipe diameter D500-1,600mm, burial depth 8-9 m, and minimum top soil thickness below driveways not less than 0.7m. All sewer lines in the sewer network component are trunk lines without any branch line, and do not involve temporary land occupation. See the table below. Sewer line Shengli South Road sewer mains Zongyi Road sewer mains Zongyi Road sewer mains East mains of Waxi Canal Binhe Avenue mains Yiyuan Avenue mains Shouchun Road mains Shouchun Road mains Construct Constructio ion unit n time Area Nature of road Starting point Ending point West zone State- owned Central zone 2 North zone North zone Central zone 2 Central zone 1 Central zone 1 State- owned State- owned State- owned State- owned State- owned Hanwang Road Hanwang Road Shouchun Road Shouchun Road Hongqi Road Changjiang Road List of Sewer Lines of the Subproject Binhe Avenue Binhe Avenue Binhe North Road Binhe North Road Yiyuan Avenue Shouchun Road Constructio n period of the road Nature of land Diameter (mm) Temporarily Restoration Construction Length (m) occupied costs (10,000 method area (mu) yuan) State- owned D600- d None Pipe jacking None State- owned D500- d800 landscaping land 4.01 None Pipe jacking None State- owned D500- d800 landscaping land 1.13 None Pipe jacking None State- owned D600- d800 landscaping land 2.04 None Pipe jacking None State- owned State- owned Yiyuan Avenue Xihu Road State- owned East zone State- owned Xihu Road Wangjiang Road D1000- d None Pipe jacking None State- owned D600- d None Pipe jacking None D1500- d None Pipe jacking None State- owned d None Pipe jacking None Remark 46

67 No. 9 Construct Constructio Constructio Temporarily Restoration Diameter Construction Sewer line ion unit n time Area Nature of road Starting point Ending point n period of Nature of land Length (m) occupied costs (10,000 (mm) method the road area (mu) yuan) Wangjiang Road Changjiang Shouchun East zone State- owned State- owned D600- d None Pipe jacking None mains Road Road Total / / / / / / None / None Remark 47

68 Appendix 2 Provisions of Land Laws, Regulations and Policies of the PRC and Anhui Abstract of the Land Management Law and Relevant Policies Item Key points Index The People's Republic of China resorts to a socialist public ownership i.e. an ownership by the whole people and ownerships by collectives, of land. Article 2 of the Land Land ownership The State introduces the system of compensated use of land owned by the State except the land has Administration Law of the PRC been allocated for use by the State according to law. Application for construction land Land acquisition authority Any unit or individual that need land for construction purposes should apply for the use of land owned by the State according to law; Whereas occupation of land for construction purposes involves the conversion of agricultural land into land for construction purposes, the examination and approval procedures in this regard shall be required. Governments at all levels shall strengthen the administration of plans for land use and exercise control of the aggregate land for construction purposes. If no planning quota for use of farmland for other purposes is available or such quota is exceeded, no additional land for construction shall be approved. Saved planning quotas for use of farmland for other purposes may be carried over to the next year after approval. The acquisition of basic farmland land exceeding 35 hectares outside the basic farmland, and other land exceeding 70 hectares shall be approved by the State Council. Acquisition of land other than prescribed in the preceding paragraph shall be approved by the governments of provinces, autonomous regions and municipalities and submitted to the State Council for the record. The land administrative authorities of a municipal or county government shall draft a plan for use of farmland for other purposes, a farmland replenishment plan, a land acquisition plan and a land supply plan to the municipal or county government for approval, and escalate them to governments with approval authority for approval. In case of acquisition of woodland, the consent of the woodland administrative authorities shall be obtained in advance. Articles 43 and 44 of the Land Administration Law of the PRC Article 13 of the Measures of Anhui Province for the Implementation of the Land Administration Law of the PRC (June 26, 2004) Article 45 of the Land Administration Law of the PRC Article 33 of the Measures of Anhui Province for the Implementation of the Land Administration Law of the PRC (June 26, 2004) 48

69 Item Key points Index For the acquisition of land by the State the local governments at and above the county level shall make an announcement and organize the implementation after the approval according to the legal procedures. After the plan for land compensation and resettlement fees is finalized, related local governments shall make an announcement and hear the opinions of the rural collective economic organizations and peasants whose land has been acquired. Rural collective economic organizations shall make public to its members the receipts and expenditures of the land compensation fees for land acquired and accept their supervision. Land acquisition announcement system Compensation rates for land acquisition In acquiring land, compensation should be made according to the original purposes of the land acquired. Compensation fees for land acquired include land compensation fees, resettlement fees and compensation for attachments to or green crops on the land. The land compensation fees shall be 6-10 times the average output value of the three years preceding the acquisition of the cultivated land. The resettlement fee shall be calculated according to the number of agricultural population to be resettled. The number of agricultural population to be resettled shall be calculated by dividing the amount of cultivated land acquired by the per capital land occupied of the unit whose land is acquired. The resettlement fees for each agricultural person to be resettled shall be 4-6 times the average annual output value of the three years preceding the acquisition of the cultivated land. However, the maximum resettlement fee per hectare of land acquired shall not exceed 15 times of the average annual output value of the three years prior to the acquisition. Articles 46, 48 and 49 of the Land Administration Law of the PRC Article 47 of the Land Administration Law of the PRC 49

70 Item Key points Index Land compensation rates for acquisition of land other than arable land: for fishponds, etc., 6 times the average output value of the preceding 3 years; for orchards, etc., 7 times the average output value of the preceding 3 years; in case of no harvest, 6 times the average output value of similar land of the preceding 3 years; for reclaimed land which has been cultivated for less than 3 years, 3-4 times the average output value of the arable land of the same village (team) of the preceding 3 years; for reclaimed land which has been cultivated for 3 years or more, the same as arable land; land used for construction collectively owned by farmers, 4-5 times the average output value of the arable land of the same village (team) of the Temporary land use preceding 3 years; for other land, 2-3 times the average output value of the arable land of the same village (team) of the preceding 3 years. The compensation rates for woodland shall be governed by the applicable laws and regulations. Resettlement subsidy standard for every farmer to be resettled: for acquisition of farmland, 3-4 times the average output value of the preceding 3 years; for land used for construction collectively owned by farmers, 2-3 times the average output value of the arable land of the same village (team) of the preceding 3 years; for barren hills and slopes, no resettlement subsidy. If the farmers to be resettled are unable to maintain their former standard of living, with the approval of the provincial Government, the resettlement subsidy may be increased. However, the sum of the land compensation and the resettlement subsidy shall not exceed the following limit: (1) In case of acquisition of arable land, 30 times the average output value of the preceding 3 years of the acquired arable land; young crops on the acquired arable land shall be compensated for at the output value of crops of that season; for perennial crops shall be compensated for at their annual output value; no compensation shall be granted if there is no young crop. Users who use the land temporarily should use the land according to the purposes agreed upon in the contract for the temporary use of land and should not build permanent structures. The term for the temporary use of land shall not usually exceed two years. If state land or land collectively owned by farmers is to be used temporarily for project construction or geologic examination, such use shall be approved by the land administrative authorities of the local municipal or county Government; temporary land use within the urban planning area shall be approved by the urban planning administrative authorities before submission for approval. Articles 34, 35, 36 and 37 of the Measures of Anhui Province for the Implementation of the Land Administration Law of the PRC (June 26, 2004) Article 57 of the Land Administration Law of the PRC Article 45 of the Measures of Anhui Province for the Implementation of the Land Administration Law of the PRC (June 26, 2004) 50

71 Article 12 Improvement of measures for compensation for land acquisition Article 13 Proper resettlement of LEFs Article 14 Improvement of land acquisition procedures Key Provisions of SC [2004] No.28 and MLR [2004] No.238, and Their Application SC [2004] No.28 Improvement of compensation and resettlement systems for land acquisition County-level and above local governments shall take practical measures so that the standard of living of LEFs is not reduced by land acquisition. Land compensation, resettlement subsidy and compensation for ground attachments and crops shall be paid in full and timely pursuant to law. If the land compensation and resettlement subsidy pursuant to the prevailing laws and regulations are insufficient to maintain the former standard of living of the LEFs or to pay the social security expenses of farmers who lose all land due to land acquisition, governments of provinces, autonomous regions and municipalities directly under the central government shall approve an increased resettlement subsidy. If the sum of the land compensation and the resettlement subsidy attains the statutory upper limit and is still insufficient to maintain the former standard of living of the LEFs, local governments may pay a subsidy from the income from compensated use of state land. Governments of provinces, autonomous regions and municipalities directly under the central government shall fix and publish the uniform AAOV rates or integrated land prices for land acquisition of all cities and counties, so that the same price applies to the same kind of land. For key construction projects of the state, land acquisition expenses must be listed in the budgetary estimate in full. County-level and above local governments shall take specific measures to guarantee long-term livelihoods of LEFs. For projects with a stable income, farmers may become a shareholder using the right to use of land used for construction approved pursuant to law. Within the urban planning area, local governments shall bring farmers who lose all land due to land acquisition into the urban employment system, and establish a social security system; out of the urban planning area, in acquiring land collectively owned by farmers, local governments shall reserve necessary arable land or arrange appropriate jobs for LEFs within the same administrative area; farmers without land who do not have the basic living and production conditions shall be subject to non-local resettlement. The labor and social security authorities shall propose guidelines for the employment training and social security systems for LEFs as soon as possible. During land acquisition, the ownership of collective land of farmers and the right to contracted management of farmers land shall be maintained. Before acquisition is submitted for approval pursuant to law, the use, location, compensation rate and mode of resettlement of the land to be acquired shall be notified to LEFs; the survey results of the present situation of the land to be acquired shall be confirmed by rural collective economic organizations and farmers to be affected by land acquisition; if necessary, the land and resources authorities shall organize a hearing in accordance with the applicable provisions. The materials for MLR [2004] No.238 Fixation of uniform AAOV rates Determination of uniform AAOV multiples Fixation of integrated land prices for land acquisition areas Distribution of land compensation Resettlement for agricultural production Resettlement by reemployment Resettlement by dividend distribution Non-local resettlement Disclosure of information on land acquisition Confirmation of land acquisition survey results Organization of land acquisition hearing 51

72 SC [2004] No.28 Improvement of compensation and resettlement systems for land acquisition notification to and confirmation by the LEFs shall be taken as requisite materials for approval for land acquisition. Accelerate the establishment and improvement of the coordination and judgment mechanism for disputes over compensation and resettlement for land acquisition to protect the lawful rights and interests of LEFs and land users. Approved matters of land acquisition shall be disclosed unless in special cases. If the compensation and resettlement for land acquisition has not been implemented, the acquired land shall not be used forcibly. Article 15 Governments of provinces, autonomous regions and municipalities directly under the central Strengthening government shall formulate the procedures for the distribution of the land compensation within rural Supervision collective economic organizations on the principle that the land compensation is used for rural over the households affected by land acquisition mainly. implementation Rural collective economic organizations affected by land acquisition shall disclose the receipt, of land disbursement and allocation of land compensation fees to their members and accept supervision. The acquisition agricultural and civil affairs authorities shall strengthen the supervision over the allocation and use of land compensation fees within rural collective economic organizations. MLR [2004] No.238 Disclosure of approval items of land acquisition Payment of compensation and resettlement expenses for land acquisition Post-approval supervision and inspection of land acquisition Abstract of the Measures of Anhui Province for the Acquisition of Collectively-owned Land Item Key points Index Rates of land reclamation costs: (1) In case of occupation of general farmland, land reclamation Article 4 of the Detailed Rules of costs shall be collected at the rate specified in the table attached hereto. (2) In case of occupation Anhui Province for the Land reclamation costs of basic farmland, land reclamation costs shall be collected at 40% beyond the above rate. If farmland is occupied by any state or provincial key infrastructure construction project, land reclamation costs shall be collected at a rate not less than the lower limit of 6 yuan/m 2 stipulated in the Measures of Anhui Province for the Implementation of the Land Administration Law of the PRC, unless otherwise stipulated by the State Council or the provincial government. Management of the Collection and Use of Farmland Reclamation Fees (Cai Zong [2001] No.1061) Principles to be followed in promoting the employment and social security of LEFs Subjects of employment and social security for LEFs shall be identified rationally, and shall be agricultural population losing all or most of farmland after land acquisition approved by the State Council or the provincial government according to law within urban (or town) planning areas in principle. Specific criteria and periods for the identification of subjects of employment and social security for LEFs shall be determined by municipal and county governments based on local conditions. The specific procedure is as follows: An individual LEF files an application; the village collective economic organization members, village committee or village group shall discuss, and Article 2 of the Guidelines of the Anhui Provincial Government on Doing Well in Employment and Social Security for Landexpropriated Farmers (APG [2005] No.63) 52

73 Item Key points Index the township government or sub-district office shall study and disclose the list of eligible LEFs; the list shall be reviewed by the labor and social security department, and the land and resources department, and then submitted to the municipal or county government for approval. compensation rates for land acquisition Strengthening the employment training of LEFs Compensation rates for land acquisition of cities and counties shall be fixed by the provincial government in a unified manner, and adjusted every two years based on state provisions and local economic development. Each municipal government shall fix compensation rates for houses, attachments and young crops on acquired land based on local conditions, and put them into practice after submission to the provincial department of land and resources for reference. These rates shall be adjusted every two years. Governments at all levels shall give proper employment training to LEFs carefully and strengthen financial support. LEFs that have been trained and qualified by the state for the first time shall be subsidized with reemployment funds, and any deficiency thereof shall be disbursed from fees for using state-owned land of local governments. Labor and social security, and education departments at all levels shall organize social education and training agencies to give introductory and professional skills training to LEFs. Labor and social security departments shall issue employment service cards to eligible LEFs properly, and grant subsidies for professional skills training, business start-up training and professional skills identification to LEFs who have received employment service cards. Article 4 of the Notice of the Anhui Provincial Government on Publishing the Compensation Rates for Land Acquisition of Anhui Province (APG [2009] No.132) (December 31, 2009) Article 3 of the Notice of the General Office of the Anhui Provincial Government on Forwarding the Notice of the General Office of the State Council on Forwarding the Guidelines of the Ministry of Labor and Social Security on Doing a Good Job in the Employment Training and Social Security of Land-expropriated Farmers (APGO [2006] No.38) (May 30, 2006) 53

74 Appendix 3 Gender Analysis Form Part A Gender analysis of rural women in the subproject area 1. Legal rights According to laws of the PRC, women have equal legal rights with men, though of women some women are not fully aware of this. 2. Social Women of the subproject area have relatively good social status. All key status of matters of a family are determined by the couple through discussion. Men are women the backbone of families, and attend the important meetings of the village. However, women can influence men when they make decisions at meetings. 3. Title to land and properties 4. Right to collective properties 5. Living and gender role 6. Contribution to household income Women have the same title as men. Like other parts of China, in the subproject area, when a daughter is married, her land will remain in her mother s family and she can only share the land owned by her husband s family since the household contract responsibility system was put into practice in However, if a second round of land contracting has been carried out at the affected village (around 1999), this situation has been corrected. If land acquisition, house demolition or resettlement is involved, women will have equal rights to compensation. Women have equal rights. There is no restriction on gender role. However, women do housework and appropriate farm work mainly in Chinese rural areas, while men mostly do farm work or work outside. Generally, the working hours of women are 1.2 times those of men. In addition, many young women also work outside. Women s income is from farming and household sideline operations mainly, accounting for about 25% of household income. 7. Family Women have an equal voice in decision-making; when men are away for work, status women make decisions themselves in many aspects. 8. Educational Boys and girls enjoy equal opportunities in receiving education, and as long as level children study hard, their parents would do their best to support their school education. 9. Health Women s health condition is quite good and there is no significant difference in nutrition level compared to men; however, medical expenses are rising and have become a significant burden for some households, and women may suffer more. 10. Village and government agencies Overall evaluation and key risks Women are represented in all village committees. In addition, women have a good informal network in the village and the village group. Women may participate in the election of the village committee, and have the right to elect and be elected; local governments attach great importance to women s development, especially in poverty reduction. Women enjoy a good status in the subproject area, and there is no restriction on gender role; though women seldom participate in the decision-making of public affairs of the village collective, they can express their views in many ways (e.g., through male members of their families). B Gender analysis of women during resettlement Gender issue Concern/risk Impact of the Subproject 1. Land, properties and right to compensation Women are deprived of land or properties or have no right to Men and women have equal rights to compensation for land acquisition, house demolition and resettlement; the Subproject will not Mitigation measures (1) Cash compensation or improvement of the quality of remaining 54

75 Part A Gender analysis of rural women in the subproject area compensation. have any significantly adverse impact on women. 2. House demolition and reconstruction 3. Production and income restoration after land acquisition 4. Increase of gender inequalities 5. Social network system 6. Impact on health / increase of social problems Women have no right to make decisions or use compensation fees. Women are affected even more seriously, and receive less assistance. Women have a heavier burden or fewer opportunities. The social network is damaged. Serious health or social problems due to the stress of resettlement (violence, AIDS propagation, etc.) Women have title to houses, and house reconstruction is determined jointly by all family members, so women can participate in housing site selection, house construction and transitional housing arrangement, etc. All AHs will lose part of land only, so the AHs will lose part of income only. Compensation fees will be used at the AHs discretion. Only seriously affected households have to change their income sources. In addition to cash compensation, the AHs will be assisted in restoring income through auxiliary measures (priority in employment during construction, skills training and subsequent support, etc.) The Subproject will not lead to gender inequalities. For most households, resettlement impacts are not serious. Land loss and sufficient compensation will help women change the crop structure (e.g., cultivating more cash crops), which will increase their income. The Subproject will not affect the social network seriously. The Subproject will not affect the villages seriously, but some seriously affected households and vulnerable groups will be faced with difficulties. land, and crop restructuring (2) Women have title to newly built houses. (1) Women will receive compensation fees for land acquisition; (2) At least 50% of trainees of skills training will be women; (3) During construction, women will obtain at least 30% of unskilled job opportunities. Monitoring No impact Providing assistance together with the civil affairs department Appendix 4 Minutes of Public Participation Meetings Time Oct. 10, 2011 Venue Guantang Village Committee Organizer LAMD NRCR, LAMD, Jin an District Government, Sanshipu Town Government, Participants Guantang Village Committee, 28 representatives (13 women), including village group representatives, APs, women representatives, representatives of vulnerable groups 55

76 Topic FGD on land acquisition A FGD was held to learn policy publicity and satisfaction, resettlement work, household population, income and expenditure, living environment, Key points and and satisfaction with present lives. Compensation fees for land outputs acquisition should be preferably distributed evenly within the group, and then land reallocated. Time Oct. 10, 2011 Venue Sanshipu Village Committee Organizer LAMD NRCR, LAMD, Jin an District Government, Sanshipu Town Government, Sanshipu Village Committee, 13 representatives (4 women), including Participants village group representatives, APs, women representatives, representatives of vulnerable groups Topic FGD on land acquisition A FGD was held to learn policy publicity and satisfaction, resettlement work, household population, income and expenditure, living environment, Key points and and satisfaction with present lives. Compensation fees for land outputs acquisition should be preferably distributed evenly within the group, and then land reallocated. Time Oct. 10, 2011 Venue Laojiaying Village Committee Organizer LAMD NRCR, LAMD, Jin an District Government, Sanshipu Town Government, Laojiaying Village Committee, 11 representatives (5 women), including Participants village group representatives, APs, women representatives, representatives of vulnerable groups Topic FGD on land acquisition Key points and outputs A FGD was held to learn policy publicity and satisfaction, resettlement work, household population, income and expenditure, living environment, and satisfaction with present lives. Compensation fees for land acquisition should be preferably distributed evenly within the group, and then land reallocated. Time Oct. 10, 2011 Venue Lu'an Municipal Development and Reform Commission Organizer LAMD NRCR, LAMD, affected population, municipal land and resources Participants bureau, civil affairs bureau, labor and social security bureau, agriculture bureau, women s federation, poverty reduction office, etc. Topic Learning information on land and resources, agriculture, social security, poverty reduction, women s federation and civil affairs Key points and Learning and collecting relevant information outputs 56

77 Public participation FGD 57