Resettlement Plan

April 2013

PRC: Guiyang Integrated Water Resources Management (Sector) Project

Resettlement Plan for Baianhe Reservoir Non-core Subproject

Prepared by the Guiyang municipal government for the Asian Development Bank.

CURRENCY EQUIVALENTS (as of 23 April 2013)

Currency unit – yuan (CNY)

CNY1.00 = $0.1616 $1.00 = CNY6.1871

NOTE (i) The fiscal year (FY) of the Government of the People’s Republic of China and its agencies ends on 31 December. FY before a calendar year denotes the year in which the fiscal year ends, e.g., FY2011 ends on 31 December 2011.

(ii) In this report, "$" refers to US dollars.

This resettlement plan is a document of the borrower. The views expressed herein do not necessarily represent those of ADB's Board of Directors, Management, or staff, and may be preliminary in nature. Your attention is directed to the “terms of use” section of this website.

In preparing any country program or strategy, financing any project, or by making any designation of or reference to a particular territory or geographic area in this document, the Asian Development Bank does not intend to make any judgments as to the legal or other status of any territory or area.

ADB-funded Guiyang Guiyang Integrated Water Resources Management (Sector) Project

Resettlement Plan for the Bai’an River Reservoir Project of Kaiyang County

KAIYANG COUNTY GOVERNMENT November 2012

TABLE OF CONTENTS

1 OVERVIEW OF THE SUBPROJECT ...... 1 1.1 BACKGROUND ...... 1 1.2 BRIEF INTRODUCTION ...... 2 1.2.1 Components...... 2 1.2.2 Summary of resettlement impacts ...... 2 1.2.3 Socioeconomic benefits of the Subproject ...... 4 1.2.4 Investment estimate and implementation schedule ...... 4 2 IMPACTS OF THE SUBPROJECT ...... 5 2.1 MEASURES FOR AVOIDING OR MINIMIZING LAND ACQUISITION AND PROPERTY DEMOLITION ...... 5 2.1.1 Principles for project design and site selection ...... 5 2.1.2 Comparison of options ...... 5 2.2 RANGE OF SURVEY OF IMPACTS OF LAND ACQUISITION AND PROPERTY DEMOLITION ...... 6 2.3 SURVEY METHODS OF LAND ACQUISITION AND PROPERTY DEMOLITION ...... 6 2.4 PERMANENT ACQUISITION OF COLLECTIVE LAND AND IMPACT ANALYSIS ...... 7 2.4.1 Collective land permanently acquired for the Subproject ...... 7 2.4.2 Impact analysis of permanent acquisition of collective land ...... 11 2.5 TEMPORARY LAND OCCUPATION ...... 13 2.6 DEMOLITION OF CULTIVATION AND STOCKBREEDING FACILITIES ...... 13 2.7 ATTACHMENTS AND SPORADIC TREES ...... 14 2.8 AFFECTED POPULATION ...... 14 2.8.1 Summary ...... 14 2.8.2 Affected vulnerable groups ...... 15 2.8.3 Impacts on women ...... 16 2.8.4 Impacts on ethnic minorities ...... 16 2.8.5 Identification of other impacts ...... 16 3 SOCIOECONOMIC PROFILE OF THE SUBPROJECT AREA ...... 18 3.1 SOCIOECONOMIC PROFILE OF AFFECTED CITY AND DISTRICTS (COUNTY) ...... 18 3.2 SOCIOECONOMIC PROFILE OF AFFECTED TOWNSHIPS ...... 18 3.3 SOCIOECONOMIC PROFILE OF AFFECTED VILLAGER TEAMS ...... 19 3.4 SOCIOECONOMIC PROFILE OF AFFECTED POPULATION ...... 19 3.4.1 Age structure and gender analysis...... 19 3.4.2 Educational level ...... 19 3.4.3 Occupations ...... 19 3.4.4 Arable land and household properties ...... 19 3.4.5 Income of displaced persons ...... 19 4 LEGAL FRAMEWORK AND POLICIES...... 21 4.1 LAWS, REGULATIONS AND POLICIES ON RESETTLEMENT ...... 21 4.2 ADB POLICIES ...... 21 4.3 LAWS AND POLICIES OF THE PRC ...... 23 4.3.1 Provisions on land acquisition ...... 23 4.4 PRINCIPLES AND ELIGIBILITY FOR COMPENSATION OF THE SUBPROJECT ...... 27 4.4.1 Principles for compensation ...... 27

4.4.2 Determination of eligibility for compensation ...... 27 4.4.3 Compensation for acquisition of collective land ...... 27 4.4.4 Compensation rates for temporary land occupation ...... 29 4.4.5 Compensation rates for demolition of cultivation and stockbreeding facilities ...... 29 4.4.6 Compensation rates for attachments and sporadic trees ...... 29 4.4.7 Reservoir clean-up costs ...... 30 4.4.8 Other costs and tax rates ...... 30 4.4.9 Social security funds ...... 31 4.4.10 Vulnerable groups ...... 31 4.5 ENTITLEMENT MATRIX ...... 32 5 RESETTLEMENT MEASURES ...... 34 5.1 OBJECTIVES OF RESETTLEMENT ...... 34 5.2 PRINCIPLES FOR RESETTLEMENT AND REHABILITATION ...... 34 5.3 RESETTLEMENT REHABILITATION PROGRAMS ...... 34 5.3.1 Analysis of willingness for resettlement ...... 34 5.3.2 General Resettlement Schemes ...... 35 5.3.3 Rehabilitation program for key villager teams ...... 40 5.4 LIVELIHOOD TRAINING ...... 41 5.5 WOMEN ...... 41 5.6 PROTECTION OF VULNERABLE GROUPS’ RIGHTS AND INTERESTS ...... 41 5.7 RESTORATION OF TEMPORARILY OCCUPIED LAND...... 42 5. 8 RESTORATION OF TRAFFIC FACILITIES ...... 42 5.9 LATER STAGE SUPPORT AND PLAN ...... 43 5.10 PROTECTION, DEVELOPMENT AND UTILIZATION OF RESERVOIR WATERS ...... 43 6 ORGANIZATION AND RESPONSIBILITIES ...... 44 6.1 RESETTLEMENT MANAGEMENT AGENCIES ...... 44 6.1.1 Organizational setup ...... 44 6.1.2 Organizational responsibilities ...... 44 6.2 STAFFING AND EQUIPMENT OF RESETTLEMENT AGENCIES ...... 46 6.2.1 Staffing ...... 46 6.2.2 Equipment ...... 47 6.3 TRAINING PROGRAM ...... 47 6.3.1 Training program for resettlement management staff ...... 47 6.3.2 Measures for improving resettlement agencies ...... 47 7 PUBLIC PARTICIPATION AND GRIEVANCE REDRESS ...... 49 7.1 PUBLIC PARTICIPATION ...... 49 7.2 SOCIAL ADAPTABILITY ADJUSTMENT MEASURES ...... 50 7.3 PUBLIC PARTICIPATION PLAN ...... 50 7.4 GRIEVANCE REDRESS ...... 51 8 RESETTLEMENT BUDGET ...... 53 8.1 RESETTLEMENT BUDGET ...... 53 8.2 ANNUAL INVESTMENT PLAN ...... 53 8.3 MANAGEMENT AND DISBURSEMENT OF RESETTLEMENT FUNDS ...... 53 9 RESETTLEMENT IMPLEMENTATION PLAN ...... 55

9.1 PRINCIPLES FOR RESETTLEMENT IMPLEMENTATION ...... 55 9.2 SCHEDULE OF RESETTLEMENT IMPLEMENTATION ...... 55 10 MONITORING AND EVALUATION ...... 57 10.1 INTERNAL MONITORING ...... 57 10.2 EXTERNAL MONITORING ...... 58 10.2.1 Scope and methods of external monitoring ...... 58 10.2.2 External monitoring reporting ...... 59 10.3 RESETTLEMENT POST-EVALUATION ...... 59 APPENDIX 1 SCHEMATIC MAP OF THE SUBPROJECT ...... 60 APPENDIX 2 ORDER TO CEASE CONSTRUCTION ...... 61 APPENDIX 3 – RIB ...... 68 APPENDIX 4 RESETTLEMENT INVESTMENT ESTIMATES ...... 87

LIST OF TABLES Table 1-2 Main resettlement impacts of the Subproject ············································································· 3 Table 2-1 Comparison of land acquisition and resettlement options ····························································· 5 Table 2-2 Administrative divisions affected by land acquisition and property demolition of the Subproject ············ 6 Table 2-3 Summary of collective land permanently acquired for the Subproject ·············································· 9 Table 2-4 Population affected by collective land acquisition ····································································· 10 Table 2-5 Impact analysis of land acquisition on affected village teams ······················································ 12 Table 2-6 Impact analysis of land acquisition on affected households ························································ 12 Table 2-7 Willingness of households affected by land acquisition for restoration programs ····························· 13 Table 2-8 Impacts of temporary land occupation ··················································································· 13 Table 2-9 Affected cultivation and stockbreeding facilities ········································································ 14 Table 2-10 Sporadic trees and attachments affected by the Subproject ······················································ 14 Table 2-11 Population affected by the Subproject ·················································································· 15 Table 2-12 Summary of affected vulnerable groups ··············································································· 15 Table 3-1 Socioeconomic profile of affected city and county ···································································· 18 Table 3-2 Information of townships affected by land acquisition and property demolition ································ 18 Table 3-3 Information of villager teams affected by land acquisition and property demolition ··························· 19 Table 4-1 Policies on land acquisition and property demolition, and their application ····································· 24 Table 4-2 Principles for resettlement··································································································· 27 Table 4-3 Compensation rates for land acquisition ················································································· 27 Table 4-4 Compensation rates for temporary land occupation ·································································· 29 Table 4-5 Compensation rates for affected premises for cultivation and stockbreeding ·································· 29 Table 4-6 Compensation rates for affected ground attachments and sporadic trees ······································ 29 Table 5-1 Summary of resettlement programs and income restoration measures ········································· 35 Table 5-2 Production Resettlement, Relocation Resettlement and Arrangement for Land acquisition for Construction of Bai’an River Reservoir Project (Areas of Reservoir and Pivotal Dam) ···························· 38 Table 5-3 Production Resettlement Planning of the Land Requisition for Construction of Bai’an River Reservoir Project ································································································································· 39 Table 5-5 Summary of income restoration measures of Shuijingwan Team ················································· 40 Table 5-6 Balance sheet for income restoration measures of Shuijingwan Team ·········································· 41 Table 5-7 Schedule of resettlement training ························································································· 41 Table 6-1 Staffing of resettlement agencies ·························································································· 47 Table 6-2 Training program for resettlement staff ··················································································· 47 Table 7-1 Information disclosure and public participation at the preparation stage ········································ 49 Table 7-2 Public participation plan of the Subproject ·············································································· 50 Table 8-1 Resettlement costs ············································································································ 53 Table 8-2 Annual investment plan ······································································································ 53 Table 9-1 Resettlement implementation schedule ·················································································· 55 Table 10-1 Progress report on resettlement for land acquisition and property demolition ································ 57 Table 10-2 Progress of fund utilization ································································································ 57 Table 10-3 Schedule for resettlement monitoring and evaluation ······························································ 59

LIST OF FIGURES Figure 2-1 Present situation of proposed site of pivot (dam) ...... 8

Figure 2-2 Present situation of land to be inundated...... 8 Figure 6-1 Block diagram of resettlement management organization ...... 44 Figure 7-1 Flowchart of grievance redress system ...... 52

ABBREVIATIONS

ADB - Asian Development Bank AAOV - Average Annual Output Value DMS - Detailed Measurement Survey EMDP - Ethnic Minority Development Plan FGD - Focus Group Discussion M&E - Monitoring and Evaluation PMO - Project Management Office PRC - People’s Republic of China RP - Resettlement Plan

UNITS

Currency unit = Yuan (CNY) 1.00 yuan = $0.15 1 hectare = 15 mu

LETTER OF COMMITMENT

The Guiyang Municipal Government (GMG) has applied for a loan from the Asian Development Bank (ADB) for this subproject through the Ministry of Finance of the People’s Republic of China (the “PRC”). Therefore, this subproject must be implemented in accordance with ADB’s social safeguard policies. This resettlement plan (RP) represents a key requirement of ADB and becomes a basis of the land acquisition, property demolition and resettlement work of this subproject. This RP complies with the applicable laws of the PRC, and the applicable local regulations. In order to complete resettlement more effectively, this RP includes some additional measures, and implementation and monitoring arrangements.

This subproject is located on the Bai’an River, Kaiyang County, Guiyang Municipality, so the Kaiyang County Government hereby acknowledges the contents of this RP, and warrants that the budgetary funds under this RP will be included in the general budget of this subproject and made available on time. The Kaiyang County Government has discussed the first draft of this RP with the agencies concerned, and such draft has been accepted by them. The Kaiyang County Government has authorized the Kaiyang Project Management Office (PMO) (Water Resources Bureau) to implement this subproject and the related resettlement work.

HEAD OF THE KAIYANG COUNTY GOVERNMENT

______(Signature) ______(Date)

Executive Summary

The Bai’an River Reservoir Project of Kaiyang County (hereinafter referred to as the “Subproject”) is a non-core subproject of the ADB-funded Guiyang Guiyang Integrated Water Resources Management Project, and a water resources project for county town water supply mainly. The main purpose of the Subproject is to meet the county town’s demand for drinking water and the demand for downstream ecological water. The main task of the Subproject is to construct a reservoir, including a reservoir (and a dam), flood channels, a construction diversion tunnel and an access road. The Water Resources Bureau of Kaiyang County (PMO) is the implementing agency of the Subproject.

The Subproject will be constructed from April 2013 to December 2014, and the land acquisition, compensation and resettlement work of the Subproject commenced – land measurement survey has been done and the agreement and the compensation will be done before the end of March 2013. No displacement of persons has occurred yet. These resettlement activities will be completed in December 2013.

The main impacts of the Subproject are permanent land acquisition and temporary land occupation, involving 7 villager teams in Dingfang and Qunxing Villages, Yangguan Town, Kaiyang County, and Maojiayuan Village, Jiangnan Xiang, Guiyang Municipality. The Subproject will affect 102 households with 399 persons; 830.87 mu of land will be acquired, including 197.82 mu of arable land (62.61 mu of irrigated land and 135.21 mu of non-irrigated land), 555.3 mu of woodland (139.87 mu of forest land and 405.43 mu of shrub land), 0.35 mu of construction land and 77.4 mu of unused land (44.35 of river flat and 33.05 mu of river surface). The Subproject affects temporary cultivation and stockbreeding facilities of 169.25 m2. No residential housing will be demolished for the Subproject. The Subproject will also affect sporadic trees, tombs and other ground attachments.

To avoid or minimize negative impacts of land acquisition, adequate consultation was conducted on the potential site of the Subproject, the villager teams affected by reservoir inundation and resettlement at the stage of feasibility study and preliminary design. An optimum option was selected through comparison.

This Resettlement Plan (RP) is based on the Land Administration Law of the PRC (2004), Decision of the State Council on Deepening the Reform and Rigidly Enforcing Land Administration (SC [2004] No.28), the applicable policies of Guizhou Province and Guiyang Municipality, and ADB’s social safeguard policies. According to the above policies, and in consultation with local governments and affected persons, the resettlement principles of the Subproject are: (1) Involuntary resettlement should be avoided where feasible; (2) The affected persons are granted compensation and rights that can at least maintain or even improve their livelihoods in the absence of the project; (3) The affected persons are given compensation and assistance in

resettlement whether legal title is available or not before the cut-off date; (4) The economic compensation shall ensure that everyone will at least maintain their standard of living after resettlement; (5) If the land available to everyone is insufficient to maintain his/her livelihood, replacement in cash or in kind and other income-generating activities are provided for the lost land; (6) The affected persons fully understand their entitlements, the method and standard of compensation, the livelihood and income restoration plan, and the project schedule, and participate in the implementation of the Resettlement Plan; (7) No land should be acquired before the affected persons are satisfied with the compensation and resettlement (plan); (8) The executing agency and an independent agency / third party should monitor the compensation, relocation and resettlement operations; (9) The vulnerable groups (including women) are provided special assistance or treatment so that they lead a better life, and all affected persons should have an opportunity to benefit from the project; and (10) The resettlement costs are sufficient to cover all affected aspects.

The Subproject will not involve basic farmland. According to the Notice of the Guiyang Municipal Government on the Promulgation and Implementation of Uniform Annual Output Values and Location-based Compensation Rates for Land Acquisition (GMG [2009] No.100), the compensation rates for permanent land (including young crops and attachments) acquisition of the Subproject are: 36,000 yuan/mu for arable land, 16,260 yuan/mu for woodland, 10,500 yuan/mu for land for construction and 6,000 yuan/mu for unused land; the compensation rates for the demolition of rural housing are: 596 yuan/m2 for masonry concrete structure, 487 yuan/m2 for masonry timber (brick) structure, 410 yuan/m2 for timber tile structure and 320 yuan/m2 for earth timber structure. Compensation fees for temporary land occupation include land occupation fees, reclamation fees, production restoration fees and young crop fees, and are 14,500 yuan/mu.

Income restoration measures for displaced persons include cash compensation, soil improvement, wasteland reclamation, skills training, increased investment in infrastructure, and priority in employment under the Subproject. Land compensation fees, resettlement subsidies and young crop fees will be paid directly to the affected households without being withheld at the township or village level. The affected households will invest the compensation in the crop restructuring of the remaining land and other nonagricultural operations. The Kaiyang PMO will establish a support fund for vulnerable groups of 30,000 yuan, and provide assistance to vulnerable groups affected by the Subproject together with civil affairs or labor and social security authorities.

All affected persons have been informed of key points of this RP by various means, including meeting, interview, focus group discussion (FGD), public participation and community consultation. The above activities are designed to involve displaced persons in the Subproject, and their opinions have been fully embodied in this RP. The Guiyang PMO will be responsible for the supervision of RP implementation, subsequent participation and consultation, and grievance redress, and the grievance redress system has been described clearly herein. The

Resettlement Information Booklet (RIB) and this RP will be distributed to the affected persons or teams by the Mid December 2012, and this RP will be published on ADB’s website after ADB’s approval. A grievance redress system has been established. All agencies will accept grievances and appeals from the affected persons for free, and costs so reasonably incurred will be disbursed from the contingencies.

According to the implementation schedule of the Subproject, the land acquisition, compensation and resettlement work of the Subproject will be started in March 2013 and completed in December 2013. To ensure the successful implementation of this RP, an independent agency will perform external monitoring semiannually in addition to internal monitoring.

The resettlement costs of the Subproject are 35,441,600 yuan, including land compensation, resettlement subsidies, property demolition compensation, ground attachment compensation and restoration fees, resettlement monitoring and evaluation (M&E) costs, support fund for vulnerable groups, contingencies and relevant taxes, etc.

1 Overview of the Subproject

1.1 Background

The Subproject is a non-core subproject of the ADB-funded Guiyang Guiyang Integrated Water Resources Management Project with the aim of supplying domestic water to the Kaiyang county town and secure drinking water. The Subproject is located in Baini Team, Dingfang Village, Yangguan Town, Kaiyang County, and the dam is located between Upper Jipakan and Middle Jipakan at the outlet of the Liangcha River on the Bai’an River, 10.6Km away from the Kaiyang county town, at EL106°40′ and NL 27°03′. The reservoir dam is to be located in the middle Bai’an River, which is a left branch of the Qingshui River, a south branch of the Wujiang River. The proposed dam site is located in the middle and upper Bai’an River, with a catchment area of 20.1 km2 above the dam site. The main waterway is 6.6 km long and has a gradient of 28.9‰, with an annual average runoff of 10.65 million m3, a measured low water discharge of 0.06m3/s and an annual average discharge of 0.33m3/s. The Bai’an River Reservoir consists of a dam, an outlet structure, diversion and relief bottom holes and a water release structure. The dam site is located 100m below the Upper Jipakan Bridge on the Bai’an River in Dingfang Village. The dam is a concrete arch dam, with a maximum height of 63.5m, a design urban water supply of 6.04 million m3. The outlet structure is of the crest overflow type and has a WES-type practical weir with a top inlet clear width of 2 (holes) × 5m. No sluice is provided on the weir and free overflow is allowed for. The reservoir has a normal pool level of 1,121m, a capacity of 5.79 million m3, a checked flood level of 1,124.86m, a gross capacity of 7.36 million m3 and a design annual water supply of 6.04 million m3. In May 2006, the Proposal for the ADB-funded Guiyang Guiyang Integrated Water Resources Management Project included the Bai’an River Reservoir as one of the first subprojects. In July 2006, the Anshun Municipal Water Resources and Hydropower Survey and Design Institute completed the Feasibility Study Report. In May 15, 2009, the Department of Water Resources of Guizhou Province reviewed the Feasibility Study Report together with the Guizhou Provincial Development and Reform Commission, and the design agency supplemented and amended the Feasibility Study Report according to the review opinions. On 28 December 2009, Kaiyang County Government has issued ‘Notification for Prohibit Adding New Projects and Immigrations in Bai’anhe; Maozhulin and Shanmulin Reservoir Inundation Area and Construction Area and has announced to the local people. In March 2010, the design agency conducted a detailed measurement survey (DMS) of the inundated area and dam construction area of the Bai’an River Reservoir with the support of the owner. The survey results were disclosed and confirmed level

by level. In May 2010, the Outline of the Land Acquisition and Resettlement Plan for the Bai’an River Reservoir Project of Kaiyang County was completed. In September, 2010, the Guiyang Municipal Government approved the Outline of the Land Acquisition and Resettlement Plan for the Bai’an River Reservoir Project of Kaiyang County. In October 2010, the Land Acquisition and Resettlement Planning Report for the Bai’an River Reservoir Project of Kaiyang County was completed. On March 2, 2011, the Guiyang Municipal Development and Reform Commission approved the Preliminary Design of the Subproject.

1.2 Brief introduction

1.2.1 Components The Subproject is a water resources for county town water supply. The main purpose of the Subproject is to meet the county town’s demand for drinking water and the demand for downstream ecological water. The main task of the Subproject is to construct a reservoir, including a reservoir, a dam (including an outlet structure and a water release structure) and an access road. See Table 1-1 for the components, and Appendix 1 for the schematic map of the Subproject. Table 1-1 Summary of components Component Brief description Main impact The reservoir falls into Category Small (1), Involving Dingfang and Qunxing with a normal pool level of 1,121m, a Villages in Yangguan Town, and capacity of 5.79 million m3; a checked flood Reservoir Maojiayuan Village in Jiangnan level of 1,124.86m, a gross capacity of 7.36 Xiang, inundating 773.15 mu of land million m3 and a design annual water permanently supply of 6.04 million m3. The dam is a C15 fine concrete rubble Involving Wumuqing Team of dome dam that is 136m long, with a Maojiayuan Village, Jiangnan Xiang, Pivot area maximum height of 66m, a top width of occupying 36.12 mu of land (dam) 4.5m and a bottom thickness of 18m, permanently and 30 mu of land supplying 5.69 million m3 of water to the temporarily county town annually. A road from a rural highway to the dam site Access Involving Dingfang Village, occupying will be constructed, 4km long and 7m wide, road 21.6 mu of land permanently with mud and stone surface.

1.2.2 Summary of resettlement impacts The range of land acquisition and property demolition of the Subproject includes the reservoir area, dam area and access road. The main impact of the Subproject is permanent / temporary land occupation, involving 7 villager teams of 3 villages of two townships in Kaiyang County, Guiyang

Municipality, which are Lijiazhai, Baini and Gantian Teams of Dingfang Village in Yangguan Town, and Shuijingwan, Yejiazhuang and Boshang Teams of Qunxing Village, and Wumuqing Team of Maojiayuan Village in Jiangnan Xiang, Kaiyang County, affecting 102 households with 399 persons directly. In addition, 10 households with 37 persons of Wumuqing Team of Maojiayuan Village, Jiangnan Xiang will be affected by temporary land occupation. 830.87 mu of collective land will be acquired, including 197.82 mu of arable land; 30 mu of land will be occupied temporarily, including 20 mu of arable land; temporary cultivation and stockbreeding facilities of 169.25 m2 will be demolished. In addition, the Subproject will affect sporadic trees, tombs and other ground attachments. See Table 1-2.

Table 1-2 Main resettlement impacts of the Subproject Municipality / prefecture Guiyang Municipality Total District / county Kaiyang County Chengguan Jiangnan Township / Town Xiang Villages 2 1 3 Villager teams 6 1 7 Acquisition of Total 695.22 135.65 830.87 collective land (mu) Where: arable land 168.42 29.4 197.82 Temporary land Total 0 30 30 occupation (mu) Where: arable land 0 20 20 Demolished temporary cultivation and 169.25 0 169.25 stockbreeding facilities (m2) Households affected by land 96 6 102 acquisition Population affected by land 376 23 399 acquisition Households affected by 0 0 0 property demolition Population affected by 0 0 0 property demolition Households affected by both Directly affected land acquisition and property 2 0 2 population demolition Population affected by both land acquisition and property 7 0 7 demolition Non-residential properties 0 0 0 Population 0 0 0 Total number of households 96 6 102 Total population 376 23 399 Temporarily Households 0 10 10 affected population Population 0 37 37

1.2.3 Socioeconomic benefits of the Subproject At project completion, the reservoir will have a gross capacity of 7.36 million m3 and an effective capacity of 5.516 million m3, improve the water supply environment for Kaiyang County greatly, and intercept floods to reduce the threat of floods to downstream ecology. It will also ensure downstream water supply, promote the development of the county economy, and improve people’s standard of living. It is estimated that the Subproject will benefit a population of 121,100.

1.2.4 Investment estimate and implementation schedule The gross investment estimate of the Subproject is 118,199,200 yuan, in which resettlement costs are 35,441,600 yuan, accounting for 30% of gross investment. The Subproject will be constructed from April 2013 to December 2014, and the construction period will be 21 months. Based on the progress of the Subproject, the owner began to prepare the Resettlement Plan (RP) of the Subproject in August 2011 under the direction of the ADB Technical Assistance Team, and the draft RP was submitted to ADB for review at the end of October 2011. ADB provided comments in January 2012, which have been incorporated into this final RP. This final RP was resubmitted to ADB at the December 2012. After this RP has been approved by ADB, the land acquisition, compensation and livelihood restoration work of the Subproject will be started in March, 2013.

2 Impacts of the Subproject

2.1 Measures for avoiding or minimizing land acquisition and property demolition

2.1.1 Principles for project design and site selection Resettlement impacts have been considered at the design stage to minimize such impacts. The main principles are as follows:  Avoiding any settlement that may restrict reservoir size  Avoiding or minimizing occupation of existing and planned residential areas (urban and rural)  Avoiding or minimizing occupation of high-quality farmland and pasture land  Gaining access to the proposed construction sites through existing state and local roads  Avoiding or minimizing occupation of environmentally sensitive areas  Selecting a resettlement community in line with the local development plan

2.1.2 Comparison of options The Bai’an River Reservoir is a small reservoir. To reduce land acquisition and resettlement, the Anshun Municipal Water Resources and Hydropower Survey and Design Institute conducted strict option comparison and optimization, of which land occupation and acquisition was one of the most important indicators. The options of gravity dam and arch dam have been compared to minimize arable land occupation and amount of work. Provided the water supply capacity is unchanged, the inundation level has been demonstrated carefully. As a result, Option 2 occupies 45 mu less of land than Option 1, so Option 2 has been chosen. See Table 2-1. Table 2-1 Comparison of land acquisition and resettlement options Item Unit Gravity dam Arch dam Designed flood level m 1123.72 1123.72 Checked flood level1 m 1124.73 1124.73 Maximum height m 66 66 Arable land mu 197.82 197.82 Physical Where: irrigated land mu 62.61 62.61 indicators of Non-irrigated land mu 135.21 135.21 inundation Woodland mu 555 513 Subtotal mu 752.82 710.82

Land occupation by reservoir inundation is unavoidable. However, the construction area and the access road can be optimized to minimize land acquisition and property demolition. Before construction, a field investigation was conducted for

1 The final technical design still needs to be checked and approved to confirm this elevation.

layout optimization. During construction, stockyards and dumping sites should be located properly to avoid unnecessary land acquisition. In addition, land acquisition (occupation) will be notified to affected households in advance according to the construction schedule to reduce their losses.

2.2 Range of survey of impacts of land acquisition and property demolition

The range of impact of land acquisition and property demolition includes the reservoir inundation area, the pivot area and the access road. The range of the impact survey is as follows: (1) Land acquisition line: For arable and garden land, the land acquisition line will be the design backwater line for floods every two years in consideration of 20 years of silt accumulation; in the dam-front segment where the impact of backwater is insignificant, 0.5m will be added to the normal pool level for the sake of safety. (2) Population migration line: The population migration line will be the design backwater line for floods every two years in consideration of 20 years of silt accumulation; in the dam-front segment where the impact of backwater is insignificant, 1m will be added to the normal pool level of 1,121m for the sake of safety. (3) Inundation line for special facilities: to be determined by reference to the standard for each type of special facilities and the corresponding flood standard (4) The land acquisition ranges for the area and the access road will be determined based on the overall hydrotechnic and construction layout. According to the above range, land acquisition and property demolition involve 7 villager teams of 3 villages of two townships in Kaiyang County. See Table 2-2. Table 2-2 Administrative divisions affected by land acquisition and property demolition of the Subproject Component County Township Village Team Dingfang Lijiazhai, Baini, Gantian Reservoir Chengguan Town Shuijingwan, Boshang, Kaiyang Qunxing area Yejiazhuang Jiangnan Xiang Maojiayuan Wumuqing Pivot area Chengguan Town Dingfang Baini Kaiyang (dam) Jiangnan Xiang Maojiayuan Wumuqing Access road Kaiyang Chengguan Town Dingfang Baini

2.3 Survey methods of land acquisition and property demolition

In March 2010, the Kaiyang County Government organized a DMS with the assistance of the affected townships, villages and villager teams using a 1:1,000 topographic map to learn project impacts. The survey team also surveyed all the 102 households affected by land acquisition, covering household population, household economic position and willingness for resettlement. During the resettlement impact survey, comments of village committees and villagers on land acquisition and

resettlement were listened to, and extensive consultation conducted. The results of the resettlement impact survey were confirmed by the affected persons and the departments concerned; private statistics of households were confirmed by heads of households by signature or stamping; collective statistics were confirmed by proprietors by signature or stamping; villager team statistics were verified by villager teams and village officials, and confirmed by signature or stamping; village-level statistics were verified by village and township officials, and confirmed by signature or stamping; township-level statistics were confirmed by township- and county-level representatives by signature, and verified by the county government by stamping. Announcements were posted for public disclosure, and the types and quantities of the inundated land were also confirmed by the Land and Resources Bureau, and Forestry Bureau of Kaiyang County. During the resettlement impact survey, comments of village committees, villager teams and villagers on land acquisition, property demolition and resettlement were listened to extensively, and extensive consultation conducted. The key findings are as follows: 1) Almost all affected households welcome the Subproject and know that it is about to be started; 2) Many affected persons are working outside, and agricultural income is not the main source of household income; 3) The affected area is located in river valleys where traffic is inconvenient, and most affected persons think land acquisition has minor impact and are inclined to choose cash compensation; 4) Compensation fees should be paid transparently with minimum intermediate steps; 5) There is no ethnic minority in the subproject area, so the Subproject has no impact on ethnic minorities.

2.4 Permanent acquisition of collective land and impact analysis

2.4.1 Collective land permanently acquired for the Subproject Collective land acquisition involves 7 villager teams of 3 villages in Chengguan Town and Jiangnan Xiang, Kaiyang County; 830.87 mu of land will be acquired, including 717.42 mu (86.35%) for reservoir inundation, 91.85 mu (11.05%) for the pivot area (dam) and 21.6 mu (2.6%) for the access road. By land type, 197.82 mu of arable land (23.8%), 555.3 mu of woodland (66.8%), 0.35 mu of construction land (0.1%) and 77.4 mu of unused land (9.3%) will be occupied for the Subproject. 695.22 mu of collective land in Chengguan Town (83.7%) and 135.65 mu of collective land in Jiangnan Xiang (16.3%) will be acquired. See Table 2-3. Land acquisition will affect 102 households with 399 persons. See

Table 2-4.

Figure 2-1 Present situation of proposed site of dam

Figure 2-2 Present situation of land to be inundated

Table 2-3 Summary of collective land permanently acquired for the Subproject Farmland (mu) Unused land Arable land Woodland Construction Total Proportion Component Township Village Team Non- River River Irrigated Forest Shrub land (mu) Subtotal (mu) (%) irrigated Subtotal Subtotal flat surface land land land land Lijiazhai 14.99 9.52 24.51 4.32 38.02 42.34 0 1.65 4.2 5.85 72.7 8.7% Dingfang Baini 0 2.84 2.84 43.3 245.94 289.24 0 0 6.6 6.6 298.68 35.9% Chengguan Gantian 0.87 0 0.87 28.23 19.8 48.03 0 0 5.23 5.23 54.13 6.5% Town Shuijingwan 43.96 58.34 102.3 0 15.87 15.87 0.35 26.85 3.6 30.45 148.97 17.9% Reservoir Qunxing Yejiazhuang 2.79 21.41 24.2 0 33.65 33.65 0 6.5 6.6 13.1 70.95 8.5% Boshang 0 13.7 13.7 0 3.46 3.46 0 4.63 6.4 11.03 28.19 3.4% Jiangnan Maojiayuan Wumuqing 0 14.4 14.4 31.72 48.69 80.41 0 4.72 0 4.72 99.53 12.0% Xiang Subtotal / / 62.61 120.21 182.82 107.57 405.43 513 0.35 44.35 32.63 76.98 773.15 93.1% Jiangnan Dam pivot Maojiayuan Wumuqing 0 15 15 10.7 10 20.7 0 0 0.42 0.42 36.12 4.3% Xiang Chengguan Access road Dingfang Baini 0 0 0 21.6 0 21.6 0 0 0 0 21.6 2.6% Town Total 62.61 135.21 197.82 139.87 415.43 555.3 0.35 44.35 33.05 77.4 830.87 100.0% Proportion 7.5% 16.3% 23.8% 16.8% 50.0% 66.8% 0.0% 5.3% 4.0% 9.3% 100.0%

Table 2-4 Population affected by collective land acquisition Township Village Team Households Population Lijiazhai 18 67 Dingfang Baini 8 38 Gantian 6 26 Chengguan Town Shuijingwan 40 150 Qunxing Yejiazhuang 15 57 Boshang 9 38 Jiangnan Xiang Maojiayuan Wumuqing 6 23 Total 102 399

2.4.2 Impact analysis of permanent acquisition of collective land The affected teams have 2,208.54 mu of arable land and a per capita arable area of 1.20 mu before land acquisition, and 2,010.68 mu of arable land and a per capita arable area of 1.09 mu after land acquisition. A comparative analysis of land and income losses arising from land acquisition of the affected villager teams has been made. Among the 7 teams of the 3 affected villages, Shuijingwan Team of Qunxing Village is affected greatly, where the land loss rate of the affected households is 25.8%, and per capita arable area is 0.86 mu before land acquisition and 0.64 mu thereafter. For the affected households in the other villager teams, land loss rate is not more than 10%. Paddy rice, corn and rape are grown in the subproject area mainly. See Table 2-5. Among the 102 households affected by land acquisition, 40 households have a land loss rate of 21%-50%, 20 households have a land loss rate of 11%-20% and 42 households have a land loss rate of 10% or less. Average income loss per household arising from land acquisition is 867 yuan (based on the net income of 750 yuan/mu) or per capita income loss is about 372 yuan, accounting for 6.01% of gross income per household. In sum, land acquisition has little impact on farmers. Table 2-6. In addition, like other parts of western China, and indicated by Labor bureau of Kaiyang County, 70% of laborers in the subproject area are working in developed provinces along the eastern coast, and would return home on traditional Chinese festivals (e.g., the Spring Festival) only. Outside employment has become an important income source of the affected households.

Table 2-5 Impact analysis of land acquisition on affected village teams Before land acquisition After land acquisition Land loss Per capita arable area rate at Before Township Village Team Arable land Arable land Affected Affected After land Households Population village land (mu) acquired (mu) Households Population acquisition team level acquisition Lijiazhai 73 254 284.5 24.51 18 67 8.6% 1.12 1.02 Dingfang Baini 78 274 416.5 2.84 8 38 0.7% 1.52 1.51 Chengguan Gantian 57 181 180.1 0.87 6 26 0.5% 1.00 0.99 Town Shuijingwan 113 460 396 102.3 40 150 25.8% 0.86 0.64 Qunxing Yejiazhuang 64 204 271 24.2 15 57 8.9% 1.33 1.21 Boshang 68 228 314.6 13.7 9 38 4.4% 1.38 1.32 Jiangnan Maojiayuan Wumuqing 71 242 345.8 29.4 6 23 8.5% 1.43 1.31 Xiang Total 524 1843 2208.5 197.82 102 399 9.0% 1.20 1.09 Table 2-6 Impact analysis of land acquisition on affected households 10% or less 11%-20% 21%-50% 51% or more Total Township Village Team Households Population Households Population Households Population Households Population Households Population Lijiazhai 7 21 1 5 10 39 0 0 18 67 Dingfang Baini 4 18 1 6 2 7 1 7 8 38 Chengguan Gantian 5 23 1 3 0 0 0 0 6 26 Town Shuijingwan 10 31 6 21 18 75 6 23 40 150 Qunxing Yejiazhuang 10 37 1 4 4 16 0 0 15 57 Boshang 2 9 2 9 5 20 0 0 9 38 Jiangnan Maojiayuan Wumuqing 4 14 1 3 1 6 0 0 6 23 Xiang Total 42 153 13 51 40 163 7 30 102 399 Proportion 41.2% 38.4% 12.8% 12.9% 39.2% 40.8% 6.8% 7.5% 100.0% 100.0%

According to the survey and fieldwork, after land acquisition, all affected households ask for cash compensation. After receiving compensation, the households affected by land acquisition have the following options for resettlement: a) adjusting crop structure or developing sideline production: converting the crop structure focused on less profitable food crops to one focused on more profitable vegetables and fruits, or increasing the scale of stockbreeding (pigs, cattle and sheep, etc.); this option is chosen by 23 households, accounting for 22.5% of all households affected by land acquisition; b) investing compensation fees in merchandising and repair services through skills training to increase household income; this option is chosen by 5 households, accounting for 4.9%; and c) looking for job opportunities outside; this option is chosen by 74 households, accounting for 72.6%. See Table 2-7. Table 2-7 Willingness of households affected by land acquisition for restoration programs Restoration program (household) Land loss # of Land and crop Skills training, tertiary rate households Outside employment restructuring industry operations <10% 42 0 2 33 11-20% 13 6 1 8 21% or 47 17 2 28 more Total 102 23 5 69 Proportion 22.5% 4.9% 67.6%

2.5 Temporary land occupation

The land occupied temporarily during the construction period includes land occupied by borrow areas, quarries and temporary construction facilities, etc. Temporary land occupation involves Wumuqing Team of Maojiayuan Village, Jiangnan Xiang, Kaiyang County, with a total area of 30 mu, including 20 mu of arable land and 10 mu of riverflat, affecting 10 households with 37 persons. See Table 2-8. Table 2-8 Impacts of temporary land occupation Temporarily Team affected population Component Township Village Arable River flat House- Total (mu) Population land (mu) (mu) holds Jiangnan Maojiayuan Wumuqing 20 10 30 10 37 Xiang Total 20 10 30 10 37 Proportion 66.7% 33.3% 100% / /

2.6 Demolition of cultivation and stockbreeding facilities

Properties of 169.25 m2 will be inundated, including main structures of 117.19 m2 in masonry timber structure, and auxiliary structures and livestock pens of 52.06 m2. These properties are located in Shuijingwan Team of Dingfang Village, Yangguan

Town, and are temporary cultivation and stockbreeding facilities, affecting 2 households with 7 persons. See Table 2-9.

Table 2-9 Affected cultivation and stockbreeding facilities Affected Property demolition (m2) population Main Town Village Team Remarks structures Auxiliary House Subtotal Population (masonry structures -holds timber) Also Chengguan affected Dingfang Shuijingwan 117.19 52.06 169.25 2 7 Town by land acquisition

2.7 Attachments and sporadic trees

The Bai’an River Reservoir affects no power transmission or transformation equipment, mud-rock highway, concrete irrigation canal or storage pond. The Subproject affects 15 tombs and a ground area of 62.35 m2. During the survey, affected sporadic trees were counted by category and size. The Subproject affects 5,386 sporadic trees in total. See Table 2-10. Table 2-10 Sporadic trees and attachments affected by the Subproject Item Unit Qty. Sporadic trees 1 Fruit trees / 4793 -Fruit-bearing / 3203 -Non-fruit-bearing / 1590 2 Timber trees / 174 3 Commercial trees / 419 Subtotal / 5386 Attachments 4 Ground m2 62.35 5 Tombs / 15

2.8 Affected population

2.8.1 Summary See According to the field survey, 102 households with 399 persons will be directly affected by permanent land acquisition, including 18 households with 67 persons in Lijiazhai Team, 8 households with 38 persons in Baini Team, 6 households with 26 persons in Gantian Village, 40 households with 150 persons in Shuijingwan Team, 15 households with 57 persons in Yejiazhuang Team, 9 households with 38 persons in Boshang Team and 6 households with 23 persons in Wumuqing Team. 10

households with 37 persons of Wumuqing Team of Maojiayuan Village, Jiangnan Xiang will be affected by temporary land occupation. Table 2-11.

Table 2-11 Population affected by the Subproject Permanently affected Temporarily affected Fruit Trees Township / Team population population village Households Population Households Population Households Population Lijiazhai 18 67 0 0 3 10 Dingfang Baini 8 38 0 0 1 6 Village, Gantian 6 26 0 0 1 4 Yangguan Shuijingwan 40 150 0 0 6 23 Town Yejiazhuang 15 57 0 0 2 9 Boshang 9 38 0 0 1 6 Maojiayuan Village, Wumuqing 6 23 10 37 0 0 Jiangnan Xiang Total 102 399 10 37 14 58

2.8.2 Affected vulnerable groups In the Subproject, vulnerable groups refer to the disabled, five-guarantee households2, widows, low-income persons or the poor. The vulnerable persons affected by the Subproject were determined through a comparative analysis of family structure, labor and employment, household resources, and information provided by local civil affairs authorities during resettlement implementation. Vulnerable persons will be provided with special assistance during resettlement implementation. It was confirmed that 19 affected persons fall into vulnerable groups of the Project. See Table 2-12. Table 2-12 Summary of affected vulnerable groups Family Head of household Reason Policy applied population WT 1 Loneliness, oldness, weakness Five guarantees YGQ 1 Disability, illness Government aid PRF 3 Living difficulty Government aid GWX 3 Living difficulty Government aid ZXL 3 Living difficulty Government aid YSM 2 Living difficulty Government aid ZFY 1 Living difficulty Government aid

2 For elderly, weak, widowed and disabled members who are unable to work and have no means of living, or whose households lack labor, a rural production cooperative would provide production and living assistance, including daily supplies, education for the young and burial for the elderly.

Family Head of household Reason Policy applied population ZHY 2 Living difficulty Government aid YSF 3 Living difficulty Government aid Total 19 / /

2.8.3 Impacts on women In the population affected by the Subproject, there are 194 women, accounting for 48.6%. The affected women engage mainly in agricultural production and household stockbreeding, and some of them are working outside. In interviews, women preferred cash compensation, and expected to obtain nearby job opportunities or participate in project construction (unskilled jobs) to increase income. During the survey, the survey team learned the basic information of women in the subproject area using participatory methods, and the overall evaluation is as follows: Women in the subproject area enjoy good status, and major household matters are determined jointly by the couple. Women do housework mainly and some relatively easy farming work, and men mostly engage in farming or work outside. Boys and girls have equal opportunities in education, and parents are always willing to support their children’s education. According to the survey, women have the same concerns as those of men: (a) Compensation costs should be based on land output and resettlement cost; and (b) Compensation fees should be disbursed directly to the affected households. Women have the following needs that are different from those of men: (a) Women want skills training in crop cultivation and stockbreeding; and (b) Women also expect to participate in village-level management. During the resettlement implementation, the women’s concerns will be paid more attention and monitored.

2.8.4 Impacts on ethnic minorities There is no ethnic minority in the subproject area, so the Subproject has no impact on ethnic minorities.

2.8.5 Identification of other impacts 1) Ecological water When completed, the Bai’an River Reservoir will intercept incoming water above the dam site during the low-water season, but there is a branch stream from 1km below the dam site, with a catchment area of 10km2 and a lowest-water discharge of 40L/s. In the project design, 10% of the annual average runoff will be released from the Bai’an River Reservoir to meet the growth demand of animals and plants beside the river, so the reservoir will not affect the water environment. The annual ecological water discharge of the Bai’an River is 1.06 million m3. 2) Impact on watershed protection The Bai’an River Reservoir is 6km away from the county town, with a small upstream population and a low rural population density. The site is not located in the

planned industrial park of Kaiyang County, and water quality is not affected by domestic and industrial wastewater from the county town. According to the Technical Report on the Division of the Watershed Conserve of the Bai’an River Reservoir, the Class 1 reserve is 2.9km2, the Class 2 reserve 12.8km2 and the quasi-reserve 4.4km2. Except methane tanks, there is no wastewater treatment facility in the watershed. Domestic wastewater may be treated with pits, tanks and ponds to reduce runoff erosion, and purified by biological systems to ensure the water quality of the Bai’an River.

3 Socioeconomic Profile of the Subproject Area

3.1 Socioeconomic profile of affected city and districts (county) Guiyang Municipality is located in central Guizhou Province, and is the capital city of Guizhou Province, an important integrated industrial base, and a hub of commercial and tourist services in southwestern China. Guiyang governs 6 districts (Yunyan, Nanming, Xiaohe, Huaxi, Wudang and Baiyun), one city (Qingzhen) and 3 counties (Kaiyang, Xifeng and Xiuwen). At the end of 2010, Guiyang had a population of 4.325 million, including an agricultural population of 2.946 million, an arable area of 4.109 million mu, and a GDP of 112.182 billion yuan, in which the GDP of primary industries was 5.71 billion yuan, that of secondary industries 45.695 billion yuan and that of tertiary industries 60.776 billion yuan. Fiscal revenue was 30.464 billion yuan, the per capita net income of farmers was 5,976 yuan, and the per capita disposable income of urban residents was 16,579 yuan. Kaiyang County is located on the south side of the Wujiang River in central Guizhou Province, with a land area of 2,026 km2. The county governs 10 Xiangs and 4 towns (including two minority Xiangs: Gaozhai and Hefeng Miao-Buyi Xiangs), 108 village (community) committees and 1,538 villager teams. The county is inhabited by 13 ethnic groups, including Han, Buyi, Miao and Tong. In 2009, the county’s population was 430,700, including a nonagricultural population of 96,400 (22.39%) and an agricultural population of 334,300 (77.61%); GDP was 1.618 billion yuan, fiscal revenue was 184 million yuan and fiscal expenditure 191 million yuan. the per capita net income of farmers was 4,808 yuan, and the per capita disposable income of urban residents was 14,789 yuan See Table 3-1. Table 3-1 Socioeconomic profile of affected city and county Guiyang No. Indicator Unit Kaiyang County Municipality 1 Population 10,000 432.5 43.35 1.1 Agricultural population 10,000 294.6 33.43 2 Arable area 10,000 mu 410.9 34.79 3 GDP 100m yuan 1121.82 16.18 3.1 Primary industries 100m yuan 57.1 / 3.2 Secondary industries 100m yuan 456.95 / 3.3 Tertiary industries 100m yuan 607.76 / 4 Fiscal revenue 100m yuan 304.64 1.84 Per capita disposable income of Yuan 16597 5 urban residents was 14789 6 Per capita net income of farmers Yuan 5976 4808

3.2 Socioeconomic profile of affected townships The Subproject affects two townships, which are Chengguan Town and Jiangnan Xiang. See Table 3-2. Table 3-2 Information of townships affected by land acquisition and property demolition Indicator Unit Chengguan Town Jiangnan Xiang Population / 73431 20554 Where: men / 38458 11374 Agricultural population / 41852 19753 Arable area ha 2082 1337 Fiscal revenue 0,000 yuan 10189 787 Per capita net income of Yuan 5750 3985

Indicator Unit Chengguan Town Jiangnan Xiang farmers

3.3 Socioeconomic profile of affected villager teams Among the 7 villager teams of the 3 affected villages, average population is 3.7-4.8 per household, per capita arable area 1.15-1.70 mu and per capita income 4,000-10,000 yuan. The affected villages have almost no industrial enterprise, and their economy is focused on agriculture, where the main food crops are paddy rice, corn and rape, and the main cash crops are peach and vegetables. See Table 3-3. Table 3-3 Information of villager teams affected by land acquisition and property demolition Indicator Unit Lijiazhai Baini Shuijingwan Boshang Yejiazhuang Gantian Wumuqing Total # of / 73 78 113 68 64 57 71 524 households Population / 254 274 460 228 204 181 242 1843 Where: men / 142 157 258 122 108 98 134 1019 Agricultural / 254 274 460 228 204 181 242 1843 population Arable area mu 284.5 416.5 396 314.6 271 180 345.8 2208.5 10,000 GDP 107.3 119.5 197.4 97.6 89.3 87.1 96.5 794.7 yuan Per capita yuan/ net income 6020 6180 6025 6340 6025 6100 4170 / person of farmers Per capita Mu 1.12 1.52 0.86 1.38 1.33 0.99 1.43 1.19 arable area

3.4 Socioeconomic profile of affected population For the 102 households with 399 persons affected by the Subproject, household population varies from 1 to 8, and average population is 3.91 per household. 3.4.1 Age structure and gender analysis Among the 399 affected persons, 67 are under 17 years, accounting for 16.8%, 295 are 17-60 years old, accounting for 73.9%, and 37 are 60 years or above, accounting for 9.3%, and there are 194 women, accounting for 48.6%. 3.4.2 Educational level Among the 399 affected persons, 14 have received senior high school education, accounting for 3.5%, 85 have received junior high school education, accounting for 21.3%, 220 have received primary school education, accounting for 55.1%, and 80 are uneducated, accounting for 20.1%. In general, the educational level of the affected population is low. 3.4.3 Occupations Among the 399 affected persons, there are 302 laborers, of which 101 engage in farming, accounting for 33.4%, and 201 are working outside, accounting for 66.6%. 3.4.4 Arable land and household properties Among the affected households, 5.94 mu of collective land is contracted per household on average, 1.518 mu per capita; an average household has 0.87 television set (0.81 color TV set), 0.84 VCD player, 0.68 fan, 0.79 washing machine, 0.19 motorcycle, and 4.53 pieces of large furniture. 3.4.5 Income of displaced persons According to the survey, the total annual income of the 102 affected households is 2.468 million yuan (in which agricultural income is 591,000 yuan, accounting for

23.95 % and employment income 1.877 million yuan, accounting for 76.05%), average income per household 24,200 yuan and per capita income 6,185 yuan. Based on estimates, land acquisition will lead to a total income loss of 148,400 yuan and a per capita loss of 372 yuan, accounting for 6.0% of total annual income.

4 Legal Framework and Policies

4.1 Laws, regulations and policies on resettlement The resettlement policies of the Subproject are based mainly on the applicable regulations and policies of ADB and the PRC, including: ADB policies  Involuntary Resettlement Policy, November 1995  Handbook on Resettlement: A Guide to Good Practice, 1998  Operations Manual (OM/F2), October 2003  (Safeguard Policy Statement (SPS), June 2009)3 State laws and regulations  Land Administration Law of the PRC (effective from January 1, 1999, amended on August 28, 2004)  Decision of the State Council on Deepening the Reform and Rigidly Enforcing Land Administration (SC [2004] No.28) (effective from October 21, 2004)  Guidelines on Improving Compensation and Resettlement Systems for Land Acquisition (MLR Fa [2004] No.238) (effective from November 3, 2004)  Notice on Issuing the Interim Administrative Measures for the Collection and Utilization of Forest Vegetation Restoration Fees (MOF General [2002] No.73 of the Ministry of Finance and the State Forestry Administration) Applicable policies of Guizhou Province and Guiyang Municipality  Land Administration Regulations of Guizhou Province (effective from January 1, 2001);  Administrative Measures for Compensation for the Acquisition and Occupation of Woodland of Guizhou Province (Decree No.78 of the Guizhou Provincial Government) (effective from August 1, 2004);  Opinions of the Guizhou Provincial Government on Deepening the Reform and Rigidly Enforcing Land Administration (GPG [2005] No.17) (effective from June 21, 2005)  Notice of the Provincial Government on Strengthening the Land Acquisition Management of Key Construction Projects (GPG [2004] No.5)  Guiyang Municipal Government on the Promulgation and Implementation of Uniform Annual Output Values and Location-based Compensation Rates for Land Acquisition (GMG [2009] No.100);  Notice of the General Office of the Kaiyang County Government on Issuing the Compensation Rates for Ground Attachments Affected by the Bai’an River Reservoir (KCG [2010] No.131)

4.2 ADB policies ADB’s Safeguard Policy Statement has three key elements for involuntary resettlement: (1) compensation for lost properties, livelihoods and income; (2) assistance in resettlement, including the provision of a resettlement site, and appropriate facilities and services; and (3) assistance for restoration, as a minimum, to the standard of living before the project. Planning and implementation should take into account the following basic principles:

3 Please refer to the 1995 Involuntary Resettlement Policy of ADB and the 2009 Safeguard Policy Statement. This Project was approved under the old ADB policy; the provisions is this RP are compatible with ADB's new Safeguard Policy Statement (2009).

1) Screen the project early on to identify past, present, and future involuntary resettlement impacts and risks. Determine the scope of resettlement planning through a survey and/or census of displaced persons, including a gender analysis, specifically related to resettlement impacts and risks. 2) Carry out meaningful consultations with affected persons, host communities, and concerned nongovernmental organizations. Informally displaced persons of their entitlements and resettlement options. Ensure their participation in planning, implementation, and monitoring and evaluation of resettlement programs. Pay particular attention to the needs of vulnerable groups, especially those below the poverty line, the landless, the elderly, women and children, and Indigenous Peoples, and those without legal title to land, and ensure their participation in consultations. Establish a grievance redress mechanism to receive and facilitate resolution of the affected persons’ concerns. Support the social and cultural institutions of displaced persons and their host population. Where involuntaryresettlement impacts and risks are highly complex and sensitive, compensation and resettlement decisions should be preceded by a social preparation phase. 3) Improve or at least restore, the livelihoods of all displaced persons through (i) land-based resettlement strategies when affected livelihoods are land based where possible or cash compensation at replacement value for land when the loss of land does not undermine livelihoods, (ii) prompt replacement of assets with access to assets of equal or higher value, (iii) prompt compensation at full replacement cost for assets that cannot be restored, and (iv) additional revenues and services through benefit sharing schemes where possible. 4) Provide physically and economically displaced persons with needed assistance, including the following: (i) if there is relocation, secured tenure to relocation land, better housing at resettlement sites with comparable access to employment and production opportunities, integration of resettled persons economically and socially into their host communities, and extension of project benefits to host communities; (ii) transitional support and development assistance, such as land development, credit facilities, training, or employment opportunities; and (iii) civic infrastructure and community services, as required. 5) Improve the standards of living of the displaced poor and other vulnerable groups, including women, to at least national minimum standards. In rural areas provide them with legal and affordable access to land and resources, and in urban areas provide them with appropriate income sources and legal and affordable access to adequate housing. 6) Develop procedures in a transparent, consistent, and equitable manner if land acquisition is through negotiated settlement to ensure that those people who enter into negotiated settlements will maintain the same or better income and livelihood status. 7) Ensure that displaced persons without titles to land or any recognizable legal rights to land are eligible for resettlement assistance and compensation for loss of non-land assets. 8) Prepare a resettlement plan elaborating on displaced persons’ entitlements, the income and livelihood restoration strategy, institutional arrangements, monitoring and reporting framework, budget, and time-bound implementation schedule. 9) Disclose a draft resettlement plan, including documentation of the consultation process in a timely manner, before project appraisal, in an accessible place and a form and language(s) understandable to affected persons and other stakeholders. Disclose the final resettlement plan and its updates to affected persons and other stakeholders.

10) Conceive and execute involuntary resettlement as part of a development project or program. Include the full costs of resettlement in the presentation of the project’s costs and benefits. For a project with significant involuntary resettlement impacts, consider implementing the involuntary resettlement component of the project as a stand-alone operation. 11) Pay compensation and provide other resettlement entitlements before physical or economic relocation. Implement the resettlement plan under close supervision throughout project implementation. 12) Monitor and assess resettlement outcomes, their impacts on the standards of living of displaced persons, and whether the objectives of the resettlement plan have been achieved by taking into account the baseline conditions and the results of resettlement monitoring. Disclose monitoring reports..

4.3 Laws and policies of the PRC 4.3.1 Provisions on land acquisition The Land Administration Law of the PRC is the main policy basis of the Subproject. In order to further define the principles for compensation for land acquisition and resettlement, compensation rates, land acquisition procedures, and monitoring mechanism, the State Council promulgated the Decision of the State Council on Deepening the Reform and Rigidly Enforcing Land Administration (SC [2004] No.28) in October 2004. Correspondingly, the Ministry of Land and Resources promulgated the Guidelines on Improving Compensation and Resettlement Systems for Land Acquisition (MLR [2004] No.238) in November 2004. In addition, the Guizhou Provincial Government promulgated the Notice of the Provincial Government on Strengthening the Land Acquisition Management of Key Construction Projects (GPG [2004] No.5), and the Guiyang Municipal Government promulgated the Guiyang Municipal Government on the Promulgation and Implementation of Uniform Annual Output Values and Location-based Compensation Rates for Land Acquisition (GMG [2009] No.100), as set out in Section 4.1 above. These policies provide important guidelines on resettlement. Table 4-1 describes the key points of these policies and their application to the Subproject.

Table 4-1 Policies on land acquisition and property demolition, and their application Land Administration Land Administration Law of the MLR [2004] Implementation No. Item SC [2004] No.28 Regulations of Guizhou GPG [2005] No.17 PRC No.238 measures Province A plan for land acquisition and Preparation of the RP 1 RP resettlement shall be / / / / determined. (1) In requisitioning land, (1) Land compensation fees, (1) Fixation of (1) The RP will comply compensation should be made resettlement subsidies, and uniform AVO strictly with the according to the original compensation fees for rates; (2) applicable policies of the purposes of the land ground attachments and fixation of state, Guizhou Province requisitioned; (2) Compensation young crops shall be paid uniform AVO and Guiyang fees for land requisitioned fully and timely according to multiples; (3) Municipality; (2) The include land compensation fees, law. If the standard of living fixation of Detailed compensation AAOV rates for land resettlement fees and of displaced persons cannot location-based policies and rates suited acquisition should Compensation compensation for attachments to be restored, resettlement integrated land to Guizhou Province’s comply with the 2 for land or green crops on the land. subsidies may be increased prices; (4) practical conditions shall Similar to SC [2004] No.28 applicable provisions of acquisition with the approval of local allocation of be formulated based on Guiyang Municipality; (3) governments; (2) Uniform land the Land Administration Compensation for land annual output values or compensation Law. acquisition will be location-based integrated fees subject to location-based land rates for land prices; (4) All acquisition shall be fixed; (3) resettlement costs will Land compensation fees be included in the gross shall be fully included in the investment of the budget. Subproject. (1) Rural collective economic (1) For projects with stable (1) Similar to SC [2004] No.28; (1) Cash compensation, organizations and peasants shall income, farmers’ land use Resettlement by additional provisions: (1) If crop restructuring, be supported in their efforts rights may be converted into agricultural land- expropriated farmers improving medium- and toward development and shares; (2) in the urban production; (2) are to be resettled by land low-yield field and Mode of Similar to the Land 3 operations or in starting up planning area, the resettlement by reallocation, land may be set developing resettlement Administration Law enterprises. employment and social reemployment; aside in an area appropriate stockbreeding will be security systems shall be (3) resettlement for urban construction as adopted as displaced improved to ensure by equity retained land for farmers to persons may wish; (2) displaced persons’ participation; (4) run enterprises jointly; (2) During project

Land Administration Land Administration Law of the MLR [2004] Implementation No. Item SC [2004] No.28 Regulations of Guizhou GPG [2005] No.17 PRC No.238 measures Province livelihoods; (3) out of the Relocation For retained land, the local implementation, urban planning area, government may improve unskilled jobs will be displaced persons shall be urban infrastructure for the provided to affected resettlement by land resettlement of persons first; (3) reallocation, employment or land-expropriated farmers. Displaced persons will relocation; and (4) After the land for central be provided with skills Employment training shall be resettlement has been training. provided to displaced approved, it may be supplied persons. by allocation, but shall not be transferred or used for real estate development without authorization. (1) For requisition of land by the (1) Land acquisition (1) Land (1) A DMS shall be State the local governments at information, compensation acquisition shall conducted using a and above the county level shall rates and resettlement be disclosed; (2) 1/1,000 map, and the make an announcement and options shall be disclosed; The land results shall be organize the implementation (2) The land acquisition acquisition confirmed by displaced after the approval according to survey results shall be survey results persons; (2) A public Land the legal procedures. (2) After confirmed; (3) If necessary, shall be participation and policy acquisition the plan for land compensation a public hearing on land confirmed; (3) A Similar to the Land consultation meeting 4 procedures and Similar to SC [2004] No.28 and resettlement fees is acquisition shall be public hearing Administration Law shall be held; (3) The RP information finalized, related local organized; and (4) A sound on land or RIB shall be disclosure governments shall make an coordination and ruling acquisition shall distributed; (4) The land announcement and hear the mechanism for disputes over be organized acquisition procedures opinions of the rural collective compensation and shall be followed. economic organizations and resettlement for land peasants whose land has been acquisition shall be requisitioned. established. Supervision of (1) Rural collective economic (1) If compensation and (1) Information (1) The administrative (1) Internal and external implementation organizations shall make public resettlement land acquisition on land measures for the use of M&E will be conducted; 5 Similar to SC [2004] No.28 of land to its members the receipts and has not been completed, acquisition land compensation fees (2) Compensation fees acquisition expenditures of the land acquired land shall not be approval shall shall be determined by will be paid directly to the

Land Administration Land Administration Law of the MLR [2004] Implementation No. Item SC [2004] No.28 Regulations of Guizhou GPG [2005] No.17 PRC No.238 measures Province compensation fees for land used forcibly; (2) Measures be disclosed; (2) members of the affected affected villager teams requisitioned and accept their for the allocation of land Compensation collective economic and villagers, and supervision. compensation fees shall be and organization or village disclosed; (3) The formulated to cover farmers resettlement committee through Guiyang PMO, and the affected by land acquisition; fees for land voting, and payments land and resources (3) payments and receipts of acquisition shall and receipts thereof shall bureau will conduct land compensation fees shall be paid; (3) be disclosed at least supervision and be disclosed for supervision Post-acquisition every 6 months, and be inspection; (4) The use by displaced persons. supervision and subject to supervision by of resettlement funds will inspection villagers. be audited.

4.4 Principles and eligibility for compensation of the Subproject 4.4.1 Principles for compensation The principles for compensation and entitlement of the Subproject have been formulated in accordance with the laws, regulations and policies of the Chinese government and ADB, with the aim of ensuring that displaced persons can obtain sufficient compensation and assistance measures so that their production and livelihoods are at least restored to pre-displacement levels. The principles for resettlement are shown in Table 4-2. Table 4-2 Principles for resettlement Principles 1 Involuntary resettlement should be avoided where feasible. The affected persons are granted compensation and rights that can at least maintain or 2 even improve their livelihoods in the absence of the project. The affected persons are given compensation and assistance in resettlement whether 3 legal title is available or not. 4 The affected persons must benefit directly from the project. The economic compensation shall ensure that everyone will at least maintain their 5 standard of living after resettlement If the land available to everyone is insufficient to maintain his/her livelihood, replacement 6 in cash or in kind and other income-generating activities are provided for the lost land. The affected persons fully understand their entitlements, the method and standard of 7 compensation, the livelihood and income restoration plan, and the project schedule, and participate in the implementation of the Resettlement Plan. No land should be acquired before the affected persons are satisfied with the 8 compensation and resettlement (plan). The executing agency and an independent agency / third party should monitor the 9 compensation, relocation and resettlement operations. The vulnerable groups (including women) are provided special assistance or treatment so 10 that they lead a better life, and all affected persons should have an opportunity to benefit from the project. 11 The resettlement expenses are sufficient to cover all affected aspects.

4.4.2 Determination of eligibility for compensation An order to cease construction has been posted in the subproject area, as shown in Appendix 2. The cut-off date for the eligibility for compensation was January 5, 2010). Any newly built housing or newly planted tree by affected persons in the subproject area after this date will not be entitled to compensation or resettlement. 4.4.3 Compensation for acquisition of collective land The compensation rates for the acquisition of collective land of the Subproject have been determined in accordance with the Guiyang Municipal Government on the Promulgation and Implementation of Uniform Annual Output Values and Location-based Compensation Rates for Land Acquisition (GMG [2009] No.100). See Table 4-3. Table 4-3 Compensation rates for land acquisition

Subsidy multiple Subsidy

Compensation Compensation Compensation

compensation compensation compensation

Young crop Young crop

Subsidy

multiple multiple

AAOV fees fees Land type per Total mu

Arable land in 1500 10 13 1 15000 19500 1500 36000 Chengguan Town Arable land in 1500 10 10 1 15000 15000 1500 31500 Jiangnan Xiang

Subsidy multiple Subsidy

Compensation Compensation Compensation

compensation compensation compensation

Young crop Young crop

Subsidy

multiple multiple

AAOV fees fees Land type per Total mu

Construction land 1500 4 3 0 6000 4500 0 10500 Shrub 1500 7 3 0 10500 4500 500 15500 forest Woodland Timber 1700 7 3 / 10500 4500 2000 17000 forest Unused land 1500 4 4 0 6000 0 0 6000

In accordance with ADB involuntary resettlement policy requirements, the proposed standards should be at least equivalent than the replacement value. Since there is no market value for collective land4 in the People’s Republic of China, compensation standards for acquisition of collective land are based on the gross annual output value of the land category times a multiple. This policy principle is stipulated in the Land Administration Law, 1999/2004. In 2004, the State Council issued a decree stipulating that the minimum multiple for farmland should be 16 times. This was determined based on nearly 20 years of experience with multiples of 6 and 10 times, which were deemed to be inadequate because many villages had refused to transfer their lands. Furthermore, the net income from farmland is typically 30% to 50% of the of the gross output value after deducting production costs. This is supported by evidence of low lease rates for idle farmland (i.e., the person with the land use right doesn’t expect much income from the land and can earn much more from off-farm employment). This means the compensation with a multiple of 16 times is equivalent to 32 to 50 years of net income from the land. The proposed multiples for this project range from 20 to 23 times, which is equivalent to 40 to 75 years of net income. Farmers suffering partial loss (say 10% loss of their 6 mu of farmland) would receive 19-22,000 yuan which can be used to improve their remaining farmland, or purchase livestock, or plant fruit trees, or seek off-farm employment or save in a bank and earn enough interest5 to cover the net income loss. If the loss is more serious (i.e., complete loss), the household would receive 190-220,000 yuan which can be used to start a small business or provide a pension6 to older farmers, or income security for younger farmers to seek off-farm employment (many of which already have part-time employment). The rates for other types of land are similarly calculated based on their current output value. Construction land is collective land for buildings (e.g., housing plots). Thus, new house plots can be provided at the same rate used to compensate physically displaced households. Woodland is about half the rate of farmland and unused land is about one-sixth the rate. These funds go directly to the affected village, groups and/or households, as the above rates exclude government taxes and fees, which are costed separately in the RP. The village leaders and affected households have been consulted on these compensation standards and they understand the government regulation and believe the AAOVs 7 (i.e., 1500 yuan/mu is based on two cropping seasons) and the

4 Collective land cannot be directly sold; it must be converted to state-owned construction land. Collective land can be leased out but these rates are often much less than the net income from the land. 5 A savings account earning 4% interest annually would earn the same as the net income from the land, without touching the principle amount. 6 A 65 year old farmer could receive annual annuity payments of CNY10,000 for 23 years, assuming a low earning rate of 4%. 7 In 2010, AAOVs we investigated nationwide and then adjusted and standardized to reflect the quality of

compensation multiples are reasonable8.

4.4.4 Compensation rates for temporary land occupation According to the state and provincial regulations on temporary land occupation, young crop fees will be paid for temporarily occupied land. Compensation shall be made for the actual period of occupation, and the rates shall be based on land AAOV. After the expiry of the occupation period, the occupied land will be restored by the construction agency. For temporarily occupied arable land, compensation fees include land restoration fees, compensation fees for the maturation period and young crop fees; for temporarily occupied woodland, compensation fees include forest compensation fees and forest restoration fees. To reduce the impact of land acquisition on young crops, construction will usually commence after harvesting or before sowing, as the case may be. See Table 4-4. Table 4-4 Compensation rates for temporary land occupation Compensation multiple Compensation rate (yuan/mu)

crop feescrop feescrop

Compensation Young Compensation Young AAOV Period of Land Land Land type fees for the fees for the (yuan) occupation Total reclamation restoration Total maturation maturation (year) costs fees

period period Non-irrigated 1500 2 3 1 5 10000 1500 4500 1500 19000 land

Woodland Shrub / / / / / / 3000 0 500 3500 forest Timber / / / / / / 3000 0 2000 5000

forest

4.4.5 Compensation rates for demolition of cultivation and stockbreeding facilities The properties affected by the Subproject are cultivation and stockbreeding facilities, and neither reconstruction nor resettlement is involved. The affected properties will be compensated for in cash at replacement cost. See Table 4-5. Table 4-5 Compensation rates for affected premises for cultivation and stockbreeding No. Item Unit Rate (yuan/unit) 1 Main structures Masonry timber m2 487 2 Auxiliary structures Timber tile m2 282

4.4.6 Compensation rates for attachments and sporadic trees The attachments affected by the Subproject include ground, fruit trees and tombs. See Table 4-6. Table 4-6 Compensation rates for affected ground attachments and sporadic trees No. Item Unit Rate (yuan/unit) 1 Concrete ground m2 30 2 Tombs / 800 3 Commercial trees (adult) / 30 4 Timber trees (adult) / 50

the land and the current uses of land, in consultation with village leaders. They are updated based on the last three years average yields and crop prices. 8 Village leaders and affected households will naturally try to seek the highest possible compensation rate, but they understand from previous projects that such rates are reasonable and these are considerably higher than the minimum standard of 16times.

5 Fruit trees ⑴ Fruit-bearing / 100 ⑵ Non-fruit-bearing / 50

4.4.7 Reservoir clean-up costs Reservoir clean-up costs include a building clean-up fee of 5 yuan/m2, a sanitation fee of 10 yuan/person and a woodland clean-up fee of 150 yuan/mu. 4.4.8 Other costs and tax rates See Table 4-7. Table 4-7 Compensation rates for other costs No. Item Charging rate Basis of charging Circular on the Average Amount and Starting Time of the Duty of 2 Farmland occupation tax 20 yuan/m² Tax-payment of Farmland Occupation Tax Notice of the General Office of the Guizhou Provincial Government on Forwarding the Opinions of the Ministry of Land and Resources, and the Provincial Department of Finance 2 Land reclamation costs 16000 yuan/mu on Strengthening Land Development and Consolidation, and the Balance between the Occupation and Supplement of Arable Land (GPG Office [2007] No.101) Shrub forest 3 yuan/m² Notice on Issuing the Interim Administrative Measures for the Collection and Utilization of Forest Forest Vegetation Restoration Fees (MOF vegetation General [2002] No.73) and 3 restoration Timber forest 6 yuan/m² Administrative Measures for fees Compensation for the Acquisition and Occupation of Woodland of Guizhou Province (Decree No.78 of the Guizhou Provincial Government) Chengguan Town: 12,000 Arable land yuan/mu, Jiangnan Xiang: Social 8,000 yuan/mu 4 security GMG [2009] No.100 Chengguan Town: 4,800 funds Other land yuan/mu, Jiangnan Xiang: 3,200 yuan/mu 2.5% of compensation 5 Preparatory costs fees for land acquisition and resettlement 3% of compensation fees Survey, design and 6 for land acquisition and scientific research costs resettlement 3% of compensation fees Implementation 7 for land acquisition and management costs / resettlement Implementing agency 0.5% of compensation 8 establishment costs fees for rural resettlement 2% of compensation fees Technical training costs 9 for land acquisition and for AP’ livelihood training resettlement 1.5% of compensation 10 M&E costs fees for land acquisition

and resettlement 12% of compensation 11 Contingencies fees for land acquisition and resettlement

4.4.9 Social security funds According to the Guiyang Municipal Government on the Promulgation and Implementation of Uniform Annual Output Values and Location-based Compensation Rates for Land Acquisition (GMG [2009] No.100), upon project commencement, the owner shall pay social security funds at the social security agency. Social security funds shall be arranged by the government in a unified manner, and used mainly for all groups in society eligible for social security. Households affected by land acquisition eligible for social security are also covered. However, social security funds must be arranged by the government in a unified manner. The social security funds for land acquisition and occupation of the Subproject are 4,966,900 yuan. Upon project commencement, such funds will be paid to the Labor and Social Security Bureau of Kaiyang County, and arranged by the Kaiyang County Government in a unified manner. Any eligible household affected by land acquisition in the Subproject will be included in the social security system. 4.4.10 Vulnerable groups In addition to the above compensation policies for land acquisition, vulnerable groups affected by the Subproject are also entitled to the following preferential policies:  Laborers in vulnerable households will be provided with occupational training, and employment information and guidance in order to increase their job opportunities.  During project construction, recruit laborers from vulnerable households to do unskilled jobs.  A special support fund will be established in cooperation with the Civil Affairs Bureau of Kaiyang County.

4.5 Entitlement matrix The entitlement matrix has been established in accordance with the applicable policies in this chapter, as shown in Table 4-8. Table 4-8 Entitlement matrix Type of impact Degree of impact Affected persons Compensation and resettlement policy Measures 1) Land compensation fees, resettlement subsidies and Measures for land compensation 7 villager teams compensation fees for contracted land collective allocation, land reallocation and of 3 villages of properties will be paid directly to the affected production investment (cultivation two townships in 830.87 mu of collective households; for other lands, it will be paid to the and irrigation skills, tertiary Permanent land Kaiyang County land, including 197.82 mu collective economic organization or village committee. industries, etc.) will be determined acquisition of arable land 2) The compensation for ground structures or by the village meeting. 102 households attachments will be paid to their owners. Training will be approved and with 399 supervised by the government at persons the next higher level. Wumuqing 1) Compensation will made for the period of occupation Temporary land occupation will be Team of and losses, and include young crop fees（￥30000.00） notified in advance and Occupying 30 mu of land Maojiayuan and reclamation costs; the maximum period of Temporary land compensated for accordingly. The temporarily, including 20 Village, occupation will be 2 years. occupation occupied land will be supervised mu of arable land Jiangnan Xiang; 2) The occupied land will be restored to the original by farmers, and the local land and 10 households condition, and compensated for appropriately after resources bureaus. with 37 persons occupation. Shuijingwan Team of Demolition of Dingfang Demolishing cultivation cultivation and Village, and stockbreeding Cash compensation at replacement cost / stockbreeding Yangguan facilities of 169.25 m² facilities Town, 2 households with 7 persons 1) Women will have priority in employment, and at least 30% of them will receive unskilled jobs. The women’s association will Women / 194 women 2) Women will have priority in receiving free skills provide acceptable education to training; at least 50% of trainees will be female laborers; women. 3) Women will receive relevant information during

Type of impact Degree of impact Affected persons Compensation and resettlement policy Measures resettlement, and are able to participate in resettlement consultation. Special women FGDs will be held to introduce resettlement policies. 1) The village collective retains the compensation, and provides subsidies to five-guarantee households The disabled, 2 households monthly and free medical care; five-guarantee households with 2 persons 2) Subsidy for the disabled; Vulnerable households will be and widows 3) During project construction, recruit laborers from re-identified at the beginning of vulnerable households to do unskilled jobs. resettlement implementation, and Two members (at least one woman) of each affected monitored closely until the Vulnerable groups 7 households household will receive livelihood training and prior job completion of assistance Poor households with 17 persons opportunities (e.g., outside employment and measures. participation in project construction). The special support fund for 1) Two members (at least one woman) of each affected vulnerable groups will be Seriously affected 47 households household will receive livelihood training and prior job disbursed from the contingencies. households (losing 20% or with 193 opportunities, e.g., participation in project construction; more of land) and persons 2) If possible, exchangeable land will be used to resettle displaced households seriously affected households first. Ground 62.35 m² of ground, 15 Compensation fees will be calculated and disbursed for attachments and tombs, 5,386 sporadic Proprietors ground attachments as stipulated. sporadic trees trees Grievances and All affected Free; all costs so reasonably incurred will be disbursed / appeals persons from the contingencies

5 Resettlement Measures

5.1 Objectives of resettlement Reasonable compensation and proper resettlement will be provided to ensure that the production level, income level and standard of living of affected persons will be restored or improved after resettlement. The objectives of resettlement of the Subproject are: (1) The self-sufficiency of grain will be largely ensured; in areas relatively short of arable land, land yield will be increased through crop restructuring and land development; (2) Measures will be taken to ensure that the production level and standard of living of displaced persons can be restored to the pre-displaced levels; (3) Public infrastructure, educational and medical facilities, social welfare, natural environment and traffic conditions will be equivalent to or better than pre-resettlement levels. The Subproject involves the permanent acquisition and temporary occupation of collective land only. Although the impacts of the Subproject are minor, a number of measures have been proposed to realize the above objectives and ensure that the affected persons benefit from the Subproject.

5.2 Principles for resettlement and rehabilitation Some principles for resettlement and rehabilitation have been developed according to the above objectives: (1) The willingness of affected persons should be respected, and their existing production and living traditions maintained; (2) Resettlement rehabilitation programs should be tailored to impacts of land acquisition and property demolition, and based on compensation rates for land acquisition and property demolition; (3) Resettlement rehabilitation programs should be combined with team construction, resources development, economic development and environmental protection programs so as to ensure the sustainable development of the affected villager teams and persons; and (4) The standard of living of vulnerable groups adversely affected by the Subproject should be improved.

5.3 Resettlement rehabilitation programs 5.3.1 Analysis of willingness for resettlement Among the 102 affected households, 100 households (98%) expect cash compensation without land reallocation, and 2 households (2%) expect cash plus partial land reallocation. Displaced persons plan to use land compensation fees for crop restructuring mainly. The affected villager teams will receive 16,522,200 yuan in land compensation fees and resettlement subsidies in total. Land compensation fees, resettlement subsidies and young crop fees will be paid directly to the affected households. Under the leadership of the Kaiyang PMO, the affected households will invest compensation fees in the crop restructuring of the remaining land (e.g., growing loquat that is of greater economic value) to increase income. In addition, when completed, the Subproject will provide better irrigation conditions to the affected households and increase the annual output value of their land.

In addition, the Subproject will need unskilled jobs during construction. The Kaiyang PMO will place laborers in the affected households, especially those falling into vulnerable groups, to unskilled jobs in project construction to increase their income and improve their standard of living. See Table 5-1.

Table 5-1 Summary of resettlement programs and income restoration measures # of Land loss rate Resettlement and restoration measures Remarks households Cash compensation, employment for Equal pay for equal 10% or less 42 the Subproject work Cash compensation, crop restructuring Equal pay for equal 11%-20% 13 and employment for the Subproject work Cash compensation, crop restructuring Under unified 20% or more 47 and employment for the Subproject; coordination land reallocation if possible

5.3.2 General Resettlement Schemes 5.3.2.1 Production Resettlement Schemes The arable land inundated during the construction of Bai’an River Reservoir involves two townships, three administrative villages and seven village teams in Kaiyang County. Through analysis and estimation, the population arranged for resettlement is 182 in 2010 (the base year) and 184 by the end of 2012 (planning target year). On the basis of the primary investigation on APs' willingness and respecting this willingness, scattered resettlement with land readjustment will be mainly applied within the scope of the local village and supplemented by one-time compensation (see Table 5-2 and Table 5-3 for details). Specific implementation is as shown below: 1) Lijiazhai Group of Dingfang Village, Chengguan Town: current population: 254; current arable land per capita: 1.12 mu; requisitioned arable land: 24.51 mu; population arranged for production: 22. Through willingness survey, this group has 22 mu of arable land which can be readjusted as land resources for production resettlement voluntarily. It needs 19.76 mu of arable land for the planning of 19 persons’ resettlement. The area of arable land per capita after resettlement is 1.04 mu. The rest 3 persons will be resettled in other groups in the village. Through willingness survey, Baini Group has 7 mu of arable land can be readjusted as land resources for production resettlement voluntarily. It needs 3.12 mu of arable land for the planning of 3 persons’ resettlement. The area of resettlement arable land per capita is 1.04 mu. Their living standard will not be lowered. 2) Baini Group of Dingfang Village, Chengguan Town: current population: 274; current arable land per capita: 1.52 mu; requisitioned arable land: 2.84 mu; population arranged for production: 2. The result of willingness survey indicates that the one-time compensation will not reduce the production and living standard after resettlement. 3) Gantian Group of Dingfang Village, Chengguan Town: current population: 181; current arable land per capita: 1.0 mu; requisitioned arable land: 0.87 mu; population arranged for production: 1. The result of willingness survey indicates that the one-time compensation will not reduce the production and living standard after resettlement. 4) Shuijingwan group of Qunxing Village, Chengguan Town: current population: 460; current arable land per capita: 0.86 mu; requisitioned arable land: 102.3 mu; population arranged for production: 121. Through willingness survey, this group has 16 mu of arable land which can be readjusted as land resources for production resettlement voluntarily. It needs 13.28 mu of arable land for the planning of 16 persons’ resettlement. The area of arable land per capita after resettlement is 0.81 mu. The rest 107 persons will be resettled in other groups in the village. Through willingness survey, the four villager groups of Liyuanpo, Guihuashu, Laoyanzhai and

Gaoliangdiao have 99 mu of arable land can be readjusted as land resources for production resettlement voluntarily. It needs 89.88 mu of arable land for the planning of 107 persons’ resettlement. Wherein, Liyuanpo Group has 23 mu of arable land which can be readjusted as resettlement, and the planning of 24 persons’ resettlement needs 20.16 mu of arable land; Guihuashu Group has 24 mu of arable land which can be readjusted as resettlement, and the planning of 26 persons’ resettlement needs 21.84 mu of arable land; Laoyanzai Group has 25 mu of arable land which can be readjusted as resettlement, and the planning of 27 persons’ resettlement needs 22.68 mu of arable land; while Gaoliangdiao Group has 27 mu of arable land which can be readjusted as resettlement, and the planning of 30 persons’ resettlement needs 25.20 mu of arable land. The area of the resettlement arable land per capita can reach 0.84 mu. Their living standard will not be lowered. 5) Yejiazhuang Group of Qunxing Village, Chengguan Town: current population: 204; current arable land per capita: 1.33 mu; requisitioned arable land: 24.2 mu; population arranged for production: 18. Through willingness survey, this group has 18 mu of arable land which can be readjusted as arable land resource for production resettlement voluntarily. The planning of 13 persons’ resettlement needs 16.12 mu of arable land. And the area of the resettlement per capita is 1.24 mu. The rest 5 persons will be resettled in other groups in the village. Through willingness survey on arable land resource, the Shanlinwan Group of this village has 18 mu of arable land which can be readjusted as resettlement land. The planning of 5 persons’ resettlement needs 6.15 mu of arable land. And the area of resettlement arable land per capita is 1.23 mu. Their living standard will not be lowered. 6) Boshang Group of Qunxing Village, Chengguan Town: current population: 228; current arable land per capita: 1.38 mu; requisitioned arable land: 13.7 mu; population arranged for production: 10. Through willingness survey, this group has 6 mu of arable land which can be used for land resources for production resettlement voluntarily. It needs 4.08 mu of arable land for the planning of 3 persons’ resettlement. The area of arable land per capita after resettlement is 1.36 mu. The rest 7 persons will be resettled in other groups in the village Through willingness survey, there is 18 mu of arable land resource in Shanlinwan Group of this village that can be readjusted for resettlement arable land (except the planning of 5 persons’ resettlement in Yejiazhuang needing 6.15 mu of arable land, there is still 11.85 mu of arable land that can be circulated for resettlement arable land). The planning of 7 persons’ resettlement in Boshang Group needs 8.61 mu of arable land. And the area of the resettlement arable land per capita is 1.23 mu. Their living standard will not be lowered. 7) Wumuqing Group of Maojiayuan Village, Nanjiang Township: current population: 242; current arable land per capita: 1.43 mu; requisitioned arable land: 14.4 mu; population arranged for production: 10. Through willingness survey, this group has 16 mu of arable land which can be readjusted as land resources for production resettlement voluntarily. It needs 13 mu of arable land for the planning of 10 persons’ resettlement. The area of arable land per capita after resettlement is 1.3 mu. Their living standard will not be lowered. For resettling the above population within the same or other groups in the village (see Table 5.2 Resettlement Arrangement List for details), the area of all the readjusted arable land shall not exceed 10% of the area of the total arable land in this group. And the reduction of the area of arable land per capita is under 20%. See Table 5-3 for calculation result. 5.3.2.2 Detailed scattered resettlement implementation The detailed scattered resettlement for all will be implemented as the resettlement method. 1) 3 persons in Lijiazai Group are relocated to Baini Group;

2) 107 persons in Shuijingwan Group are relocated respectively as below: 24 to Liyuanpo Group; 26 to Guihuashu Group; 27 to Laoyanzai Group; and 30 to Gaoliangdiao Group; 3) 5 persons in Yejiazhuang Group are relocated to Shanlinwan Group; 4) 7 persons in Boshang Group are relocated to Shanlinwan Group.

Table 5-2 Production Resettlement, Relocation Resettlement and Arrangement for Land acquisition for Construction of Bai’an River Reservoir Project (Areas of Reservoir and Dam) Production Resettlement Relocation Resettlement Population Population Readjusted Arranged for Name One-time Population Name of Name of Arranged for Arable Land Resettlement of Township compensation Arranged for Resettlement Remarks Village Group Production in Settlement of in Other County within Group Resettlement Arrangement Planning Target within Group Groups in the (person) (person) Year (person) (person) Village (person) Cross Groups 3 persons of Baini Lijiazai 22 19 3 3 Resettlement in Dingfang Group the village Village Baini 2 2 Gantian 1 1 24 persons of Liyuanpo Group; 26 persons of Guihuashu Group; Cross Groups Chengguan Shuijingwan 121 16 107 107 27 persons of Resettlement in Town Laoyanzai Group; the village Kaiyang and 30 persons of Qunxing County Gaoliangdiao Village Group 5 persons of Cross Groups Yejiazhuang 18 13 5 5 Shanlinwan Resettlement in Group the village 7 persons of Cross Groups Boshang 10 3 7 7 Shanlinwan Resettlement in Group the village Sub-total: 174 51 122 3 122 Maojiayuan Wumu Nanjiang Township 10 10 Village qing Total 184 61 122 3 122

Table 5-3 Production Resettlement Planning of the Land Requisition for Construction of Bai’an River Reservoir Project Planned Production Population Basic Condition after Resettlement resettlement Arable Requisitioned Arranged for Planned Percentage Current Arable Current Land Per Land for Production in Circulated of Readjusted Arable Township Village Group Arable Land Arable Land Land Decrease Remarks Population Capita Construction Planning Arable Land Arable Land Population Population Land Per (mu) Per Capita Decreased Proportion (mu) (mu) Target Year (mu) (%) (person) (person) Capita (mu) Per Capita (%) (person) (mu) (mu) Lijiazai 254 284.5 1.12 24.51 22 19.76 6.95 19 1.04 251 1.04 0.08 7.14 Total current Dingfang Baini 274 416.5 1.52 2.84 2 3.12 0.75 3 1.04 275 1.50 0.02 1.32 population: Village Gantian 181 180.1 1.00 0.87 1 180 1.00 0.00 0.00 2565; 3 Sub-total: 709 881.1 28.22 25 22.88 22 706 persons are Shuijingwan 460 396 0.86 102.3 121 13.28 3.35 16 0.83 355 0.83 0.03 3.49 not counted Yejiazhuang 204 271 1.33 24.2 18 16.12 5.95 13 1.24 199 1.24 0.09 6.77 due to one-off Chengguan Boshang 228 314.6 1.38 13.7 10 4.08 1.30 3 1.36 221 1.36 0.02 1.45 compensation Town Shanlinwan 131 177 1.35 14.76 8.34 12 1.23 143 1.24 0.11 8.15 ; 2 persons Qunxing Liyuanpo 110 239 2.17 20.16 8.44 24 0.84 134 1.78 0.39 17.97 shall be Village added as per Guihuashu 125 248 1.98 21.84 8.81 26 0.84 151 1.64 0.34 17.17 the natural Laoyanzai 186 320 1.72 22.68 7.09 27 0.84 213 1.40 0.32 18.60 population Gaoliangdiao 170 256 1.51 25.20 9.84 30 0.84 200 1.36 0.15 9.93 growth rate; Sub-total: 1614 2221.6 140.2 149 138.12 151 1616 therefore, the Nanjiang Maojiayua Wumuqing 242 345.8 1.43 14.4 10 13.00 3.76 10 1.30 242 1.37 0.06 4.20 population Township n Village after Total 2565 3448.5 182.82 184 174.00 183 2564 resettlement shall be 2564.

5.3.3 Rehabilitation program for key villager teams According to the impact analysis, Shuijingwan Team of Qunxing Village is affected more seriously. To ensure that opportunities are available to the affected persons in this team to improve or at least restore their production level and standard of living, production restoration programs suited to their practical conditions have been developed in addition to compensation for their acquired land, and demolished properties and attachments. The land compensation fees and resettlement subsidies for the acquired land of this team are 3.683 million yuan, 23 times of expected annual income loss. See Table 5-4. They will receive additional compensation for loss of woodland.

Table 5-4 Summary of income losses and compensation fees of Shuijingwan Team Compensation fees for land acquisition Expected income (10,000 yuan) Affected team loss (10,000 Land Resettlement yuan/year) compensation Total subsidy fees Qunxing Shuijingwan 15.3 153.5 214.8 368.3

Through analysis and consultation with the displaced persons, the income restoration measures for this team are as follows: (a) According to the survey, Shuijingwan Team has 60 mu of medium- and low-yield fields available for improvement. Average investment in soil improvement will be 15,000 yuan/mu; after soil improvement, annual additional output value will be 200 yuan/mu and annual additional gross income will be 12,000 yuan. (b) Growing fruit trees: According to the survey, 30 mu of loquat is to be grown in Shuijingwan Team, with an average investment of 4,000 yuan/mu. Compared to paddy rice and wheat, during the full fruit period of loquat, annual additional output value will be 1,100 yuan/mu and annual additional gross income will be 33,000 yuan. (c) Developing stockbreeding: 3 pigs will be raised per household on average, with an investment of 1,500 yuan per household; average household net income will be 1,500 yuan per annum, totaling 60,000 yuan for the 40 households. (d) Outside employment: In the slack season, 69 persons will work outside for 6 months with per capita monthly income of 2,000 yuan, totaling 828,000 yuan per annum. They will receive government support for training and employment. See Table 5-5.

Table 5-5 Summary of income restoration measures of Shuijingwan Team Production restoration Total Investment (10,000 Annual Additional net No. measure yuan) income (10,000 yuan) Improvement of 60 mu of 1 90 1.2 soil 2 Crop restructuring of 30 mu 12 3.3 Developing stockbreeding 3 6 6 (40 households) 4 Outside employment / 82.8 Total 108 93.3

It is estimated that the annual income of this team will be reduced by 153,000 yuan. Through the above measures, the team’s income will increase by 933,000 yuan. Therefore, the standard of living of the affected persons will be restored and improved. Shuijingwan Team will invest 1.08 million yuan in the above measures in total.

This team will receive land compensation fees of 1.535 million yuan, as shown in Table 5-6 . Therefore, the restoration program will be well funded.

Table 5-6 Balance sheet for income restoration measures of Shuijingwan Team Investment in production restoration measures Land (10,000 yuan) compensation Land fees – costs compensation Team Investment of production Crop Stock Gross fees (0,000 in soil restoration restructuring breeding investment yuan) improvement measures (0,000 yuan) Shuijingwan 90 12 6 108 153.5 45.5

In addition, to reduce the risk of income restoration, the PMO will provide skills training on crop restructuring to the affected persons, provide them with market information, and give priority to them in employment for project construction. The demolished cultivation and stockbreeding facilities will be compensated for in cash without resettlement.

5.4 Livelihood training In order to provide technical guidance on crop restructuring and nonagricultural employment to the affected households, the Kaiyang PMO has appropriated special funds of 7,000 yuan to provide skills training to the affected households together with agricultural and social security authorities. See Table 5-7.

Table 5-7 Schedule of resettlement training Number of Funding Time Location Mode Trainees Scope participants (yuan) Affected Fruit tree 2013.7 Dingfang Lecture 70 3500 households cultivation Affected Skills training 2014.8 Qunxing Lecture 50 2500 households (nonagricultural) Affected 2014.12 Maojiayuan Lecture 20 Crop cultivation 1000 households

5.5 Women At the RP preparation stage, women in the subproject area took an active part in the impact survey, and were consulted about ideas on income restoration programs. Women support the Subproject, and think the Subproject will increase agricultural income while land acquisition has little impact on their livelihoods. They expect training on employment for project construction, and crop and fruit tree cultivation. During project implementation, at least 30% of the affected women (65-70) will receive unskilled jobs. Priority will be given to affected female laborers in skills training so as to ensure that their economic status will not be reduced. At least 50% of trainees will be female laborers.

5.6 Protection of vulnerable groups’ rights and interests

According to the survey, 9 households with 19 persons affected by land acquisition fall into vulnerable groups, of which one person has been covered by the

five guarantees, and the other 18 persons are receiving government aids to varying degrees. To ensure that the affected vulnerable groups benefit from the Subproject, the Kaiyang PMO will provide assistance to them together with the civil affairs authority, and establish a support fund for vulnerable groups of 30,000 yuan. After this RP has been approved, vulnerable groups will be supported in cooperation with the civil affairs authority. The main measures as follows: 1) The disabled, five-guarantee households and widows (1 person)  The village collective retains the compensation, and provides subsidies to five-guarantee households monthly and free medical care.  Subsidy for the disabled  During project construction, recruit laborers from vulnerable households to do unskilled jobs. 2) Seriously affected households (losing 20% or more of land) and displaced households (47 households)  Two members (at least one woman) of each affected household will receive livelihood training and prior job opportunities (e.g., outside employment and participation in project construction);  If possible, exchangeable land will be used to resettle seriously affected households first. 3) Poor households (8 households with 18 persons) Two members (at least one woman) of each affected household will receive livelihood training and prior job opportunities (e.g., outside employment and participation in project construction).

5.7 Restoration of temporarily occupied land 30 mu of land will be occupied temporarily for the Subproject, including 20 mu of arable land. At the construction stage, compensation fees for temporary land occupation will be paid directly to the households affected by temporary land occupation. Through extensive consultation, after the completion of construction, the temporarily occupied rural collective land will be restored by the construction agency. To reduce the impact of land acquisition on young crops, construction will usually commence after harvesting or before sowing, and will be notified to the affected households in advance to reduce their losses.

5. 8 Restoration of traffic facilities

Reservoir will drown one footbridge (right-branch) of up Jipakan Road which located above reservoir dam site for about 60m. Locals can get through from dam after it constructed, it solve the issues of local production and traffic; the production and traffic of Luoshuiyan and Shuijingwan villager groups. After reservoir impounding, surrounding village groups should walk 6-7km to the other side for agricultural production. It brings too much traffic and production difficulties to the villagers. In order not to influence villagers’ agricultural production, according to villagers’ willingness and realities that construct a ferry and sidewalk is much more economic and reasonable than set up a footbridge by an economic comparison. So construct two ferries and add two ferryboats at Sunbaoji and Baiyangshu inlet, and plan to construct 2.6km sidewalk from Shuijing inlet to Shanchongpo in order to meets the requirements of agricltural traffic and production. In order to ensure safety, ferry setting should correspond with related specifications. After ferry constructed, involved village committee will transfer its

management to benefit villager groups.

5.9 Later Stage Support and Plan

Bai’anhe Reservoir in Kaiyang County is a small (1) sized water conservancy project which primarily for urban water supply. At present our province has not issued resettlement later period supportive policy for small sized water conservancy project, in order to ensure project can constructed on schedule and play a role, after issue relevant policy local government will execute according to the policy.

5.10 Protection, Development and Utilization of Reservoir Waters Bai’anhe Reservoir is a hub project for country town water supply. Any agency and personal activities must in favor of the protection of water quality and environment. Any agency and personal cannot develop and utilize the water area in reservoir.

6 Organization and Responsibilities

6.1 Resettlement management agencies 6.1.1 Organizational setup To ensure successful land acquisition resettlement as desired, the Guiyang Municipal Government has established a special Social, Environment & Resettlement Office, where 4 persons are responsible specifically for land acquisition and resettlement. Similarly, the Kaiyang PMO has established a resettlement office, where 4 persons are responsible specifically for resettlement. In September 2010, the Kaiyang County Government established a project leading group for coordination of project preparation and implementation. The Leading Group is headed by the county head, and is composed of leaders of the county water resources project resettlement bureau, water resources bureau, land and resources bureau, forestry bureau, finance bureau, and civil affairs bureau. The members have rich experience in land acquisition, property demolition and resettlement. The Kaiyang PMO is established at the Water Resources Bureau of Kaiyang County under the Leading Group, responsible mainly for project preparation, organizational coordination, implementation and management. See Figure 6-1.

Guiyang PMO

Social, Environment & Resettlement Office (4 persons)

County land Kaiyang PMO External / resources monitoring bureau Resettlement office (4 persons) agency

Township resettlement offices

Affected teams and displaced persons

Figure 6-1 Block diagram of resettlement management organization 6.1.2 Organizational responsibilities (1) Guiyang Project Leading Group and PMO Responsible for project leadership, organizing, coordination and policy-making, examining the RP, implementing internal supervision and inspection, and making decisions on major issues arising from resettlement, coordinating relations among all levels of the resettlement organization (2) Kaiyang PMO Responsible mainly for handling day-to-day affairs in resettlement planning and implementation ① Formulating the land acquisition, property demolition and resettlement policies for the Subproject; ② Entrusting the design agency to define the subproject area, measure the data

on physical objects affected by land acquisition and property demolition, and save such data; ③ Applying for the license for planning of land use and the license for land used for construction; ④ Giving operational training to the key resettlement officials of the land acquisition, property demolition and resettlement offices; ⑤ Organizing and coordinating the preparation and implementation of the RP; ⑥ Responsible for the management and disbursement of the resettlement funds, and supervising the use thereof; ⑦ Directing, coordinating and supervising resettlement activities and their progress; ⑧ Taking charge of and inspecting internal monitoring, and preparing land acquisition, property demolition and resettlement progress reports; ⑨ Selecting the external monitoring agency and assisting in external monitoring activities (3) Kaiyang Resettlement Office ① Assisting the design agency in defining the subproject area, measuring the data on physical objects affected by land acquisition and property demolition, and saving such data; ② Assisting in preparing the RP and responsible for the implementation of resettlement; ③ Selecting key resettlement officials for operational training; ④ Organizing public consultation, and propagandizing the resettlement policies; ⑤ Directing, coordinating and supervising resettlement activities of the agencies related to land acquisition, property demolition and resettlement and their progress; ⑥ Responsible for resettlement, paying resettlement costs pursuant to the agreement; ⑦ Replacing farmland with business operators for displaced persons wishing to continue with farming; ⑧ Implementing internal monitoring activities, preparing internal monitoring reports, and reporting to the Kaiyang PMO regularly; ⑨ Assisting in external monitoring activities. (4) Township resettlement offices The township resettlement offices are headed by the leader responsible of each township, and composed of key officials of the land and resources office, the police office, the civil affairs office and the villages. Their main responsibilities are: ① Participating in the survey of the Subproject, and assisting in the preparation of the RP; ② Organizing public participation, and propagandizing the resettlement policies; ③ Implementing, inspecting, monitoring and recording all resettlement activities within the township; ④ Going through property demolition formalities; ⑤ Responsible for the disbursement and management of land compensation fees; ⑥ Supervising land acquisition, the demolition of properties and attachments, housing reconstruction, and resettlement; ⑦ Reporting land acquisition, property demolition and resettlement information

to the county land and resources bureau; ⑧ Coordinating and handling conflicts and issues arising from its work. (5) Village committees and villager teams The resettlement working team of a village committee or villager team is composed of its key officials. Its main responsibilities are: ① Participating in the social and economic survey and the impact survey of the Subproject; ② Organizing public consultation, and propagandizing the policies on land acquisition and property demolition; ③ Selecting resettlement sites and allocating housing sites to displaced persons; ④ Organizing the implementation of resettlement activities; ⑤ Paying and managing relevant funds; ⑥ Reporting displaced persons’ opinions and suggestions to the competent authorities; ⑦ Reporting the progress of resettlement implementation; ⑧ Providing assistance to displaced households with difficulties (6) Design agency ① At the planning and design stage, it will survey the physical indicators of land acquisition and property demolition, the environmental capacity, the usable resources, etc. accurately, and assist the governments in the affected areas in formulating resettlement programs, preparing budgetary investment estimates for compensation for land acquisition and property demolition, and drawing the relevant drawings. ② At the implementation stage, it will submit the design documents, technical specifications, drawings and notices to the owner timely, make design disclosure to the PMOs of all levels, assist in the implementation of the relocation and resettlement for production of the displaced persons, and improve the resettlement programs based on the practical situation. (7) External monitor The Guiyang PMO will employ a qualified M&E institute/firm as the external resettlement monitor.. Its main responsibilities are: ① Observing all aspects of resettlement planning and implementation as an independent M&E institute/firm, monitoring and evaluating the resettlement results and the social adaptability of the displaced persons, and submitting resettlement M&E reports to the Guiyang PMO and ADB; and ② Providing technical advice to the Guiyang PMO in data collection and processing.

6.2 Staffing and equipment of resettlement agencies 6.2.1 Staffing To ensure the successful implementation of the resettlement work, all resettlement agencies of the Subproject have been provided with full-time staff, and a smooth channel of communication has been established. Each resettlement agency is composed mainly of 1 to 6 administrative staff members and specialized technicians, all of whom have certain professional and management skills, and considerable experience in land acquisition, property demolition and resettlement. See

Table 6-1.

Table 6-1 Staffing of resettlement agencies Agency Workforce Composition Guiyang PMO 4 Civil servants Kaiyang PMO 4 Civil servants Kaiyang RO 4 Civil servants Townships, villages and Officials and displaced 6 villager teams person representatives External monitoring agency 4 Resettlement experts

6.2.2 Equipment All municipal, county (district) and township resettlement agencies have been provided basic office, transport and communication equipment, including desks and chairs, PCs, printers, telephones, facsimile machines and vehicles.

6.3 Training program In order to implement resettlement successfully, the displaced persons and resettlement staff must be trained under a program developed by the Guiyang PMO. 6.3.1 Training program for resettlement management staff A staff training and human resources development system will be developed for the Guiyang, Kaiyang, township and village resettlement agencies. Training will be given in such forms as workshop, training course, visit of similar projects and field training (see Table 6-2 for the training program), and will cover: —Principles and policies of resettlement —Resettlement project planning management training —Resettlement implementation planning and design —Resettlement implementation progress control —Resettlement financial management —Resettlement quality control —Management information system —Resettlement M&E —Resettlement project management

Table 6-2 Training program for resettlement staff Cost estimate No. Scope of training Trainees Time Location (0,000 yuan) Resettlement learning tour of Backbone staff of Guiyang 1 Nov. 2012 0.5 domestic ADB PMO Municipality projects Visit of domestic Backbone staff of In the 2 Jun. 2013 3 ADB projects PMO country Resettlement Guiyang 3 Resettlement staff Dec. 2013 1 operational training Municipality

6.3.2 Measures for improving resettlement agencies (1) Define the responsibilities and scope of duty all resettlement agencies, and strengthen supervision and management; (2) Improve the strength of all resettlement agencies gradually, especially technical strength; all staff must attain a certain level of professional proficiency and management level; improve their technical equipment, such as PC, monitoring

equipment and means of transportation, etc.; (3) Select staff strictly, and strengthen operations and skills training for management and technical staff of all resettlement agencies to improve their professional proficiency and management level; (4) Appoint women officials appropriately, and give play to women’s role in resettlement implementation; (5) Establish a database and strengthen information feedback to ensure a smooth information flow, and leave major issues to the Leading Group; (6) Strengthen the reporting system and internal monitoring, and solve issues timely; and (7) Establish an external M&E mechanism and an early warning system.

7 Public Participation and Grievance Redress

7.1 Public participation According to the state, provincial and municipal policies and regulations on resettlement, and ADB’s policies and rules on land acquisition, property demolition and resettlement, it is very necessary to conduct public participation at the preparation and implementation stages in order to maintain the lawful rights and interests of the displaced persons and entities, reduce grievances and disputes, listen to opinions and suggestions from displaced persons, prepare the RP properly and do organizing work well for proper resettlement. Since October 2009, the Kaiyang PMO has conducted a series of socioeconomic survey and public consultation activities (with at least 30% participants being women). During project preparation, the Kaiyang PMO communicated the necessity and importance of the Bai’an River Reservoir, and asked villagers to notify those working outside. During the DMS, the survey staff checked the survey results with the village committees and villagers, and ordered that construction activities within the subproject area should be ceased. These efforts were supported by villagers greatly. In Shuijingwan Team affected greatly by arable land acquisition, a special FGD was held to discuss the compensation and resettlement program; during the disclosure period, villagers were active, and fed back issues timely, laying a foundation for reducing disputes. In addition, under the leadership of the Kaiyang County Government, the Kaiyang PMO, the Chengguan Town Government and the Jiangnan Xiang Government held meetings on land acquisition at the township, village and team levels to coordinate organizational relations. See Table 7-1. Table 7-1 Information disclosure and public participation at the preparation stage Number Agency Date Participants of Purpose Key opinions/details persons Affected  Introducing the persons, background and Oct. Feasibility study, Kaiyang village purpose of the 2009~Apr 15 field investigation, PMO officials, Subproject 2010 DMS engineering  Minimizing farmland technicians occupation Kaiyang PMO, land & resources bureau, forestry  Finding out anything DMS Apr 2010- bureau, all APs omitted to determine verification township and the final impacts village officials, affected villages, APs Publication of Kaiyang Dec. Affected the order to County / 2009 villages cease Government construction  Assisting in the project Dec. Government RP preparation, Kaiyang impact survey 2009 – officials, 50 socioeconomic PMO  Villagers expressed Jun. 2010 villager reps. survey strong support for the

Number Agency Date Participants of Purpose Key opinions/details persons Subproject  Socioeconomic survey and displaced household survey Mar.  Consultation of Government Preparing an Kaiyang 2010 – compensation and officials, 70 income PMO Feb. income restoration villager reps. restoration plan 2011 programs

7.2 Social Adaptability Adjustment Measures .] The purpose of the social adaptability adjustment of the APs is to integrate them into the host area in order to achieve common development and become prosperous. Fortunately, most APs can be resettled within the same groups and only a few will be relocated to other groups in the same village. The social adaptability adjustment measures of the APs include: 1) Carry out resettlement policy propaganda and targeted ideological education. Resolve the mental conflict of the APs and coordinate various relations. Help the APs to solve practical problems. 2) Bring in public participation. Give full play to the APs’ self-awareness and self-renewal spirit. Let APs know clearly the basic rights and obligations that they have; 3) Draw up the training plan of the social adaptability adjustment for APs; 4) Adopt special support measures for the vulnerable groups (the elders, the weak, the sick, the disabled, women, children and single); 5) Protect the legal position of women during resettlement procedure and give full play to the women; 6) Give full play to the Women's Federation, the Labor Union and the Communist Youth League; 7) Since there are different preferences and needs in the resettlement work, take corresponding strategy and measures of social adaptability adjustment, including carrying out propaganda work to the villagers in the relocation area, advocating solidarity and friendship, promoting the spirit of helping the poor and coordinating various relationships, etc., according to different groups of different nationalities, genders, religions, professions, economical position and education background of APs.

7.3 Public participation plan With the progress of project preparation and implementation, the Guiyang Water Resources and Hydropower Survey and Design Institute, the Guiyang PMO, and the district (county) and township resettlement offices will conduct further public participation. See Table 7-2.

Table 7-2 Public participation plan of the Subproject Purpose Mode Time Agency Participants Topic Village Kaiyang PMO, Disclosure of land Land bulletin December land & All affected acquisition area, acquisition board, 2012 resources persons compensation rates announcement village bureau, forestry and resettlement

Purpose Mode Time Agency Participants Topic meeting bureau, modes, etc. township and village officials Announcement Kaiyang PMO, of Village land & compensation bulletin resources Compensation fees and December All affected board, bureau, forestry and mode of resettlement 2012 persons village bureau, payment options for meeting township and land village officials acquisition Kaiyang PMO, December. All affected Handbook township and Information 2012 persons village officials disclosure Guiyang Disclosure of the Online Jan 2013 ADB PMO RP Kaiyang PMO, land & Discussing the final Villager Determination resources income restoration meeting All affected of income May 2013 bureau, forestry program and the (many persons restoration plan bureau, program for use of times) township and compensation fees village officials Labor and Discussing training social security Training Villager Jul. 2013 – All affected needs and bureau, and program meeting Dec. 2014 persons developing a township and program village officials 1) Resettlement progress and External impacts Dec. monitoring 2) Payment of Villager All affected Monitoring 2012~Jan agency, and compensation participation persons 2015 township and 3) Information village officials disclosure 4) Livelihood restoration

7.4 Grievance redress Since public participation is encouraged during the preparation and implementation of the RP, substantial disputes are less likely to arise. However, unforeseeable circumstances may arise during this process. In order to address issues effectively, and ensure the successful implementation of project construction and land acquisition, a transparent and effective grievance redress mechanism has been established, as shown in Figure 7-1. The Basic grievance redress is as follows: Stage 1: If any right of any displaced person is infringed on in any aspect of land acquisition, property demolition and resettlement, he/she can report this to village committee. The village committee or the displaced person may resort to the township or Kaiyang resettlement office to solve the issue. The resettlement office shall record such appeal and solve it together with the village committee or the displaced person within 2 weeks. Stage 2: If the appellant is dissatisfied with the disposition of Stage 1, he/she may file an appeal to the Guiyang PMO after receiving such disposition, which shall make a disposition within 2 weeks; Stage 3: If the appellant is still dissatisfied with the disposition of Stage 2, he/she

may file an appeal to competent administrative authorities level by level in accordance with the Administrative Procedure Law of the PRC for arbitration after receiving such disposition; Stage 4: If the appellant person is still dissatisfied with the disposition of Stage 3, he/she may file an action in a civil court in accordance with the Civil Procedure Law of the PRC after receiving the arbitration award. All agencies will accept grievances and appeals from the affected persons for free, and costs so reasonably incurred will be disbursed from the contingencies. During the whole construction period of the Subproject, these appeal procedures will remain effective to ensure that the affected persons can use them to address relevant issues. The above grievance redress system will be communicated to the displaced persons at a meeting, as well as through the RIB, so that the displaced persons know their right of appeal. In addition, the appeal process will be published to affected population on mass media. See Appendix 3 for the RIB.

Municipal/district/county Guiyang PMO judicial authority

External monitor Municipal/district/county Kaiyang PMO disciplinary inspection authority

Township Municipal/district/county resettlement offices authority for letters and calls

Affected households / village committees / villager teams

Figure 7-1 Flowchart of grievance redress system

8 Resettlement Budget

8.1 Resettlement budget The resettlement costs of the Subproject are 35,441,600 yuan, including compensation fees for the inundated area of 33,230,700 yuan and those for the damsite construction area of 2,210,900 yuan. See Table 8-1 for the resettlement costs. See Appendix 4 for details.

Table 8-1 Resettlement costs Unit: 10,000 Yuan Pivot construction area Inundated Permanent Temporary No. Item Total area Subtotal land land occupation occupation Rural resettlement I 2179.98 2044.67 135.31 97.31 38.00 compensation fees Relocation and reconstruction II 51.20 51.20 0.00 0 0 of special facilities III Reservoir clean-up costs 6.63 6.63 0.00 0 0 IV Other costs 284.21 267.02 17.19 12.36 4.83 Subtotal of I-IV 2522.02 2369.52 152.50 109.67 42.83 V Basic contingencies 302.64 284.34 18.30 13.16 5.14 VI Relevant taxes 719.50 669.21 50.29 50.29 0 Gross investment 3544.16 3323.07 221.09 173.12 47.97

8.2 Annual investment plan All resettlement funds of the Subproject are from local counterpart funds. Before project construction or during project implementation, the investment plan will be implemented in stages in order not to affect the production and livelihoods of the affected households, as shown in Table 8-2.

Table 8-2 Annual investment plan Unit: 10,000 Yuan Annual investment No. Item Total 2013 2014 I Rural resettlement compensation fees 2179.98 1743.98 436.00 Relocation and reconstruction of II 51.20 40.96 10.24 special facilities III Reservoir clean-up costs 6.63 5.30 1.33 IV Other costs 284.21 227.37 56.84 Subtotal of I-IV 2522.02 2017.61 504.41 V Basic contingencies 302.64 0 302.64 VI Relevant taxes 719.50 575.60 143.90 Gross investment 3544.16 2593.21 950.95 Share 100% 75% 25%

8.3 Management and disbursement of resettlement funds The resettlement funds of the Subproject are managed by the Kaiyang County Financial Accounting Center in a unified manner, and the Kaiyang PMO will disburse funds according to the progress of resettlement. Land compensation fees and resettlement subsidies should be used in full consultation with villagers; young crop

fees will be paid directly to the affected persons; compensation fees for infrastructure and attachments will be paid to the affected entities or individuals. To ensure that the resettlement funds are available timely and fully, and the affected persons’ production, livelihoods and income are restored, the Kaiyang PMO will take the following measures:  All costs related to property demolition and resettlement will be included in the general budget of the Subproject;  Land compensation fees and resettlement subsidies will be paid up before land acquisition so that all affected persons can be resettled properly; and  To ensure the successful implementation of land acquisition and resettlement, financial and supervisory agencies will be established at all levels to ensure that all funds are disbursed timely and fully.

9 Resettlement Implementation Plan

9.1 Principles for resettlement implementation According to the project implementation schedule, the Subproject will begin construction from April 2013. In order that the resettlement schedule links up the construction schedule of the Subproject, land acquisition will be finished before the end of March 2013. The basic principles for resettlement implementation are as follows:  Land acquisition and property demolition should be completed at least 3 months prior to the commencement construction, and the starting time will be determined as necessary for land acquisition, property demolition and resettlement.  During resettlement, the affected persons shall have opportunities to participate in the Subproject. Before the commencement of construction, the range of land acquisition will be disclosed, the RIB distributed and public participation activities conducted properly.  All compensation fees will be paid to the affected proprietors directly and fully within 3 months of execution of the land acquisition agreement. No entity or individual should use such compensation fees on their behalf, nor should such compensation fees be discounted for any reason.

9.2 Schedule of resettlement implementation The general resettlement schedule of the Subproject has been drafted based on the progress of project construction and land acquisition. The exact implementation schedule may be adjusted due to deviations in overall project progress. See Table 9-1. Table 9-1 Resettlement implementation schedule Implementing Timing/ No. Task Target Remarks agencies Duration 1 Information disclosure 7 villager teams in 3 December 1.1 RIB Kaiyang PMO villages 2012 Disclosure of the RP on 1.2 Guiyang PMO, ADB March 2013 ADB’s website 2 RP and budget Kaiyang County Approval of RP and budget August. 30, 2.1 36,492,800 yuan Government, completed (compensation rates) 2012 Kaiyang PMO Village-level income 7 villager teams in 3 2.2 Village committees Jun. 30, 2013 ongoing restoration programs villages 3 DMS 3.1 Subproject Kaiyang PMO March. 2010 Completed 4 Compensation agreements Land and resources December. Village-level land 7 villager teams in 3 bureau, township 4.1 2012 – Dec. compensation agreement villages governments, 2013 Kaiyang PMO December. Land compensation 4.2 102 households Village committees 2012 – July. agreement 2013 Compensation agreement April ~May 4.3 2 households Kaiyang PMO for demolition of cultivation 2013

Implementing Timing/ No. Task Target Remarks agencies Duration and stockbreeding facilities 5 Implementation of restoration measures Distribution of land Township Jan. 2013 compensation fees to 7 villager teams in 3 5.1 governments, village –October. households and land villages committees 2013 reallocation (if possible) Implementation of 7 villager teams in 3 Jan. – Dec. 5.2 village-level income Village committees villages 2013 restoration programs Implementation of livelihood 102 affected Labor and social Jan. – Dec. 5.3 training program households security bureau 2013 Identifying vulnerable Labor and social households and 9 households with Dec. 2011 – 5.4 security bureau, implementing assistance 19 persons Jan. 2012 Kaiyang PMO measures) Identifying and hiring About 200 affected PMO, labor, project Oct. 2011 – 5.5 households for employment persons contractor Jun. 2013 under the Subproject 6 Capacity building of resettlement agencies Sep. – Dec. 6.1 Kaiyang PMO 6 persons ADB 2011 Training of township and Oct. – Dec. 6.2 50 persons Kaiyang PMO village officials 2011 7 M&E 7.1 Baseline survey One report External Monitor Dec. 31, 2012 Establishment of internal Guiyang PMO, 7.2 / Nov. 30, 2012 M&E mechanism Kaiyang PMO Appointing an external 7.3 1 Guiyang PMO Nov. 30, 2012 completed monitor (Hohai University) From Dec. 31, 7.4 Internal monitoring reporting Semiannual report Kaiyang PMO 2012 April. 2013 No.1 report External monitoring Semiannual report Monitoring agency October 2013 No.2 report 7.5 evaluation reporting March 2014 No.3 report Annual report Monitoring agency Jan, 2015 No.4 report 7.7 Post-evaluation report One report Kaiyang PMO July, 2015 8 Public consultation Kaiyang PMO Ongoing Kaiyang PMO, 9 Grievance redress townships and Ongoing villages 10 Disbursement of compensation fees Disbursement to 10.1 Initial funds Nov. 2012 completed implementing agencies December Kaiyang PMO, 10.2 Disbursement to villages Most funds 2012 ~March townships 2013 Kaiyang PMO, Jan. 2013 – 10.3 Disbursement to households Most funds townships and Oct. 2013 villages 11 Commencement of civil construction Water Resources 11.1 Subproject Bureau of Kaiyang April 2013 County

10 Monitoring and Evaluation

To ensure the successful implementation of the RP and realize the objectives of resettlement properly, land acquisition, property demolition and resettlement activities of the Subproject will be subject to periodic M&E according to ADB’s resettlement policies, including internal and external monitoring.

10.1 Internal monitoring The internal resettlement monitoring agencies of the Guiyang PMO, the Kaiyang PMO and other relevant authorities (e.g., land and resources bureau). The Kaiyang PMO will develop a detailed internal monitoring plan for land acquisition and resettlement, including: (1) Investigation, coordination of and suggestion on key issues of the resettlement and implementing agencies during implementation; (2) Restoration of the household income of displaced persons; (3) Restoration of vulnerable groups; (4) Payment, use and availability of compensation fees for resettlement; (5) Level of public participation and consultation during land acquisition, property demolition and resettlement; (6) Resettlement training and its effectiveness; and (7) Establishment, staff training and working efficiency of resettlement management agencies (including the county water resources bureau, land and resources bureau, finance bureau, Chengguan Town Government and Jiangnan Township Government). The Kaiyang PMO will submit an internal monitoring report to ADB semiannually. Such report should indicate the statistics of the past 6 months in tables, and reflect the progress of land acquisition, resettlement and use of compensation fees through comparison. Table 10-1 and Table 10-2 provides some formats.

Table 10-1 Progress report on resettlement for land acquisition and property demolition ______, ______Township, ______District (County) Cut-off date: MM/DD/YY Date of completion: MM/DD/YY Actually Proportion of Item Unit Planned Accumulated completed completion Permanent land mu acquisition Temporary land mu occupation Payment of land 10,000 compensation fees yuan Training Person Employment arrangement Person Land reallocation mu Reported by: ______Signature (person responsible): ______Official seal:

Table 10-2 Progress of fund utilization ______, ______Township, ______District (County) Cut-off date: MM/DD/YY

Date of completion: MM/DD/YY Required Compensation Affected 9 Unit/ Adjusted Proportion of Description investment received entity qty. compensation compensation (yuan) (yuan) Village 1 Village 2 Collective Displaced household Entity Reported by: ______Signature (person responsible): ______Official seal:

10.2 External monitoring According to ADB’s policies, the Guiyang PMO will employ a qualified, independent and experienced resettlement institute/firm as the independent resettlement monitor. The external monitor will conduct follow-up M&E of resettlement activities periodically, monitor resettlement progress, quality and funding, and give advice. It shall also conduct follow-up monitoring of the displaced persons’ production level and standard of living, and submit M&E reports to the Guiyang PMO and ADB. 10.2.1 Scope and methods of external monitoring (1) Baseline survey The external monitor will conduct a baseline survey of the affected villages and villager teams affected by land acquisition to obtain baseline data on the monitored displaced households’ production level and standard of living. The production level and standard of living survey will be conducted semiannually to track variations of the displaced persons’ production level and standard of living. This survey will be conducted using such methods as panel survey (sample size: 51 households, accounting for 50% of all affected households, to be sampled randomly), random interview and field observation to acquire necessary information. A statistical analysis and an evaluation will be made on this basis. (2) Periodic M&E During the implementation of the RP, the external monitor will conduct periodic follow-up resettlement monitoring semiannually of the following activities by means of field observation, panel survey and random interview:  Payment and amount of compensation fees;  Training;  Support for vulnerable groups;  Restoration and rebuilding of infrastructure and special facilities;  Production resettlement and restoration;  Compensation for lost properties;  Compensation for lost working hours;  Transition subsidy;  Timetables of the above activities (applicable at any time);  Resettlement organization;  Use of compensation fees for collective land and income of displaced persons;  Income growth of affected household through employment and other

9 Fill in labor training, employment, vulnerable group subsidy, etc. in “Description”.

measures; and  If affected persons have benefited from the Subproject (3) Public consultation The external monitor will attend public consultation meetings held during resettlement implementation to evaluate the effectiveness of public participation. (4) Grievance redress The external monitor will visit the affected villages and teams periodically, and inquire the Guiyang PMO, district (county) and township resettlement offices and implementing agencies that accept grievances about how grievances have been handled. It will also meet complainants and propose corrective measures and advice for existing issues so as to make the resettlement process more effectively. 10.2.2 External monitoring reporting The external monitor will submit a monitoring or evaluation report to ADB and the Guiyang PMO semiannually. See Table 10-3 for the schedule for report submission. Table 10-3 Schedule for resettlement monitoring and evaluation No. Report Date Socioeconomic Baseline Survey 1 Dec. 2012 Report 2 Monitoring Report No.1 April. 2013 3 Monitoring Report No.2 October 2013 4 Monitoring Report No.3 March 2014 5 M&E Report No.4 Jan. 2015 6 Post-evaluation Report No. 5 July 2015

10.3 Resettlement post-evaluation After project implementation, the theory and methodology of post-evaluation will be applied to evaluate the Subproject’s resettlement activities on the basis of M&E to obtain successful experience and lessons in land acquisition and property demotion as a reference for future work. The external monitoring agency will prepare terms of reference for post-evaluation, establish a system of evaluation indicators, conduct socioeconomic analysis and survey, and prepare the Resettlement Post-evaluation Report of the Subproject for submission to the Guiyang PMO and ADB.

Appendix 1 Schematic Map of the Subproject

Appendix 2 Order to Cease Construction

Appendix 3 – RIB

ADB-funded Guiyang Guiyang Integrated Water Resources Management (Sector) Project

Resettlement Information Booklet (RIB) for the Bai’an River Reservoir Project of Kaiyang County

Kaiyang County Government November 2012

1 Overview of the Subproject The Subproject is a non-core subproject of the ADB-funded Guiyang Guiyang Integrated Water Resources Management Project with the aim of supplying domestic water to the Kaiyang county town and secure drinking water. The Subproject is a water resources for county town water supply. The main purpose of the Subproject is to meet the county town’s demand for drinking water and the demand for downstream ecological water. The main task of the Subproject is to construct a reservoir, including a reservoir, a dam (including an outlet structure and a water release structure) and an access road. See Table 1for the components, and Appendix 1 for the schematic map of the Subproject. Table 1 Summary of components Component Brief description Main impact The reservoir falls into Category Small (1), Involving Dingfang and Qunxing with a normal pool level of 1,121m, a Villages in Yangguan Town, and capacity of 5.79 million m3; a checked flood Reservoir Maojiayuan Village in Jiangnan level of 1,124.86m, a gross capacity of 7.36 Xiang, inundating 773.15 mu of land million m3 and a design annual water permanently supply of 6.04 million m3. The dam is a C15 fine concrete rubble Involving Wumuqing Team of dome dam that is 136m long, with a Maojiayuan Village, Jiangnan Xiang, Pivot area maximum height of 66m, a top width of occupying 36.12 mu of land (dam) 4.5m and a bottom thickness of 18m, permanently and 30 mu of land supplying 5.69 million m3 of water to the temporarily county town annually. A road from a rural highway to the dam site Access Involving Dingfang Village, occupying will be constructed, 4km long and 7m wide, road 21.6 mu of land permanently with mud and stone surface.

The gross investment estimate of the Subproject is 118,199,200 yuan, in which resettlement costs are 35,441,600 yuan, accounting for 30% of gross investment. The Subproject will be constructed from December 2011 to December 2013, and the construction period will be 24 months. Depending on the progress of the Subproject, the owner began to prepare the Resettlement Plan (RP) of the Subproject in August 2011 under the direction of the ADB Technical Assistance Team, and the RP will be amended and submitted to ADB for review by the end of October 2011. After this RP has been approved by ADB, the land acquisition, compensation and resettlement work of the Subproject will be started in November 2011.

2 Impacts of the Subproject 2.1 Permanent acquisition of collective land Collective land acquisition involves 7 villager teams of 3 villages in Chengguan Town and Jiangnan Xiang, Kaiyang County; 830.87 mu of land will be acquired,

including 717.42 mu (86.35%) for reservoir inundation, 91.85 mu (11.05%) for the pivot area (dam) and 21.6 mu (2.6%) for the access road. By land type, 197.82 mu of arable land (23.8%), 555.3 mu of woodland (66.8%), 0.35 mu of construction land (0.1%) and 77.4 mu of unused land (9.3%) will be occupied for the Subproject. 695.22 mu of collective land in Chengguan Town (83.7%) and 135.65 mu of collective land in Jiangnan Xiang (16.3%) will be acquired. See Table 2. Land acquisition will affect 102 households with 399 persons. See Table 3.

Table 2 Summary of collective land permanently acquired for the Subproject Farmland (mu) Unused land Arable land Woodland Construction Total Proportion Component Township Village Team Non- River River Irrigated Forest Shrub land (mu) Subtotal (mu) (%) irrigated Subtotal Subtotal flat surface land land land land Lijiazhai 14.99 9.52 24.51 4.32 38.02 42.34 0 1.65 4.2 5.85 72.7 8.7% Dingfang Baini 0 2.84 2.84 43.3 245.94 289.24 0 0 6.6 6.6 298.68 35.9% Chengguan Gantian 0.87 0 0.87 28.23 19.8 48.03 0 0 5.23 5.23 54.13 6.5% Town Shuijingwan 43.96 58.34 102.3 0 15.87 15.87 0.35 26.85 3.6 30.45 148.97 17.9% Reservoir Qunxing Yejiazhuang 2.79 21.41 24.2 0 33.65 33.65 0 6.5 6.6 13.1 70.95 8.5% Boshang 0 13.7 13.7 0 3.46 3.46 0 4.63 6.4 11.03 28.19 3.4% Jiangnan Maojiayuan Wumuqing 0 14.4 14.4 31.72 48.69 80.41 0 4.72 0 4.72 99.53 12.0% Xiang Subtotal / / 62.61 120.21 182.82 107.57 405.43 513 0.35 44.35 32.63 76.98 773.15 93.1% Jiangnan Dam pivot Maojiayuan Wumuqing 0 15 15 10.7 10 20.7 0 0 0.42 0.42 36.12 4.3% Xiang Access Chengguan Dingfang Baini 0 0 0 21.6 0 21.6 0 0 0 0 21.6 2.6% road Town Total 62.61 135.21 197.82 139.87 415.43 555.3 0.35 44.35 33.05 77.4 830.87 100.0% Proportion 7.5% 16.3% 23.8% 16.8% 50.0% 66.8% 0.0% 5.3% 4.0% 9.3% 100.0%

Table 3 Population affected by collective land acquisition Township Village Team Households Population Lijiazhai 18 67 Dingfang Baini 8 38 Chengguan Town Gantian 6 26 Qunxing Shuijingwan 40 150

Township Village Team Households Population Yejiazhuang 15 57 Boshang 9 38 Jiangnan Xiang Maojiayuan Wumuqing 6 23 Total 102 399

2.2 Temporary land occupation The land occupied temporarily during the construction period includes land occupied by borrow areas, quarries and temporary construction facilities, etc. Temporary land occupation involves Wumuqing Team of Maojiayuan Village, Jiangnan Xiang, Kaiyang County, with a total area of 30 mu, including 20 mu of arable land and 10 mu of riverflat, affecting 10 households with 37 persons. See Table 4. Table 4 Impacts of temporary land occupation Temporarily Team affected population Component Township Village Arable River flat House- Total (mu) Population land (mu) (mu) holds Jiangnan Maojiayuan Wumuqing 20 10 30 10 37 Xiang Total 20 10 30 10 37 Proportion 66.7% 33.3% 100% / / 2.3 Demolition of cultivation and stockbreeding facilities Properties of 169.25 m2 will be inundated, including main structures of 117.19 m2 in masonry timber structure, and auxiliary structures and livestock pens of 52.06 m2. These properties are located in Shuijingwan Team of Dingfang Village, Yangguan Town, and are temporary cultivation and stockbreeding facilities, affecting 2 households with 7 persons. See Table 5 Table 5 Affected cultivation and stockbreeding facilities Affected Property demolition (m2) population Main Town Village Team Remarks structures Auxiliary House Subtotal Population (masonry structures -holds timber) Chengguan Also affected by Dingfang Shuijingwan 117.19 52.06 169.25 2 7 Town land acquisition

3 Legal Framework and Policies 3.1 Laws, regulations and policies on resettlement The resettlement policies of the Subproject are based mainly on the applicable regulations and policies of ADB and the PRC, including: ADB policies  Involuntary Resettlement Policy, November 1995  Handbook on Resettlement: A Guide to Good Practice, 1998  Operations Manual (OM/F2), October 2003  (Safeguard Policy Statement (SPS), June 2009)* State laws and regulations  Land Administration Law of the PRC (effective from January 1, 1999, amended on August 28, 2004)  Decision of the State Council on Deepening the Reform and Rigidly Enforcing Land Administration (SC [2004] No.28) (effective from October 21, 2004)  Guidelines on Improving Compensation and Resettlement Systems for Land Acquisition (MLR Fa [2004] No.238) (effective from November 3, 2004)  Notice on Issuing the Interim Administrative Measures for the Collection and Utilization of Forest Vegetation Restoration Fees (MOF General [2002] No.73 of the Ministry of Finance and the State Forestry Administration) Applicable policies of Guizhou Province and Guiyang Municipality  Land Administration Regulations of Guizhou Province (effective from January 1, 2001);  Administrative Measures for Compensation for the Acquisition and Occupation of Woodland of Guizhou Province (Decree No.78 of the Guizhou Provincial Government) (effective from August 1, 2004);  Opinions of the Guizhou Provincial Government on Deepening the Reform and Rigidly Enforcing Land Administration (GPG [2005] No.17) (effective from June 21, 2005)  Notice of the Provincial Government on Strengthening the Land Acquisition Management of Key Construction Projects (GPG [2004] No.5)  Guiyang Municipal Government on the Promulgation and Implementation of Uniform Annual Output Values and Location-based Compensation Rates for Land Acquisition (GMG [2009] No.100);  Notice of the General Office of the Kaiyang County Government on Issuing the Compensation Rates for Ground Attachments Affected by the Bai’an River Reservoir (KCG [2010] No.131) 3.2 Determination of eligibility for compensation The cut-off date for the eligibility for compensation was Jan 5, 2010. Any newly built housing or newly planted tree by affected persons in the subproject area after this date will not be entitled to compensation or resettlement. Compensation for acquisition of collective land The compensation rates for the acquisition of collective land of the Subproject have been determined in accordance with the Guiyang Municipal Government on the Promulgation and Implementation of Uniform Annual Output Values and Location-based Compensation Rates for Land Acquisition (GMG [2009] No.100). See Table 6.

Table 6 Compensation rates for land acquisition

Subsidy multiple Subsidy

Compensation Compensation Compensation

compensation compensation compensation

Young crop Young crop

Subsidy

multiple multiple

AAOV fees fees Land type per Total mu

Arable land in 1500 10 13 1 15000 19500 1500 36000 Chengguan Town Arable land in 1500 10 10 1 15000 15000 1500 31500 Jiangnan Xiang Construction land 1500 4 3 0 6000 4500 0 10500 Shrub 1500 7 3 0 10500 4500 500 15500 forest Woodland Timber 1700 7 3 / 10500 4500 2000 17000 forest Unused land 1500 4 4 0 6000 0 0 6000

3.3 Compensation rates for temporary land occupation According to the state and provincial regulations on temporary land occupation, young crop fees will be paid for temporarily occupied land. Compensation shall be made for the actual period of occupation, and the rates shall be based on land AAOV. After the expiry of the occupation period, the occupied land will be restored by the construction agency, or the affected villager teams or people as affected persons may wish. For temporarily occupied arable land, compensation fees include land restoration fees, compensation fees for the maturation period and young crop fees; for temporarily occupied woodland, compensation fees include forest compensation fees and forest restoration fees. To reduce the impact of land acquisition on young crops, construction will usually commence after harvesting or before sowing, as the case may be. See Table 7. Table 7 Compensation rates for temporary land occupation Compensation multiple Compensation rate (yuan/mu)

crop feescrop feescrop

Compensation Young Compensation Young AAOV Period of Land Land Land type fees for the fees for the (yuan) occupation Total reclamation restoration Total maturation maturation (year) costs fees

period period Non-irrigated 1500 2 3 1 5 10000 1500 4500 1500 19000 land

Woodland Shrub / / / / / / 3000 0 500 3500 forest Timber / / / / / / 3000 0 2000 5000

forest

3.4 Compensation rates for demolition of cultivation and stockbreeding facilities The properties affected by the Subproject are cultivation and stockbreeding facilities, and neither reconstruction nor resettlement is involved. The affected properties will be compensated for in cash at replacement cost. See Table 8. Table 8 Compensation rates for affected premises for cultivation and stockbreeding No. Item Unit Rate (yuan/unit) 1 Main structures Masonry timber m2 487 2 Auxiliary structures Timber tile m2 282

3.5 Compensation rates for attachments and sporadic trees The attachments affected by the Subproject include ground, fruit trees and tombs. See Table 9. Table 9 Compensation rates for affected ground attachments and sporadic trees No. Item Unit Rate (yuan/unit) 1 Concrete ground m2 30 2 Tombs / 800 3 Commercial trees (adult) / 30 4 Timber trees (adult) / 50 5 Fruit trees ⑴ Fruit-bearing / 100 ⑵ Non-fruit-bearing / 50

3.6 Entitlement matrix The entitlement matrix has been established in accordance with the applicable policies in this chapter, as shown in Table 10. Table 10 Entitlement matrix Type of impact Degree of impact Affected persons Compensation and resettlement policy Measures 7 villager teams 1) Land compensation fees, resettlement subsidies and Measures for land of 3 villages of compensation fees for collective properties will be paid compensation allocation, land two townships in directly to the affected (collective economic organization reallocation and production 830.87 mu of collective Kaiyang County or village committee).households investment (cultivation and irrigation Permanent land land, including 197.82 mu 2) A resettlement subsidy will be granted. skills, tertiary industries, etc.) will be acquisition of arable land 102 households 3) The compensation for ground structures or determined by the village meeting. with 399 attachments will be paid to their proprietors. Training will be approved and persons supervised by the government at the next higher level. Wumuqing 1) Compensation will made for the period of occupation Temporary land occupation will be Team of and losses, and include young crop fees（￥30000.00） notified in advance and Occupying 30 mu of land Maojiayuan and reclamation costs; the maximum period of Temporary land compensated for accordingly. The temporarily, including 20 Village, occupation will be 2 years. occupation occupied land will be supervised mu of arable land Jiangnan Xiang; 2) The occupied land will be restored to the original by farmers, and the local land and 10 households condition, and compensated for appropriately after resources bureaus. with 37 persons occupation. Shuijingwan Team of Demolition of Dingfang Demolishing cultivation cultivation and Village, and stockbreeding Cash compensation at replacement cost / stockbreeding Yangguan facilities of 169.25 m² facilities Town, 2 households with 7 persons 1) Women will have priority in employment, and at least 30% of them will receive unskilled jobs. The women’s association will 2) Women will have priority in receiving free skills Women / 194 women provide acceptable education to training; at least 50% of trainees will be female laborers; women. 3) Women will receive relevant information during resettlement, and are able to participate in resettlement

Type of impact Degree of impact Affected persons Compensation and resettlement policy Measures consultation. Special women FGDs will be held to introduce resettlement policies. 1) The village collective retains the compensation, and provides subsidies to five-guarantee households The disabled, 2 households monthly and free medical care; five-guarantee households with 2 persons 2) Subsidy for the disabled; Vulnerable households will be and widows 3) During project construction, recruit laborers from re-identified at the beginning of vulnerable households to do unskilled jobs. resettlement implementation, and Two members (at least one woman) of each affected monitored closely until the Vulnerable groups 7 households household will receive livelihood training and prior job completion of assistance Poor households with 17 persons opportunities (e.g., outside employment and measures. participation in project construction). The special support fund for 1) Two members (at least one woman) of each affected vulnerable groups will be Seriously affected 47 households household will receive livelihood training and prior job disbursed from the contingencies. households (losing 20% or with 193 opportunities, e.g., participation in project construction; more of land) and persons 2) If possible, exchangeable land will be used to resettle displaced households seriously affected households first. Ground 62.35 m² of ground, 15 Compensation fees will be calculated and disbursed for attachments and tombs, 5,386 sporadic Proprietors ground attachments as stipulated. sporadic trees trees Grievances and All affected Free; all costs so reasonably incurred will be disbursed / appeals persons from the contingencies

4 Organization and Responsibilities To ensure successful land acquisition resettlement as desired, the Guiyang Municipal Government has established a special Social, Environment & Resettlement Office, where 4 persons are responsible specifically for land acquisition and resettlement. Similarly, the Kaiyang PMO has established a resettlement office, where 4 persons are responsible specifically for resettlement. In September 2010, the Kaiyang County Government established a project leading group for coordination of project preparation and implementation. The Leading Group is headed by the county head, and is composed of leaders of the county water resources project resettlement bureau, water resources bureau, land and resources bureau, forestry bureau, finance bureau, and civil affairs bureau. The members have rich experience in land acquisition, property demolition and resettlement. The Kaiyang PMO is established at the Water Resources Bureau of Kaiyang County under the Leading Group, responsible mainly for project preparation, organizational coordination, implementation and management. See Figure 1..

Guiyang PMO

Social, Environment & Resettlement Office (4 persons)

County land Kaiyang PMO External / resources monitoring bureau Resettlement office (4 persons) agency

Township resettlement offices

Affected teams and displaced persons

Figure 1 Block diagram of resettlement management organization

5 Appeals and Grievance Redress Since public participation is encouraged during the preparation and implementation of the RP, substantial disputes are less likely to arise. However, unforeseeable circumstances may arise during this process. In order to address issues effectively, and ensure the successful implementation of project construction and land acquisition, a transparent and effective grievance redress mechanism has been established, as shown in Figure 7-1. The Basic grievance redress is as follows: Stage 1: If any right of any displaced person is infringed on in any aspect of land acquisition, property demolition and resettlement, he/she can report this to village committee. The village committee or the displaced person may resort to the township or Kaiyang resettlement office to solve the issue. The resettlement office shall record such appeal and solve it together with the village committee or the displaced person within 2 weeks. Stage 2: If the appellant is dissatisfied with the disposition of Stage 1, he/she may file an appeal to the Guiyang PMO after receiving such disposition, which shall make a disposition within 2 weeks; Stage 3: If the appellant is still dissatisfied with the disposition of Stage 2, he/she

Municipal/district/county Guiyang PMO judicial authority

External monitor Municipal/district/county Kaiyang PMO disciplinary inspection authority

Township Municipal/district/county resettlement offices authority for letters and calls

Affected households / village committees / villager teams

Figure2 Flowchart of grievance redress system

6 Resettlement Implementation Plan

The general resettlement schedule of the Subproject has been drafted based on the progress of project construction and land acquisition. The exact implementation schedule may be adjusted due to deviations in overall project progress. See Table 11.

Table 11 Resettlement implementation schedule Implementing Timing/ No. Task Target Remarks agencies Duration 1 Information disclosure 7 villager teams in 3 December 1.1 RIB Kaiyang PMO villages 2012 Disclosure of the RP on December 1.2 Guiyang PMO, ADB ADB’s website 2012 2 RP and budget Kaiyang County Approval of RP and budget August. 30, 2.1 36,492,800 yuan Government, completed (compensation rates) 2012 Kaiyang PMO Village-level income 7 villager teams in 3 2.2 Village committees Jun. 30, 2013 ongoing restoration programs villages 3 DMS 3.1 Subproject Kaiyang PMO March 2010 Completed 4 Compensation agreements Land and resources December. Village-level land 7 villager teams in 3 bureau, township 4.1 2012 – Dec. compensation agreement villages governments, 2013 Kaiyang PMO December. Land compensation 4.2 102 households Village committees 2012 – July. agreement 2013 Compensation agreement April ~May 4.3 for demolition of cultivation 2 households Kaiyang PMO 2013 and stockbreeding facilities 5 Implementation of restoration measures Distribution of land Township Jan. 2013 compensation fees to 7 villager teams in 3 5.1 governments, village –October. households and land villages committees 2013 reallocation (if possible) Implementation of 7 villager teams in 3 Jan. – Dec. 5.2 village-level income Village committees villages 2013 restoration programs Implementation of livelihood 102 affected Labor and social Jan. – Dec. 5.3 training program households security bureau 2013

Implementing Timing/ No. Task Target Remarks agencies Duration Identifying vulnerable Labor and social households and 9 households with Dec. 2011 – 5.4 security bureau, implementing assistance 19 persons Jan. 2012 Kaiyang PMO measures) Identifying and hiring About 200 affected PMO, labor, project Oct. 2011 – 5.5 households for employment persons contractor Jun. 2013 under the Subproject 6 Capacity building of resettlement agencies Sep. – Dec. 6.1 Kaiyang PMO 6 persons ADB 2011 Training of township and Oct. – Dec. 6.2 50 persons Kaiyang PMO village officials 2011 7 M&E 7.1 Baseline survey One report External Monitor Dec. 31, 2012 Establishment of internal Guiyang PMO, 7.2 / Nov. 30, 2012 M&E mechanism Kaiyang PMO Appointing an external 7.3 1 Guiyang PMO Nov. 30, 2012 completed monitor (Hohai University) From Dec. 31, 7.4 Internal monitoring reporting Semiannual report Kaiyang PMO 2012 Jan. 2013 No.1 report External monitoring Semiannual report Monitoring agency July .2013 No.2 report 7.5 evaluation reporting Jan 2014 No.3 report Annual report Monitoring agency Jan, 2015 No.4 report 7.7 Post-evaluation report One report Kaiyang PMO July, 2015 8 Public consultation Kaiyang PMO Ongoing Kaiyang PMO, 9 Grievance redress townships and Ongoing villages 10 Disbursement of compensation fees Disbursement to 10.1 Initial funds Nov. 2012 completed implementing agencies December Kaiyang PMO, 10.2 Disbursement to villages Most funds 2012 ~June townships 2013 Kaiyang PMO, Jan. 2013 – 10.3 Disbursement to households Most funds townships and Oct. 2013 villages 11 Commencement of civil construction Water Resources 11.1 Subproject January 2013 Bureau of Kaiyang

Implementing Timing/ No. Task Target Remarks agencies Duration County

Appendix Schematic Map of the Subproject

Appendix Order to Cease Construction

Appendix 4 Resettlement investment estimates

1) Detailed resettlement investment in the inundated area Unit No. Item Unit Qty. Total (yuan) price Part I—Rural resettlement compensation fees 20446672.00 Land compensation fees and resettlement I 20025622.00 subsidies Farmland (Collective 1 19548839.00 Land) 1.1 Arable land mu 182.82 8631360.00 Arable land mu 168.42 36000 6063120.00 Chengguan Town Social security mu 168.42 12000 2021040.00 funds Arable land mu 14.4 30000 432000.00 Jiangnan Xiang Social security mu 14.4 8000 115200.00 funds 1.2 Woodland 534.6 10917479.00 Forest land mu 129.17 15000 1937550.00 Forest timber mu 129.17 2000 258340.00 Shrub land mu 405.43 15000 6081450.00 Shrub timber mu 405.43 500 202715.00 Social security Chengguan Town mu 454.19 4800 2180112.00 funds Social security Jiangnan Xiang mu 80.41 3200 257312.00 funds 1.3 Construction land 0.35 5355.00 Rural residence mu 0.35 10500 3675.00 and highway land Social security mu 0.35 4800 1680.00 funds 1.4 Unused land 471428.00 River flat mu 44.35 6000 266100.00 Social security Chengguan Town mu 39.63 4800 190224.00 funds Social security Jiangnan Xiang mu 4.72 3200 15104.00 funds Cultivation and II m2 169.25 72999.45 stockbreeding facilities 1 Main structures 117.19 57071.53

Unit No. Item Unit Qty. Total (yuan) price ① Masonry timber m2 117.19 487 57071.53 2 Auxiliary structures 52.06 14680.92 (Stone walls) ① m2 52.06 282 14680.92 timber tile 3 Attachments 1247.00 Earth ground m2 62.35 20 1247.00 III Compensation fees for sporadic trees 421050.00 1 Fruit trees 4793 399800.00 ⑴ Fruit-bearing / 3203 100 320300.00 ⑵ Non-fruit-bearing / 1590 50 79500.00 2 Timber trees (adult) / 173 50 8650.00 3 Commercial trees (adult) / 420 30 12600.00 Part II—Restoration and reconstruction costs of 512000.00 special facilities I Traffic facilities 512000.00 1 Ferry and ferryboats / 2 100000 200000.00 2 Tractor road km 2.6 120000 312000.00 Part III—Reservoir clean-up costs 66306.25 I Building clean-up costs m2 169.25 5 846.25 II Woodland clean-up mu 534.6 100 53460.00 III Tomb relocation and clean-up / 15 800 12000.00 Part IV—Other costs 2670172.25 I Preparatory costs % 21024978.25 2.5 525624.46 II Survey, design and scientific research costs % 21024978.25 3 630749.35 III Implementation management costs % 21024978.25 3 630749.35 IV Implementing agency establishment costs % 21024978.25 2 420499.57 V Technical training costs % 21024978.25 0.5 105124.89 VI M&E costs % 21024978.25 1.5 315374.67 VII Consulting fees % 21024978.25 0.2 42049.96 Part V—Contingencies 2843418.06 Basic contingencies % 23695150.50 12 2843418.06 Part VI—Relevant taxes 6692142.57 I Farmland occupation tax 2438818.80 ① Irrigated land m2 41760.87 20 835217.40 ② Non-irrigated land m2 80180.07 20 1603601.40 II Land reclamation costs 2925120.00 ① Irrigated land mu 62.61 16000 1001760.00 ② Non-irrigated land mu 120.21 16000 1923360.00

Unit No. Item Unit Qty. Total (yuan) price Forest vegetation III 1328203.77 restoration fees ① Timber forest m2 86156.39 6 516938.34 ② Shrub forest m2 270421.81 3 811265.43 Gross investment 33230711.13

2) Detailed investment in compensation for permanent land occupation in the pivot construction area Unit No. Item Unit Qty. Total (yuan) price Part I—Rural resettlement compensation fees 973140.00 Land compensation fees and I 973140.00 resettlement subsidies 1 Farmland 973140.00 ⑴ Arable land 15.0 570000.00 ① Non-irrigated land mu 15.0 30000 450000.00 ② Social security funds mu 15.0 8000 120000.00 ⑵ Woodland 403140.00 ① Timber forest mu 10.7 15000 160500.00 ② Compensation fees for forest timber mu 10.7 2000 21400.00 ③ Shrub forest mu 10.0 15000 150000.00 ④ Compensation fees for shrub timber mu 10.0 500 5000.00 ⑤ Social security funds mu 20.7 3200 66240.00 Part II—Other costs 123588.78 I Preparatory costs % 973140.0 2.5 24328.50 Survey, design and scientific research II % 973140.0 3.0 29194.20 costs III Implementation management costs % 973140.0 3.0 29194.20 Implementing agency establishment IV % 973140.0 2.0 19462.80 costs V Technical training costs % 973140.0 0.5 4865.70 VI M&E costs % 973140.0 1.5 14597.10 VII Consulting fees % 973140.0 0.2 1946.28 Part III—Contingencies 131607.46 Basic contingencies % 1096728.8 12.0 131607.46 Part IV—Relevant taxes 502921.50 I Farmland occupation tax 200100.00 ① Non-irrigated land m2 10005.0 20.0 200100.00

II Land reclamation costs 240000.00 ① Non-irrigated land mu 15.0 16000 240000.00 III Forest vegetation restoration fees 62821.50 Timber forest m2 7136.9 6 42821.40 Shrub forest m2 6666.7 3 20000.10 Gross investment 1731257.74

3) Detailed investment in compensation for temporary land occupation in the damsite construction area No. Item Unit Qty. Unit price Total (yuan) Part I—Rural resettlement compensation 380000.00 fees Land compensation fees and I 380000.00 resettlement subsidies (I) Land compensation fees 380000.00 1 Compensation fees for arable land mu 20 380000.00 1,1 Land reclamation costs 200000.00 Non-irrigated land mu 20 10000 200000.00 1.2 Land restoration fees 60000.00 Non-irrigated land mu 20 3000 60000.00 Compensation fees for the 1,3 90000.00 maturation period Non-irrigated land mu 20 4500 90000.00 1,4 Compensation fees for young crops 30000.00 Non-irrigated land mu 20 1500 30000.00 Part II—Other costs 48260.00 I Preparatory costs % 380000 2.5 9500.00 Survey, design and scientific II % 380000 3.0 11400.00 research costs III Implementation management costs % 380000 3.0 11400.00 Implementing agency establishment IV % 380000 2.0 7600.00 costs V Technical training costs % 380000 0.5 1900.00 VI M&E costs % 380000 1.5 5700.00 VII Consulting fees % 380000 0.2 760.00 Part III—Contingencies 51391.20 Basic contingencies % 428260 12.0 51391.20 Gross investment 479651.20