RP- 43

RAPFOR - U XINXIANG-ZHENGZHOU GRADE 1 HIGHWAY ii Public Disclosure Authorized UPGREADING PROJECT Public Disclosure Authorized

HEIGHWAYMANAGEMENT BUREAU OF HIENANPROVINCIAL COMMUNCIATION DEPARTMENT

FEB, 1999 Public Disclosure Authorized

TABLE OF CONTENTS

1. PROJECT BACKGROUND A) Brief Description of the Project and Its Main Purpose B) Areas Affected And Served by The Project C) Social and Economic Background of the Project Area D) Measures Taken to Minimize Resettlement E) Technical and Economic Feasibility Study F) Preliminary and Final Design of the Project G) Ownership and Organization of the Project H) The Census (Social Survey) Public Disclosure Authorized I) Preparation of the Resettlement Action Plan J) Schedule for Project Preparation Contract AwardOConstruction0landImplementation K) Permission for Land Use, Resettlement and Construction L) Decree on Rates of Compensation M) Status of the Adverse Impact Arising from Components Already Implemented 2. PROJECT IMPACT

A) Land.Acquisition B) Affected Structures C) Affected Residences D) Loss of Employment in Agriculture, Enterprises and Public Offices E) Affected Infrastructure F) Temporary Land Acquisition G) Loss of Crops H) Loss of Other Assets 1) Affected Population J) Impact on Vulnerable Groups 3. LEGAL FRAMEWORK A) Policy B) Compensation Rates I) Land Compensationand Resettlement Subsidy 2) Housing Compensation(including other affected structures) 3) Job Creation 4) Entitlements of the Vulnerable Groups 5) Enterprise Compensation 6) Infrastructure Compensation 4. COMPENSATIONCOST ESTIMATE AND BUDGET A) Flow of Funds B) Base Cost C) Administrative Cost D) Contingencies I) Physical Contingencies 2) Price Contingencies (inflation) D) Other Costs 5. RESETTLEMENT AND REHABILITATIONIMPLEMENTATION PLAN A) House Construction B) Infrastructure Relocation C) Job Creation Land Redistribution by Village D) Implementation Schedule for Resettlement E) Payment Schedule to City, Conty, Township and Village F) Booklet for Resettlement Informations 6. INSTITUTIONAL ORGANIZATION A) Institutions Responsible for Resettlement Planning, Management, Implementation and Monitoring B) Responsibility I) PRO 2) CIROs (City Land Administration Bureaus} 3) COROs {County Land Administration Bureaus} 4) TROs {TownshipLand Administration Bureaus} 5) Village AdministrationCommittee and Production Team 6) Survey Design Institute 7) Independent Monitoring Organization C) Leading Groups D) Staffing E) Training F) OrganizationalCharts G) Measures for Strengthening Institutional Capacity 7. PARTICIPATIONAND CONSULTATION 8. GRIEVANCEAND APPEALS 9. MONITORING A) ImplementationProcedure B) Indicators to be Monitored C) Personnel D) Purpose and Responsibility E) The Independent Monitoring Organization(IMO) F) Procedure G) Time of Monitoring 10. REPORTING A) Internal Reporting B) PRO's Reporting Responsibility C) IMO's Reporting Responsibility 11. ENTITLEMENT MATRIX LIST OF ANNEXES

1. PROJECT BACKGROUND A) Brief Description of the Project and Its Main Purpose Xinxiang to Zhengzhou Grade I Highway is an important part of 107 National Highway, also is one part of Beijing to Zhuhai National Expressway in construction. It is a very important channel for traffic of north and south. The highway connected Zhengzhou, capital of Henan Province, and Xinxiang, an important industrial city of Henan together. Other parts of Beijing to Zhuhai expressway in Henan Province, Anyang to Xinxiang, Zhengzhou to Luohe had been finished as expressway. But now the Xinxiang to Zhengzhou highway can not satisfy the needs of developed economics due to the increasing traffics. The observed traffic of the sections north of Zhengzhou Yellow River Bridge has increased from 8300 per day (at 1992) to 12000 per day, sections south of the bridge increased from 10400 per day (at 1992) to 18000 per day (change to Middle Size Truck). It is much more than the design capacity. Due to the shorts of fund, to upgrading the highway to expressway to accomplish the Beijing to Zhuhai National Expressway is very necessary. To upgrading the highway can get rid of disturb of crosswise traffic, raise passing abilities and reduce accident. B) Areas Affected and Served by the Project The upgrading project of Xinxiang to Zhengzhou Grade I Highway affected Xinxiang and Yuanyang counties. After upgrading, a 45.38km auxiliary lane (include discontinuous auxiliary lane); 24 overpasses; 3 interchanges and 9 underpasses will be constructed. The project satisfied living and production needs of local residence, so they praise the project to be "for the convenience of the people". Xinxiang and Yuanyanglocated on Huabei Plain of north China; both of them are main place of grain, fruit and other economical crop production of Henan province. Especially Yuanyang County is the Base of Rice Production of China. This project will greatly promote the development of local economic and benefit Beijing to Zhuhai National Expressway. C) Social and Economic Background of the Project Area YuanyangCounty located 30km southeast from Xinxiang City and 50km north from Zhengzhou. It has 800,000 mu of cultivated lands. The population of Yuanyang County is 500,000 by 1996. Xinxiang County located nearby Xinxiang City, 72km north from Zhengzhou. It has 460,000 mu of cultivated lands. The population of Xinxiang County is 380,000 by 1996. Main crops of the two counties are wheat, rice, cotton, peanut and so on. Main industries are motor parts, medicine, petroleum and chemical industry. The county and township enterprises are economical pillars of the two counties. In 1996, total industrial value of Yuanyang County is 620 millions, and 6,000 millions of Xinxiang County. But highway systems of the two counties can not fit the develop speed of economic, and had limited the speedy increasing of economics. The Xinxiang to Zhengzhou Grade I Highway, completed in 1989, is for mixing traffics. Hundreds of plane crosses caused so many accidents. Those accidents damaged not only properties but also lives of local residence. Recent years, heavy traffic increased so much, the concrete pavement was destroyed seriously, and about 40% of concrete plate were broken. So the existing pavement can not server the economic and traffics properly, it should be upgraded. D) Measures Taken to Minimize Resettlement The Upgrading Project had taken lots of measures to minimize resettlement. During Feasibility Study period, the project had made two schemes. Scheme Owhich was put to use is to make use of existing county-township lanes as possible. This also fits the City Construction Development Program of the two counties. Although it acquired 142 mu more lands than scheme 0, but it minimized resettlement of 1206 houses, 63 places of affected power lines, 17 places of communications and reduced pollution of noise and exhaust of traffic to the local residents. During implementation, temporary lands acquired will be resumed to cultivated lands. If possible borrow pits will be selected on wastelands. If on cultivated lands, depth of excavation will be limited for resume. Temporary land acquisition did not affect any local residents, households, structures and infrastructures,so no any resettlement should be done. During temporary land acquisition except pay land compensations, the PRO also try to give some temporaryjobs to laborers whose land was acquired to increase incomes of people. E) Technicaland Economic Feasibility Study The project is in the administration of Henan Province, need not to be approved by MOC and SPC. Feasibility Study Report document N2 YJJ(1998) 126 of Henan Provincial Communication Department had been approved by document NQYJJ(1998) 356 of Plan Committee of Henan Province. F) Preliminary and Final Design of the Project The design of the project was finished by at Mar 5,1998, and reported by document No YJJ(1998) 318 of Henan Provincial Communication Department, approved by document No YJJ(1998) 1101 of Plan Committee of Henan Province. G) Ownership and Organizationof the Project Ownership of the project is the state. The Highway Management Bureaus of Henan Provincial CommunicationDepartment responsible for management and maintain of the project. During Implementation, offices of PRO on different level responsible for the land acquisition and resettlement. H) The Census (Social Survey) The invest team formed by IMO, CIRO, CORO and TRO staff and PAPs representatives will execute the Social Survey of the project from Apr 20 to May 25, 1998. Contents of the survey are visit officers of township, village and PAPs, collect data. Data include economical situations, natural souses, geographical features, market price of materials of affected areas and basically production methods, living level, custom of living, distributions of households, attached structures and ideals to project of PAPs. Methods used are to collect official statistical data of last three years from local Statistics Bureau and visit local residents. At Oct 1997 CIRO, CORO, TRO and PAPs conscientious measured acquired lands and checked attached structures together, signed on the register table to confirn. From the Social Survey knows most of local residents take welcome and support manner to the project. While checking attached structures, there have some subject to dispute. Survey staff considered ideas of PAPs according facts, on principal of "PAPs should not suffering lose" solved the problems. During implementation and I year after project complete, MPO and IMO will start following monitoring and report social economical situations of affected areas to PRO, to improve their works. I) Preparation of the ResettlementAction Plan (1) Total quantities of land acquisition and attached structures, affected population affected by the project will be provided by design institute according final design. Also design institute will provide economic statistic data of affected areas, forecast of prospects on traffic and development of economic after project accomplished. (2) Establish organization for resettlement works. Resettlement organization on different levels of the project established in Feb 1998. COROs and Construction Leading Group of Xinxiang County and YuanyangCounty responsible for conduction of permission for land acquisition, resettlement of PAPs and other issues authorized by PRO, CIRO. (3) PRO will publicize importance of the project and polities, regulations of the state or province executed in the project. (4) COROs draw up the RAP, especially the staff training plan and land readjust plan. J) Schedule for Project Preparation Contract Award, Construction and Implementation Report Document of QualificationCheck to the World Bank May 10,1998 Bidding Document Selling Jul 20,1998 Bid Opening Sep 29,1998 Commence Dec 5,1998 Project Implementation Dec 5,1998-Jul 30,1999 Project Accomplish Jul 30,1999 Land Acquisition and Resettlement Sep 30,1998-Nov 30,1998 K) Permission for Land Use, Resettlement and Construction Total land acquisition for the project is 1877.64 mu; temporary land acquisition is 335 mu. At Sep 1998, PRO reported land acquisition plan and all the approved documents by province of the project to the state. On Nov 30,1998 got permission of land acquisition. PAPs lost lands will be resettled by land readjust and land readjust will be done before project commence. L) Decree on Rates of Compensation Regulations for land acquisition of the project are Land Law of Henan Province and ImplementationRegulations of Land Law. Clause 30: Land acquisition for state construction, units acquired lands should pay implementation for land acquisition. Implementation rates are: the compensation fee for cultivated land (including suburban vegetable plots, orchards and ponds) should be 5 times of average annual production value per mu. Calculation of average annual production value per mu according statistical data of affected county provided by Statistical Bureau of County. Compensation fee for standing crops should be 0.3 times of average annual production value per mu. Compensation fee for attached structures according to regulations of local government. Clause 31: Land acquisition for state construction, units acquired lands should pay not only land compensation but also subsidy for resettlement of PAPs. Compensate rates are: implementation compensation fee for cultivated land (including suburban vegetable plots, orchards and ponds) should be 3 times of average annual production value per mu. Resettlements of affected populations execute Land Law of Henan Province. Land acquisitions of wastelands have no subsidy. M) Status of the Adverse Impact Arising from Components Already Implemented The project did not approved by the World Bank yet, not implemented.

2E1PROJECTIMPACT A) Land Acquisition

Summary of Land Acquisition

Table 2.1 Category Unit Quantity __ A B C I Total land acquisition for the project mu 2472.64 2 Permanent land acquisition mu 1877.64 3 Temporary land acquisition mu 595 4 Urban land acquisition mu 0 5 Acquisition of arable land (irrigated Edry Ovegetable Dorchard... ) mu 1807.92 6 Acquisition of land associated with buildings: 69.72 houses enterprises &public buildings mu 7 Total number of RAPs affected directly by land acquisition 1952 (Including job loss) No. 8 Total number of households affected by land acquisition m 11417 9 Total number of laborers affected by land acquisition 802 10 Number of affected administrative units: Ns 11 Cities No 12 Counties N9 13 Townships N9 14 Villages Ns 15 Work Teams No 16 Arable land acquired for the project as a percentage of the total arable land of affected villages(or work teams) % 0.6 17 Range of average arable land (per person) in affected townships mu 0.9-1.72 18 Range of average arable land (per laborer) in affected townships mu 1.35-6.96 19 Range of average arable land (per laborer) in affected villages mu 1.35-6.94 20 No of villages (or work teams) where land labor ratio falls below Ng township level 21 No of villages where land readjustment is not possible due to the N° limit of land endowment 0

SecondaryEffects Due to Land Readjustment To provide land for the PAPs affected by land acquisition, 454035 mu lands in 41villages (work teams) will undergo land readjustment. As a result, 56683 agricultural labor households will be affected due to land readjustment (secondary effects). The total number of PAPs in these households is 283417. Brief Description: This project has no city land acquisition. 80% of income of PAPs comes from agriculture. Every laborer has 3 mu responsibility land and 1.65 mu land for personal needs. Land will be readjusted in village. B)Affected Structures

Summary of Affected Structures

Table 2.2. Number Area(m') Structures and Categories Households-unitsFoundation Total Land A B C D I Private houses to be affected 152 111417 15866 2 Private houses to be relocated 152 14646 15866 3 Public buildings to be affected 4 Office space 5 Housing space 6 Total to be relocated 152 14646 15866 7 Enterprise to be affected 8 Building area to be relocated 9 Numbers of workers in enterprises 10 Number of workers who will not be re-employed 11 Housing units of enterprises affected 12 Number of houses(households) affected due to reasons other than land acquisition-such as noise And pollution Brief Description: The project affected 152 households to be resettled. PAPs of these households request to expand areas of 3229 in2 , relocation sites are on wastelands of the villages where they live, so there is no secondary PAPs.

Secondary PAPs due to land acquisition for the relocation of affected structures. Table 2.3. ResettlementResulting From Number Area of Affected Land theRelocation of theFollowing (households-units)(new land acquired for the relocation of thesecategories) AffectedStructures .______Arable Residential Other A B C D E_. I Private houses 2 Public buildings 3 Enterprises C) Affected Residences Distribution of Affected Housing Table 2.4. Categories of Housing Number of Number of Area(m') Households PAPs Foundation Total Land A B C D E 1 Total housing to be affected 152 760 18448 21588 2 Rural housing 152 760 18448 21588 3 Urban housing 4 Private housing 152 760. 18448 21588 5 Housing owned by enterprise 6 Other public housing 7 Single unit house 8 Multiple units in one building 9 Dormitories Brief Description:Average living levels of villages affected by the project not lower than average level of county, most houses are brick-wood structures; subsidy pay to PAPs are considered under market price of resettlement; most of them will built concrete-brick structure.

D) Affected Infrastructure Quantity of Affected Infrastructure Table 2.8. Affected Infrastructure Unit Quantity A B C I Road km 2.7 2 Grade a km 3 Grade b etc. km 4 Power lines m 20200 (67 places) 5 Broadcast lines m 6 Communication lines m 7900 (26 places) 7 Transformer N° 8 Canal m Ditch m 2460 10 Well NQ 209

Ownership of Affected Infrastructure Item Quantities Ownership Power Line m 13550 (45) Power Industry Bureau of Xinxiang county Communication Line m 4850 (16) Power Line m 6650 (22) Power Industry Bureau of Yuanyang county Communication Line m 3050 (10) Canal tm 2460 Village Well N° 209 Village Paved Road m 2700 Communication Bureau of Xinxiang City Remark: number in ( ) means places. E) Temporary Land Acquisition Summary of Temporary Land Acquisition

Land to be Occupied Temporary mu Duration-dates From To A B C D I IrrigatedRice Fields 2 Dry Land 595 Nov 1998 Jul 1999 3 Orchard 4 VegetableGarden 5 Timber Forest 6 Economic Forest 7 Fish Pond _ __ _ 8 Wasteland 9 Other 10 TOTAL Brief Description: 235 mu is as storage of material and living area of contractor; 360 mu is used as borrow pit then will be resumed. F) Loss of Crops

Estimate of Crop Damage Table2.9. Type of Crops Rice Vegetables maize mu Value mu Value mu Value A B C D E F Loss of crops due to permanent 1807.92 1446336 1807.92 1046786 land acquisition l Loss of crops due to temporary 595 476000 595 344505 land acquisition I I _

TOTAL 2402.92 1=922336 - 2402.92 1391291 Brief Description: Maize is planted with rice together. G) Loss of Other Assets

Other Assets Affected by Project Table 2.1Q0. Other Property Affected by Project Unit Quantity Total Value A B D E I Walls m 4200 105000 2 Sunning Grounds _ 2 3 Tombs NQ 354 283200 4 Fruit Trees mu 8672 2254720 5 Scattered Trees mu 13486 944020 6 Storage Houses m' 5268 1475040 7 Building quality of the above I m 6149 1721720 8 Building quality of the above 2 490 58800 9 Other TOTAL 6842500

H) Affected Population Summary of Affected Population Table 2.11. Type of Effect Noof HHs NQof PAPs A B C I Total PAPs Affected by Land Acquisition 582 . 2928 2 Affected by: Acquisitionof Agricultural Land 387 1952 3 Private Housing 152 760 4 Public and Enterprise Housing 0 0 5 Workplace 0 0 6 Temporary Land Acquisition 43 216 7- Secondary PAPs: Number of workers to be affected by readjustment(butnot directly affected by the highway) 8 How many PAPs will be able to revive a land allocation from 0 0 reserve lands(without land readjustment) 9 Ns of laborers who will loss less than 25% of their agricultural 387 802 land to land acquisition(LA) 10 N9 of laborers who will loss between 25% and 50% of their 0 land to LA 11 N9 of laborers who will loss between 50% and 75% of their 0 land to LA 12 NQof laborers who will loss more than 75% of their land to LA 0

I) Impact on Vulnerable Groups

Summary of Affected Vulnerable Groups Table 2.12. Type of Effect N2 of HHs N9 of PAPs AB C Women Headed Households 2 Affected by: Land acquisition 3 * House loss 4 Job loss: 5 Old PAPs living along 6 Affected by: Land acquisition l7 House loss 8 Job loss 9 Infirm PAPs 10 57 10 Affected by: Land acquisition 57 11 House loss 12 Job loss 13 Poor PAPs 14 Affected by: Land acquisition _ 15 House loss 16 Job loss 17 Ethnic Minorities 18 Affected by: Land acquisition |19 l Houseloss l 20 Job loss

30LEGAL FRAMEWORK A) Policy Policies on land acquisition and resettlement are formulated at three levels of government in China: * The central government has established the basic policy framework through promulgation of national regulations and implementationguidelines. * Provincial governments have issued either general or project-specific regulations on implementationof national regulations. * Prefectures, municipalities and counties have issued regulations applying to specific projects. This RAP is prepared in accordance with the laws and regulations listed below and the Word Bank Guidelines on Involuntary Resettlement (0D4.03). The implementation of the RAP will be carried out in accordance with this legal framework. ElNational Laws and Regulations The following laws comprise the key national policies on land Olgrasslandand forests: LiThe State Land Law(passed by the 18th session of the 6th National Congress in June 1986 and revised by the 5th session of the 7th National Congress in December 1988),Implementation Regulations of Land law. 0 State For Grassland Law (passed by the 11th session of the 6th National Congress in June 1985). [ State Forestry Law and ImplementationRegulations of Forest Law. Ownership C1The ownership of all land is vested in either the state or the collectives. El Collective land is managed and operated by village councils. C County govemments register collective lands and issue certificate of ownership to villages. For state construction, only government above the county level are permitted to issue certificates authorizing rights to the use of land to state units (institutions and enterprises), collectives and individuals. [ Any change in ownership or the right to use the land must be officially recorded and a new certificate issued. C Once acquired for a state project, collective land becomes stated land. Land Use l The law permits transfer of right of both state and collective-owned lands. [ Contracting of both state and collective lands to collective units and individuals is permitted and contracts meeting the procedural requirement are protected by law. C1The state will establish a national land survey system and a land statistical system. 0 Each level of government, from the township and above, are required to prepared a land plan; the national plan is to be drafted by State Land Bureau. C Conversion of cultivated land exceeding 3 mu into non-agricultural use must be authorized by government above county level. D Contracted lands or self-consumptionlands must be used for the specified purpose and cannot be converted to other use, such as housing, grave yard, mining, borrow pit etc... C When arable land is used for mining, or excavating(for sand and earth), the user is responsible for restoring the land. Land For State Construction 1 Approval procedures * Project units must apply to land administration departments of county governments for land with a feasibility study, annual construction schedules and other specified documents. * After reviewing the application and examining the lands to be acquired, the land administration department coordinates discussions on land compensation and resettlement plans among the project office, owners or users of the land, and relevant government department. After concluding these discussions, the land administration department of the county government submits its recommendation for approval to higher levels of government. * Upon approval, the relevant government department issues a document authorizing allocation of the required land. 2 Authority For Approval * For state construction projects, the State Council must approval acquisition of cultivated land exceeding 1,000 mu and others type of land exceeding 2,000 mu. * Provincial governments have the authority to approve any amount of land acquisition within their provinces. * County governments can approve acquisition of cultivated land below 3 mu and other types of land below 10 mu. * Provincial congresses determine the limits of the authority of prefecture and municipal governments for land acquisition.

0 The project must compensate the affected units or persons for loss of land, standing crops, and resettlement. 0 In case of acquisition of suburban vegetable plots, State regulation require the project unit to pay for the development of new vegetable plots. 0 Formulas to calculate the amounts of compensation are specified: * The compensation fee for cultivated land should be 3 - 6 times the average annual production value per mu during three years prior to acquisition. * On the basis of formulas, the provincial and municipal governments should establish the rate of compensation rate for other type of land. v With reference to the formulas for cultivated land, provincial and municipal government should determine the rate of compensation rate for standing crops and attached structures. - Based on the number of agriculture population to be resettled, the regulations stipulate payment of a resettlement grant. The amount of the resettlement grant is to be determined on a per capita basis and should be 2 - 3 times the average output value per mu during three years prior to land acquisition. The amount of the grant, however, should not exceed 10 times the annual value of the produce. The formula for calculating the number of the agriculture population to be resettled is to be divided the area of the acquired cultivated land by the average per capita land holdings of the unit prior to the land acquisition. Provincial and municipal governments are to calculate the amount of resettlement grant for other types of land with reference to the grant for the cultivated land. * Should the resettlement grant prove inadequate to maintain the previous living standards of the people, provincial and municipal government can increase the amount of resettlement grant. But the combined amount of compensation for land and resettlement grant should not exceed 20 times the average annual production value per mu during the previous three years. * Temporary occupation of land must be compensated on the basis of the average annual production value during the 3 years prior to land acquisition. 0 The affected collective units must use the land compensation and resettlement grant to develop production and create jobs for the surplus labor or provide living subsidies for people who unable to work. The funds can not be diverted to other use or be kept by any other units or individuals. 0 Compensation for standing crops and attached private structures should be paid to the individuals. [ The county land administration department, the project owner and the affected units must engage in a coordinated effort to provide jobs to surplus laborers through development of agricultural production, sideline production and township or village enterprises. Should their efforts prove insufficient, employment for qualified laborers can be arranged in collective or state units, to whom the relevant resettlement grant must be paid. 0 If all the lands of a unit is acquired, the goverrunent can approve a change in the status of its population from agricultural into non-agricultural registration. In such case, city, county and township government and villages should decide whether to use the land compensation money, the resettlement grant, and the collective property of the unit for productive purpose or to pay living subsidies to those unable to work. However, the funds cannot be distributed among individuals. Land For Township and Village Construction 0 Rural construction on farming land must be strictly controlled. 0 Use of cultivated land for residence must be approved by village councils, township governments, county land administration departments and county governments. O Use of other types of land for residence must be approved by village committees or village councils and township governments. 0 Use of land for township and village industries must be approved by county land administration departments and appropriate local governments. [1 Use of collective land for private non-agricultural operations must approved by village committees,township governments and county governments. El Provincial Regulations 0 City Regulations ElCounty Regulations

B) CompensationRates

El Land Compensationand Resettlement Subsidy a) AverageOutput Value per mu (AOVM) AND Land Compensation AOVM and Resettlement Subsidy and Multipliers Table 3.1. Selected AOVM SelectedMultiplier A B C I The highest AOVM of irrigated land in the project area 1280 5 2 Resettlement Subsidy 1080 3 3

Land CompensationRates Table 3.2. Compensa Resettlement Total Compensation Item Rate tion Subsidy Compens Multiplier Multiplier ation/mu A B C D E I Paddy Field (mu) lB 5 3 8578 2 Dry Land (mu) IB 3 Pond (mu) IB 4 Pond Digging Fee 5 Economic Forest (mu) 6 Timber Forest (mu) 7 Residence Base (mu) 8 Reconstruction Base for Residence Base (mu) 9 Others 10 Arable Land Occupation Tax 1000 Yuan/mu I I Temporary Right of Way (per year of fraction) 12 Un-arable Land Occupation Results of Negotiations With RAPs'Representatives Table 3.3. Date Price A B C Asking price of townships and counties for irrigated land / mu Aug 5, 1998 10000 Offer price of PMO (mu) Aug 5, 1998 8578 Agreed price (mu) Aug 5, 1998 8578 Asking price of townships and counties for dry land / mu Offer price of PMO (mu) Agreed price (mu) Asking price of townships and counties house {standard} / m' Aug 5, 1998 300 -__ Offer price of PMO (in') Aug 5, 1998 250 Agreed price (m-) Aug 5, 1998 250 Brief Description:PRO explained regulations on land and structure of Henan province, after that, township and county agreed. b) Standing Crops Total payment of Standing Crops is 792,364 Yuan (calculate according Clause 30, Land Law of Henan Province: 80% of production value in one season). Temporary land acquisition on wastelands has no subsidy for standing crops. O Housing Compensation (including other affected structures) See Table 3.3. above. a Job Creation No enterprise or unit needs to be relocated. [1 Entitlements of the Vulnerable Groups See sections on the rehabilitation of vulnerable groups in Chapter 5. C1Enterprise Compensation (non) El Infrastructure Compensation See chapter 5 on the re habilitation of Infrastructure and Table 3.4. for rates of compensation for infrastructure. Infrastructure ImplementationSubsidy Table3.4. Item Rates Quantity Amount Remark Low voltage 8000 67place 536000 power line (20200m) Communication 8000 26 place 208000 line (7900m) Canal 50 2460 123000 Well 14000 209 2926000 Total _ _ 3793000 _ Paved lane calculated in Direct Fees of Engineering. 4[1COMPENSATIONCOST ESTIMATE AND BUDGET The cost to be incurred on land acquisition and resettlement are including in the overall budget of the _ _project. During the implementation of the RAP, PMO will include the annual requirement of funds in the annual investment plan of the project. The project annual requirement of funds for land acquisition and resettlement is giving in Table 5.14. The total cost of land acquisition and resettlement is estimated to be 33.26 million-Yuanat Dec 1997 prices. Total funds will be required in 1999. A) Flow of Funds In accordance with the compensation policies and rates given in this RAP, PMO will sign compensation agreements with the local Land Acquisition Bureaus / (ROs), supporting units, enterprise and public infrastructure agencies. Payment of funds will be made in accordance with these agreements and according to the time schedule specified in these agreements. CD will pay the land acquisition and resettlement funds to the following agencies: 0 ROs will transfer funds to township governments to pay compensation: a) to affected township enterprises; (non) b) to the affected workers in township and village enterprises; (non) c) to affected farmers for crops, houses, other structures and the various allowances. The township government will pay compensation to the village councils for village enterprises and for compensation the workers in these enterprises; d) for permanent and temporary land acquisition. Private enterprises affected by the project will be paid compensation directly through the ROs . O State and collective enterprises: (non) a) as compensation for impacts on enterprises; (non) b) as compensationto the workers affected due to the closure of the enterprises; (non) c) as resettlement subsidy for new jobs being provided by state enterprises to affected persons. (non) O Labor Bureaus: a) as payment of old age pension fund for payments of pension to eligible RAPs. (Non) El Public utility companies for impact on public infrastructure. B) Base Cost For detailed cost estimates of all categories of expenses see Table 4.1. C) Administrative Costs Respective organizations (ROs) responsible for implementation of resettlement and rehabilitation will be paid administrative expenses at the rate of 3% of the total amounts of compensation payable in their jurisdictions. No other level of government will be paid any administrative expenses. Land Administration Department will take 4% of Implementation and Land Acquisition amounts as administrativefees. D) Contingencies Cost estimates for RAP implementation include provision for, both price and physical contingencies. The overall project budget includes contingency allowance for resettlement activities at the rate of 10% for the duration of the project. O Physical Contingencies Physical contingencies have been included to provide for any local changes in design or alignment and for any unforeseen circumstance during RAP implementation. Physical contingency budgeted for is 10% of the total cost of land acquisition and resettlement. E Price Contingencies (inflation) Not include. It will be considered while readjusting engineering budgetary due to inflation. E) Other Cost Estimated of Implementation Subsidy Table 4.1. Item Unit Quantity Rates Amount Land acquisition mu 187764 9000 16898760 Temporary land acquisition mu 595 1500 892500 Remove brick-wood house m' 11417 280 3196760 Simply house m' 490 120 58800 Power line 67 8000 536000 Communication line 26 8000 208000 Canal M 2460 50 123000 Well Ne 209 14000 2926000 Enclosure m' 4200 25 105000 Tomb Ns 354 800 283200 l Fruit tree Ng 8672 260 2254720 Timber tree Ng 13486 70 944020 Total _ 28426760 Land administrative fee 1137070 Administrative fee 852802 Contingencies 2842676 Monitoringcost 6000 TOTAL 33265308 S ORESETTLEMENTAND REHABILITATIONIMPLEMENTATION PLAN AO House Construction Schedule for House Removal

Table 5.1. Dates Activities Begin End Remarks A B C D I Selection of alternative resettlement sites for 1998.6.1 6.28 house construction 2 Notification of RAPs about the house 1998.5.1 5.15 Should begin 3 removal deadline monthsbefore 6B 3 Consultation with the RAPs on site selection 1998.6.1 6.28 4 RAPs declare their choices in house-plots on 1998.7.1 7.10 selected sites 5 Delivery of compensationsto the RAPs 1998.8.11 8.20 6 Construction of new houses 1998.8.21 9.20 7 Payment of last installment of compensation 1998.10.1 10.20 8 Moving into the new house 1998.9.20 10.20 9 Removal of old housing 1998.9.30 10.20 10 Civil works 1998.12.5 99.7.30

Assistance to the RAPs with Special Needs in House Construction Table 5.2. Financial Assistance Responsible For Construction Stipends Unit unitof measure Value Unitof measure value A B C D E F I The fundswill be providedby: 2 Eligible householdwill receive the funds from 3 The entitlements are: 4 Poor 5 Single parent households 6 Householdsheaded by elderly 1000 Work hour 10 Village 7 Other l

Schedule for Assistance to the RAPs with Special Needs in House Reconstruction Head of Type of help Quantity Value Date households (work hour) (Yuan) | Zhangliming Help work 100 1000 98.8.1-4.20 Yanshuangwan Help work 100 1000 98.8.1-4.20 Zhaochangjiu Help work 100 1000 98.8.1-4.20 Zhuzhengbao Help work 100 1000 98.8.1-4.20 Zhubingxue Help work 100 1000 98.8.1-4.20 Tianming Help work 100 1000 98.8.1-4.20 Dingrongguang Help work 100 1000 98.8.1-4.20 Zhangchangfeng Help work 100 1000 98.8.1-4.20 Guoqiuxi Help work 100 1000 98.8.1-4.20 Zhengwei Help work 100 1000 98.8.1-4.20

Eligibility Criteria for the Above Table 5.3. Category Criteria 1 Poor Average monthly expenses no more than 70 Yuan 2 Singleparent households Women only 3 Householdsheaded by elderly Head of household old more than 70 have only daughter 4 Other

Non Financial Assistance to the RAPs with Special Needs in House Construction (such as labor for house construction,equipment, information) Table 5.4. Category Responsible Unit Nature of Assistance A B C I Poor 2 Singleparent households 3 Householdsheaded by elderly Village Free 4 Other 5

C) Infrastructure Relocation To provide continuous service to the RAPs, the reconstruction and rehabilitation of the affected infrastructure will be completed before the infrastructure is actually affected. The schedule of reconstruction and the removal of the affected of the infrastructure is presented in section 'implementation schedule". Compensation process agreed between the PMO and the affected units is presented in the Table 5.7. in this section.

Infrastructure to be Compensated by the Project and Reconstructed by the Relevant Unit Table 5.5. Unit Responsible to Location: Township-County Affected Infrastructure Reconstruction or Rehabilitate A B C 1 Xinxiang County 146 wells Owner village YuanyangCounty 63 wells Owner village .3_ 4

Infrastructure to be Reconstruction by the Project Table 5.6. Location: Township-County Affected Infrastructure A B I Xinxiang County Paved Lane 2.7 km, grade [ 2 Summary of Consultation on the Rehabilitation and Upgrading of Infrastructure Table 5.7. Price Offered by Price Requested Agreed Price Affected Infrastructure the Project by Township(or County) Units B A C A I Well 14000/one 15000/one 14000/one 2 Canal 50/m 50/m 50/m 3 Power & Communication line Province Agreed Province regulation regulation

Other Negotiations Table 5.8. Description of Other Requests or Offers Unit Making Requests Agreements Reached or Offers B A A I T PAPs request to built house for wells village reject 2 _

C) Job Creation E Land Redistribution by Village Principles of Measurement Land in the villages and work teams is distributed to the eligible agricultural laborers on an equal basis. Each able bodied member of the village between 25 and 55 are eligible laborers to receive land distribution (as El responsibility land; and, 0 for cultivation for self consumption). Average land holdings of eligible laborers are summarized in Table 5.9. on a township basis. When land is acquired for the project, land belongs to villages and work teams will be readjusted if the average land endowment of the village (work team) is above the average endowment of the township. If the per laborer land endowment of the village (work team) falls below the township level, then affected laborers and persons will be resettled in non agricultural employment. In planning for this outcome the following calculations are made: PAPRV= LAV - LPC PALV= LAV LPAL PAPRV= planned number of RAPs to be resettled in a village LAV = total land acquired in the village for the project LPC = per capital land holdings in township PALV= planned number of Agricultural Laborers to be resettled in a village LPAL = per Agricultural Laborer land holdings in township Table 5.9. is based on the above calculation. It presents the number of RAPs and Agricultural Laborers to be resettled if only complete land holdings were to be acquired . Resettlement of Agricultural Laborers Table 5.9. Averageland Resettleto non- per laborerin Before land After land agriculturalor Township township Village acquisition acquisition not Guandi 5.5 5.25 Zhangbazai 5.71 5.43 Taxiaozhuang 5.68 5.50 Guandi 4.62 Baima 6.40 6.27 Madi 4.80 6.63 Liudi 4.94 .4.71 Liuzhuang 4.07 5.85 Youfangdi 5.92 5.70 Hedi 4.83 4.61 Langbeijie 6.24 6.02 Langnanjie 4.90 6.54 Langzhongjie 5.80 5.53 Zhangwan 6.17 5.92 Dongjing 6.65 6.38 Xijing 5.88 5.58 Qianxiaozhuang 4.72 4.33 Dongmatouwang 5.89 5.82 Ximatouwang 5.89 5.83 Nangujun 6.11 5.87 Beigujuun 5.65 5.55 Zhudi 5.94 5.88 Dongyangxing 6.33 6.26 Xiyangxing 6.28 5.98 Gouwang 5.38 5.15 Baliushu 6.26 6.08 Qiliying 5.93 Xiaozhangzhuang 4.96 4.91 Dazhangzhuang 5.73 5.56 Miaozhuang 5.68 5.65 Caozhuang 4.22 4.09 Nanxinzhuang 5.67 5.49 Xiazhuang 5.89 5.64 Heiyangshan Maotan 5.72 5.61 Donggaozhuang 7.33 7.13 Dongci 6.25 6.16 Yanzhuang 6.32 6.07 Zhulou 6.96 Daminglou 6.86 6.45 Songloukouli 7.22 7.09 Xinwangzhuang 6.67 6.54 Xinzhuang 6.99 6.86 wangcunnongchang 7.55 7.26 _

Use of Land Compensation and Resettlement Subsidy Table 5.10. Activities Amount (Yuan) Date A B C I To increase Agricultural Productivity 15000000 Aug 1998 2 Construction of living installation 322105 Oct 1998 3 Training PAPs 80526 Aug 1998 4 Help PAPs with special needs 10000 Sep 1998 The following Technical Assistance Plan Table (below) was developed through consultation with the RAPs, and their input during consultation was incorporated into the plan. Specific recommendationsof the RAPs incorporated into the plan were Technical Training. The PRO will monitor results of the investmentof compensation funds. Summary Plan for the Use the Land Compensation and Resettlement Subsidy Funds to Increase Agricultural Productivity Table 5.10. Activities location Allocated Implementi Unit to dates T Expected Expected Expected funds ng unit deliver impact on impact on impact on

assistanc growth

______e _ _ j ______e A B C D E F G H Introductionof newcrops Improveirrigation Xinxiang 700,000 TRO Irrigati 98.10 10% 138 7% facilities Yuanyang 1,800,000 on Yuan/mu Applyfertilizer Xinxiang 200,000 TRO institut 98.8 5% 69 Yuanyang 400,000 e of Yuan/mu Developorchards Xinxiang 900,000 TRO Towns 98.6 8% 480 5% yuanyang 1,400,000 hip Yuan/mu Improve animal husbandry other______

E Enterprise Employment [ Enterprise Development 1 Other Enterprise Employment D) Implementation Schedule for Resettlement

Implementation Schedule for Resettlement Table 5.12. activity Date (i998-1999) 1 23 4 5 6 7 8 91_1 II _ 2 3 4 Invest to confirm loss _ _ Data analys CORO establish Policy establish Reconstruction site determine Preparation of RAP Set PAP living levels Get permission of land plan Get permission of land acquisition Sign land re-use agreement Allocate fund to CIRO and CORO Allocate fund to PAPs __ _ ------_Cornpensation payment to PAPs lll_< House construction _ ____==____ Relocate affected infrastructure _ __= ___ _ Resettlement of PAPs l t Land readjust lll_T___t Technical assistance i|!|L Remove of old house - - - - - Civil worklilll ___ __=== Monitoring I IT IT T _ _ I _ Invest of living level

6 [1INSTITUTIONAL ORGANIZATION A) Institutions Responsible for Resettlement Planning, Management, Implementation and Monitoring PHO has vested the PMO with the overall responsibility for the coordination, planning and implementationof land acquisition and resettlement activities. The Provincial Resettlement Office of the PMO is responsible for coordinating all resettlement activities under the project. The actual implementation of land acquisition and resettlement work will be carried out by the respective Land Acquisition Bureaus at the County and Township level and by County and Township ROs. The main departments, bureaus or agencies responsible for planning, implementing, coordinating and monitoring of resettlement activities under the project are: * Leading groups for resettlement at the province, city, county, and township levels. * PRO. * Survey and design institute. * City, county and township Resettlement Offices ( CIRO, CORO, TRO). * City, county and township land administration bureaus. * Village administrations in charge of resettlement. * IndependentMonitoring Organization for the project. * Consultants responsible to provide technical advice for the design and conduct of population censuses to be undertaken by the survey design institute. B) Responsibilities O PRO * Entrust the survey design institute with the measurement of resettlement impact, conduct population census, maintain data and train the ROs responsible for the use of data. * Apply for Planning License for Land Use and Permission for Construction Land Use to relevant authorities. * Develop the policy of the RAP. * Supervise and coordinate the compilation of the RAP. * Provide training of the CIROs and COROs. 3 Coordinate the implementationof the RAP and the construction schedule. * Sign resettlement contracts with LAB, CIROs and COROs. * Monitor the disbursement of funds. 3 Guide and monitor resettlement implementation. * Coordinate among organizationsinvolved in resettlement. * Monitor resettlement activities. 3 Review monitoring reports. 3 Prepare progress reports and submit them to the PMO. - Provide the resettlement budget. E CIROs * Receive city census data from the Survey Design Institute maintain it and use it as the basis of monitoring framework. * Update the data by incorporatingthe information provided by COROs. * Train the CORO and TRO staff. * Sign Resettlement Contracts with PRO and CORO from implementation. * Allocate the funds from PRO to COROs. * Guide and coordinate resettlement work in counties. * Report to PRO on work progress and provide suggestions. n COROs * Report county RAPs according to census data supplied by Survey Design Institute and resettlement policies of the project. * Implement RAP. * Guide and monitor TROs. * Receive resettlement funds for person. * Allocate resettlement funds for and monitor their use. * Train staff of TROs. * Report to CIRO and PRO. E TROs * Survey, monitor and record all resettlement activity within its jurisdiction. * Supervise acquisition of land, house, other buildings and structures, infrastructure, enterprise as well as house reconstruction and enterprise. * Monitoring training of PAPs. El Village AdministrationCommittee and Production Team * Report: -- Quantity of land acquired -Ownership and use rights of land and property -Land - Labor ratio * Participate in surveys. * Select resettlement sites. * Address grievance issues. * Report on progress. 0 Survey Design Institute * Survey and map resettlement area. * Calculate the detailed impact. * In collaboration with TRO and village administration establish and record ownership and right on land and assts. * Analyze data. * Assist PRO in the preparation of the RAP. * Train CIRO and CORO staff in the use and maintenance of census data. * Develop a monitoring system based on the census data and disseminate information to counties and cities. * Provide technical assistance on data management and measurement issues to PROs, COROs, CIROs and the independent monitors. 0 Independent Monitoring Organization * As an independent monitor this organization observes all aspect of resettlement planning and implementationand provides reports to the PRO on progress of resettlement. Responsibilities of this organization are presented in detail under Independent Monitoring in chapter 9. C) Leading Groups Provide the following information on the leading groups responsible for resettlement at the Provincial, City and County level: D Date of appointment * Composition * Responsibilities D) Staffing Staffing of the Resettlement Institutions Involved in the Project Table 6.1. Resettlement Avg. N° of Total Ng of Qualificati Date staffed Additional Institutions Staff Staff ons of Staff & mobilized Staff Needs A B C E F I PRO 6Feb 1998 Car 2 2 CIROs 4 Feb 1998 Car 1 3 COROs 3 6 Feb 1998 Car I 4 TROs Feb 1998 5 VillageAdministration 1 8 l Feb 1998 6 SurveyDesign Institute 7 IndependentMonitoring Org. 2 2 May 1998 8 Consultants 9 EmploymentBureaus

E) Training

Training Accomplishments and Needs Table 6.2. Resettlement Total No of N meceivedRR Ngm6vedRR Training Neesfor t6ing Institutions Staff Triningby PRO traningatHOHAIneeds A B C D E F I PRO 6 6 2 CIROs 4 4 3 COROs 6 3

4 TROs 5______5 Village Administration 8 6 Survey Design Institute 7 IndependentMonitoring Org. 8 Consultants 9 EmploymentBureaus CORO will train staff of TRO and Village. F) OrganizationalCharts See the Chart behind. 7[1PARTICIPATIONAND CONSULTATION The resettlement and rehabilitation program of the project was prepared through the active participation of the RAPs. Preliminary information on the project was disseminated to the RAPs during the census, and a public option survey was conducted on the RAPs and also the communities, which will be influenced by the project. Results of that survey is presented in Table 7.1. and 7.2. Information dissemination meeting were held at the village level where suggested compensation rates on housing, crop loss, location of resettlement sites and enterprise employment alternatives were presented to the RAPs. As a consequence of such meetings revisions were made in the RAP to accommodate the response of the RAP. A summary of the PAPs input into RAP is summarized in Table 7.1. Meetings will continue to be held to inform the PAPs about the progress of the project and to obtain further input. City and county governments also participated actively in shaping the resettlement policy. PAPs are already informed about the project impact on their assets, possible resettlement sites and change of employment from agriculture to enterprise. They have also stated their preference among possible alternatives during preliminary meetings. A Resettlement Information Booklet ( RIB ) was prepared as described in section 5-i . After the review of the RAP by the Bank the RIB will be reproduced and distributedto all the PAP households, indicating their exact entitlements. Consultations were held with the members of affected communities to evaluate the technical aspects of the project. Locations of underpasses, their height and width were evaluated in terms of current and further needs of the communities. The following are the avenues of participation of the PAPs in the resettlement process. PAPs have participated in some of these activities and will continue to participate for the duration of resettlement implementation. * Selection of specific resettlement locations for residential housing and enterprise. * Construction of their ( PAPs ) own houses. ( Or selecting from among government built houses). * Determining themselves ( PAPs ) whether the compensation received is the replacement value and voices their grievance through the mechanism development for the project. * That eligible for jobs will be able to select particular enterprise where they wish to be employed. * Discuss their concerns about resettlement with the independent monitors during the frequent monitoring surveys. * Local Township and district resettlement offices with the support of village councils and the PAPs will manage implementationof resettlement. Easy and direct access to implementing authorities will be available. The Modified Parts of RAP According the PAPs'Participation Table 7.1. Problems ParticipationPlaces Modified Result of RAP A B C I Site and size of interchange 2 Expressway Village Change width of culvert 3 Compensation rates of house Village According regulations 4. Compensation of crops Village According regulations 5 Compensation of other property Village According regulations 6 Relocation site Village 5 Household relocated 7 Enterprise employment 8 others

Investigation Results from PAPs about RAP Table 7.2. Sele Culve Compens Paym Time Reloc Constr E.P Ot cted rt ation ent arran ation uction her line rates ge site plan s

Laotu 95 70 60 100 100 90 95 90 P.I.B. 80 98 70 100 100 100 100 95 i C.B. 85 99 80 100 100 10 100 100 I.B. 60 65 100 100 95 100 L.A.B 90 80 95 95 100 98 100 98 Guandi 100 80 65 100 100 100 100 100 Youfangdi 96 75 70 100 100 100 100 100 Zhudi 100 60 55 100 100 100 100 100 Beigu 100 98 80 100 100 100 100 100 =___ Jinglou 100 95 47 . 100 100 100 100 100 Matouwang 100 99 58 100 100 90 100 100 P.I.B. 85 100 80 100 95 95 100 C.B. 92 98 86 100 95 95 100 -___ I.B. 90 95 73 100 100 100 100 L.A.B. 100 100 95 100 100 100 100

Program of PAPs Participation Directions: The way of PAPs'Participation El PAPs participate in the investigation of affected structures. DlPAPs participate discussions of the compensation policy and regulation. OlPAPs participate discussions of the resettlement active plan. DlVillage councils announce compensated amounts to the PAPs. O PAPs participate discussions of underpassesOculvert and bridge design. E PAPs participate monitoring of economic and living level increase. D1PAPs participate discussion of E.P. Activities. Schedule of PAP Participation Table 7.3. Contents Date Place Numbers Nature Invest on attached structures May 1998 Site PROStaff and PAPs Compensation rates Jun 1998 TRO office Headsof household Environment protection Jul 1998 Village All people Design of bridge and culvert Aug 1998 Village All people _ Economical situation December village Member of of every village year committee

80GRIEVANCE AND APPEALS Since the entire Resettlement and Rehabilitation program is being carried out with the participation of the PAPs, it is expected that no major grievance issue will arise. However, to ensure that the PAPs have avenues for redressing their grievances related to any respect of land acquisition and resettlement, detailed procedures of redress of grievances have been established for the project. The objective is to respond to the complaints of the PAPs speedily and in a transparent maimer. The mechanism is designed to be easy, accessible, transparent and fair. The purpose is to respond to grievance issues in an effective manner without resorting to complicated formal channels to the extent possible. By resolving grievance at the project level, the progress of the project would be more effectively ascertained. The procedures are as follows: Stage 1: If any aspect of the resettlement and rehabilitation program aggrieves any person, he/she can lodge an oral or written grievance with the Village AdministrationCommittee or the local TRO. In case an oral compliant is made, it will be written on paper by the village unit and processed. Village Administration Committee or the TRO will resolve the issue within 2 weeks. Stage 2: If the Aggrieved person is not satisfied with the decision in stage I , he/she can bring the complaint to the attention of the CORO within I month from the date of the receipt of the decision in stage I . CORO will reach a decision on the complaint within 2 weeks. Stage 3: If the Aggrieved person is not satisfied with the decision of the CORO, he/she can bring the complaint to the attention of the PRO within I month from the date of the receipt of the decision in stage 2 . PRO will reach a decision on the complaint within 3 weeks. Stage 4: If the PAP is still dissatisfied by the decision, he/she can appeal to the Peoples Court in accordance with the "Civil Procedure Act" within 15 days of receiving the decision of the PRO. PAPs can make an appeal on any aspect of the resettlement and rehabilitation program, including compensation rates being offered. Detailed procedures for redress of grievances and the appeal process is publicized among the PAPs during participation meetings and also posted in the offices of VillageAdministration Committees, TROs, COROs and CIROs. This information is also incorporated into the RIB to be distributed to the PAPs before the beginning of implementation. 9 31MONITORING [1 During the implementation,CIROs and COROs will enter implementationinformation from the TROs on and individual, household and unit basis on templates prepared for monitoring and deliver the record of the current activity in electronic from to the PRO. In this way a continuous monitoring of implementation will be maintained. PRO will conduct periodic supervision of resettlement at the village and township level to verify the reported progress on a random basis. In the overall framework there will be continuous floe of information on a regular format from the village level to the PRO and periodic supervision and verification by the PRO. All levels of the resettlement organization will therefore participate in the integrated monitoring mechanism. El Indicators be Monitored * Payment of Compensation to the PAPs/units. * Allotment of house plots. * Reconstruction of private housing. * Land readjustment for the PAPs losing land. * Provision of employment to surplus labor and the adequacy of employment in terms of security, public health, and skill levels incomes. * Rehabilitation of the vulnerable groups. * Rehabilitation of infrastructure and public buildings. * Restoration of affected enterprises and replacement of jobs of the surplus labor of those enterprises. * Scheduling of the above. * Confornity of the above with the provision of the RAP. * Adequacy of participation of the PAPs during implementation. * Staffing, training, work schedule and effectiveness of local ROs. 0 Responsibility a) Standards of Living Surveys (SLS) Methodology: The IMO will conduct a baseline SLS on a random sample of PAPs and a control group before the beginning of the resettlement implementation. SLS will be repeated twice to measure the change in the standards of living of the PAPs. This activity will be one of several approaches to determine the changes in the living standards of the PAPs. Open ended interviews with the PAPs and observational methods will also be utilized to supplement and guide the structured interview format. Development and testing of the Questionnaire: The questionnaires for the SLS will be developed considering the material and cultural factors of the locality to capture the quantitative and qualitative measures of standards of living. After the questionnaire is prepared it will be tested in practice surveys to determine its effectiveness as a measurement tool and will be revised based on the results. Training of the enumerators: The enumerators will be trained in the application of the questionnaire in training exercises using the revised questionnaire. Procedures for editing, coding the surveys: Enumerators will be supervised by a sufficient number of team leaders who will edit all the complete questionnaires in the presence of the enumerators on the same day the questionnaires are completed. Other organizations responsible in the conduct of the SLS: PRO will extend assistance to the IMO during the conduct of the SLS by providing logistical support whenever necessary. Local ROs will also assist and facilitate the work of the IMO. Sample size of different groups of PAPs and the Control Group: The size of the random sample that will be taken from the census data will be as follows * PAPs (general) 10% * Affected throughjob loss 25% v Other PAPs identified as at risk 25% e Secondary PAPs 3% b) Public Consultation IMO will participate in public consultation meetings held at the village and township level on a regular basis. Immediately after its appointment, IMO will send 2 of its staff to attend at least 2 public consultation meetings per month. Through participation in these incorporation of the PAPs concerns into the RAP. If IMO identifies problems with the openness and effectiveness of these meetings, it will suggest improvements in the structure and procedure of these meetings. These activities will continue before during and after the implementation of resettlement. c) Grievance Issues IMO will regularly visit sites and inquire about the grievance issues by interviewing the ROs receiving the grievances and also by interviewing the PAPs. Effectiveness of the grievance resolution framework will be constantly monitored and if necessary suggestions will be made for possible changes in the procedures to make the process more effective. d) Other Responsibilities IMO will advise the PRO during the preparation of the RAP and monitor the following activities through observation and open-ended interviews with PAPs: e Payment of compensation and its levels; * Land readjustment; * Preparation and adequacy of resettlement sites; * House construction; * Provision of enterprise employment, its adequacy and income levels; * Training; * Rehabilitationof the vulnerable groups; * Infrastructure relocation; * Enterprise relocation, compensation and its adequacy; -0 Compensation of lost assets; * Compensation for lost work time; * Transition allowances; * payment of replacement cost of lost assets; * scheduling of the above; and * organization of the resettlement network. 4) Personnel Personnel of ResettlementOrganizations Involved in Monitoring Table 9.1. Resettlement Organizations Regular Staff TotalStaff during Peak Period A B C I PRO 3 3 2 CIROs 2 2 3 COROs lI 4 TROs l I 5 Village Administration I I 6 Survey Design Institute 0 0 7 IMO 2 2 8 Consultants 0 0 9 Employment Bureaus 0 0

1 0 ______

5) Purpose and Responsibility Purpose and Responsibility of Monitoring Table9.2. P.R.

M.D. 1 2 3 4 5 6 7 8 9 10 11 12 13 PRO __ l_ | CIRO | ITI -T 7 CORO TRO l i i~ _ i i V. A. i i IMO = i i il __

Remarks: P.R.:Purpose and Responsibility M.D.: Monitoring Department V.A.: Village Administration 1:Compensation to PAPs 2: Relocation Site 3: Power and Water Supply 4: Economical Background of PAPs 5: Increasing Income of PAPs 6:Economical Background of Affected Area 7:lncreasing Rate of Affected Area 8: Resettlement of Laborers 9: Compensation to Vulnerable Groups 10: Resettlement of Women Laborers I1: Environment protection 12: Grievance and Appeals 13: Training 6) Independent monitoring Organization D'Name.of IMO: Population Research Institute of Social Science Institute, Henan Province 3 Time contract signed 3 List of the Monitoring Staff Tianshicheng Zhangshaoqian 7) Schedule of IMO activities Table 9.3. Time of Activities Method of data collection Frequency Method of unstructured surveys May 1998 to Visit PAPs Every Check to official statistics data Dec 1998 4 month and viast PAPs Monitoring formats see annex. 10DREPORTING A) Internal Reporting Provincial Project Office reports to the RO four times a year. CIROs, COROs report to the PRO four times a year. The contents and formats of reporting: The Report should include the name of units, date, contents, annual working plan and situations the plan were carried out, reasons of plan not finished, existing problems, results of solving and the problems need to be solved by PRO. B) PRO's Reporting PRO report to Provincial Construction Leading Team four times a year and report to the World Bank at the same time. The contents and formats are same with section 10.A. C) IMO's Reporting IMO collect data and report to the PRO and the World Bank twice a year, the reporting format will be made by IMO.

ANNEX