Resettlement Monitoring Report Project Number: 42383 February 2011 PRC: Shanxi Small Cities and Towns Development Demonstration Sector Project Prepared by National Research Center for Resettlement, Hohai University Nanjing City, Jiangsu Province, PRC For Shanxi Project Management Office This report has been submitted to ADB by the Shanxi Provincial Government Project Management Office and is made publicly available in accordance with ADB s public communications policy (2005). It does not necessarily reflect the views of ADB.
Shanxi Small Cities and Towns Development Demonstration Sector Project Financed by Asian Development Bank Independent Resettlement Monitoring and Evaluation Report for Shanxi Small Cities and Towns Development Demonstration Sector Project (No.1) National Research Center for Resettlement Hohai University, Nanjing, Jiangsu, China February, 2011
Persons in Charge : Shi Guoqing, Huang Li
Independent Monitoring and Evaluation Staff : Shi Guoqing, Huang Li, Hu Xin, Zhang Na Report Writers : Shi Guoqing, Huang Li, Hu Xin, Zhang Na Independent Monitoring and Evaluation Institute : National Research Center of Resettlement, Hohai University Address : National Research Center of Resettlement Hohai University Nanjing, Jiangsu, China Post Code : 210098 Telephone : 025-83786503 Fax : 025-83718914 Email : gshi@hhu.edu.cn nrcr@hhu.edu.cn
CONTENT PREFACE... 1 1 Summary... 2 1.1 Introduction of Project... 2 1.2 Resettlement Policy Framework... 3 1.3 Resettlement Implement Schedule... 3 1.4 Monitoring and Evaluation... 5 1.4.1 Procedure of Monitoring and Evaluation... 5 1.4.2 Contents of Monitoring and Evaluation... 5 1.4.3 Method of Monitoring and Evaluation... 6 1.4.4 Monitoring and Evaluation Report... 7 1.5 Implementation Institution... 7 1.5.1 Ability of Implementation Institution... 8 1.5.2 Internal Monitoring and Evaluation... 8 1.5.3 Evaluation... 9 1.6 The progress of Land Requisition... 9 1.6.1 Land Acquisition Procedure... 9 1.6.2 Existing Problems... 9 1.7 Suggestion of Monitoring and Evaluation... 9 2 Wutong Small Cities Construction Subproject... 11 2.1 Project Background... 11 2.1.1 Review of Resettlement Plan... 11 2.1.2 Resettlement Implementation... 11 2.1.3 Monitoring Content... 11 2.2 Resettlement Implementation Institution and Its Capacity... 12 2.2.1 Resettlement Implementation Institution... 12 2.2.2 Institute Capacity... 12 2.3 Typical Survey of Affected Villages... 12 2.4 Income Tracking Investigation... 13 2.4.1 Affected Groups and Samples' Instructions... 13 2.4.2 Family Population... 13 2.4.3 Land Family Contract... 14 2.4.4 Family Annual Income... 14 2.4.5 Family Annual Expense... 15 2.4.6 Analysis of Family Annual Income and Expense... 16 2.4.7 Analysis of Net Income Changing... 16 2.5 Vulnerable Groups... 17 2.6 Public Participation... 17 1
2.7 Grievance and Appeal... 17 2.8 Conclusions and Suggestions... 18 2.8.1 Conclusions... 18 2.8.2 Suggestions... 18 3 Youyu County Sub-project... 19 3.1 Project Background... 19 3.1.1 Review of Resettlement Plan... 19 3.1.2 Resettlement Implementation... 19 3.1.3 Monitoring Content... 20 3.2 Resettlement Implementation Institution and Its Capacity... 20 3.2.1 Resettlement Implementation Institution... 20 3.2.2 Institute Capacity... 21 3.3 Typical Survey of Affected Villages... 21 3.4 Income Tracking Investigation of heat supply project... 22 3.4.1 Family Population... 22 3.4.2 Land Family Contract... 23 3.4.3 Family Annual Income... 23 3.4.4 Family Annual Expense... 24 3.4.5 Analysis of Family Annual Income and Expense... 24 3.4.6 Analysis of Net Income Changing... 25 3.5 Vulnerable Groups... 25 3.6 Public Participation... 25 3.7 Grievance and Appeal... 26 3.8 Conclusions and Suggestions... 26 3.8.1 Conclusions... 26 3.8.2 Suggestions... 27 Attachment Social Due Diligence Report (Youyu Subproject, Heat Supply Component) 2
Table Contents Table 1-1 Project Resettlement Impact... 3 Table 1-2 the Schedule of Shanxi SCTDDSP Financed By ADB... 5 Table 1-3 Monitoring and Evaluation Sample... 6 Table 1-4 The Leading Team Member of Shanxi SCTDDSP Financed by ADB... 7 Table 1-5 Sub-Project Office Resettlement Staff of Shanxi STCDDSP ADB Financed Project... 8 Table 1-6 Suggestion of Monitoring and Evaluation... 10 Table 2-1 Wutong Small Cities Construction sub-project resettlement implementation institution... 12 Table 2-2 Wutong sub-project affected village interview... 12 Table 2-3 Family Population Situation of Wutong sub-project... 14 Table 3-1 Youyu County sub-project resettlement implementation institution... 21 Table 3-2 Affected village interview of heat supply project... 21 Table 3-3 Family Population Situation of Heat Supply Project... 22 3
Chart Content Chart 2-1 Resettler Income of Wutong Sub-project... 15 Chart 2-2 Expense Structure of Resettlers in Wutong Sub-project... 16 Chart 2-3 Comparison of Income Structure... 17 Chart 3-1 Age Distribution Structure of Typical people... 23 Chart 3-2 The Average Annual Income Situation of typical HHs... 23 Chart 3-3 Total Annual Expenditure Situation of typical HHs... 24 Chart 3-4 Comparison of Income Structure... 25 4
PREFACE Resettlement monitoring and evaluation, is according to the resettlement action plan, implementing continuously investigation, inspection, supervision and evaluation work to the resettlement activities.the function of the resettlement monitoring and evaluation is tracking and monitoring project resettlement action plan's implementation process, dynamic assessment resettlement action plan's suitability,provide decision support for project owners, resettlement institutions and the Asian Development Bank (ADB) project management.through continuous monitoring and evaluation of the monitoring results, determine whether the resettlement implementation activity is complying resettlement action plan or not, If not or imperfect, should be proposed remedial suggestions. National Research Center of Resettlement (NRCR) of Hohai University carries out the Independent Monitoring and Evaluation (IM&E) to invulnerable resettlement of the project. In Jan. 2011, the investigate team carried out the first M&E baseline investigation.as each sub-project s start time inconsistency, the monitoring only contain Wutong town small cities and towns construction sub-project, Youyu country sub-project. The Due Diligence Report for Youyu is added as an attachment and should be reviewed alongside the M&E Report. 1
1.1 Introduction of Project 1 Summary Shanxi Small Cities and Towns Development Demonstration Sector Project (SCTDDSP) financed by ADB is a comprehensive infrastructure construction projects. The the project campaign aim is to raise the small cities and towns living conditions in Shanxi Province, increase employment, improve the small cities and towns infrastructure and municipal services. The project involves 5 cities, 7 small towns of 7 counties, including 7 sub-projects, 3 core sub-projects and 4 subsequent sub-projects. Specific include: 1) Pingyao county s Huiji river management projects (1 project construction contents: rivers bed is dredged, embankments are constructed, water storage reservoirs are built, rubber dams are installed); 2) Xiaoyi city s Wutong SCTCP (5 project construction contents: a. Caoxi road and associated municipal services, b. heat supply, c. gas supply, d.wastewater treatment, e. education services facilities), 3) Youyu country s SCTCP (5 project construction contents: a. heat supply, b. water supply, c.drainage and wastewater collection, d. roads and associated municipal services, e. flood control); 4 subsequent sub-projects, namely: 4) Lingshi country Jingsheng town s SCTCP loaned by ADB(2 project construction content: a. townships ancient architecture protection and maintenance, b. township road network construction, 5) Niangziguan town s small towns development demonstration construction projects (2 project construction contents: a. river management, b. linquan pedestrian street governance); 6) QingXuXian county water affir construction projects (2 project construction contents: a. water system engineering, b. landscape greening engineering); 7) Xinghuacun township road network reconstruction project (1 project construction content: township road network construction). The project total investment for 224.7 million dollars, apply for $100 million loan of ADB. The project will be completed before Dec. 31, 2015. In the 7 sub-projects, 18 project construction contents, there are 14 construction projects involving the resettlement. According to each sub-project resettlement plan(rp), The resettlement influence of Shanxi SCTCP loaned by ADB mainly for land acquisition and house demolition. Land acquisition of 1997.59 mu involving 17 villages land. Demolition of rural residential building area is 28021.35 m 2. Directly influence of households is 2290 households, affected population of 8396 persons. The total resettlement cost for plan is 209.5638 million Yuan. The actual impact for resettlement is described in Table 1-1. 2
Table 0-1 Project Resettlement Impact 1 No. Project Pingyao Wutong Youyu Jingsheng Niangziguan Qingxu Xinghuacun Total 1 Villages(number) 6 1 3 1 1 1 4 17 2 Permanent Land Acquisition(mu) 868.92 85.68 494 143 84 30.99 291 1997.59 3 Temporary Land Use(mu) 0 0 0 0 0 0 0 0 4 Affected Households 602 758 116 271 58 21 464 2290 5 Affected Persons 2510 2118 454 1113 186 61 1954 8396 Demolition 6 7 8 9 10 Affected Families(househ old) 23 0 0 78 58 21 7 187 Dismantlement Area(m 2 ) 5682.35 0 0 10279 8049 3061 950 28021.35 Company Impact (household) 23 0 0 13 0 4 1 41 Affected Company Houses Area 13625 0 0 0 2 0 337 500 17162 (m 2 ) Resettlement Fees(10000yuan 9019.52 939.19 2481.16 2567.96 2172.91 1667.79 2107.85 20956.38 ) 1.2 Resettlement Policy Framework The resettlement policies that each sub-project follows were established according to the relevant resettlement policies of the People s Republic of China, Shanxi Province Government and ADB. The main laws and policies of each sub-project land acquisition follows are: Land Administration Law of the People's Republic of China(PRC) (Jan 1,1999 implied,aug 28,2004 revised) No. 28 Decisions for Further Reform and Strengthen Land Administration of State Council [ Oct 28, 2004] Regulations for the Implementation of the Land Administration Law of the People's Republic of China (Jan 1, 1991) No.27 Provisional Regulations for Taxation on Occupation of Cultivated Land of the People's 1 2 Subprojects according to the latest Resettlement Plan, ended in January, 2011. 13 Jingsheng sub-project affected companies are individe industry and commerce,the demolition area belong its residence houses. 3
Republic of China (Api 1,1987 implied ) Regulations for the Protection of Capital Farmland (Jan 1, 1991 implied) Public hearing procedures of Land Resources (May 1, 2004) No. 238 Guidance to Improve the land and resettlement compensation system (Ministry of state Land Resources dated) (Nov 3, 2004) Pre-construction project management (Ministry of Land Order No. 27) (Nov 1, 2004) Shanxi Province's Method on Implementing Land Administration Law of the PRC (Sep 26, 1999) Notice on the Opinions of Compensation of Building Land in Shanxi (Document No.193 document of Shanxi Land Management Bureau,2007) Shanxi Province's Methods on the Compensation Distribution of Collectively-owned Peasant's Land (Dec 1, 2005) ADB resettlement booklet- practical guideline (1998) ADB Safeguard Policy Statement (2009) According to above laws and policies the principle of each sub-project resettlement is: Reduce negative influence to lowest level If resettlement cannot be avoided please discuss with impacted villagers and villages to decide replacement cost and compensation level on the base of it. Provide necessary compensation and help to the people impacted by project and to increase their income and living standard or restore at least to the level before project begins The people impacted by project should get sufficient information about compensation agreement and compensation agreement should be made out after consulting with impacted people. Special attention to the need of vulnerable groups 1.3 Resettlement Implement Schedule By January 2011, involving the resettlement of 7 sub-projects, 14 construction projects, except the Youyu country s Heat-Supply sub-project already partly-finished operation, the rest of the projects are have not began engineering, in the bidding stage, land acquctionn work have not begin or partial began. Each sub-project schedule and resettlement overall progress situation collect such as shown in table 1-2: 4
Table 0-2 the Schedule of Shanxi SCTDDSP Financed By ADB No. County Projects Resettlement implementation Progress 1 Pingyao county Pingyao sub-project not begun 2 Xiaoyi city Wutong sub-project done not begun 3 Youyu county Youyu sub-project partly done partly finished 4 Lingshi county Jingsheng sub-project not begun 5 Pingding county Ningziguan sub-project not begun 6 Qingxu county Qingxu sub-project not begun 7 Fenyang City Xinghuacun sub-project not begun 1.4 Monitoring and Evaluation In order to supervise the implementation of resettlement action and ensure resettlers keep at least same living level, IM&E of the project is carried out by NRCR of Hohai University that was entrusted by Shanxi project Management office financed by ADB on December 2010. We find existing or potential problems and give suggestions by checking land requisition and resettlement pace, capital, management and life & production changing before and after resettlement. 1.4.1 Procedure of Monitoring and Evaluation To write resettlement M&E outline To know resettlement procedure To check material Area, compensation standard and compensation capital appreciation of resettlement Sampling investigation design Baseline investigation Comparative Analysis of Income To build M&E information system Investigation on the spot To arrange and analyze materials To write M&E report 1.4.2 Contents of Monitoring and Evaluation The M&E of each project is made according to the order of land requisition and the relocation and income resort of impacted people will be followed. When the whole project finish post-evaluation will be done. According to investigation and resettlement plan, the impacts of this project are land acquisition, compensation to some attachment, house demolition, companies and shops were impacted by 5
land acquisition. So, the contents of M&E are: The schedule, area, compensation, capital appreciation and use of permanent land requisition. The area, compensation standard, capital appreciation of temporary land requisition and land restore. The schedule, area, compensation, capital appreciation of house resettlement Restore of vulnerable group Basic facility rebuilding Resettler income and expense analysis, samples see Table 1-3. Satisfaction of Resettlers to land requisition and compensation Institution ability Internal resettlement monitoring Public participation and its effect Registration and management of grievance and appeal Implementation of other relevant resettlement (relocation of enterprises, institutions and No. 1 2 shops) Project Wutong sub-project Youyu sub-project Impacted household Table 0-3 Monitoring and Evaluation Sample 3 Impacted household on this monitor Sample Sample Proportion 758 758 20 2.6% 116 8 6 75% Total 874 766 26 3.39% Remark Collective idle land 1.4.3 Method of Monitoring and Evaluation From January 19th, 2011 to January 25th, 2011, this M&E took one week. The team of the M&E includes four professional personnel from NRCR and two workers from Wutong and Youyu Sub-project Management Office. They went to investigate 2 counties which the 2 projects involved. During the M&E, following methods are used: Sampling investigation Design the sample scheme, Random sample is adopted, the samples accounted for 20 percent of the total affected households. The resettlement households chosen will be visited again in next M&E until their income have reached the former level. Symposium Have an informal discussion with resettlement offices, Dps, committees and 3 The sample is based on the factual number of APs. 6
women concerned respectively to know about land acquisition and housing relocation, and the income resort condition of villages. Individual questionnaire investigation Design the questionnaire for investigation. The M&E team goes intensely to Dps homes and investigates on different kinds of Dps one by one according to the questionnaire. Referring to document data Looking up the document of resettlement activities, checking the compensation agreements of the land acquisition and house demolish and statistics data. Interviewing Key-men who provide information Such as directors of resettlement offices, township heads, village heads, householders, women (20%), the elderly, etc. 1.4.4 Monitoring and Evaluation Report National Research Center of Resettlement (NRCR) of Hohai University carries out the Independent Monitoring and Evaluation (IM&E) to invulnerable resettlement of the project. In order to ensure the implementation of resettlement plan the monitoring and evaluation on the resettlement will make schedule according to project procedure. From 2010, NRCR wrote and submitted the IM&E Report to Shanxi Province ADB Project Office and ADB every half year. Since 2011, the NRCR will prepare a semi-annual IM&E report, then prepare report each year in the late implementation of the project, and submit the IM&E Report to Shanxi Province ADB Project Office and ADB. January 2011, carry out the first M&E and baseline investigation. 1.5 Implementation Institution In order to implement the RP well, strengthen the supervision and management of resettlement action and achieve the target of the resettlement, Shanxi project Management office financed by ADB leading team office was set up. This leading team office takes in charge of leading and cooperation of project. Main Duties: Responsible for the project land acquisition, demolition and resettlement activities; charge for leadership, formulate policy, audited the resettlement schemes, compiled the internal monitoring reports submitted to the Asian Development Bank. Team Members see Table 1-4. Table 0-4 The Leading Team Member of Shanxi SCTDDSP Financed by ADB Name Organization Principle ship Telephone Ms. Yu Tian Tianjuan Wang Xiaoqing Development and Reform department of Shanxi province/ Shanxi province project Management office Shanxi province project Management office Shanxi province project Management office Person in charge Resettlement member Resettlement member 13803459692 13753121028 Liu Jiaming Shanxi province project Management Resettlement 15536037180 7
office 8 member Sub-project offices take charge of project-specific work. The responsibilities are: (1) write and management of resettlement plan; (2) implementation of resettlement plan; (3) appropriation and management of resettlement fund; (4) internal monitoring and cooperation; (5) write resettlement internal monitoring report; (6) check and conclusion of resettlement. Sub-Project Office Resettlement Staff see Table. Table 0-5. Table 0-5 Sub-Project Office Resettlement Staff of Shanxi STCDDSP ADB Financed Project Sub-projects Name Organization Telephone Pingyao sub-project Du Zhuanqing Pingyao County Development and Reform Bureau 15935460466 Wutong sub-project Guo Yaying Wutong Town Government 13803482065 Youyu sub-project Jingsheng sub-project Ningziguan sub-project Qingxu sub-project Xinghuacun sub-project Liu Baoping Youyu County Development and Reform Bureau 13037048833 Li Wenlinag Jingsheng Town Government 13935496209 Liang Yanzhen Jia Runping Niangziguan Town Government 13191232961 Qingxu County Construction Bureau 13513603303 Han Zhiwei Xinghuacun Town Government 13934358789 In the implementation of project resettlement Baoding project office cooperates and takes in charge of resettlement work and each sub-project organization implement with local land or real estate departments. Detailed contents see sub-project reports. 1.5.1 Ability of Implementation Institution Shanxi Province ADB financed project office locates at No.112 Donghouxiaohe Road, Taiyuan City. There are completed office equipments and advanced Communication. Staffs have high quality and the degree of undergraduate or over it and also have more than two years working experiences. Two of them are in charged of resettlement institution. In order to strengthen the capacity of resettlement implementation institutions, In January 2011, Shanxi project office invited NRCR resettlement experts to have a resettlement policy training to project staff and the main contents were policy, management and monitoring& evaluation of resettlement. By training, resettlement implementation institutions understood the policies of resettlement of the ADB, specified the responsibilities of work and improved operation ability and policy dealing capability. 1.5.2 Internal Monitoring and Evaluation The PMO adopted an internal monitoring mechanism to examine the resettlement implementation. During resettlement, Shanxi Project Office and sub-project departments had persons specially
assigned for monitoring and examining. They examined fund utilization, house re-building, and restore of resettlers income. Once discovering some problems, they would report to the leading group timely and consulted with resettlers concerned to solve them. Shanxi ADB Financed project office has ensured NRCR to carry out M&E. 1.5.3 Evaluation Monitoring and Evaluation team do investigation of resettlement. The results of investigation indicate that management and implementation institutions set up an external independent mechanism and internal mechanism of M&E and carry out their own responsibility and task in the resettlement implementation. Monitoring& Evaluation suggests that the staff in related organizations should have further training on resettlement policy and implementation and this training should combine theory study with visit on the spot. Especially they should investigate and study the projects financed by ADB and add the institution efficiency and ability. 1.6 The progress of Land Requisition 1.6.1 Land Acquisition Procedure According to No.3 order of Ministry of Land and Resources- Administration Approach on Construction Land Checkup and Approval, the checkup and approval procedure of new construction land is: land prejudication, project decision, and land using application, planning, checkup and approval, implementation, land register: According to project approval document and land using approval, municipal or county National Land Resource Bureau or the town governments, street offices involved in land acquisition investigate the approved construction land and freeze it. Any organization and individuals cannot use or explore this land without legal permission. On the basis of investigation and other materials of land acquisition, municipal National Land &Resource Bureau sign land acquisition agreement with landowner of land acquisition after checkup and confirmation. Publicize land acquisition plan and the policies, procedures, resettlement plan of land acquisition and compensation price. The scope of land acquisition and purpose also should be open for participation and supervision. Village collective economic organizations and their members and other obliges should be compensated and resettled and land acquisition compensation should be handed out in time. 1.6.2 Existing Problems Up to the end of January 2011, land acquisition of Wutong sub-project has made a rapid progress, the compensation has been in place partially; the heat supply project of Youyu sub-project has finished in land acquisition, the compensation has been in place; but the approval of land use permits of this two sub-projects are still underway. 1.7 Suggestion of Monitoring and Evaluation In this monitoring, monitoring team found that two sub-projects land acquisition and resettlement worked accordance with resettlement plan. 9
With regarding of ensuring project smooth implementation, M&E team makes the suggestions for further construction of all subprojects based on the existing conditions and relevant shortages of resettlement. Suggestion of Monitoring and Evaluation see Table 1-6. Table 0-6 Suggestion of Monitoring and Evaluation No. Project Content of suggestion 1 2 Wutong sub-project Youyu sub-project Accelerate the approval of land use permits. Care about vulnerable groups Strengthen resettlement file administration Accelerate the approval of land use permits. Strengthen resettlement file administration Increase employment support for APs Implementation Time 2011.2-2011- 12 2011.2 2011.2-2013. 4 2011.2 2011.2-2015. 4 2011.2-2015. 4 Implementation organization Wutong Town Government Youyu County Development and Reform Bureau 10
2 Wutong Small Cities Construction Subproject 2.1 Project Background 2.1.1 Review of Resettlement Plan In order to change air pollution, water quality drop, poor infrastructure, weak ecological environment problems that appeared in the process of the rapid development of the Wutong town economy, Xiaoyi city and Wutong town government hope to take the ADB loaned to SCTCP as a turning point, through the construction of demonstrative small cities and towns,improve the urbanization rate and the local residents living environment. In the demonstration project, Wutong town government will implement land acqusition in the new location called Nancao village, and build a new town. According to the plan, the construction of small cities and towns will be divided into infrastructure and residential construction two sub-projects in stages. Among them, the ADB loaned programs will be used in small citied and towns infrastructure construction, this includes 1.6 km full-length of Caoxi road engineering, heating area of 10500 km 2 of central heating engineering, gas engineering, sewage disposal engineering, social service facilities and Caoxi river bank remake engineering. The project involves land acquisition 85.68 mu, totally all land belong to the Nancao village collective land, land type is cultivated land, all the land will be used in small cities and towns infrastructure construction. Among them, the fuel gas projects covers 1.18 mu, centralized heat supply engineering covers an area of 9.2 mu, sewage treatment plants covering 11.55 mu, social service facilities covers 63.75 mu. Caoxi river bank and road project will build in its original place, so it does not involve land acquisition. The project total investment is 197.1703 million yuan, including application for ADB 104.79 million yuan, the resettlement compensation fees for total investment estimation is 9.3919 million yuan, accounting for total investment 4.76%. 2.1.2 Resettlement Implementation In february 2008, Wutong small cities construction project proposal approved by Shanxi Province Development and Reform Commission. June 2009, the land pre-examination has been approved by Department of Land Resources of Shanxi Province and the land use permits is in processing. December 2010, the preliminary design report of heat supply, gas supply, wastewater treatment has been approved by Shanxi Province Development and Reform Commission, the remaining 2 sub-projects' preliminary design has been completed,awaiting approval. Land acquisition has been finished, and APs compensation fees has been paid to affected village. 2.1.3 Monitoring Content The resettlement monitoring inspected the resettlement progress, project impacts, compensation standards, funding and the use, public participation, complaint, appeals and so on. Problems are uncovered and recommendations are provided. 11
2.2 Resettlement Implementation Institution and Its Capacity 2.2.1 Resettlement Implementation Institution In order to guarantee the implementation of project, the project leading team has been set up. The team consists of leaders from the Xiaoyi Government, Xiaoyi Development and Reform Bureau, Xiaoyi Construction Bureau, Xiaoyi Finance Bureau, Xiaoyi Engineering Affairs Administer Agency and Wutong Town Government. Resettlement work was ensured to Xiaoyi Land and Resources Bureau and Wutong Town Government only coordinates. Project resettlement implementation institutions see Table 2-1. Table 0-1 Wutong Small Cities Construction Sub-project Resettlement Implementation Institution Institution Principle Organization Position Telephone Project leading team Project leading team Resettlement implementation institution Resettlement implementation institution Feng Junnian Xue Houhua Li Yingyi Jia Hai Xiaoyi Government Vice director 13903582496 Wutong Town Government Xiaoyi Land and Resources Bureau Wutong Town Land and Resources Institute Secretary 13834369777 Vice director 13903582747 Director 13633580566 2.2.2 Institute Capacity Wutong Town PMO is self-contained and has advanced transportation and communication equipment. In order to guarantee the smooth implementation of resettlement the PMO arranges specific person with good quality and ability and more than two years experiences in resettlement for resettlement work. At the same time, they set up internal monitoring system and there is person specially assigned for the work. 2.3 Typical Survey of Affected Villages The Nancao village is affected by project land acquisition, In January 2011, The M&E (Monitoring and Evaluation) team conducted interviews on this village.the content sees Table 2-2. Table 0-2 Wutong Sub-project Affected Village Interview In January 2011 Nancao village Interview 1: Secretary There are 758 households,2118 persons in Nancao village, including 1106 male, 1012 female, Nancao village without the minority. The village has 1231 labors together, including as many as 1120 labors engaged in non-agricultural long-term. Because Wutong town and Xiaoyi city s secondary and tertiary industries are developed relatively, the village without pure-agricultural producers, mostly have other production craft, such as doing bean curd, bean products, etc. In 2007, the village with a total area of 1584 mu cultivated land, the yield is not high, only 12
300-350kg grain yearly. In 2007, the village took its land use right back unified,the land used for the construction of new town, farmers liberated from land, mostly go to work in factories and enterprises nearby, there are also many people do small business, open restaurants, do transport. Now the village s annual average income is more than 8000 yuan. The village take the land operation money to pay the whole villagers of 0.5kg wheat flour per person a day, and also pay insurance for the villagers, All of the villiagers are in favour of land acquisition and small cities and towns construction projects. Interview 2: villager named Renrui I am 52 years old, doing some small business now, our home have 4 people. A child read in university. My family has 5 mu land now, mainly plant some vegetables that as family s food. I think the small cities and towns construction project is a good thing, improved the whole town s living standard, everyone live in the storied building, school condition being better, also nearly home, convenient. Afer the new town built, there will be more people come to Nancao village, bring more employment opportunities, also make our income increased. 2.4 Income Tracking Investigation 2.4.1 Affected Groups and Samples' Instructions In 2007, Nancao village committee held the villager congress in accordance with legal procedure,took all farmland s use right circulation to the collective village, by collective unified management and use, and partly income of the land operation was used to pay farmers 50 kg flour per person per year. Village committee promised that even if collective lands are collected due to the small citied and towns construction in the future, the promises of extending wheat flour will not change. The implementation of the scheme not only enable farmers completely liberated from the land, but also make them get long-term stable food security, so the scheme obtains the villagers support as soon as it put forward. Comprehensive consideration of the rural collective land ownership and the Nancao village land use system arrangement status, after many times consultation and communication with relevant experts, we definited Nancao village s collective member for the project directly affected person, namely, 2118 persons in the entire villiage 758 families. The baseline investigation adopted random sample, extraction 20 households of the entire villiage as sample, and through the analysis on these 20 households family production and living standard in 2009, to reflect the influence of the project to the affected area residents living standards. 2.4.2 Family Population According to investigation, there are 68 people in impacted 20 households. Agricultural people are 38 and accounts for 55.88% of total population. 32 women is accounting for 47.06%; 48 labor accounting for 70.59%; supporting/old people are 6 accounting for 8.82%, school children 14 accounting for 20.59%. Family Population situation see Table 2-3. 13
Table 0-3 Family Population Situation of Wutong sub-project Name Total Agricultural Non-agricultural Women Labor Supporting/ RYZ 1 1 0 1 0 1 0 HSG 4 1 3 2 3 0 1 DJL 5 3 2 3 2 1 2 MJC 2 2 0 1 2 0 0 RSH 2 0 2 1 2 0 0 ZRS 4 4 0 2 3 0 1 WJF 5 4 1 2 3 1 1 YXL 4 4 0 2 4 0 0 WYL 2 2 0 1 2 0 0 MXF 6 4 2 3 3 1 2 RBG 3 0 3 1 2 0 1 WGH 3 0 3 2 2 0 1 MYZ 3 3 0 2 2 1 0 RDS 3 0 3 1 3 0 0 WYJ 4 0 4 2 3 0 1 WYX 5 4 1 2 4 1 0 MQS 4 4 0 1 2 0 2 RR 4 0 4 1 2 0 2 ZLY 2 2 0 1 2 0 0 WXD 2 0 2 1 2 0 0 Total 68 38 30 32 48 6 14 old School Proportion 100% 55.88% 44.12% 47.06% 70.59% 8.82% 20.59% 2.4.3 Land Family Contract The typical 20th households already returned the lands use right to collective in land contract right transferring in 2007, no longer contract land. In 2007, the entire villiage circulated 1584 mu land contract right to collective, check each household possession of 2.09 mu collective land, and regard it as the basis of collect land operation income distribution to household. 2.4.4 Family Annual Income According to the investigation of 20 households, the total family annual income of 20 families was 770200 Yuan and average income was 38510 Yuan. In average family annual income, agricultural income is 2517.5 Yuan (of 6.54%); sideline income 7250 Yuan (of 18.83%); working temporarily outside work income 10937.5 Yuan (of 28.4%); Individual business 12023 yuan ( of 31.22%); wage income 5782 yuan (of 15.01%). Family income structure see Chart 2-1. 14
Chart 0-1 Resettler Income of Wutong Sub-project From the above analysis, we can see that the survey of families per capita income is11326.47 yuan in 2010. Bean products processing has become Nancao village s featured industry, corresponding driven the local farmers rely on individual manage to increase the income, and at the same time, Wutong town is Xiaoyi city s impotent industrial towns,there are more factories and enterprises nearly, bring local residents lots of employment opportunities. So non-agricultural income is very high. 2.4.5 Family Annual Expense According to the statistics of the typical 20th sample families, annual family expenditure is 17965 yuan in 2010. In average family annual expense, agricultural production spending is 871.5 yuan, accounting for the total 4.85%; electrity and water fee is 1058 yuan, accounting for the total 5.89%; communications fee is 1369 yuan, accounting for the total 7.62%; education expenditure is 2854.5 yuan, accounting for the total 15.89%; medical expenditure is 608 yuan, accounting for the total 3.38%; Buy non-staple life food expenditure is 4742.5 yuan, accounting for 26.4%; transportation expenses is 3396 yuan, accounting for the total 18.9%; clothing expenditures is 1044.5 yuan, accounting for 5.81%, other expenses is 2021 yuan, accounting for 11.26%. Sample families annual expense situation is shown in Chart 2-2. 15
Chart 0-2 Expense Structure of Resettlers in Wutong Sub-project From the above analysis, we can see that the surveyed families per capita expenditure is 5283.82 yuan in 2010. Analysis we can get that buy non-staple life food and education expenditure, traffic expenses are the main expenditure, but the agricultural production, water and electricity fee, dress expenditure and others are small, this is accord with local conditions of life basically. 2.4.6 Analysis of Family Annual Income and Expense Through the above analysis, we can see that the surveyed 20 HHs resettlement per capita net income is 6042.65 yuan. From the source of income, individual business income, working out income are the affected households major income source. In expenditure, buy non-staple life food, transportation expenses as well as children education accounts for a larger proportion. The land dependence of Nancao village residents is lesser, agricultural income is no longer their main source of income, the influence of land acquisition is not big. Therefore, reasonable and effective use of land compensation fees and resettlement fees, seek viable income alternative plan, and can effectively guarantee resettlement income won't affected by land loss, and make the affected people benefit from the project. 2.4.7 Analysis of Net Income Changing It can be seen from the base survey report that before the land acquisition, the net income per capita was 5,374.49 yuan in 2009, which came to 6,042.65 yuan in 2010 after the land acquisition, with the increase rate of 12.43%. After the land acquisition, the peasants have more spare time for part-time job or sideliens, and with the economic growth, the gross income of affected people also increases steadily, the income structure has few changes, and therefore the land acquisition has little influence on the living standard of those affected people. 16
2.5 Vulnerable Groups Chart 2-3 Comparison of Income Structure According to the survey, there are 23 households of vulnerable groups altogether in Nancao village, 15 poor household/five guarantees households/low income households, 4 women-only families, and 4 the aged-only families, the low income households/five guarantees households/poor households get 120 yuan per capita monthly, the aged-only families get 100 yuan per capita monthly, meanwhile, the endowment insurance and medical insurance are offered. 2.6 Public Participation Pubic participation is an important factor to guarantee the successful implementation of resettlement. During feasibility study and the drafting of resettlement plan, project unit organized activities to let resettlers participate into project. During the drafting of resettlement plan, project unit pay attention to the public participation and consultation. They listened to the advices of social groups, governments, villages and resettlers and encourage every part to participate in resettlement and rebuilding. During the feasibility study design, project unit and design institute have asked the advices and suggestions of the construction plan, resettlement compensation policy, resettlement approach to local People s Congress, Chinese People s Political Consultative Conference, mass group, town governments and villager representatives. 2.7 Grievance and Appeal The transparent, effective channel of grievance and appeal were set up in the project planning and implementation process. PMO told the channel to Aps by holding meetings. This let Aps know their rights of grievance and appeal well. The channel was unblocked. The hotline is 13133488887. Through interview we knew that resettlers understand their rights of appeal by the propaganda of project resettlement staff. At the same time, they support the project and hope the living environment could be changed though project. 17
2.8 Conclusions and Suggestions 2.8.1 Conclusions ( 1 ) Resettlement organization is self-contained. Staff is also enough and established resettlement office. Xiaoyi Land and Resources Bureau corresponds and takes charge this project. Wutong Town implements together and has internal monitoring. (2)The resettlement of this project has begun, the land acquisition of this project gets 85.68 mu, and the total resettlement budget is 9,391,900 yuan. The land compensation of 5,263,200 yuan has been paid out fully, which was directly paid to the Nancao village collective, and they mainly use this compensation for the villagers endowment insurance and medical insurance, their flour expenses yearly per capica, the infrastructure construction and the assistance for those low-income/five guarantees/poor families. The expenses of taxation and other expenses of land acquisition will be paid to the relevant units in the process of land use certificate handling and project monitoring. (3)Public participation was encouraged in resettlement. APs know their rights of grievance and appeal well. The channel of was unblocked. 2.8.2 Suggestions (1)Speed up the process of construction land procedures to successfully complete the land acquisition, and provide legal protection for the implementation of civil works. (2)When the land acquisition procedure is gone through,pay the spare cash according to the program as soon as possible (3)To prepare village restoration plans. Help those vulnerable householders in this project; make sure the living standard of villagers will not be lower than before. (4)Strengthen file administration. The relevant materials in resettlement should be kept well and establish land requisition and demolition files, which can offer basic materials for project check and monitoring and evaluation. 18
3.1 Project Background 3 Youyu County Sub-project 3.1.1 Review of Resettlement Plan In order to speed up the pace of Youyu county s urban infrastructure construction, improve the residents living environment, promote tourism reception ability, for the investment create a good external conditions, for local residents provide more employment opportunities, so as to promote the Youyu county s economic development, Youyu county people's government plans to to implement "Shanxi province,youyu county small cities and towns construction demonstration projects" with partly of the ADB s loans. Youyu county s development and reform bureau is responsible for the project, Youyu county s ADB loaned small cities and towns construction project leadership group (comprises offices) develops supervisory function. This SCTCP including centralized Heat-Supply projects, water supply and drainage engineering, road engineering, flood control engineering four parts. Among them: (1) the centralized Heat-Supply engineering design to add heating area 1500km², mainly construction content 1 seat boiler room, 12 seats heat exchanger station, a heat-supply network 9.1km; (2) water supply and drainage project including 2 new deep-well of water source, 32.64 km water supply network of the whole-range construction and renovation, 14.9km assort network of the present water factory s expansion and county rainwater, 13.1km county s wastewater-support network, (3) road projects include horizontal four street, horizontal six street, horizontal nine street, longitudinal five road, longitudinal six road, longitudinal seven road, longitudinal eight road,together 7 main and sub-roads in county s new district, the total length is 10.14km (4) The flood control channel is 4.85km together, mainly construction content dredging engineering, channel bottom foundation and structural layer building, channel wall building. This project heat-supply projects, road engineering, flood control project should acqusite 494 mu rural collective land altogether, influence 3 administrative villages, a total of 116 HHs, 454 persons. Water-supply and drainage engineering combine the planning and present road construction, so does not involve acqusition and demolition. The resettlement arrangement fees of this project estimate is 24.8116 million yuan, including land acquisition compensation 10.1479 million yuan, other expenses 0.8012 million yuan, the related taxes 1202.47 million yuan, prepared fees 1.8379 million yuan. 3.1.2 Resettlement Implementation At present, only the heat supply project has begun the resettlement, the other four projects are still being preliminary design. In 2009, the comprehensive living quarter in the north central region of the county was newly built, the supporting heat-supply facilities were in urgent need. In ordet to meet the heat supply demand of residents, Youyu County Project Management Office (YCPMO) raised more than 40,000,000 yuan by themselves, Shanxi Yulong Investment (group) Co.LTD invested the beginning construction, and the land acquisition and resettlement of the project was still carried out on the 19
Asian Development Bank s request on resettlement. This project collected about 25 mu collective land of MaGuantun village permanently, which influenced 8 households, altogether 35 persons. There is no minority affected by the land acquisition and demolition. The 25 mu collected land of MaGuantun village was compensated to those affected households according to the standard that 11,200 yuan per mu, which was 14 times more than usual output value 800 yuan, the land and green crops compensation was 600 yuan per mu. The compensation was appropriated from the village s Land and Resources Administration Bureau to towns, the affected households drew the compensation with the land acquisition compensation agreement in towns. Up to this monitoring, the 8 affected households have drawn full compensation. According to the resettlement plan, the affected MaGuantun village belongs to the town planning area, the annual output value is unified to 840 yuan, and the resettlement compensation is 15 times more than the annual output value which is 12,600 yuan per mu, the land compensation is 9 times more than the annual output value which is 7,560 yuan per mu, the green crops compensation is 840 yuan per mu. This unified standard on the annual output value of land was drawn up by the Land and Resources Bureau of Youyu County in 2007, but the land acquisition happened in 2009, that is two years later, the compensation standard decreased slightly, what s more, the quality of affected land was not very high, so the affected households and MaGuantun village collective thought the compensation standard is acceptable and understandable. In May,2009, the Land and Resources Bureau of Shuozhou replied to the land pre-approval, but the land use certificate has not been gotten yet. The heat supply project has completed the preliminary design plan in April, 2010, and is submitting reports for the approval of the Development and Reform Commission of Shanxi Province. 3.1.3 Monitoring Content The resettlement monitoring inspected the heat supply project: resettlement progress, project impacts, compensation standards, funding and the use, public participation, complaint, appeals and so on. Problems are uncovered and recommendations are provided. 3.2 Resettlement Implementation Institution and Its Capacity 3.2.1 Resettlement Implementation Institution In order to ensure the successful implementation of the land acquisition and resettlement and the achievement of the planned results, Youyu County Sub-Project Management Office (SPMO) appoints two persons to take charge of the resettlement and the concerned organizing and coordinating work. One person in Youyu County Land and Resources Bureau is in charge of the implementation of the land acquisition and resettlement. In 2007, Youyu County government set up a project leading group to prepare for the project and coordinate the implementation process. The vice county head assumed the position of group leader. The group consists of leaders from Development and Reform Bureau, Land and Resources Bureau, Financial Bureau and Construction Bureau, Its subordinate is Youyu County Sub-Project Management Office (SPMO) which is located in Youyu County Development and Reform Bureau. This office is mainly in charge of the project preparation, organizing and coordinating, implementation and management, and so on. Project resettlement implementation 20
institutions see Table 3-1. Table 0-1 Youyu County Sub-project Resettlement Implementation Institution Institution Staff Organization Position Telephone SPMO SPMO SPMO Liu Baoping Hao Wancheg n Li Jiliang Youyu County Development and Reform Bureau Youyu County Construction Bureau Youyu County Land and Resources Bureau Deputy director general Deputy director general Deputy director general 13037048833 13037044899 13037042838 3.2.2 Institute Capacity The Youyu PMO is self-contained and has advanced transportation and communication equipment. In order to guarantee the smooth implementation of resettlement the company arranges specific person with good quality and ability and more than two years experiences in resettlement for resettlement work. At the same time, they set up internal monitoring system and there is person specially assigned for the work. 3.3 Typical Survey of Affected Villages The Xincheng town Maguantun Village is affected by project land acquisition, In January 2011, The M&E team conducted interviews on this villages. The contents see Table 3-2. Jan 2011 Maguantun village Interview 1: Village header Table 0-2 Affected Village Interview of Heat Supply Project Maguantun village is 2km form the current county urban, nearly the new district s west circled road of the country. The village has more than 130 households, more than 350 persons totally, it is a medium-sized village in the scale. The source of village s income only has transfer funds and the subsidies from the superior, including 30000 yuan transfer funds. The villagers that only rely on agricultural production income is few, most labors engaged in business, part-time job, service industry and so on, these accounted for 1/3 in family income. The village s cultivated land quantity is large, per capita land ownership is about 6 mu, already all assigned to households, the land adjustment will have to realize until the next round of land contract. Because agriculture income is so low that the villagers all hope to have the opportunities of engaging in other careers. Interview 2: Yuan Biao, male, 47 years old Our village is quite support the land acquisition project, the project collected my familly 3 mu land,it is almost no influence on us. The land is dry, the annual harvest depends on the 21
weather, not stable, and also not much, we have to look for scattered jobs in slack time each year to support the family. During the land acquisition, we held the villagers congress, the town also sent a land acquisition notice, assured the openness and fairness. Land acqusition expansion has gotten, we are satisfactory. We hope after the project construction building, can promote the Maguantun village s economic development, if basic engineering is finished, there will bring more enterprises settle down our village. 3.4 Income Tracking Investigation of heat supply project M&E did sample questionnaire to six resettlement families of Maguantun village, Xincheng town impacted by heat supply project. The contents include family population, family annual income and expense and etc. 3.4.1 Family Population Sample survey of 6 HHs, 28 persons are all the Han nationality, including agricultural population 24 people, the non-agricultural population 4 people. In the population of survey,the female population is 16 people, of the total population 57.14%; 18 Labors, of the total population 64.29%, 5 students, of the total population 17.86%. Family Population situation see Table 3-3. Table 0-3 Family Population Situation of Heat Supply Project Name Total Agricultural Non-agricultural Women Labor Supporting/ old School YHH 3 2 1 2 3 0 1 GM 6 5 1 2 3 1 2 YB 4 3 1 2 3 0 1 LJG 4 4 0 2 2 0 0 YQZ 4 4 0 3 2 0 0 CWB 7 6 1 5 5 0 1 Total 28 24 4 16 18 1 5 Propor tion 100% 85.71% 14.29% 57.14% 64.29% 3.57% 17.86% In survey of 6 HHs, 28 persons, there is 2 children under age 8, of the total population 7.14%, 1 person under 8~16 ages, of the total population 3.57%. Among 17~50 ages, 23 persons, of the total population 82.15%; 1 person between 51~60 ages, of the total population 3.57%.While 1 person Over 60 ages, of the total population 3.57%. Age distribution structure (shown in Chart 3-1) 22
Chart 0-1 Age Distribution Structure of Typical people 3.4.2 Land Family Contract In the 6 typical families, the total contracted lands area is 125 mu in 2010, per capita contract 5.2 mu lands of agricultural population. 3.4.3 Family Annual Income According to statistics of 6 typical HHs in 2010 annual family income is 27098.31 yuan. Including agricultural average income for 12312.26 yuan, accounting for 45.44%; Animal husbandry average income for 3979.39 yuan, accounting for 14.68%; Working out average income for 10364.73 yuan, accounting for 38.25%; Other income for 441.93 yuan, accounting for 1.63%. The typical families annual total income situation shown in Chart 4-3. Chart 0-2 The Average Annual Income Situation of typical HHs From the above analysis, we can see that the annual income per capital of the typical HHs is 5806.78 yuan in 2010. Agriculture as local farmer s major source of income, and because of the 23
affected village near the county, the local farmers have more work out opportunity, so the non-agricultural income is more. 3.4.4 Family Annual Expense According to the typical six sample HHs statistics, the annual total expenditures per HH in 2010 was 12348.63 yuan. In which, the expenditure of agricultural production, water and electricity, communications, education, medical, buy non-staple food, transportation, clothing, others respectively were 1471.43 yuan, 181.34 yuan, 310.27 yuan, 3828.57 yuan, 1043.83 yuan, 3536.43 yuan, 211.43 yuan, 342.76 yuan, respectively accounting for the total, 11.92, 2.51%, 31%, 8.45%, 28.64%, 1.71%, 11.52%, 2.78%. Sample families s yearly expenditure situation is shown in Chart 3-3. Chart 0-3 Total Annual Expenditure Situation of typical HHs From the above analysis, we can see that the typical family annual expenditure per capita is 2646.14 yuan in 2010.The conclusion is that the agricultural production costs, buy non-staple food and education expenditure, life medical expenditure for the main expenditure, water and electricity fees,, transportation expenses are smaller, this complies with local conditions of life on the whole. 3.4.5 Analysis of Family Annual Income and Expense Through the above analysis, we can see that the 6 surveyed resettlement HHs per capita net income is 3160.64 yuan. From the source of income, agricultural income, working out income are the affected HHs major income source. In expenditure, agricultural production costs, buy non-staple life food and children education are of bigger proportion. Affected HHs per capita land occupancy of higher, and because Youyu county local in alpine region, the land quality is not high, area yield is lower, so losing a few land on farmer's influence is not big. Therefore, reasonable and effective use of land compensation and resettlement fees, seek viable income alternative method, can effectively 24
guarantee resettlement income won't affected by land loss, and affected people benefit from the project. 3.4.6 Analysis of Net Income Changing It can be seen from the base survey report that before the land acquisition, the net income per capita was 1,728.83 yuan in 2008, which came to 3.160.64 yuan in 2010 after the land acquisition, with the increase rate of 36.84%. After the land acquisition, the peasants have more spare time for part-time job or sideliens, and with the economic growth, the gross income of affected people also increases steadily, the income structure has few changes, and therefore the land acquisition has little influence on the living standard of those affected people. 3.5 Vulnerable Groups Chart 3-4 Comparison of Income Structure According to the survey, no vulnerable groups such as the poor, the families living under the lowest social security line, the minorities and so on will be involved in the affected persons. 3.6 Public Participation Public participation is important factor to ensure the smooth implementation of resettlement. Land acquisition and resettlement activities should be listen to all social groups, government departments, village and APs views, encouraging the parties to participate in resettlement work. Through baseline survey, the external M&E Agency of NRCR find 3 focus group discussions and 2 face-to face interviews were held between Norember.2008 and April.2009, involving 63 persons. Affected HHs were asked to give full suggestion on project construction, scope of land acquisition, contract and compensation of land acquisition, and resettlement. At the same time of asking APs for suggestions, project unit also invited some people not influenced to attend the forum to hear about their opinions and advices on APs resettlement of the project. Through various activities of public participation, residents in project area have a full realization of the significance of the project construction and the coming help measures. They hope the project construction can be carried out as soon as possible to achieve the obvious benefits of promoting local economic and social development. 25
3.7 Grievance and Appeal The transparent, effective channel of grievance and appeal were set up in the project planning and implementation process. PMO told the channel to APs by holding meetings. This let APs know their rights of grievance and appeal well. The channel was unblocked. The hotline is 13903496008. 3.8 Conclusions and Suggestions 3.8.1 Conclusions (1)RP:The Land and Resources Bureau of Youyu County had carried out and completed the detailed actual quantity survey in January,2009.Xincheng town had signed the Land Acquisition Agreement with individuals. Up to this survey, the land acquisition of small cities and towns infrastructure construction in Youyu has been accomplished, and the land acquisition compensation of this project had been appropriated to each person in April, 2009. (2)Project effect: The project expropriates 25 mu rural collective land perpetually,8 HHs are influenced by it,and the minorities are not involved in this land acquisition demolition. (3)Land acquisition: The survey finds that the standard of land acquisition compensation is carried out strictly according to the policy, the land compensation and young crops compensation has been started to pay to the emigrants. New county seat construction provides a large quantity of employment opportunities for them. (4)Organizations: The project has clear related responsibility orgnizations as well as high personnel quality, and will fulfill related matters of the resettlement. Shanxi Yulong Investment Group Co, Ltd is the construction unit of this project, Youyu Construction Bureau is the executive body, and Youyu Land and Resources Bureau is the approval orgnization. Each unit performs its own function to promote the LAR being implemented smoothly. (5)Public participation: During the preparation and implementation, the project units have organized public participation activities many times on the questions that those affected HHs concerned, such as the actual quantity survey, compensation standard, compensation payment and so on, answered their doubts, and made them fully understand the necessity and importance of this public welfare project, which laid a solid foundation for the resettlement. However, there were still some villagers that have not clear understandings on the demolition policy and compensation standard, the intensity of public participation still need to be enhanced. (6)Appeal and grievance: The channels of complaining and appealing are unblocked, there are specific coordinators for those complaints, and emigrants know the appeal way when their 26
rights are infringed. This survey finds that during the land acquisition demolition, some villagers have complaints on the compensation standard and distribution, but after the investigation of our team, we find the demolition compensation standard of the project units and demolition units is suitable with the relevant laws and regulations. 3.8.2 Suggestions (1)Make full preparation for the approval of land use to ensure the construction and resettlement of the project running smoothly. (2)Strengthen training to resettlement organization staff. Monitoring& Evaluation suggests that the staff in related organizations should have further training on resettlement policy and implementation and this training should combine theory study with visit on the spot. Especially they should investigate and study the projects financed by ADB and add the institution efficiency and ability. (3)Strengthen file administration. In this monitoring, the monitoring unit found that the project implementation units lack of awareness on materials classification, some of the materials is incomplete. The relevant materials in resettlement should be kept well and establish land requisition and demolition files, which can offer basic materials for project check and monitoring and evaluation. (4)Ensure the implementation of employment support policy to farmers, especially for age 45-60 years old farmers to safeguard their legitimate interests. At the same time, project unit should promote the social security department to accelerate skills training for farmers, and enhance their employability, promote livelihood recovery and improve income levels. 27
Attachment Shanxi Small Cities and Towns Development Demonstration Sector Project Financed by Asian Development Bank Social Due Diligence Report Shanxi Small Cities and Towns Development Demonstration Sector Project Youyu County Subproject Prepared by Youyu County Project Management Office (PMO) Jan. 2011
ABBREVIATION AND ACRONYMS RP APs ADB SDDR YCSCTCP YCDRB YCLRMB YCLSS YCCB YBCA XTG MGVC NRCR LG PEO AAOV LARO VCRLT MEA TA RIB DMS VCs PLA TLO LAR HH PMO CH-S mu PRC Resettlement Plan Affected Persons Asian Development Bank Social Due Diligence Report Youyu County Small Cities and Towns Construction Project Youyu County Development and Reform Bureau Youyu County Land Resource Management Bureau Youyu County Labor and Social Security Bureau Youyu County Construction Bureau Youyu Bureau of Civil Affairs Xincheng Town Government Maguantun Village Committee National Research Center of Resettlement of Hohai University Leading Group Project Executive Office Annual Average Output Value Land Acquisition and Resettlement Office Resettlement Leading Team of Village Committee Monitoring and Evaluation Agency Technical Assistance Resettlement Information Booklet Detailed Measurement Survey Village Committees Permanent Land Acquisition Temporary Land Occupation Land Acquisition and Resettlement Household Project Management Office Centralized Heat-Supply Chinese land area unit of measure: 1 mu = 0.0667 ha The People s Republic of China I
CONTENTS 1 PROJECT BACKGROUND... 1 1.1 Brief Description... 1 1.2 The Project Area... 2 1.3 Overview for the Resettlement Impact... 3 2 SOCIAL DUE DILIGENCE REPORT DRAFTING PROCESS... 5 2.1 Research Method... 5 2.2 Technical Route... 5 2.3 Investigation Process... 6 3 PROJECT IMPACTS... 8 3.1 Measures Taken to Decrease Impact... 8 3.2 Project Land Acquisition Impact... 9 4 SOCIAL AND ECONOMIC CONDITION INVESTIGATION... 10 4.1 Social-economic Profile of the Affected Villages... 10 4.2 Sampling Survey Results of Affected Family... 10 4.2.1 Age Distribution... 10 4.2.2 Education Degree... 11 4.2.3 Houses and Living Conditions... 12 4.2.4 Main Domestic Property... 12 4.2.5 Production Types Condition... 12 4.2.6 Annual Family Income... 12 4.2.7 Annual Domestic Expenditure... 13 4.2.8 Average Per Capita Income and Expenditure... 14 5 LAWS AND COMPENSATION STANDARDS... 15 5.1 Main Laws and Policies for Resettlement... 15 5.2 Compensation Policy of Collective Land... 16 5.3 Entitlement Matrix... 16 6 RESETTLEMENT EFFECT... 17 7 COMPENSATION FUND ALLOCATION PROCEDURE... 18 8 PARTICIPATION AND CONSULTATION... 19 8.1 Public Participation Organized by Project Implementation Unit... 19 8.2 Public Participation Organized by Other Unit... 19 9 GRIEVANCE REDRESS MECHANISMS & EFFECTS... 21 9.1 Grievance Redress Mechanisms... 21 9.2 Grievance Redress Effects... 21 10 ORGANIZATIONAL STRUCTURE... 23 II
10.1 Implementation Organization... 23 10.2 Measures for Strengthening Institutional Capacity... 23 11 MONITORING... 24 11.1 External Independent Monitoring Institute... 24 11.2 Monitoring Procedure and Contents... 24 11.3 Monitoring Indicator... 25 12 CONCLUSIONS, PROBLEMS AND SUGGESTIONS... 26 12.1 Conclusions... 26 12.2 Existing Problems... 26 12.3 Following Actions... 27 APPENDIX 1-LAW AND POLICIES... 28 Land Administration Law of the People's Republic of China... 28 Implementation Regulations for the Land Administration Law of the PRC... 29 State Council Decision on Deepening Reform of Land Administration... 30 Guiding Opinions on Refining Compensation and Rehabilitation System for Land Acquisition... 31 Shanxi Province's Methods on the Compensation Distribution of Collectively-owned Peasant's Land... 32 ADB Policies on Involuntary Resettlement... 35 III
Content of Tables and Charts CHART 1-1 THE VILLAGERS EXISTING CULTIVATED LAND AFTER EXPROPRIATION... 1 CHART 1-2 THE COMPENSATE CERTIFICATION OF THE EXPROPRIATED PEASANTS... 2 CHART 1-3SHUOZHOU ADMINISTRATIVE ZONING... 2 CHART 2-1 TECHNICAL MAP... 6 TABLE 2-1 INVESTIGATION INTERVIEW INSTITUTIONS... 7 TABLE 2-2 THIS PROJECT DISPLACED PERSONS LIST... 7 TABLE 3-1 PROJECT AFFECT VILLAGE GROUP SITUATION LIST... ERROR! BOOKMARK NOT DEFINED. TABLE 3-2 PROJECT COLLECTION OF RURAL COLLECTIVE LAND CLASSIFICATION AREAERROR! BOOKMARK NOT DEFINED. TABLE 3-3 PROJECT LAND ACQUISITION AFFECT POPULATION... ERROR! BOOKMARK NOT DEFINED. TABLE 4-1 MAGUANTUN VILLAGE SOCIAL ECONOMIC CONDITIONS STATISTICS IN 2011... 10 CHART 4-1 SURVEY THE AGE DISTRIBUTION STRUCTURE... 11 CHART 4-2 SURVEY POPULATION CULTURE DEGREE DISTRIBUTION... 11 TABLE 4-2 SAMPLING HHS AVERAGE OWN PROPERTY... 12 CHART 4-3 POLLING HHS WITH AN AVERAGE ANNUAL INCOME SITUATION... 13 CHART 4-4 ANNUAL EXPENDITURE SURVEY FAMILY SITUATION... 14 TABLE 6-1 RIGHTS TABLE... 14 CHART 8-1 THE FLOW CHART OF COMPENSATION FUND... ERROR! BOOKMARK NOT DEFINED. CHART 10-1 PROCEDURE OF GRIEVANCE AND APPEAL... 21 IV
1 PROJECT BACKGROUND 1.1 Brief Description Centralized Heat-Supply is the inevitable trend of urbanization, Centralized Heat-Supply will replace the scattered and small boilers with low efficiency, for saving energy and protecting the environment. On the one hand, regional boiler rooms with little investment, short construction period, and its heating quantity can flexibly adapt to the needs of the thermal load; On the other hand, combining with urban renewal, Centralized Heat-Supply is not only more reasonable to save the old city heat-supply problem, but also is an effective way to quickly solve the heat-supply problem of new residential. This heat-supply project is part of Youyu Country Small Cities and Towns Infrastructure Construction Project ( the YSCTICP) financed by ADB. As the construction of residential area in north zone of the county in 2009, starving for heat-supply to meet the resident need of warm, by self-financing, raising money from social enterprises, Youyu County Project Management Office (YCPMO) completed the boiler room construction in advance, setting 2 boilers with 58MW to answer for the heat-supply of housing and public facilities in 50,000 m 2 in north zone, timely solved the heat-supply problem of local residents. The Project site is located in 200 meters south of Maguantun Village. The project implemented by Shanxi Yulong Investment (group) Co.LTD, started in March 2009, completed on the October 3, start working on November 1. Land acquisition sum to 25 mu in Maguantun village of Xincheng town, and resettlement has been completed. The Land and Resources Bureau of Youyu County had carried out and completed the detailed measurement survey (DMS) in January,2009. Xincheng town signed the Land Acquisition Agreement with individuals in March 2009. Up to this survey, the land acquisition of small cities and towns infrastructure construction in Youyu has been accomplished, and the land acquisition compensation of this project had been paid to APs in April, 2009. Chart 1-1 The Villagers Owned Cultivated Land after Land Acquisition 1
Chart 1-2 The Compensation Certification of Displaced persons 1.2 The Project Area (1)Shuozhou city locates in the northwest of Shanxi Province, longitude111 53-113 34, north latitude 39 05-40 17. adjacent to the Inner Mongolia Autonomous Region in northwest, nearly the Yanmen gate in Xinzhou city in south.north from Datong 129 km, south to Taiyuan 200 km, east to the Beijing 502 km. In 1989 Shuozhou is approved by the State Department, as a city dominant by the province, which is a new China's heavy chemical base for coal-fired power, a rising industrial city in north ecological garden, the China's biggest dairy cow base and an important ceramic production base in north. By the end of 2009, the total area of 1.07 square kilometers, including twenty districts, four counties (Shuocheng district, Pinglu district, Shanyin county,ying country,youyu country, and Huairen country), totalled 73 towns (including street office), 1684 administrative villages and 154.4 million persons. GDP 561.3 billionyuan, 36452 yuan per person. Chart 1-3Shuozhou Administrative Zone After 30 years of reform and opening up, Shuozhou s economic has had great development, established a relatively complete industrial system combined by coal, electricity, milk as pillar 2
industries, with ceramic, food, machinery, building materials, chemical, textile, medicine, metallurgy and refractory etc, and formed a comprehensive development pattern leading by agriculture and husbandry. (2) Youyu country located at Shanxi Province north-west frontier, geographic coordinate is between longitude 112 07 '112-38 and latitude 39 41'-, 40 17 '. The county wide 4.56 km form east to west, 67.6 km longth from south to north, total land area are 1954km 2. Until the end of 2009, the whole area includes 1 borough, 4 towns: Shahu tourism borough, new town, Youwei town, Weiyuan town, Yuanbaozi town, and 6 rural areas such as Niuxinbao town, Baitouli,Gaojiabao,Dingjiayao town, Yangqianhe and Lidayao. Youyu county located at the northwest passage from Shanxi Province to Inner Mongolia s, affected by the economic radiation of Datong,Shuozhou, Taiyuan, and Huhehaote.Youyu country belongs to Yanmenguan ecological animal husbandry industrial zone, is a county in the zone with great potential, and plays an important role in the construction of Yanmenguan ecological animal husbandry economy. Economic operation acts well. In 2009,the county-wide realized GDP in 2162.89 million yuan, increased 15.95% than last year. Among them: the first industrial added value 205.58 million yuan, increased 2.13%; The second industrial added value 848.86 million yuan, increased 26.93%; The added value of the third industry 1108.45 million yuan, increased 9.49%. The structure weight of three industrials was 9.6:39.3:51.2. In GDP per person was 19381 yuan, increased 3050 yuan than last year, increased 15.30%. Keep a low population growth. In 2009, the people of the whole country total to 111622. Among them: 50341 in urban, which accounts for 45% of the total population of the county, 61281 in rural, which accounts for 55% of the total population of the county. The natural population growth rate was 5.42%. The income of urban and rural residents sharply increased, life quality largely improved. Annual disposable income of urban residents was 10345.02 yuan per person, increased 1113.92 yuan than last year, increased 12.1%. Farmer annual income was 2802 yuan per person, increased 11.37%, 286 yuan than last year. The average income of workers On-the-job was 21365 yuan, increased 8.5%. (3) Xincheng town is located in the middle of Youyu country, where is Youyu county area, 174 km 2, includes 11 residents' committees and 29 villages. Economic market is flourishing, business services and public facilities are relatively perfect, which is the political, economic and cultural center. By the end of 2009, the total population is 14200, in which, 4,000 is peasantry, 5550 is labour force; The total cultivated area is 67280mu; rural economic income 87.48 million yuan, including agricultural income 13.3 million yuan, animal husbandry income 32.8 yuan, industrial income 3.2 million yuan, transport income 31.88 million yuan and the income per person is 2915 yuan. 1.3 Overview for the Resettlement Impact This heat-supply project is part of the YSCTICP financed by ADB. As the construction of residential area in north zone of the county in 2009, starving for heat-supply to meet the resident need of warm, by self-financing, raising money from Shanxi Yulong investment (group) Co.LTD,for more than 40,000,000 yuan, The land acquisition and resettlement(lar) process is according to the requirements of ADB. Compared with the original RP, the factory site of the central heating boiler 3
house has changed. It was moved from the west of the outer ring road of the new district to the bottomland/unproductive land south of the Maguantun village 200 metres away, and the land acquired was changed from 33.6 mu to 25 mu. The project involved permanent land acquisition of Maguantun village about 25 mu, and affected rural 8 households (HH), 35 persons. No minority was affected. 4
2 SOCIAL DUE DILIGENCE REPORT DRAFTING PROCESS 2.1 Research Method (1) Questionnaire To YSCTICP, questionnaire mainly aimed at the affected village and HHs, the content includes: land acquisition of project, living level of affected HHs change before and after land acquisition, resettlement of the affected HHs, participation of affected HHs and their satisfaction degree, etc. (2) Interviews Along with the questionnaire survey, deep interview is also carried on the affected HHs and resettlement institution to gain more detailed information. Interviewees included affected villages, resettlers from permanent land acquisition, construction units. (3) Investigation method Realize the recovering situation through fieldwork. 2.2 Technical Route The technical route of research is shown in Chart 2-1. (1) To establish Youyu country s project team for small cities and towns construction, preparing the outline of social due diligence report. (2) To design investigation outline of social due diligence report, questionnaire, typical HH, typical unit register card and sampling plan. (3) To implement investigation (including the local social economic status, resettlement authorities, typical resettlement HH, affected villages). (4) To establish database, through comparing analysis, accomplish social due diligence report. 5
Chart 2-1 Technical Map 2.3 Investigation Process In December 2010, YCPMO responsible for the social due diligence report. Investigation team implemented investigation on the resettlement influence and social economic influence of this project in January 2011. In this investigation, resettlers are involved, the investigation team also heard advices from the village committees, villagers, land management department, labor and social security departments and related social organizations, carried out extensive consultation. On January 23 morning in 2011, visited Youyu Country Development and Reform Bureau, interviewed the projects director the situation of project construction and resettlement. On January 23 afternoon in 2011, investigation team visited Maguantun village, interviewed the village s leader, to know the village s basic economic conditions, and also carried on the questionnaire survey to the affected villager HHs, to know their before and present producing and living conditions. On January 24 in 2011, investigation team visited the primary leaders for land acquisition problem of the land bureau, the construction bureau, the civil affairs bureau, the YuLong heat-supply company, the county labor and social security bureau of Xincheng town, collected related information. 6
Table 2-1 Investigation Interview Institutions No. Institution Persons Responsible Telephone 1 Youyu Country Development and Reform Bureau Liu Baoping 13037048833 2 Youyu Country Construction Bureau Hao Wancheng 13037044899 3 Youyu Country Land Bureau Li Jiliang 13037042838 4 Youyu Country Labor and Social Security Bureau Huang Qinghe 8022308 5 Youyu Country Civil Affairs Bureau Gao Fuquan 8032234 6 Xincheng town Government Wang Yu 13934429888 7 Xincheng town Maguantun village committee Zhou Guixi 13152713393 Table 2-2 This Project Displaced Persons List No. Name Address Remarks 1 Yang Hehu Maguantun village, Xincheng town,youyu Country 2 Gao Ming Maguantun village, Xincheng town,youyu Country 3 Yuan Biao Maguantun village, Xincheng town,youyu Country 4 Li Jianguo Maguantun village, Xincheng town,youyu Country 5 Yang Qiaozi Maguantun village, Xincheng town,youyu Country 6 Chu Weibing Maguantun village, Xincheng town,youyu Country 7 Yuan Bao Maguantun village, Xincheng town,youyu Country work outside all the year 8 Ma Hai Maguantun village, Xincheng town,youyu Country work outside all the year 7
3 PROJECT IMPACTS According to ADB s requirements of Social Due Diligence Report (SDDR), the project owners organized the special investigation team of the project, verified the influence of land acquisition, and obtained the detailed information of project influence. Combining the methods of individual investigation with deep interview, the investigation contents include the quantity of land acquisition and the influence of social economy, the situation of the land acquisition affected people etc. During the investigation process, the investigate group surveyed and interviewed with the residents, rural collective economic organizations, Youyu Country land administration departments and related social organizations,besides, the affected units and resettlements are involved in the investigation. 3.1 Measures Taken to Decrease Impact In project planning and designing phase, in order to reduce the effects of project construction to the local social and economic, the design unit and the project owners had taken some effective measures: A. In project planning stage, when conducting scheme optimization and choose, as far as possible consider reducing land acquisition and removal, minimize the project construction s negative influence on the local society and economy, and elected it as scheme optimization crucial factor. B. Optimum design, reasonable arrangement of engineering scheme, avoid land and house removal as far as possible. For example, there is a scheme comparison in project planning and designing phase. Site 1 is located in the south of Maguantun 200 meters. The site is far away from the county area, the terrain is relatively flat, burning emission less impact on the county's pollution. Rolling stock cannot go through the county, around the west loop direct boiler room can not only reduce the county's traffic flow, while reducing environmental pollution caused by coal for the county. Boiler room and the residential surrounding villages are less. Site 2 is located in the northwest corner of the Maguantun village. Surrounding the site, there are not the water and electricity facilities. The northwest wind is the prevailing wind in the winter in Youyu county, the site is located in the northwest of the county, so there will be a threat to the environment for the county. Considering two alternative land site number, cost, demolition and resettlement compensation factors to determine the impact smaller site 1. In the stage of LAR action plans and implementation, when the land acquisition demolitions and resettlement inevitable, to reduce the construction influence to local area, the relevant government departments and the project owners have taken the following measures: A. Strengthened the basic data collection, carried on thorough analysis to the local social economic status and future development, formulated the practical policies combined with the actual local, safeguarded no personnel suffered losses, to the persons who influenced by project construction. 8
B. In the immigration and relocation process, adopted various ways to actively encourage public participation, strengthened information disclosure, accepted the masses supervise. C. Strengthen internal and external monitoring, established the efficient, unobstructed feedback mechanism and channel, shorten information processing cycle as far as possible, securitied several problems get solved timely in engineering implementation, 3.2 Project Land Acquisition Impact 25 mu dry land of Maguantun village of Xincheng township was acquired and 8 HHs were affected. There is No ethnic minority population and vulnerable groups was affected. 9
4 SOCIAL AND ECONOMIC CONDITION INVESTIGATION In order to understand the project's influence and social economic conditions affect zone. In January 2011, investigation team had investigated the social economy and resettlement of the project affect zone. In addition, they had a sampling survey on the affected HHs social economic conditions, The investigation adopted questionnaire and interview with a combination way. Sampling involves 8 numbers of the rural HHs that directly influenced by the project(occupy the total influence number s 75%). 4.1 Social-economic Profile of the Affected Villages Table 4-1 Maguantun Village Social-economic Conditions Statistics in 2011 No Index Unit Maguantun village 1 the villagers group a 1 2 Total HHs number HHs 140 3 The HH register population person 505 3.1 including: labor person 200 3.2 engaged in the first industry persons number person 110 4 the village land area mu 4600 4.1 including:farmland mu 3570 4.2 forestland mu 630 5 Agricultural economy income 10000 yuan 326 5.1 In which: sell products income 10000 yuan 35 5.2 agricultural income 10000 yuan 76 5.3 animal husbandry income 10000 yuan 111 6 total allocated net income 10000 yuan 165 7 The total income of the rural residents 10000 yuan 164 8 The per capita income of rural residents yuan 3248 4.2 Sampling Survey Results of Affected Family Sample survey of 6 HHs, 28 persons are all the Han nationality, including agricultural population 24 people, the non-agricultural population 4 people. In the population of survey,the female population is 16 people, of the total population 57.14%; 18 Labors, of the total population 64.29%, 5 students, of the total population 17.86%. 4.2.1 Age Distribution In survey of 6 HHs, 28 persons, there is 2 children under age 8, of the total population 7.14%, 1 person under 8~16 ages, of the total population 3.57%. Among 17~50 ages, 23 persons, of the total 10
population 82.15%; 1 person between 51~60 ages, of the total population 3.57%.While 1 person Over 60 ages, of the total population 3.57%. Age distribution structure (shown in Chart 4-1) Chart 4-1 Age Distribution Structure of Typical people 4.2.2 Education Degree Among the investigation s 6 HHs, 28 persons, 5 illiteracy persons, of the total population 17.86%; 3 persons with the education of primary school, of the total population 10.71%; 13 persons of Junior high school, education, of the total population 46.43%; 3 persons with High school education, of the total population 10.71%; 4 persons of High school above education, the 14.29% of the total population. Education degree distribution shown in Chart 4-2. Chart 4-2 Education Degree Distribution of Typical people 11
4.2.3 Houses and Living Conditions For the typical immigrant families are all with 3.01 room houses, Per HH total building area is about 117m 2, the average room area per capita is 25.07 m 2, The structure of the demolished houses mainly for brick-concrete and brick-wooden. 4.2.4 Main Domestic Property In investigation of affected families, bicycle, television, telephone s popularization rate is higher, while cars, refrigerators of popularization rate is low, this is accord with the local production level condition. Family total property ownership of investigation and average HH property (see table 4-2.) Table 4-2 Property Owned by Sampling HHs Item Unit Total Amount Standard of Property Owned by Per HH bicycle a 8 133.3% Tape-recorder platform 2 33.3% Washing machine platform 4 66.7% television set 7 116.7% computer set 3 50% refrigerator Set 2 33.3% Tractor set 4 66.7% Motorcycle a 5 83.3% car a 1 16.7% Telephone department 10 166.7% 4.2.5 Production Types Condition The survey s six immigrant families, agricultural management status in 2010 is : the main planting crops for corn, naked oats, yam, potatoes, a total of dry land 125 mu, In slack time, the primary Labors from home to work in the factory closely. 4.2.6 Annual Family Income There isn t village enterprise in the Maguantun village, the first industry plays the primary role in the village economy. According to statistics of 6 typical HHs in 2010 annual family income is 27098.31 yuan. Including agricultural average income for 12312.26 yuan, accounting for 45.44%; Animal husbandry average income for 3979.39 yuan, accounting for 14.68%; Working out for average income 10364.73 yuan, accounting for 38.25%; Other income for 441.93 yuan, accounting for 1.63%. The typical families annual total income situation shown in Chart 4-3. 12
Chart 4-3 The Average Annual Income Situation of typical HHs From the above analysis, we can see that the annual income per capital of the typical HHs is 5806.78 yuan in 2010. Agriculture as local farmer s major source of income, and because of the affected village near the county, the local farmers have more work out opportunity, so the non-agricultural income is more. 4.2.7 Annual Domestic Expenditure According to the typical six sample HHs statistics, the annual total expenditures per HH in 2010 was 12348.63yuan. In which, the expenditure of agricultural production, water and electricity, communications, education, medical, buy non-staple food, transportation, clothing, others respectively were 1471.43yuan, 181.34 yuan, 310.27yuan, 3828.57yuan, 1043.83yuan, 3536.43yuan, 211.43yuan, 342.76yuan, respectively accounting for the total, 11.92%, 2.51%, 31%, 8.45%, 28.64%, 1.71%, 11.52%, 2.78%. Sample families yearly expenditure situation is shown in Chart 4-4. 13
Chart 4-4 Total Annual Expenditure Situation of typical HHs From the above analysis, we can see that the typical family annual expenditure per capita is 2646.14 yuan in 2010.The conclusion is that the agricultural production costs, buy non-staple food and education expenditure, life medical expenditure for the main expenditure, water and electricity fees,, transportation expenses are smaller, this complies with local conditions of life on the whole. 4.2.8 Average Per Capita Income and Expenditure Through the above analysis, we can see that the typical 6 immigration HHs annual net income per capital is 3160.64 yuan. From the source of income and agricultural income, working out income are the major source of affected HHs. In expenditure, agricultural production costs, buy non-staple food and child education life proportion are bigger. Affected HHs annual land occupancy per capita of higher, this project land requisition land for 25 mu, before the project each has 5.36 mu land, after it became 4.46 mu land. Because Youyu Country located in alpine region, the land quality is not high, area yield low, so the influence of losing a few land to farmers is not big. Therefore, reasonable and effective use of land compensation fees and resettlement fees, seek viable income alternative can effectively guarantee resettlements income won't affected by land loss, and the affected people can benefit from the project. 14
5 LAWS AND COMPENSATION STANDARDS 5.1 Main Laws and Policies for Resettlement This project resettlement policy mainly based on ADB and Chinese relevant laws and policies, including: (1) ADB policies ADB s Involuntary Resettlement Policy 1995 ADB Public Participation Policy Gender and Resettlement Analysis (2) The state laws and regulations Land Administration Law of the People's Republic of China (PRC). (established in June,1986, put into effect on 1 January 1987 and amended three separate times, in 1998 and 2004.) Implementation Regulations for the Land Administration Law of the PRC. (The 256 th State Council Decree of the PRC, issued on 27 December 1998, in effect since 1 January 1999.) State Council Decision on Deepening Reform of Land Administration. (The 28 th Decree of State Council, dated 21 October 2004.) Guiding Opinions on Refining Compensation and Rehabilitation System for Land Acquisition. (NO.238 Decree of Ministry of Land Resources dated 3 November 2004.) (3) Shanxi policies Shanxi Province's Method on Implementing Land Administration Law of the PRC (approved during the 12 th meeting of Standing Committee of the 9 th National People's Congress on 26 September 1999.) Notice on the Opinions of Compensation of Building Land in Shanxi( Document No.193 document of Shanxi Land Management Bureau,2007.) Shanxi Province's Methods on the Compensation Distribution of Collectively-owned Peasant's Land (Dec1,2005) (4) Shuozhou City policy Shuozhou City Displaced Person Employment Training and Improve the Social Security Work Implementing Procedures (applicable since Apr.22,2008) The Detailed provisions of the laws and policies above are presented in the appendix. 15
5.2 Compensation Policy of Collective Land The compensation fees for land acquisition include resettlement subsidiary, land compensation and compensation for standing crops. According to Shanxi province s Method on implementing Land Administration of the People's Republic of China,the 27 article sets that for the farmland which are not basic farmland, the land compensation is 6 to 9 times of the AAOV"; the 28 article sets that " for the farmland which are not basic farmland, the resettlement subsidy is 4 to 5 times of the AAOV". After the village committee meetings, the AAOV was set as 800 yuan per mu and this was agreed by the villagers. The land compensation was 9 times of AAOV and the resettlement subsidy was 5 times of AAOV. Totally, the compensation of the collective land is 11200 yuan/mu, which is 14 times of the AAOV. The compensation standard of the standing crops in Maguantun village is 600 yuan/mu, which is consulted with the APs and finalized. 5.3 Entitlement Matrix Table 5-1 Entitlement Matrix Impact Categories Affects People Compensation and Resettlement Policy Compensation Standards collective land (rural collective land 35 persons 8 HHs of Maguantun village Received land compensation and resettlement subsidy got skill training and employment compensation of the land: 11200 yuan /mu. Standing crops: 600 yuan/mu. 25 mu) opportunities 16
6 RESETTLEMENT EFFECT From the survey, all the acquired land is bottomland/unproductive land and the land output value is relatively low. The compensation fees of the land were all paid to the affected HHs, and the land in the village was not adjusted. Local cultivated land resource is rich, after land acquisition, each household still has 17 mu land and the per capita land holding is 4.46 mu. So the agricultural production activities are not significantly affected. Moreover, the village is close to the downtown of the county, it is very easy for the local residents to take part-time jobs in the downtown, and non-agricultural income is higher. Meanwhile, Xincheng township government offered some skill training for farmers, and also provided employment information and employment opportunities affected families. Some affected households have operated small business after the training with the compensation money. Others used the compensation money to improve the agricultural production conditions. Generally speaking, the APs are satisfied with the compensation and the income is restored and the external monitor will closely monitor this. 17
7 COMPENSATION FUND ALLOCATION PROCEDURE Compensation funds of the project shall be paid for the demolished people or the Land and Resources Bureau. In the process of implementation, according to compensation standards established by compensation policy of APs, the demolishers or Land and Resources Bureaus at the city/county level shall pay the compensation fees of LAR for influenced units or individuals in accordance with the agreements. Compensation fees of LAR of this project has been paid from April to May in 2009. 18
8 PARTICIPATION AND CONSULTATION In the stage of project designing and planning, many consultations were taken by the YCDRB and YCLRMB to encourage the public participation. For example, social-economy survey of APs was carried out; village meeting with the representatives from APs was held; interview to the sample families was finished. All the results of PLA discussion and consultation were absorbed into the RAP. Moreover, RIB has been prepared and distributed to the APs on time, so the RAP was available to anyone who wanted to know more about this plan. In the process of LAR implementation, special institution was established by the YCLRMB, XTG, MGVC and APs to guarantee the effective implementation of LAR. The consultation and negotiation with affected people continued as well. All the efforts were on reducing the negative impacts. 8.1 Public Participation Organized by Project Implementation Unit Through baseline survey, 3 focus group discussions and 2 face-to face interviews were held between Norember.2008 and April.2009, involving 63 persons. Affected HHs were asked to give full suggestion on project construction, scope of land acquisition, contract and compensation of land acquisition, and resettlement. At the same time of asking APs for suggestions, project unit also invited some people not influenced to attend the forum to hear about their opinions and advices on APs resettlement of the project. Through various activities of public participation, residents in project area have a full realization of the significance of the project construction and the coming help measures. They hope the project construction can be carried out as soon as possible to achieve the obvious benefits of promoting local economic and social development. 8.2 Public Participation Organized by Other Unit The investigation team interviewed the YCLRMB, YCCB, YBCA, YCLSS, XTG and MGVC, and carried out the survey in the affected area. It is found that during the alteration and optimization of the project design both executive agencies and design institutions paid much attention to public participation. They collected public opinions widely in the affected areas and modified the design program several times to minimize the effects of land acquisition and house demolition. Relevant agencies and village committees organized many times of villager congress discussion to carry out public participation, discuss compensation plans for land acquisition and how to develop public service by using compensation money. 19
Table 9-1 Public Participation Time Location Theme Participants 2008.11 Maguantun Village 2008.12 Maguantun Village 2009.3 Maguantun Village Notice of Project Discussion of land acquisition compensation standards Land compensation agreement signed land and resources bureau, PMO, village cadres, villager land and resources bureau, PMO, village cadres, APs land and resources bureau, PMO, village cadres, APs Chart 9-1 Household interviews and seminars 20
9 GRIEVANCE REDRESS MECHANISMS & EFFCETS 9.1 Grievance Redress Mechanisms If in the process of land acquisition occurred controversy, APs can appeal to the relevant agencies. Grievance redress mechanisms as follows: Phase 1:If the APs had doubts about the work of LAR can appeal to the Land Resource Management Bureau, Xincheng town Government, Maguantun village Committee, the related staff working group will be answered face to face, and in consultation with the APs to solve; Phase 2:APs can appeal directly to government petition institution. Phase3 :According to the Administrative Procedure Law of PRC, APs can appeal to administration with jurisdiction progressively, and go to arbitration. If APs are still unsatisfied with the arbitration decision, they can sue at law under civil procedures after receiving a decision notice. The APs can sue on any aspect of the resettlement, include the compensation standard. The above grievance approaches, will notify the APs through meeting and other methods, so the APs can know they have the right of grievance. At the same time, the medium is used to enforce report. All aspects of advice and suggestion about the resettlement will be arrange to information clause, so resettlement institute at all levels can research and deal with timely. All kinds of institute will reiceive the grievance and complain of APs for free. Chart 9-1 Procedure of Grievance and Appeal 9.2 Grievance Redress Effects The investigation team realized that complains, during the implementation of land acquisition and demolition, are mostly centralized on some APs who have difficulties in daily life and are looking for the 21