Henan Dengzhou Integrated River Restoration and Ecological Protection Project: Initial Environmental Examination (As of Board Ap

Resettlement Plan (Draft)

Project Number: 52023-001 May 2019

People’s Republic of China: Henan Dengzhou Integrated River Restoration and Ecological Protection Project

Prepared by the Dengzhou City Government (DCG) for the Asian Development Bank.

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.

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project Definition of Terms

In the context of involuntary resettlement, affected/displaced persons are those who are physically displaced (relocation, loss of Affected Person residential land, or loss of shelter) and/or economically displaced (AP) or (loss of land, assets, access to assets, income sources, or means Displaced of livelihoods) as a result of (i) involuntary acquisition of land, or (ii) Persons.： involuntary restrictions on land use or on access to legally designated parks and protected areas.

Money or payment given to affected persons for property, Compensation： resources and income losses.

According to the losses categories of affected persons, they are entitled to get compensation, income restoration, relocation costs, Entitlement： income subsidies and resettlement to restore socioeconomic conditions.

Income Rebuild the affected persons’ source of income and living standard. Recovery：

Rebuild houses and properties including productive land and public Resettlement： facilities at another area.

Material and immaterial property losses, including residential houses, communities, production land, income sources, culture Impacts： centers, social structure, network, culture characteristic and cooperative system.

An action plan with timeline and budget, including resettlement Resettlement strategies, targets, rights, action, responsibilities, monitoring and Plan (RP)： evaluation.

Vulnerable Refers to a special group of people who may be impacted more Groups: seriously during the resettlement process.

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project

ABBREVIATIONS ADB Asian Development Bank AP Affected Person AH Affected Household DCG Dengzhou City Government DMF Design and monitoring framework EA Executing Agency EPB Environment Protection Bureau FGD Focus group discussion FSR Feasibility Study Report HD House Demolition HH Household IA Implementation Agency IURDPAAB Integrated Urban–Rural Development Pilot Area Administration Bureau LA Land Acquisition LAR Land Acquisition and Resettlement LEF land-expropriated farmer M&E monitoring and evaluation PAM project administration manual PLG project leading group PMO project management office PPMS project performance monitoring system PRC People’s Republic of China SPS Safeguard Policy Statement TA technical assistance WAB Water Affairs Bureau

WEIGHTS AND MEASURES ha hectare km kilometer km2 square kilometer m meter m2 square meter m3 cubic meter m3/d cubic meter per day $(USD) US dollar CNY Renminbi YUAN currency unit NOTES (i) The fiscal year of the Government of the People’s Republic of China and its agencies ends on 31 December. (ii) In this report, "$" refers to US dollars.

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Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project

Executive Summary

A. Introduction 1. The Dengzhou City Government (DCG) of Henan Province, People’s Republic of China (PRC) has requested the Asian Development Bank (ADB) to provide investment and technical assistance support for the Henan Dengzhou Ecological Protection and Integrated Rehabilitation Project. The project’s outcome is water security and environmental sustainability in Dengzhou City improved. The project comprises three outputs: (i) urban and rural water infrastructure in Dengzhou City improved; (ii) ecological zones in Han River restored; and (iii) water resources management capacity enhanced. All the three outputs involve civil works and land acquisition and resettlement (LAR) impacts. The Project was categorized as A in term of involuntary resettlement in light of ADB’s Safeguard Policy Statement (SPS), requiring the preparation of a resettlement plan (RP). 2. The project has a construction period of 5 years, from 2020 to 2025. As planned, the LAR of the Project will begin in January 2020 and will be completed in December 2021. The estimated resettlement budget is 504.364 million yuan (prices in April 2019). 3. This RP will be updated based on the detailed design and the results of the Detailed Measurement Survey (DMS), and the updated RP will be submitted to ADB for review and approval prior to the commencement of resettlement and awards of civil works contracts.

B. Land Acquisition and Resettlement (LAR) Impacts 4. The proposed project will affect 29 villager groups of 11 villages/communities in 5 towns of Dengzhou City in terms of LAR impacts. In total, 2,001.57 mu collective land will be acquired, including 1,817.82 mu cultivated/garden land and 183.75 mu rural construction land, affecting 769 HHs with 2,952 persons. In addition, 5,190.38 mu state-owned land (SOL), mainly the watercourse management land, will be occupied, without any affected people. A total of 2,953 mu land will be used temporarily (TLU) during construction. A total of 152,600 m2 of rural residential houses will be demolished (HD), with 525 HHs and 1,841 persons to be relocated. A total of 13,333 m2 of rural non-residential houses will be affected, with 2 agencies and 9 persons affected. In total, 793 HHs and 3,023 persons will be affected permanently by LAR of the project, meanwhile 2,260 HHs with 8,746 persons will be affected temporarily by temporary land use. 5. Within the range of the North to south open channel and West to east diversion channel under Output 1, the LAR has been completed before preparation of the Project; and a resettlement due diligence report (DDR) has been prepared to ensure there is no outstanding issues before the commencement of civil works (See appendix 1).

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project

C. Policy Framework and Objective 6. This RP is based on the ADB’s Safeguard Policy Statement (2009), particularly Safeguard Requirements 2 for Involuntary resettlement; and the relevant domestic laws and regulations, including: 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), Guidelines on Improving Compensation and Resettlement Systems for Land Acquisition (MLR [2004] No.238), and the applicable policies of Henan Provincial Government and Dengzhou City Government. 7. The objective of compensation, livelihood restoration and resettlement is to achieve the same or better income and livelihood for affected persons (APs).

D. Compensation Rates and Resettlement Entitlements 8. The compensation rates for LAR are determined based on the project’s resettlement policy framework and objective stated above. Based on the democratic decision-making procedures and local practices, each village committee will discuss with their affected villagers and then voluntarily decide the proportion of land compensation to be distributed to APs (at least 90%) and to be used by village collective for public affairs (but no more than 10%). Compensation for ground attachments, young crops, trees and other facilities on the affected land, and compensation of temporary land occupation will be directly paid to the APs. 9. The compensation rate for temporarily occupied farmland is based on the average annual output value (AAOV) of farmland in project area, and the expected period of occupation is one year. Compensation will be paid directly to the AHs. 10. Compensation for house demolition will be made according to the principle of full replacement cost. All the houses to be demolished by the Project are located in Tuanbei New District of Dengzhou City. The HHs affected by HD have two options, namely: (i) one-off cash compensation based on market assessment value, and (ii) combination of cash compensation based on stipulated prices and resettlement houses offered by the government. Under the latter option, the affected houses will be compensated as per the prices published by local government which are generally equal to the prices of resettlement houses to be provided to AHs. The resettled HHs will also receive transition subsidy during the transition period, on-schedule demolition rewards, moving subsidy and living allowance, etc. 11. The compensation rates for non-residential house demolition will be determined through market value assessment. In addition, subsidy for losses due to activity suspension will be provided. 12. Based on the applicable policy framework and compensation regulations, the draft RP includes an entitlement matrix for the project which summarizes the main compensation and restoration/resettlement rights of APs.

E. Livelihood Rehabilitation and Resettlement Measures 13. For the preparation of the draft RP, the evaluations of land and income losses by

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project

affected villager groups have been carried out. While the land loss rates vary from 0.1% to 68.8% among the affected villager groups, the loss rates of AHs’ average net income are all lower than 10% because of the low contribution from agricultural income to AHs. The income and livelihood rehabilitation measures developed in the draft RP based on public consultations include the following: 1) Agricultural development measures; 2) Non-agricultural employment promotion; 3) Agricultural and non-agricultural skills training; and 4) Endowment insurance provided to eligible farmers affected by land acquisition. 14. With regard to the HHs to be relocated, almost all of them have selected the second resettlement mode during the willingness survey, namely combination of cash compensation and resettlement houses offered by the government. Dengzhou City Government has a plan to construct six resettlement communities in the Tuanbei New District, where all the residential houses affected by the project will relocate. The Dading resettlement community has been partially completed; and the remaining five communities are under construction. 15. With respect to non-residential house demolition, the owners of two affected small-scale enterprises will receive cash compensation for their non-residential houses based on market assessment. They will also receive moving subsides and subsidy for relevant losses from the local government following the RP. If they want to relocate their business to other places, they will apply for the new place to the local government following relevant regulations and policies. The affected workers will have a priority to get jobs in new enterprises in the project area. They will also participate in skills training and receive re-employment assistance from Human Resources and Social Security Bureau and other concerned departments of DCG.

F. Organization Responsibilities 16. The Dengzhou City Government (DCG) is the executing agency (EA) of the Project, and there are three implementing agencies (IAs) for the Project, including Dengzhou City Water Resource Bureau, Dengzhou City Ecology and Environment Bureau and Dengzhou Integrated Urban–Rural Development Pilot Area Administration Bureau. On behalf of DCG, the Dengzhou PMO is responsible for the overall management and coordination of the RP preparation and implementation. And Dengzhou City Natural Resources Bureau, Dengzhou House Acquisition Office and concerned town governments have been authorized as the implementing agencies for the RP implementation. Meanwhile, the village committees in the project area will also assist to implement the RP during implementation stage. 17. To ensure smooth implementation of the RP, the PMO and local staff participating in the LAR will receive training on resettlement policies and implementation operations, as well as internal monitoring, evaluation and reporting. The RP includes a resettlement implementation schedule based on the project preparation and implementation schedule.

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Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project

G. Public participation and information disclosure 18. All APs have been informed and consulted with on key points of the RP by various means, such as meetings, interviews, FGDs, public participation meetings and community consultations. Their expectations and opinions have been well incorporated into this RP. The Resettlement Information Booklet (RIB) will be distributed to the APs, and the draft RP will be disclosed on DCG’s and ADB’s websites by the end of May 2019.

H. Grievance Redress Mechanism 19. A grievance redress mechanism (GRM) has been established in the RP to settle disputes over compensation and resettlement issues. The aim is to respond to grievances of APs timely and transparently. If complaints and appeals about the Project raised up from APs, the Dengzhou PMO, IAs and other concerned agencies will coordinate and handle these grievances in a timely and effective manner. The APs can file grievances about any aspects of LAR, including compensation rates. All agencies will accept and handle complaints and appeals from APs for free, and costs so reasonably incurred will be disbursed from contingencies in the resettlement budget of the Project.

I. Resettlement budget 20. The estimated resettlement budget of the draft RP for the proposed project is CNY506.21 million. The final resettlement budget will be updated upon the final design and detailed measurement survey (DMS) before RP implementation. The final budgets, including any updated compensation policies, will be incorporated in the updated RP to be submitted to ADB for review and approval prior to LAR implementation and contract awards of civil works. The resettlement budget will be financed and disbursed by Dengzhou City Government through counterpart funds as a part of the total project investment.

J. Monitoring and Evaluation (M&E) 21. In order to ensure the successful implementation of the RP, resettlement implementation will be subject to internal and external monitoring. Internal monitoring will be conducted by the Dengzhou PMO, IAs and other concerned RP implementing agencies (e.g., natural resources bureau, house acquisition office, and labor and social security bureau), and internal monitoring reports will be submitted to ADB semiannually. The Dengzhou PMO will engage an external agency to conduct external M&E and submit M&E reports semiannually, and M&E costs have been included in the resettlement budget of the Project.

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project

TABLE OF CONTENTS 1 Project Background and Introduction ...... 1 1.1 Project Background ...... 1 1.2 Project Components and Involuntary Resettlement Impacts ...... 6 1.3 Measures to Avoid and Minimize LAR Impacts ...... 8 1.4 Associated/Existing Facilities (identified in EIA) and Resettlement DDR ...... 9 2 Land Acquisition and Resettlement Impacts of the Project ...... 10 2.1 Range of LA Impact Survey ...... 10 2.2 Permanent Acquisition of Collective Land ...... 11 2.2.1 PLA Impacts and Affected Population ...... 11 2.2.2 Cultivated Land Loss Analyses ...... 12 2.3 Permanent Occupation of State-owned Land ...... 15 2.4 Temporary Land Occupation...... 17 2.5 Residential House Demolition Impacts ...... 18 2.6 Non-residential House Demolition Impacts ...... 19 2.7 Affected Ground Attachments ...... 20 2.8 Affected Population ...... 20 2.8.1 Summary ...... 20 2.8.2 Affected Vulnerable Groups ...... 22 2.8.3 Affected Ethnic Minority Population ...... 22 3 Socioeconomic Profiles ...... 23 3.1 Socioeconomic Profile of the Project Area ...... 23 3.1.1 Dengzhou City ...... 23 3.1.3 Affected Towns ...... 24 3.1.4 Affected Villages ...... 24 3.2 Socioeconomic Profile of the Affected Population ...... 24 3.2.1 Socio-Economic Conditions of the AHs ...... 24 3.2.2 Expected Resettlement Modes and Measures ...... 27 3.3 Gender Analysis ...... 27 4 Legal Framework and Policies ...... 30 4.1 Laws, Regulations and Policies Applicable to Resettlement ...... 30 4.2 Abstract of the ADB’s Policies ...... 32 4.3 Main Differences between the ADB’s Policies and PRC Laws and Measures in the RP for the project ...... 34 4.3 Resettlement Policies for the Project ...... 38 4.4 Cut-off Date ...... 38 4.5 Compensation Rates ...... 38 4.5.1 Permanent LA ...... 38

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project

4.5.2 Compensation Rates for Residential House Demolition ...... 40 4.5.3 Compensation Rates for Non-residential House Demolition ...... 41 4.5.4 Temporary Land Occupation...... 42 4.5.5 Young Crops and Ground Attachments ...... 42 4.5.6 Tax and Fee Rates ...... 43 4.6 Entitlement Matrix...... 44 5 Livelihood Restoration and Resettlement Measures ...... 48 5.1 Cash Compensation for Households with Minor LA Impacts ...... 48 5.2 Income Restoration Program for Households Severely Affected by LA ...... 48 5.2.1 Agricultural Development...... 49 5.2.2 Skills Training ...... 49 5.2.3 Employment Promotion ...... 50 5.2.4 Social Security ...... 51 5.2.5 Share Bonus from Commercial Space Operated by Collective in Tuanbei New District ...... 52 5.3 House Demolition and Resettlement Measures ...... 53 5.3.1 One-off Cash Compensation ...... 53 5.3.2 Combination of Cash Compensation and Offering with Resettlement Houses ...... 53 5.4 Resettlement Measures for Non-residential Houses ...... 61 5.5 Measures for Affected Women ...... 61 5.6 Supporting Measures for Vulnerable Groups ...... 61 5.7 Restoration Program for Ground Attachments ...... 63 6 Organizational Structure ...... 64 6.1 Resettlement Implementation and Management Agencies ...... 64 6.1.1 Organizational Setting ...... 64 6.1.2 Organizational Responsibilities...... 64 6.2 Staffing, Equipment and Training ...... 66 6.2.1 Staffing ...... 67 6.2.2 Equipment ...... 67 6.2.3 Organizational Training Program ...... 67 7 Consultation, Participation and Grievance Redress ...... 69 7.1 Consultation and Participation ...... 69 7.1.1 Consultation and Participation during Preparation Stage ...... 69 7.1.2 Consultation and Participation during Implementation Stage ...... 73 7.2 Grievance Redress ...... 73 7.2.1 Modes of Collection of Grievances and Appeals ...... 73

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project

7.2.2 Grievance Redress Procedure ...... 74 7.2.3 Principles for Grievance Redress ...... 74 7.2.4 Scope and Modes of Reply on Grievances ...... 75 7.2.5 Recording and Feedback of Grievances and Appeals ...... 75 7.2.6 Contact Information for Grievance Redress ...... 75 8 LAR Budget and Financing ...... 76 8.1 Budget Estimation ...... 76 8.2 Resettlement Funds Investment Schedule and Funding Sources ...... 78 8.3 Disbursement and Management of Resettlement Funds ...... 78 8.3.1 Disbursement of Resettlement Funds ...... 78 8.3.2 Management of Resettlement Funds ...... 79 9 Resettlement Implementation Schedule ...... 80 9.1 Principles for Resettlement Implementation...... 80 9.2 Resettlement Implementation Schedule ...... 80 10 Monitoring & Evaluation...... 83 10.1 Internal Monitoring ...... 83 10.2 External Monitoring ...... 83 10.2.1 Scope and Methods ...... 83 10.2.2 Reporting ...... 84 10.3 Resettlement Completion Report ...... 85 Appendix 1：Land Acquisition Due Diligence Report for North to South Open Channel and West to East Diversion Channel ...... 86 Appendix 2：Resettlement Information Booklet ...... 105 Appendix 3：Detailed Resettlement Budget (unit: yuan) ...... 117

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Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project

1 Project Background and Introduction

1.1 Project Background 1. The proposed project is located in the urban and rural areas of Dengzhou City, a county-level city in the south-west of Henan Province. The expected project impact is living standards in the Yangtze River Economic Belt improved. The project will have the following outcome: water security and environmental sustainability in Dengzhou City improved. The project comprises three outputs: (i) urban and rural water infrastructure in Dengzhou City improved; (ii) ecological zones in Han River restored; and (iii) water resources management capacity enhanced. The key components of the project comprise wastewater management, construction of water supply systems to rural areas, solid waste management in a rural township (Rangdong), natural drainage regulation in a new development district (Tuanbei New District), control of non-point source pollution, wetland development along Tuan River (a tributary of the Han River), and institutional capacity strengthening in integrated water resources management (IWRM) for relevant agencies of Dengzhou City. The output details are as follows.

2. Output 1. Urban and rural water infrastructure in Dengzhou City improved. This output will include: (i) wastewater management including (a) installation of distributed wastewater treatment facilities in rural areas, (b) construction of a centralized wastewater treatment plant in urban area, and (c) construction of wastewater collection networks; (ii) rural water supply system including (a) construction of water intake and treatment facilities, (b) installation of distribution network, and (c) installation of advance monitoring and evaluation system; (iii) solid waste management in rural towns including (a) solid waste separation and recycling facilities, and (b) establishment of solid waste collection and transport facilities; and (iv) flood risk management including construction of (a) ecological dyke at critical locations, and (b) stormwater drainage.

3. Output 2. Ecological zones in Tuan River restored. This output will implement (i) river corridor improvement including (a) removal of wastes from Tuan River by using ecological dredging method, (b) construction of Tuanbei cultural park, and (c) greening and gardening along the river banks in city area; (ii) soil and water conservation including (a) river bank protection with eco-friendly measures, and (b) plantation of bio-shield and construction of runoff interceptors to control nutrients and top-soil leaching from the farm lands,; and (iii) wetland restoration including (a) construction of artificial wetlands, and (b) restoration of small creeks to enhance the natural drainage system.

4. Output 3. Water resources management capacity enhanced. This output will develop (i) Environmental research and education center for Tuan River watershed including (a) construction of building and research labs, (b) installation of research equipment, and (c) cooperation with local academic and research institutes; (ii) river health monitoring of lower Tuan River, including the (a) installation of real-time hydrological and water quality monitoring stations, (b) establishment of research park in lower Tuan River, and (c) connection of monitoring stations to Dengzhou Digital Center; and (iii) institutional and local capacity building including (a) establishment of innovative asset management and decision support system, (b) community based watershed management including solid waste management, (c) promotion of community entrepreneurship on ecosystem such as promotion of community nursery and agroforestry, and (d) training programs on water and environment for local

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project governments and communities.

5. See types of LAR impacts and documentation for subprojects in Table 1-1.

Table 1-1：LAR Impacts Categories and Documentation for Subprojects Responsible LAR Impacts Documents Output Components Sub-components IAs Categories Prepared 1.1.1 Tuanbei Included in Wastewater RP IURDPAAB PLA & HD Treatment Plant (WWTP) 1.1.2 Sewer Pipe Included in Network to Tuanbei IURDPAAB TLU RP 1.1 Wastewater WWTP management in 1.1.3 Rangdong Included in both rural and Township RP urban areas EPB PLA & TLU Wastewater Treatment Plant 1.1.4 Jitan Included in Township RP EPB PLA & TLU Wastewater Treatment Plant 1.2.1 Sangzhuang Included in Output 1: Urban Water Supply Plant RP and rural water (WSP) and WAB PLA & TLU infrastructure in Affiliated Pipe Dengzhou City Network improved. 1.2 Construction of rural water 1.2.2 Jiulong Water Included in Supply Plant RP supply systems WAB PLA & TLU (WSP) and Pipe Network 1.2.3 Cultural Included in WAB SLO2 heritage protection1 RP 1.3 Solid waste 1.3.1 Solid waste Included in management in treatment in EPB PLA RP rural towns Rangdong Town Included in 1.4.1 West to east PLA DDR IURDPAAB 1.4 Natural diversion channel (completed) drainage management 1.4.2 North to south PLA Included in IURDPAAB open channel (completed) DDR 2.1.1 Ecological Included in Dredging of Lower EPB SLO RP Tuan River 2.1.2 Embankment Included in of Lower Tuan EPB SLO RP 2.1 River River corridor 2.1.3 Tuanbei New Included in Output 2: improvement Ecological Town Green IURDPAAB PLA & HD RP zones in Han Corridor Park River restored. 2.1.4 Tuan River Included in Shoreline IURDPAAB PLA & HD RP Landscape Park 2.2.1 Tuan River Included in EPB SLO 2.2 Water and Green Buffer Belt RP Soil 2.2.2 Wetland Included in Conservation EPB SLO Development RP

1 Protection works on Huo Qubing's Cenotaph in Guanjun Village in Zhang Town; ecological park, educational boards, and environment friendly visitor resting area. 2 Only some repairs and maintenance works for exisiting structures and facilities, without any LAR impacts. 2

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project

2.2.3 Xingshan Included in EPB SLO3 Afforestation RP 3.1 Environmental Research and Included in EPB PLA Education Center RP Output 3: Water 3.1.2 River health monitoring of lower Included in EPB SLO resources Tuan River RP management 3.1.3 Trial experiment on 500m river Included in EPB SLO capacity ecological restoration RP enhanced. IURDPAAB, N/A 3.1.4 Institutional strengthening and No LAR EPB, WAB, capacity building of DCG PMO impacts Note: PLA = permanent land acquisition, HD= house demolition, TLU = temporary land use, SLO = state-owned land occupation, WAB = water affairs bureau, EPB = environment protection bureau; IURDPAAB = Integrated Urban–Rural Development Pilot Area Administration Bureau, TNTGCP = Tuanbei New Town Green Corridor Park, WWTP = wastewater treatment plant, DCG = Dengzhou City Government, PMO = project management office, IA = implementing agency. Source：FSR and preliminary measurement survey.

6. In accordance with the latest domestic FSRs, the Project has been divided into five subprojects including various components in different locations, namely:

(1) Tuanbei Water Environment Comprehensive Improvement Subproject. It includes: (i) comprehensive improvement of west to east diversion channel and north to south open channel, (ii) construction of Tuanbei New Town Green Corridor Park (TNTGCP), (iii) Tuan River Shoreline Landscape Park (TRSLP), and (iv) Connecting Road Works to Green Parks and Drainage Channels in Tuanbei New District (including Tuanbin North Road and Fusheng Road), and (v) Dongfang Bridge. (2) Jiulong Water Treatment Plant and Pipe Networks Subproject. The newly built Jiulong WTP will have a water supply capacity of 30,000 m3/d, including water transmission and distribution pipe networks of 310km and three booster pump stations. And protection works on Huo Qubing's Cenotaph will be implemented in Guanjun Village in Zhang Town, including ecological park, educational boards, and environment friendly visitor resting area. (3) Sangzhuang Water Treatment Plant and Pipe Networks Subproject. The newly built Sangzhuang WTP will have a water supply capacity of 25,000 m3/d, including water transmission and distribution pipe networks of 305Km and a midway pressurization pump station and a reserved chlorination station. (4) Tuanbei Wastewater Treatment Plant and Pipe Networks Subproject. The newly built Tuanbei WWTP will have a wastewater treatment capacity of 30,000 m3/d, including pipe networks of 17.1km. (5) Tuan River Downstream Comprehensive Improvement Subproject. This subproject comprises: (i) Ecological Dredging of Lower Tuan River; (ii) Embankment of Lower Tuan River; (iii) Trial experiment on 500m river ecological restoration; (iv) Tuan River Green Buffer Beltl, (v) wetland development; (vi) Xingshan Afforestation; (vii) Environmental Research and Education Center; (viii) Rangdong Township Wastewater Treatment Plants; (ix) Jitan Township Wastewater Treatment Plant; (x) Solid waste treatment in Rangdong Town; (xi) River health monitoring of lower Tuan River. 7. To keep a consistency with the domestic FSRs and facilitate the implementation, the LAR impacts and resettlement budgets in this RP are also analyzed and presented in line with the combination of five subprojects

3 Afforestation and affiliatied facilities will be implemented on state-owned barren hillls, without any LAR impacts. 3

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project

8. This RP has been prepared based on the latest feasibility study report and preliminary design, and will be updated based on the detailed design and DMS. The updated RP will be submitted to ADB for review and approval before the commencement of resettlement and prior to award of civil works contracts.

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project

Figure I-1: Project Locations and Proposed Scope of Works in Dengzhou Municipality, Henan Province

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project

9. Dengzhou City Government (DCG) is the executive agency (EA) of the Project, while Dengzhou Water Resource Bureau, Dengzhou Ecological and Environment Bureau and Dengzhou Integrated Urban–Rural Development Pilot Area Administration Bureau are implementing agencies (IAs) of the Project. On behalf of DCG, the Project Management Office (hereinafter refer as the "PMO") will be responsible for the preparation, management and implementation coordination of the Project. Dengzhou Nature Resources Bureau is responsible for the land acquisition management and supervision, and the Dengzhou House Acquisition Office is responsible for management, coordination and supervision for house demolition compensation and resettlement work.

1.2 Project Components and Involuntary Resettlement Impacts 10. The proposed project will affect 29 villager groups of 11 villages/communities in 5 towns of Dengzhou City in terms of LAR impacts. In total, 2,001 mu collective land will be acquired, including 1,817.25 mu cultivated/garden land and 183.75 mu rural construction land, affecting 769 HHs with 2,952 persons. In addition, 5,190.38 mu state-owned land (SOL), mainly the watercourse management land, will be occupied, without any affected people. A total of 2,953 mu land will be used temporarily (TLU) during construction. A total of 152,600 m2 of rural residential houses will be demolished (HD), with 525 HHs and 1,841 persons to be relocated. A total of 13,333 m2 of rural non-residential houses will be affected, with 2 agencies and 9 persons affected. In total, 793 HHs and 3,023 persons will be affected permanently by LAR of the project, meanwhile 2,260 HHs with 8,746 persons will be affected by temporary land use. See details of the permanent LAR impacts by subprojects in Table 1-2.

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project

Table 1-2：Permanent LAR Impacts of Subprojects Subproje Subproj Subproject 1 Subproject 2 Subproject 5 ct 3 ect 4 Jiulo Cultura Tuanbe Solid ng l i Environm Ran waste West to North to Tuan WTP heritag Sangzhu WWTP Tuan Xingsha ental Items Fushe g treatme Jitan Total east south bin & e ang WTP River n Research TNTGCP TRSLP ng dong nt in WW diversion open North Pum protect & Pump Green Afforesta and Road WW Rangdo TP channel channel Road p ion station Buffer Belt tion Education TP ng statio Center Town ns 0 Collective land 151.2 0 0 979.5 586.5 66.8 51.9 54.2 81.5 0 0 25 3 0.45 1.5 2001.57 acquisition 2 Permanent Land Use （mu） State-owned land 8.76 189.9 51.72 0 0 0 0 0 0 0 4140 800 0 0 0 0 5190.38 Occupation 151.2 8.76 Total 189.9 51.72 979.5 586.5 66.8 51.9 54.2 81.5 4140 800 25 3 0.45 1.5 7191.95 2 0 Residential 3100 Subtotal 0 0 57600 40100 20100 0 0 7200 0 0 0 0 0 0 156000 HD（m2） 0

Non-reside 0 ntial HD Subtotal 0 0 13333 0 0 0 0 0 0 0 0 0 0 0 0 13333 （m2） 0 AHs 0 0 209 262 98 138 9 12 24 0 0 4 6 1 6 769 LA 0 APs 0 0 730 1026 308 609 44 58 83 0 0 25 32 4 33 2952 0 Reside AHs 0 0 176 138 120 67 0 0 24 0 0 0 0 0 0 525 ntial 0 HD APs 0 0 635 485 370 268 0 0 83 0 0 0 0 0 0 1841 0 Permanent Non-re AHs 0 0 2 0 0 0 0 0 0 0 0 0 0 0 0 2 ly Affected sidenti 0 People al HD APs 0 0 9 0 0 0 0 0 0 0 0 0 0 0 9 0 Both AHs 0 0 176 138 98 67 0 0 24 0 0 0 0 0 0 503 LA and 0 HD APs 0 0 635 485 308 268 0 0 83 0 0 0 0 0 0 1779 0 AHs 0 0 211 262 120 138 9 12 24 0 0 4 6 1 6 793 Total 0 APs 0 0 739 1026 370 609 44 58 83 0 0 25 32 4 33 3023

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project

1.3 Measures to Avoid and Minimize LAR Impacts 11. Resettlement impacts have been minimized based on a comprehensive consideration of project design.

12. At the planning stage, local economic and social impacts were taken into account; and the design was optimized to minimize resettlement impacts. The specific measures are as follows:

Table 1-3：Measures to Reduce Resettlement at the Preparation Stage No. Subproject Option 1 Option 2 Selected Option Planned LAR Planned LAR Impacts Preferred Avoided activity or Impacts activity or design LAR design design option impacts 1 Dongfang Avenue Construct To Drop out the None 2 248.9 mu the acquire Dongfang land and Dongfang 248.9mu, Avenue HD with Avenue affecting 50400 m2, 165 HHs 180 HHs and 635 persons; and to demolish houses with 50400 m2, and relocate 180 HHs with 720 persons 2 Construct in 49.6 mu Construct 25 mu land 2 25 mu a large scale land to with a to be land, 4 be medium acquired, AHs and Environmental acquired, scale affecting 4 25 APs Research and Education Center affecting HHs with 25 8 HHs APs with 50 APs 3 Construction to rent Construction Only occupy 2 Reduced Ecological greening land with greening state-owned land Restoration and Spot belts outside an area belts inside river leasing Bank Protection the river of 580mu the river management with 580 Works of Lower Tuan embankment embankment land mu River with a width of 18 m 4 Original 57.4 mu Scale and 51.9 mu land 2 5.5 mu scale and land to location to be farm land, location be adjusted to acquired, 3 HHs with selected acquired, avoid affecting 9 16 Jiulong WTP affecting occupying HHs with 44 persons 12 HHs basic persons with 60 farmland persons 5 Fusheng Road Original 162.3 mu Scale and 151.22 mu 2 11.08 mu scale and land to location land to be land, 6 location be adjusted to acquired, HHs with selected acquired, avoid affecting 138 25 affecting occupying HHs with persons 144 HHs basic 609 persons with 634 farmland persons 6 Tuanbei WWTP Original 86.25 mu Scale and 81.5 mu land 3 4.75 mu

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project

scale and land to location to be land location be adjusted to acquired, selected acquired, avoid affecting 24 affecting occupying HHs with 83 144 HHs basic persons with 634 farmland persons

13. During the RP update, the following measures will be taken to minimize or mitigate local impacts of the Project：

1) Further notify the APs in advance, collect additional necessary data and information, conduct detailed socioeconomic analysis, prepare detailed compensation and resettlement scheme, and provide compensation for all the losses caused by the Project. 2) Conduct further public participation and consultations actively to collect comments and suggestions from the APs on the updated RP. Strengthen internal and external monitoring, establish an efficient and unobstructed grievance redress mechanism and channels, and shorten the grievance redress cycle to ensure that issues arising from implementation are solved timely. 1.4 Associated/Existing Facilities (identified in EIA) and Resettlement DDR 14. Consistent with the Environmental Impact Assessment (EIA) report, the associated facility identified is the domestic Tuanbei Reservoir (hereafter refer as “the associated facility”), which will deliver water to the north to south open channel and west to east diversion channel and Weiming Channel (inside of the Tuanbei New Town Green Corridor Park) in Tuanbei New District that will be financed by ADB. But the Tuanbei Reservoir is not in the scope of the project financed by ADB.

15. The associated facility is located in Zhanglou town in north of Dengzhou City, in the north of west section of Lingshan Road, at the upstream with 1.5 km of the mouth of Xishijiang River to Tuan River. The Tuanbei reservoir is roughly northwest to the southeast with a length of about 1.3 km and width of about 80 to 250 m. The reservoir covers an area of 1,122 mu, among which the water surface covers an area of 430 mu, and the storage volume is about 880,000 m3, with an average depth of about 3.3m. The associated facility will be implemented by Dengzhou City Water Resource Bureau in near future. The total investment will be 255.335 million yuan, with a construction period of 15 months.

16. As the land acquisition and compensation of the associated facility had been completed in 2018, a separate due diligence report has been prepared, in which it is concluded that there are no pending issues related to land acquisition and compensation.

17. In addition, the Dengzhou sludge treatment facility has been identified as an “existing facility” in EIA report, but not a part of the scope of proposed project financed by ADB. This facility occupies land with an area of 2.5 mu, which had been acquired and compensated in 2007. A separate DDR has been prepared for this as well, confirming there are no pending LAR issues.

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project

2 Land Acquisition and Resettlement Impacts of the Project

2.1 Range of LA Impact Survey 18. According to the survey, the Project will permanently affect 29 villager groups in 11 villages of 5 towns in Dengzhou City through LAR. See Table 2-1.

Table 2-1：Permanent Impacts Scope of the Project Subproject Subproject Town Village Villager Group Combination Qilidian, No.11, Dazhuang No.14, No.12 Tuanbei New Town Green No.11, No.6, Zhanglou Corridor Park (TNTGCP) Gongjia No.12, Chenzhuang Huangzhuang Xiaying, Weibei Subtotal 1 3 10 Huanggang, Yuanjia, Dazhuang Dazhuang, Tuan River Shoreline (i)Tuanbei Water Zhanglou Hewan, Qilidian, Landscape Park (TRSLP) Environment Shuangshenghe Comprehensive Dingwan Taojia Improvement Cha’an No.1, No.2 Subtotal 1 3 9 Xiaoding No.9, No.10 Tuanbin North Road Zhanglou Dazhuang Qilidian Subtotal 1 2 3 Dazhuang Hewan, Qilidian Fusheng Road Zhanglou Dingwan Taojia Subtotal 1 2 3 Total（overlapped towns 1 and villages deducted） 6 20 (ii) Jiulong Water Treatment Plant and WTP and pump stations Jiulong Houwang Houwang Affiliated Pipe Network (iii) Sanzhuang Water Sangzhuang WTP and pump station Sangzhuang No.7 Treatment Plant and Community Affiliated Pipe Subtotal 2 2 2 Network (iv) Tuanbei No.8, No.9, Wastewater WWTP and pump station Zhanglou Dingwan No.13, Treatment Plant and Zhangzhuang Affiliated Sewer Pipe Subtotal 1 1 4 Network Environmental Research Zhanglou Beizhuangpo No.3 and Education Center (v) Tuan River Rangdong WWTP Rangdong Zhaizhuang Dingzhuang Downstream Solid waste treatment in Comprehensive Rangdong Zhaizhuang Dingzhuang Rangdong Town Improvement4 Jitan WWTP Jitan Sunzhuang No.4 Subtotal 3 3 3 In Sum（overlapped towns and villages deducted） 5 11 29

4 Other subprojects under (v) only involve occupation of state-owned land along lower reach of Tuan River. 10

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project

2.2 Permanent Acquisition of Collective Land

2.2.1 PLA Impacts and Affected Population 19. Based on physical measurement survey, the Project will acquire collective land with an area of 2,001.57mu, including 1,817.82 mu farmland and 183.75 mu construction land, with 769 HHs and 2,952 persons affected. See details in table 2-2 and 2-3.

Table 2-2：Summary of Acquired Collective Land（by subprojects） Subproject Farmland Construction Subproject Total（mu） AHs APs Combination （mu） land（mu） Tuanbei New Town 917.9 61.6 979.5 209 730 Tuanbei Water Green Corridor Park Tuan River Shoreline Environment 538.2 48.3 586.5 262 1026 Comprehensive Landscape Park Improvement Tuanbin North Road 24.8 42 66.8 98 308 Fusheng Road 127.77 23.45 151.22 138 609 Jiulong Water Treatment Plant and WTP and pump 51.9 0 51.9 9 44 Affiliated Pipe stations Network Sanzhuang Water Treatment Plant WTP and pump 54.2 0 54.2 12 58 and Affiliated Pipe station Network Tuanbei Wastewater Treatment Plant WWTP and pump 73.1 8.4 81.5 24 83 and Affiliated station Sewer Pipe Network Environmental Research and 25 0 25 4 25 Tuan River Education Center Downstream Rangdong WWTP 3 0 3 6 32 Comprehensive Solid waste Improvement treatment in 0.45 0 0.45 1 4 Rangdong Town Jitan WWTP 1.5 0 1.5 6 33 Total 1817.82 183.75 2001.57 769 2952 Table 2-3：Summary of Acquired Collective Land（by villager groups） Villager Farmland Construction land Total A AP Town Village Group （mu）（mu）（mu） Hs s Beizhuangpo No.3 25 0 25 4 25 No.2 15.5 0 15.5 4 12 Cha’an No.1 7.7 0 7.7 3 7 20 Dazhuang 57.1 7 64.1 52 6 13 55 Hewan 133 24.5 157.5 Zhanglo 3 8 20 u Huanggang 79.8 10.5 90.3 52 6 Dazhuang 15 63 Qilidian 236.45 35.35 271.8 3 1 12 No.12 126.8 6.3 133.1 35 1 No.14 42.3 2.1 44.4 12 43 No.11 53.6 2.8 56.4 15 53

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project

Shuangshe 98.4 0 98.4 16 62 nghe 16 Yuanjia 122 7 129 42 4 No.8 17.55 1.75 19.3 5 19 No.9 11.9 1.4 13.3 4 14 Dingwan No.13 27.6 3.5 31.1 10 36 Taojia 33.97 8.75 42.72 12 47 Zhangzhua 16.05 1.75 17.8 5 14 ng Chenzhuan 64.8 10.5 75.3 20 70 g 16 No.6 218.1 14 232.1 47 Gongjia 6 No.12 106.7 5.6 112.3 12 43 NO.11 87 10.5 97.5 12 40 Weibei 53.6 2.8 56.4 16 55 Huangzhuang Xiaying 62.55 3.15 65.7 18 61 No.9 4.3 7 11.3 15 59 Xiaoding No.10 5 17.5 22.5 38 69 Jiulong Houwang Houwang 51.9 0 51.9 9 44 Sangzhu Sangzhuang No.7 54.2 0 54.2 12 58 ang Community Jitan Sunzhuang No.4 1.5 0 1.5 6 33 Rangdo Dingzhuan Zhaizhuang 3.45 0 3.45 7 36 ng g 76 29 Total 1817.82 183.75 2001.57 9 52

2.2.2 Cultivated Land Loss Analyses 20. The land loss analysis reveals that the average farmland loss rate is 17.6% for the 29 affected villager groups in 11 villages; among which the No.6 villager group of Gongjia Village in Zhangzhou Town will suffer the highest farmland loss rate of 55.6%, while the No.4 villager group of Sunzhuang Village in Jitan Town has a lowest farmland loss rate of 0.3%. Regarding the income loss rate, it is shown that the loss rate of per capita average net income is 3.2% for the 29 affected villager groups, among which the No.12 villager group of Gongjia Village in Zhanglou Town will suffer a highest per capita net income loss rate 14.7%. See details of farmland and net income loss analyses in Table 2-4 and Table 2-5.

Figure 2-1：Farmland to be acquired by the Project (partial)

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project

Table 2-4：Farmland and Income Losses of Affected Villager Groups Before LA LA impact Land loss rates Income loss (yuan) Percent to Per capita Percent per capita Per capita Percent Village Average Per Town Village Group Cultivated Cultivated cultivated of net HHs Population cultivated AHs APs of HHs group Total loss loss per capita area (mu) area (mu) area after Persons income area (mu) (%) (%) HH loss LA (mu) (%) (%) Zhanglou Beizhuangpo No.3 92 720 1400 1.94 25 4 25 1.91 4.3 3.5 1.8 20000 5000 800 5.9 Zhanglou Cha’an No.1 68 270 378 1.40 7.7 3 7 1.37 4.4 2.6 2.0 6160 2053.3 880 6.5 Zhanglou Cha’an No. 2 62 241 338 1.40 15.5 4 12 1.34 6.5 5.0 4.6 12400 3100 1033 7.7 Zhanglou Dazhuang Dazhuang 84 381 340 0.89 57.1 52 206 0.74 61.9 54.1 16.8 45680 878.5 222 1.6 Zhanglou Dazhuang Hewan 180 825 755 0.92 133 133 558 0.75 73.9 67.6 17.6 106400 800.0 191 1.4 Zhanglou Dazhuang Huanggang 73 292 399 1.37 79.8 52 206 1.09 71.2 70.5 20.0 63840 1227.7 310 2.3 Zhanglou Dazhuang Qilidian 177 947 736 0.78 236.45 153 631 0.53 86.4 66.6 32.1 189160 1236.3 300 2.2 Zhanglou Dazhuang No.12 52 183 256.2 1.40 126.8 35 121 0.71 67.3 66.1 49.5 101440 2898.3 838 6.2 Zhanglou Dazhuang No.14 41 145 203 1.40 42.3 12 43 1.11 29.3 29.7 20.8 33840 2820 787 5.8 Zhanglou Dazhuang No.11 45 160 224 1.40 53.6 15 53 1.07 33.3 33.1 23.9 42880 2858.7 809 6.0 Zhanglou Dazhuang Shuangshenghe 33 143 180 1.26 98.4 16 62 0.57 48.5 43.4 54.7 78720 4920.0 1270 9.4 Zhanglou Dazhuang Yuanjia 53 294 241.9 0.82 122 42 164 0.41 79.2 55.8 50.4 97600 2323.8 595 4.4 Zhanglou Dingwan Taojia 25 100 100 1.00 33.97 12 47 0.66 48 47 34 27176 2264.7 578 4.3 Zhanglou Dingwan No.8 35 123 172.2 1.40 17.55 5 19 1.26 14.3 15.4 10.2 14040 2808 739 5.5 Zhanglou Dingwan No.9 42 146 204.4 1.40 11.9 4 14 1.32 9.5 9.6 5.8 9520 2380 680 5.0 Zhanglou Dingwan No.13 49 170 238 1.40 27.6 10 36 1.24 20.4 21.2 11.6 22080 2208 613 4.5 Zhanglou Dingwan Zhangzhuang 42 150 211 1.41 16.05 5 14 1.30 11.9 9.3 7.6 12840 2568 917 6.8 Zhanglou Gongjia Chenzhuang 43 150 210 1.40 64.8 20 70 0.97 46.5 46.7 30.9 51840 2592 741 5.5 Zhanglou Gongjia No.6 70 280 392 1.40 218.1 47 166 0.62 67.1 59.3 55.6 174480 3712.3 1051 7.8 Zhanglou Gongjia No.11 50 200 280 1.40 87 12 40 0.97 24.0 20.0 31.1 69600 5800.0 1740 12.9 Zhanglou Gongjia No. 12 50 200 280 1.40 106.7 12 43 0.87 24.0 21.5 38.1 85360 7113.3 1985 14.7 Zhanglou Huangzhuang Xiaying 54 190 266 1.40 62.55 18 61 1.07 33.3 32.1 23.5 50040 2780 820 6.1 Zhanglou Huangzhuang Weibei 57 198 277.2 1.40 53.6 16 55 1.13 28.1 27.8 19.3 42880 2680 780 5.8 Zhanglou Xiaoding No.9 70 280 200 0.71 4.3 15 59 0.70 21.4 21.1 2.2 3440 229.33 58 0.4 Zhanglou Xiaoding No.10 120 470 300 0.64 5 38 69 0.63 31.7 14.7 1.7 4000 105.3 58 0.4 Rangdong Zhaizhuang Dingzhuang 63 330 319 0.97 3.45 7 36 0.96 11.1 10.9 1.1 2760 394.3 77 0.5 Jiulong Houwang Houwang 75 370 426 1.15 51.9 9 44 1.01 12.0 11.9 12.2 41520 4613.3 944 9.8 Sangzhuang Sangzhuang No.7 136 660 524 0.79 54.2 12 58 0.71 8.8 8.8 10.3 43360 3613.3 748 6.2 Community Jitan Sunzhuang No.4 76 456 456 1.00 1.5 6 33 1.00 7.9 7.2 0.3 1200 200 36 0.2 Total/Average 2017 9074 10306.9 35.3 1817.8 769 2952 0.94 38.1 32.5 17.6 1454256 1891.1 492.6 3.2% Note: the average net income of farmland is estimated at 800 yuan/mu annually.

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project

Table 2-5: Land Loss Rates for Different Groups Land loss rate Total Town Village Villager group <10％ 11-29％ 30-49％ 50-69％ 70-89％ 90-100% HHs APs HHs APs HHs APs HHs APs HHs APs HHs APs HHs APs Zhanglou Beizhuangpo No.3 4 25 0 0 0 0 0 0 0 0 0 0 4 25 Zhanglou Cha’an No.1 3 7 0 0 0 0 0 0 0 0 0 0 3 7 Zhanglou Cha’an No. 2 4 12 0 0 0 0 0 0 0 0 0 0 4 12 Zhanglou Dazhuang Dazhuang 45 180 7 26 0 0 0 0 0 0 0 0 52 206 Zhanglou Dazhuang Hewan 110 440 23 118 0 0 0 0 0 0 0 0 133 558 Zhanglou Dazhuang Huanggang 28 111 18 70 6 25 0 0 0 0 0 0 52 206 Zhanglou Dazhuang Qilidian 46 195 24 116 65 242 18 78 0 0 0 0 153 631 Zhanglou Dazhuang No.12 20 65 15 56 0 0 0 0 0 0 0 0 35 121 Zhanglou Dazhuang No.14 6 23 4 12 2 8 0 0 0 0 0 0 12 43 Zhanglou Dazhuang No.11 7 27 5 16 3 10 0 0 0 0 0 0 15 53 Zhanglou Dazhuang Shuangshenghe 2 6 3 10 2 7 7 32 2 7 0 0 16 62 Zhanglou Dazhuang Yuanjia 6 25 5 19 10 38 20 78 1 4 0 0 42 164 Zhanglou Dingwan Taojia 2 8 2 7 4 17 4 15 0 0 0 0 12 47 Zhanglou Dingwan No.8 5 19 0 0 0 0 0 0 0 0 0 0 5 19 Zhanglou Dingwan No.9 4 14 0 0 0 0 0 0 0 0 0 0 4 14 Zhanglou Dingwan No.13 8 28 2 8 0 0 0 0 0 0 0 0 10 36 Zhanglou Dingwan Zhangzhuang 5 14 0 0 0 0 0 0 0 0 0 0 5 14 Zhanglou Gongjia Chenzhuang 5 17 5 18 10 35 0 0 0 0 0 0 20 70 Zhanglou Gongjia No.6 5 16 7 24 7 23 25 93 3 10 0 0 47 166 Zhanglou Gongjia No.11 3 7 2 7 7 26 0 0 0 0 0 0 12 40 Zhanglou Gongjia No. 12 2 7 6 22 4 14 0 0 0 0 0 0 12 43 Zhanglou Huangzhuang Xiaying 11 40 4 13 3 8 0 0 0 0 0 0 18 61 Zhanglou Huangzhuang Weibei 12 46 4 9 0 0 0 0 0 0 0 0 16 55 Zhanglou Xiaoding No.9 15 59 0 0 0 0 0 0 0 0 0 0 15 59 Zhanglou Xiaoding No.10 38 69 0 0 0 0 0 0 0 0 0 0 38 69 Rangdong Zhaizhuang Dingzhuang 7 36 0 0 0 0 0 0 0 0 0 0 7 36 Jiulong Houwang Houwang 9 44 0 0 0 0 0 0 0 0 0 0 9 44 Sangzhuang Sangzhuang Community No.7 12 58 0 0 0 0 0 0 0 0 0 0 12 58 Jitan Sunzhuang No.4 6 33 0 0 0 0 0 0 0 0 0 0 6 33 Total 430 1631 136 551 123 453 74 296 6 21 0 0 769 2952 Percent 55.9% 55.3% 17.7% 18.7% 16.0% 15.3% 9.6% 10.0% 0.8% 0.7% 0.0% 0.0% 100% 100%

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project

2.3 Permanent Occupation of State-owned Land 21. The Project will occupy 5,190.38 mu of state-owned land in total, mainly including reserved construction land and embankment management land. See Table 2-6 and Figure 2-2.

Figure 2-2：Water Course of Tuan River Downstream

Figure 2-3：Huo Qubing's Cenotaph in Guanjun Village in Zhang Town

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project

Table 2-6：Summary of Permanently Occupied State-owned Land State-own Embankm Remarks Reserved/existing ed barren ent Subproject Subproject construction hill (mu) managem Total（mu） Combination land （mu） ent land （mu） West to east diversion See DDR in appendix 1 189.9 0 0 189.9 Tuanbei Water channel Environment Comprehensive North to south open 51.72 0 0 51.72 Improvement channel

Construction of Cultural heritage rural water protection 8.76 0 0 8.76 supply systems Tuan River Downstream Xingshan Afforestation 0 800 0 800 Comprehensive Improvement In the river management zone, about 400 mu of land involve some young crops planted informally by villagers along the river course when the river course is not flooded. However, the specific scope and impacts cannot be ascertained during the FSR stage, because Tuan River Green Buffer Tuan River (i) actual crop plantings change every year due to Belt; Ecological Downstream floods and inundations along the river; and (ii) detailed Dredging of Lower Tuan 0 0 4140 4140 Comprehensive footprints of project components along the river will be River; Embankment of Improvement finalized during the detailed design. Hence, the actual Lower Tuan River crops area and owners of young crops will be surveyed during the detailed design, and necessary compensation measures for young crops will be included in the updated RP for ADB approval before award of civil works contracts. Total 250.38 800 4140 5190.38

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project

2.4 Temporary Land Occupation 22. Temporary land occupation will be caused by the pipe networks laying, construction access roads, stockyards and temporary sheds mainly. Total 2,953 mu will be occupied temporarily with a period of 3 to 6 months. Due to the linear temporary land occupation for pine networks, the project will temporarily affect 2,260 households with 8,746 persons, on basis of preliminary estimation. See Table 2-7. Table 2-7：Temporary Land Occupation Impacts Constru Subproject ction Total AH Sub-components Farmland（mu） APs Remarks Combination land （mu） s （mu） Tuanbei New Town Green 0 0 0 0 Corridor Park Tuan River Shoreline (i)Tuanbei Water 0 0 0 0 Environment Landscape Park Construction Comprehensive camps will be Improvement Tuanbin North Road 0 0 0 0 set up within the scope of LA. Fusheng Road 0 0 0 0

(ii) Jiulong Water WTP and Pump stations 0 0 0 0 Treatment Plant and Affiliated Pipe Pipe Network Pipe network 420 50 470 300 1200 networks of 310km Construction camps will be (iii) Jiulong Water WTP and Pump station 0 0 0 0 set up within Treatment Plant the scope of and Affiliated LA. Pipe Network Pipe 180 Pipe network 2000 300 2300 7000 networks of 0 305km (iv) Tuanbei Wastewater Pipe Treatment Plant Pipe network 80 30 110 120 400 networks of and Affiliated 17.1km Sewer Network Construction camps will be Environmental Research 0 0 0 0 set up within and Education Center the scope of LA. Construction Tuan River Green Buffer camps will be Belt; Ecological Dredging set up on the (v) Tuan River of Lower Tuan River; 0 0 0 0 river Downstream Embankment of Lower management Comprehensive Tuan River land. Improvement pipe Jitan WWTP and sewer 25 30 55 30 110 networks of network 12.3km pipe Rangdong WWTP and 8 10 18 10 36 networks of sewer network 3.5km Solid waste treatment in 0 0 0 0 Rangdong Town 226 Total 2533 420 2953 8746 0

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project

Figure 2-4：Temporary Land Occupation（photo refers to similar projects） 2.5 Residential House Demolition Impacts 23. According to preliminary survey, all the house demolition impacts are caused by Tuanbei New District Water Environment Improvement Subproject Component and locate in Zhanglou Town. Residential houses with 152,600 m2 will be demolished, affecting 525 HHs with 1,841 persons. See details in table 2-8 and 2-9.

Table 2-8：Residential House Demolition Impacts House Area (m2) Sub-components Town Village Villager Group HHs APs (Brick-concrete structure) Zhanglou Dazhuang Qilidian 11 40 3300 No.11 8 29 2400 No.14 6 22 6600 No.12 18 65 5400 Tuanbei New Town No.11 30 108 9000 Green Corridor No.6 40 144 12000 Gongjia Park No.12 16 57 4800 Chenzhuang 30 108 9000 Huanggan Xiaying 9 33 2700 g Weibei 8 29 2400 Subtotal 176 635 57600 Zhanglou Dazhuang Huanggang 30 105 9000 Yuanjia 20 70 4000 Tuan River Dazhuang 20 71 6000 Shoreline Hewan 30 105 9000 Landscape Park Qilidian 20 71 6000 Dingwan Taojia 18 63 2700 Subtotal 138 485 36700 Zhanglou Dingwan No.8 5 17 1500 No.9 4 14 1200 Tuanbei No.13 10 35 3000 Wastewater Zhangzhuan Treatment Plant g 5 17 1500 Subtotal 24 83 7200 Zhanglou Xiaoding No.9 20 70 6000 Tuanbin North No.10 50 152 15000 Road Dazhuang Qilidian 50 148 10000 Subtotal 120 370 31000 Zhanglou Dazhuang Hewan 40 162 12000 Qilidian 20 78 6000 Fusheng Road Dingwan Taojia 7 28 2100 Subtotal 67 268 20100 Total 525 1841 152600

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project

Table 2-9： Residential House Demolition Impacts（by villages） Town Village Villager Group HHs APs House Area (m2) (Brick-concrete structure) Zhanglou Dazhuang Qilidian 101 337 25300 No.11 8 29 2400 No.14 6 22 6600 No.12 18 65 5400 Huanggang 30 105 9000 Yuanjia 20 70 4000 Dazhuang 20 71 6000 Hewan 70 267 21000 Subtotal 273 966 79700 Dingwan Taojia 25 91 4800 No.8 5 17 1500 No.9 4 14 1200 No.13 10 35 3000 Zhangzhuang 5 17 1500 Subtotal 49 174 12000 Gongjia Chenzhuang 30 108 9000 No.6 40 144 12000 No.11 30 108 9000 No.12 16 57 4800 Subtotal 116 417 34800 Huanggang Xiaying 9 33 2700 Weibei 8 29 2400 Subtotal 17 62 5100 Xiaoding No.9 20 70 6000 No.10 50 152 15000 Subtotal 70 222 21000 Total 525 1841 152600

Figure 2-5: Residential Houses to be Demolished 2.6 Non-residential House Demolition Impacts 24. In addition, 2 enterprises will be affected by house demolition with a total area of 13,333 m2, with 9 workers affected. See details in table 2-10.

Table 2-10：Non-residential House Demolition Impacts House Area Subproject Land (m2) Subproject Town Affected enterprises Combination Ownership (Brick-concre te structure) Tuanbei Water concrete prefabricated Tuanbei New Rural collective 6000 Environment board plant Town Green Zhanglou Comprehensive concrete prefabricated Corridor Park Rural collective 7333 Improvement board plant Total 13333

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project

2.7 Affected Ground Attachments 25. During the land acquisition, some ground attachments will be affected at the same time, mainly including ponds, wells, canals, telegraph poles, and trees. Particularly, the Tuan River Downstream Embankment Improvement and Ecology Rehabilitation Subproject Component may affect young crops on state-owned river management land during project implementation. The scope of these can not be ascertained during the feasibility study, because (i) actual crop areas changes every year due to floods and inundations; and (ii) actual footprints of project civil works along the river banks will be finalized during the detailed desitn. These impacts will be surveyed and presented in the updated RP on basis of detailed measurement survey during the project implementation, which will be submitted to ADB for approval before award of civil works contracts.

2.8 Affected Population

2.8.1 Summary 26. The Project will permanently affect 793 households with 3,023 persons and temporarily affect 2,260 households with 8,746 persons. In sum, 3,053 HHs with 11,769 persons will be affected by the Project. See details in table 2-11.

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project

Table 2-11：Summary of Affected Population Non-residential Permanent Temporary LA HD LA & HD Total Impacts Subproject Combination Subproject HD Impacts Impacts AHs APs AHs APs AHs APs AHs APs AHs APs AHs APs AHs APs Tuanbei New Town 209 730 176 635 176 635 2 9 211 739 0 0 211 739 Green Corridor Park (i)Tuanbei Water Environment Comprehensive Tuan River Shoreline 262 1026 138 485 138 485 0 0 262 1026 0 0 262 1026 Improvement Landscape Park Tuanbin North Road 98 308 120 370 98 308 0 0 120 370 0 0 120 370 Fusheng Road 138 609 67 268 67 268 0 0 138 609 0 0 138 609 (ii)Jiulong Water Treatment Plant and Affilated WTP and pump 9 44 0 0 0 0 0 0 9 44 1800 7000 1809 7044 Pipe Network stations (iii)Sanzhuang Water Treatment Plant and WTP and pump 12 58 0 0 0 0 0 0 12 58 300 1200 312 1258 Affiliated Pipe Network station (iv)Tuanbei Wastewater Treatment Plant and WWTP and pump 24 83 24 83 24 83 0 0 24 83 120 400 144 483 Affiliated Sewer Networks station Environmental Research and 4 25 0 0 0 0 0 0 4 25 0 0 4 25 Education Center

(v)Tuan River Downstream Comprehensive Rangdong WWTP 6 32 0 0 0 0 0 0 6 32 10 36 16 68 Improvement

Solid waste treatment 1 4 0 0 0 0 0 0 1 4 0 0 1 4 in Rangdong Town Jitan WWTP 6 33 0 0 0 0 0 0 6 33 30 110 36 143 Total 769 2952 525 1841 503 1779 2 9 793 3023 2260 8746 3053 11769

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project

2.8.2 Affected Vulnerable Groups 27. According to the preliminary measurement survey and census of APs, 7 HHs with 19 persons were identified as vulnerable groups. All of them will be affected by LA. See details in Table 2-12 and Table 2-13. During the implementation stage, vulnerable groups will be screened and identified again on basis of DMS and census.

Table 2-12： Affected Vulnerable Groups Impact Household members vulnerable groups（HHs） types Villager (persons) Village APs （HHs） group Elderly people the minimum living guar Disabled Total male female LA HD living alone antee households Gongjia No.11 0 1 0 1 1 1 0 1 0 Gongjia No.12 0 1 0 2 2 1 1 1 0 Houwang Houwang 0 5 0 16 16 9 7 5 0 Total 0 7 0 19 19 11 8 7 0 Table 2-13： Estimated Land and Income Losses due to Land Acquisition of Vulnerable Group Village # of Land Income Remark Villager Vulnerable Loss Loss group HH Rate Rate Gongjia No.11 1 12% 8% Since all of these HHs are eligible for minimum living Gongjia No.12 2 13% 11% subsides bridging the gaps between the actual Houwang Houwang 3 8% 4% incomes and minimum living standards, they will be Houwang Houwang 4 8% 5% able to maintain the minimum living standards despite Houwang Houwang 5 9% 5% some income loss due to LA for the project. Houwang Houwang 6 8% 5% Houwang Houwang 7 7% 4% Average 9% 6%

2.8.3 Affected Ethnic Minority Population 28. According to the preliminary measurement survey and census of APs, a total of 40 HHs with 298 population of ethnic minority (Hui nationality) will be affected only by the temporary land use under the Project. See details in the table below.

Table 2-14: Ethnic Minorities Affected by Temporary Land Use EMs affected by temporary Villages/comunites Where Subproject Sub-component land use Affected EM live Combination AHs APs (iii) Jiulong Zhangyuan Village, Gaoji Water Treatment Town; Plant and Pipe network 50 255 Zhangbei Community and Associated Pipe Zhangnan Community, Networks Zhangcun Town Jitan WWTP and pipe network 4 18 Jitan Village, Jitan Town (v) Tuan River Rangxi Community, Downstream Raongdong Community, Comprehensive Rangdong WWTP and pipe network 6 25 Zhaizhuang Village, Improvement Rongdong Town Total 40 298

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project

3 Socioeconomic Profiles

3.1 Socioeconomic Profile of the Project Area

3.1.1 Dengzhou City 29. Dengzhou is located in the west-central area of Nanxiang basin in southwest Henan province, which is in the west of Wolong District and Xinye County of Nanyang Municipality, east of Xichuan County, north of Xiangyang district and Laohekou city of Hubei province, and south of Neixiang county and Zhenping county. Dengzhou City is 69 kilometers long from north to south and 67 kilometers wide from east to west, with a total area of 2,369 square kilometers. The landform of Dengzhou is characterized by less mountains, more hills and wider plains. The highest point in the city is 469.7 meters above sea level, and the lowest point in the southeast is 85 meters above sea level. Dengzhou has jurisdiction over 28 towns (subdistricts), with a total registered population of 1.786 million (in 2017) and a resident population of 1.4 million, among which the urban population is over 400,000 and the urbanization rate reaches 36.62%. Dengzhou is located at the junction of southwest Henan province and northwest Hubei province, near the center of the big triangle of Wuhan-Xi 'an-Zhengzhou Municipalities and the small triangle of Nanyang-Xiangyang-Shiyan Municipalities, serving as a bridge between the east and the west areas.

30. Dengzhou city is rich in water resources, water supply and drainage facilities. There are 29 rivers across this city. Dengzhou is scheduled to receive 700 million cubic meters of water per year from the middle route of South-to-North water diversion canal built by the PRC government. Water storage and drainage infrastructures have been built in the urban area, such as diverting water from Dan River and Tuan River to the city. The average annual rainfall in Dengzhou is 745mm, with abundant underground water resources.

31. See Table 3-1 for the Main Socio-economic Indicators in Dengzhou city.

Table 3-1：Main Socio-economic Indicators in Dengzhou city (in 2017) No. Area Resident Urban Rural GPD GDP Per Per Per populatio Populatio Populatio (billion Growth capita capita capita n n n yuan) rate（%） GDP(yua disposabl disposabl (million) (million) (million) n) e income e income of urban of rural resident resident (Yuan) (Yuan) 1 PRC 1390.08 813.47 576.61 82482.8 6.9 59660 36396 13432 2 Henan 95.59 47.95 47.64 4455.3 7.8 46674 29558 12719 Province 3 Nanyang 10.0502 4.4894 5.5608 337.8 6.8 33577 29128 12718 Municipality 4 Dengzhou 1.4145 0.7194 0.5698 42.0 9.3 29466 26774 13918 City Source: Statistical Yearbook 2018 of the State, Nanyang Municipality and Dengzhou City.

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project

3.1.3 Affected Towns 32. The permanent land acquisition of the Project involves five towns in Dengzhou City, namely Sangzhuang town, Jiulong town, Jitan town, Rangdong town and Zhanglou town. The socio-economic indicators of these towns are as the table below.

Table 3-2： Socio-economic indicators of Affected Towns (in 2017) Per capita disposable Population Farmland Farmland per Town HHs income of rural resident (persons) (mu) capita (mu) (Yuan) Sangzhuang 14324 65928 82350 1.6 12063 Jiulong 14206 55789 72120 1.29 9652 Jitan 18000 70000 100000 1.42 15623 Zhanglou 10498 44441 63000 1.4 13500 Rangdong 23500 94000 106000 1.12 13000 Source: Data provided by the governments of affected towns.

3.1.4 Affected Villages 33. This project affects 11 villages in 5 towns, including 1 village in Sangzhuang town, 1 village in Jiulong town, 1 village in Jitan town, 1 village in Rangdong town and 7 villages in Zhanglou town. The main socio-economic indicators of each village are shown in the table below.

Table 3-3：Socio-economic indicators of Affected Villages (in 2017) Per capita Farmland Population Farmland disposable Town Village/Community HHs per capita (persons) (mu) income of rural (mu) resident (Yuan) Sangzhuang Sangzhuang 655 3648 3420 0.9 12063 Jiulong Houwang 738 3539 4410 1.2 9652 Jitan Sunzhuang 788 3242 2986 0.9 15623 Zhanglou Dazhuang 614 2835 3008.7 1.1 13500 Zhanglou Gongjia 258 1115 2102 1.9 13500 Zhanglou Huangzhuang 404 1810 2568 1.4 13500 Zhanglou Xiaoding 435 1867 3360 1.8 13500 Zhanglou Cha’an 1200 3400 3860 1.1 13500 Zhanglou Dingwan 596 2135 2997 1.4 13500 Zhanglou Beizhangpo 235 975 1525 1.5 13500 Rangdong Zhaizhuang 642 2568 3788 1.5 13000 Source: Data provided by the village committees. 3.2 Socioeconomic Profile of the Affected Population

3.2.1 Socio-Economic Conditions of the AHs 34. In order to learn the basic socioeconomic profile of the project's affected population, the RP-DI’s survey team conducted socioeconomic surveys on the AHs in December 2018 and January 2019. A total of 180 AHs and 758 people were sampled and surveyed, accounting for 21.8% and 23.7% of the total number of households and persons affected by LAR respectively (see details in Table 3-4). Among them, 77 sample households were affected by HD, accounting for 15% of 525 households affected by HD. With the assistance of Dengzhou PMO, IAs and the cadres of

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project affected towns and villages, the RP-DI’s survey team conducted a questionnaire survey on the sampled households.

Table 3-4：Distribution of Sample HHs in Project Towns S.N. Town Affected by LAR Sampled for Sampling Rates socioeconomic survey AHs APs AHs APs AHs APs 1 Jiulong 9 44 9 44 100% 100% 2 Sangzhuang 12 58 12 58 100% 100% 3 Jitan 6 33 6 33 100% 100% 4 Rangdong 7 36 7 36 100% 100% 5 Zhanglou 793 3023 146 587 18.4% 19.4% 6 Total 827 3194 180 758 21.8% 23.7% (i) Ethnic and gender composition 35. Among the 180 sample households, the total population and labor force is 758 people and 433 persons, respectively. The average family population is about 4.21 persons; the number of women is 381 people, accounting for 50.3% of the total population; more than 96% are Han population, only a very few Hui population.

(ii) Age structure 36. Among the 758 people in 180 sampled HHs, 218 were minors aged 15 and below, accounting for 28.8% of the total; 149 people aged 16 to 40, accounting for 19.7%; 271 people aged between 41 and 60, accounting for 35.8%; 120 people aged 61 or above, accounting for 15.8%. See Table 3-5 for details.

(iii) Educational level 37. Among the 725 people aged 6 and above in sampled HHs, 28 people did not go to school, accounting for 3.9%; 215 people with primary education, accounting for 29.7%; 415 students with junior middle school education, accounting for 57.2%; 44 with senior secondary school/technical secondary school education, accounting for 6.1%; and 23 with junior college, bachelor degree or above, accounting for 3.2%. See Table 3-5 for details.

Table 3-5： Demographic Profile of the population in Sampled HHs Male Female Total Item No. Percent No. Percent No. Percent Age ≤15 years 114 30.2% 104 27.3% 218 28.8% 16-40 years 78 20.7% 71 18.6% 149 19.7% 41-60 years 132 35.0% 139 36.5% 271 35.8% ≥61 years 53 14.1% 67 17.6% 120 15.8% Subtotal 377 100.0% 381 100.0% 758 100.0% Educational level (>6 years old) did not go to school 10 2.8% 18 4.9% 28 3.9% Primary school or below 101 28.3% 114 31.0% 215 29.7% Junior high school 205 57.4% 210 57.1% 415 57.2% Senior high school / secondary technical school 26 7.3% 18 4.9% 44 6.1% Junior college or above 15 4.2% 8 2.2% 23 3.2% Subtotal 357 100.0% 368 100.0% 725 100.0% Source: socioeconomic sampling survey in project area.

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project

(iv) House size 38. Among the 180 sample households, the housing structure is mainly brick-concrete and brick-wood, of which 173 HHs have the brick-concrete structure (accounting for 96.1%), 7 HHs have brick-wood structure 7 (accounting for 3.9%).Total housing area of 45360 m2, with an average household housing area of 252 ㎡ and per capita housing area of 59.8 ㎡.

(v) Land resources 39. Among the 180 sample households, the total area of contracted farmland is 774 mu, with an average household contracted farmland of 4.3 mu and per capita contracted arable land of 1.02 mu. The land types are mainly irrigated farmland, where wheat, corn mainly planted, with an annual comprehensive income of about 1,200 yuan per mu.

(vi) Household properties 40. Among the 180 sample households, each household, in average, has 4.72 mobile phones, 1.61 color TVs, 1.08 computers, 2.53 electric fans, 0.94 refrigerators, 1.27 air conditioners, 1.05 washing machines, 1.44 bicycles, 1.94 electric cars/motorcycles, and 0.66 cars. In terms of the property owned by these HHs, the living standard of the affected households is basically in the medium level in project area.

(vii) Household income and expenditure 41. According to the statistical analysis of 180 sample households with 758 people, the average per capita income of the affected households was 13,039.1 yuan, and the average per capita annual expenditure of the affected households was 10,248.1 yuan, including 1,713.4 yuan for the per capita production and operation expenses. The per capita disposable income of sample households is 11,325.7 yuan. The income and expenditure of sample HHs are shown in Table 3-6.

Table 3-6： Income and Expenditure of Sample Households Average per Per capita (yuan) Percent (%) Items Sub items household (yuan) Wages Income 11743 2788.6 21.4% Operational income 26237.9 6230.6 47.8% Agricultural operation 23112.6 5488.5 42.1% Non-agricultural operatio n 3125.3 742.2 5.7% Property income 983.2 233.5 1.8% Transfer-payment 14651.5 3479.2 26.7% Household incomes income Remittances from migrant workers 10258 2435.9 18.7% policy-related subsidies 1236 293.5 2.3% Social Insurance incomes 2732.2 648.8 5.0% Other transfer incomes 425.3 101.0 0.8% Other incomes 1293.6 307.2 2.4% Subtotal 54909.2 13039.1 100.0% Household consumption expenditures 27653 6566.7 64.1% 26

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project

expenditure production and operation 7215.4 1713.4 16.7% costs Property Expenditure 186.3 44.2 0.4% transfer expenditures 503.5 119.6 1.2% Asset purchase 4245 1008.0 9.8% expenditure Other expenditures 3352.6 796.1 7.8% Subtotal 43155.8 10248.1 100.0% Per capita disposable income 11325.7 Source: socioeconomic sampling survey in project area.

3.2.2 Expected Resettlement Modes and Measures 42. In December 2018 and January 2019, the RP-DI’s survey team surveyed the resettlement willingness of sample affected households.

43. According to the resettlement willingness survey of 180 sample households (multiple choices), all households affected by LA choose cash compensation and social security measures first. Although the coverage rate of social endowment insurance for urban and rural residents in project area has reached more than 99%, the affected households can voluntarily improve the payment level after obtaining the LA compensation, so as to obtain a higher level of pension in the future. In addition, a) the adjustment of the planting structure to increase income were opted by 88 households, accounting for 48.9% of all sample households; b) 147 households, or 81.7% of the total sample households, are willing to participate in skill training courses to be organized by the Labor and Social Security department, in order to acquire certain skills; c) 109 households, or 60.6% of the sample HHs, are willing to get employed locally; d) 68 households are willing to go out for migrant work, accounting for 37.8%; and e) 83 households, or 46.1%, intend to carry out commercial operations. At the same time, 77 households affected by HD choose the resettlement mode named as combination of cash compensation and offering with resettlement houses, while no households are willing to choose one-off cash compensation mode. The resettlement willingness of sample households is shown in Table 3-7.

Table 3-7：Expected Resettlement Modes of the Households Affected by LA Expected Resettlement Modes（HHs） Sample Town HHs Cash Social Crop Skills Local Migrant commercial compensation security restructuring training employment Work operations Sangzhuang 12 12 12 10 10 8 4 3 Jiulong 9 9 9 6 6 5 4 4 Jitan 6 6 6 5 5 5 1 2 Zhanglou 146 146 146 63 121 87 56 72 Rangdong 7 7 7 4 5 4 3 2 Total 180 180 180 88 147 109 68 83 Percentage 100% 100% 48.9% 81.7% 60.6% 37.8% 46.1% Source: socioeconomic sampling survey in project area. 3.3 Gender Analysis 44. Among the 3,068 people permanently affected by the project LAR, 1,488 are women, accounting for 48.5%.

45. This project is categorized as effective gender mainstreaming. So a separate

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project

Gender Action Plan prepared for the Project will ensure gender mainstreaming at the implementation stage. ADB’s gender and development policy is a key strategy for promoting gender equality and mainstreaming. The PRC government also attaches great importance to gender equality and women’s development, and takes gender equality as a basic state policy. The RP-DI’s survey team has conducted a detailed gender analysis on affected women as a reference for resettlement implementation. See Table 3-8.

46. At the design stage, particular attention have been paid to women’s needs so that they can benefit more from the Project, such as public facilities and services, livelihood selection and restoration, skills training, resettlement site selection and resettlement housing design.

Table 3-8 Gender Analysis Part A—Gender analysis of women in the project area 1. Legal rights of According to laws of the PRC, women have equal legal rights with men, though some women women are not fully aware of this. 2. Social status Local women have relatively good social status. All key matters of a family are of women determined by the couple through discussion. Men are considered the backbone of families, and attend the important village meetings. However, women can influence men when they make decisions at meetings. 3. Title to land Women have the same title as men. Like other parts of PRC, in the project area, when a and properties daughter is married, her land will remain in her mother’s family and she can only share the land owned by her husband’s family since the household contract responsibility system was implemented in 1982. If LA, HD or resettlement is involved, women will have equal rights to compensation. 4. Right to Women have equal rights. collective properties 5. Living and There is no restriction on gender role. However, women do housework and appropriate gender role farm work mainly in rural areas, while men mostly do farm work or work outside. 6. Contribution to Women’s income is from farming and household sideline operations mainly, equally household contributing to household income. income 7. Family status Women have an equal voice in decision-making; when men are away for work, women make decisions themselves in many aspects. 8. Educational Boys and girls enjoy equal opportunities in receiving education, and as long as children level study hard, their parents would do their best to support their school education. 9. Health Women’s health condition is quite good and there is no significant difference in nutrition level compared to men; however, medical expenses are rising and have become a significant burden for some households, and women may suffer more. 10. Village and Women are represented in all village committees. In addition, women have a good government informal network in the village and the village group. Women participate in the election agencies of the village committee, and have the right to elect and be elected. Overall Women enjoy a good status in the project area, and there is no restriction on gender evaluation and role. key risks B—Gender analysis of women during resettlement Questions on Gender issue potential Impact of the Project Mitigation measures concern/risks 1. Land, Are women Men and women have equal rights to (1) Cash compensation properties and deprived of land compensation for land acquisition, house right to or properties or demolition and resettlement; the project will compensation have no right to not have any significantly adverse impact on compensation? women. 2. Production Are women are All AHs will lose part of land, and the AHs will (1) Women will receive and income affected even lose part of income only. Compensation fees compensation fees for

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project restoration more seriously, will be used at the AHs’ discretion. Only land acquisition; (2) At after land and receive less seriously affected households have to change least 40% of trainees of acquisition assistance? their income sources. In addition to cash skills training will be compensation, the AHs will be assisted in women; (3) During restoring income through auxiliary measures construction, women (e.g., priority in employment during will obtain at least 30% construction, skills training and subsequent of unskilled jobs. support). 3. Increase of Have women a The project will not lead to gender inequalities. Monitoring gender heavier burden or inequalities fewer opportunities? 4. Social Is the social The project will not affect the social network No impact network network seriously. system damaged? 5. Impact on Are three serious The project will not affect the villages seriously Providing assistance health / health or social in terms of health. Some seriously affected together with the civil increase of problems due to households and vulnerable groups will be affairs department social resettlement faced with difficulties. problems (violence, AIDS propagation, etc.)?

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project

4 Legal Framework and Policies

4.1 Laws, Regulations and Policies Applicable to Resettlement 47. The resettlement policies of the Project have been developed in accordance with the laws and regulations of the PRC, and ADB’s safeguard policies, including:

(1) ADB policies ➢ Safeguard Policy Statement, June 2009 ➢ Safeguard Requirement 2: Involuntary Resettlement （2）Laws, regulations and policies of the PRC

➢ Land Administration Law of the PRC (amended on August 28, 2004) ➢ Rural Land Contracting Law of the PRC, effective from March 1, 2003 ➢ Regulations on the Implementation of the Land Administration Law of the PRC (Decree No.256 of the State Council), December 27, 1998 ➢ Decision of the State Council on Deepening the Reform and Rigidly Enforcing Land Administration (SC [2004] No.28) ➢ Guidelines on Improving Compensation and Resettlement Systems for Land Acquisition (MLR [2004] No.238) ➢ Notice of the General Office of the State Council on Doing a Good Job in the Employment Training and Social Security of Land-expropriated Farmers (SCO [2006] No.29) ➢ Notice of the Ministry of Labor and Social Security, and the Ministry of Land and Resources on Doing Well in the Social Security of Land-expropriated Farmers Practically (MLSS [2007] No.14) ➢ Real Right Law of the PRC, effective from October 1, 2007 ➢ Interim Regulations on Farmland Occupation Tax of the PRC, effective from January 1, 2008 ➢ Regulations of the PRC on the Disclosure of Government Information, effective from May 1, 2008 ➢ Urgent Notice of the General Office of the State Council on Further Regulating the Management of Land Acquisition and House Demolition, and Protecting People’s Lawful Rights and Interests Practically (SCO [2010] No.15) ➢ Notice of the Ministry of Land and Resources on Further Improving the Management of Land Acquisition, June 26, 2010 ➢ Urgent Notice of the General Office of the Ministry of Land and Resources on Conducting Strict Management to Prevent Illegal Land Acquisition (MLR [2013] No.28) ➢ Notice of the General Office of the Ministry of Land and Resources on Doing a Better Job in Disclosing City- and County-level Land Acquisition Information (MLRO [2014] No.29)

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project

（3）Regulations and policies of Henan Province ➢ Notification of The People`s Government of Henan Province on Adjustment of Comprehensive Land Price Standard of Land Acquisition Areas in Henan Province (Henan Government (2016) No.48) ➢ Notice of the General Office of the Henan Provincial Government on Issuing the Special Corrective Plan for Land Acquisition and House Demolition (HCGO [2014] No.110) ➢ Notice of the General Office of the Henan Provincial Government on Strengthening Land Control and Rigidly Enforcing Land Administration (HCGO [2007] No.33) ➢ Opinions of the Henan Provincial Labor and Social Security Department, Land and Resources Department, and Finance Department on Doing Well in the Employment Training and Social Security of Land-expropriated Farmers (HPLSS [2008] No.19) ➢ Notification of Department of Human Resources and Social Security of Henan Province on Announcement of Expense Standard of Social Security of Comprehensive Land Price to Land Acquisition Areas of Every District (Henan Human Resources and Social Security Office (2008) No.72) ➢ Notice of the Henan Provincial Labor and Social Security Department, and Finance Department on Further Strengthening the Management of Special Employment Funds (YCS [2011] No.293) ➢ Notice of the Henan Provincial Labor and Social Security Department, and Finance Department on Issuing the Administrative Measures for Employment and Business Startup of Henan Province (YRSJY [2012] No.25) ➢ Notice on strengthening the management of financial discount funds for small secured loans issued by Henan Provincial Financial Department, Henan Provincial Human Resources and Social Security and Zhengzhou central branch of the people's bank of China (YCJ [2013] No.103) ➢ Notification of The People`s Government of Henan Province on Announcement of Canceling Stop Acquisition and Adjusting Relative Charging Items (Henan Government (2008) No.52) ➢ Measures for the Implementation of Henan Province on Provisional Regulations of Farmland Occupation Tax (No.124 of The People`s Government of Henan Province) ➢ Notification of Increase of Minimum Standard of Basic Pension of Basic Endowment Insurance of Urban and Rural Residents jointly issued by Department of Human Resources and Social Security and Department of Finance of Henan Province in March 2017 ➢ Notice of the General Office of the Henan Provincial Government on Strengthening Land Control and Rigidly Enforcing Land Administration (HCGO [2007] No.33)

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project

➢ Opinions of the Henan Provincial Labor and Social Security Department, Land and Resources Department, and Finance Department on Doing Well in the Employment Training and Social Security of Land-expropriated Farmers (HPLSS [2008] No.19) ➢ Opinions of the Henan Provincial Government on Trials on Social Endowment Insurance for Urban and Rural Residents (HPG [2011] No.58) ➢ Notice of the Henan Provincial Labor and Social Security Department, and Finance Department on Further Strengthening the Management of Special Employment Funds (YCS [2011] No.293) ➢ Notice of the Henan Provincial Labor and Social Security Department, and Finance Department on Issuing the Administrative Measures for Employment and Business Startup of Henan Province (YRSJY [2012] No.25) （4）Regulations and policies of Dengzhou City ➢ Notice on the Compensation standards for house and ancillary facilities in central urban areas of Dengzhou City Issued by Dengzhou City Government (DZ [2013] No.49) ➢ Implementation Measures of the of expropriation and compensation for houses on collective land in the planning area and out of the urban built-up area (trial) (DZ [2013] No.50) ➢ Expropriation and Compensation Measures for houses on collective land for New type community Projects in Tuanbei New District（Construction Headquarter of Dengzhou City Tuanbei New District，6 Jan, 2014） ➢ Notice on the Measures on Cash compensation for house expropriation and ground attachments in central urban areas of Dengzhou City Issued by Dengzhou City Government (DZ [2017] No.35) 4.2 Abstract of the ADB’s Policies ◆ Involuntary resettlement 48. ADB SPS policy principles on involuntary resettlement are:

1) Screen the project early on to identify past, present, and future involuntary resettlement impacts and risks. Determine the scope of resettlement planning through a survey and/or census of displaced persons, including a gender analysis, specifically related to resettlement impacts and risks. 2) Carry out meaningful consultations with affected persons, host communities, and concerned nongovernmental organizations. Inform all displaced persons of their entitlements and resettlement options. Ensure their participation in planning, implementation, and monitoring and evaluation of resettlement programs. Pay particular attention to the needs of vulnerable groups, especially those below the poverty line, the landless, the elderly, women and children, and Indigenous Peoples, and those without legal title to land, and ensure their participation in consultations. Establish a grievance redress mechanism to receive and facilitate resolution of the affected persons’ concerns. Support the social and cultural institutions of displaced persons and their host population. Where involuntary resettlement impacts and risks

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project 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 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

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project 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 Main Differences between the ADB’s Policies and PRC Laws and Measures in the RP for the project

49. Based on specific assessment, key gaps between SPS and PRC’s system and local practice were identified as presented in Table 1 below.

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project

Table 4-1: Comparative Analysis of Legal Framework and ADB Safeguard Policy Statement; and Measures in the RP ADB SPS Legal Provisions and Local Practice; and Differences compared to ADB SPS Measures in the RP Policy Principle 1: Screen the project early on to identify Management Regulations for Construction Project Land Use Pre-examination (Decree A resettlement plan and resettlement past, present, and future involuntary resettlement impacts No.42 of MLR) requires to screen the area and type of the land to be provided for the DDRs have been prepared during the and risks. Determine the scope of resettlement planning project before approving the FSR or checking the project proposal. project preparation to identify all through a survey and/or census of displaced persons, Before land acquisition, local LRB conducts detailed measurement survey (DMS). involuntary resettlement impacts and including a gender analysis, specifically related to Before house demolition, the house demolition agency conducts detailed measurement risks, including identification of issues of resettlement impacts and risks. survey. PRC regulations do not assess past impacts. gender and vulnerable group. There is no specific legal provision to include analysis of gender and vulnerability in resettlement planning. However, in line with local government policies and program, special needs and measures for women and vulnerable group can be identified and assessed. In particular, identification of vulnerable group and support measures can be developed based on the (i) Five-Guarantee Households and (ii) Minimum Living Guarantee System. Please see Policy Principle 5 for more details. Policy Principle 2: Carry out meaningful consultations At national level, Land Administration Law of the People’s Republic of China, State The includes (a) adequate provisions of with affected persons, host communities, and concerned Council's Decision on Deepening Reform and Managing Strictly Land (the State Council consultations, including with the poor and nongovernment organizations. Inform all displaced made [2004]28), Guidelines on Improving the System of Land Acquisition Compensation vulnerable groups; (b) documentation of persons of their entitlements and resettlement options. and Resettlement (the Ministry of Land and Resources made [2004] number 238), and the consultation and information Ensure their participation in planning, implementation, and Regulations on the Compensation of Houses on State-owned Land and Compensation disclosure; (c) grievance redress monitoring and evaluation of resettlement programs. (2011) have similar requirements on consultation and participation. In Henan, relevant mechanism. Pay particular attention to the needs of vulnerable regulations and policies also require consultation, participation and information disclosure groups, especially those below the poverty line, the throughout the land acquisition and resettlement procedures. landless, the elderly, women and children, and Indigenous Although there are consultation and participation activities conducted by local government, Peoples, and those without legal title to land, and ensure it is not part of the 1-book-4-plans (1B4P) and compensation and relocation plan (CARP) their participation in consultations. which are the two domestic resettlement planning documents. To improve the Establish a grievance redress mechanism to receive documentation, all activities need to be properly documented. and facilitate resolution of the affected persons’ concerns. As per law, a grievance redress mechanism is established at the local government where Support the social and cultural institutions of displaced farmers can first raise their concerns with the village collective or bring their grievances persons and their host population. through the legal system directly. However, it is not part of the 1B4P and CARP documents. Where involuntary resettlement impacts and risks In line with local government programs, the needs of vulnerable groups affected by any are highly complex and sensitive, compensation and project can be identified and assessed based on the (i) Five-Guarantee Households and (ii) resettlement decisions should be preceded by a social Minimum Living Guarantee System. In practice, local village committee, civil affairs bureau, preparation phase. social security bureau and other government agencies pay attention to the needs of the poor and vulnerable groups. Policy Principle 3: Improve, or at least restore, the Law requires that for collective land compensation, the provincial government needs to The RP includes adequate measures of: livelihoods of all displaced persons through (i) land-based formulate and publish Uniform Annual Output Standards for Land Acquisition and the (i) compensation based on replacement resettlement strategies when affected livelihoods are land integrated land acquisition price. costs; (ii) relocation and resettlement; based where possible or cash compensation at State Council [2004] number 28 states that (1) where the project concerned generates and (iii) livelihood restoration. replacement value for land when the loss of land does not profits the people displaced can use the land as investment to have a right to share in those undermine livelihoods, (ii) prompt replacement of assets profits; (2) within a planned urban area, improvement of employment system and social with access to assets of equal or higher value, (iii) prompt security to safeguard AP’s lives. (3) out of a planned urban area, land resettlement, compensation at full replacement cost for assets that employment resettlement, or displacement resettlement shall be implemented (4) carry out cannot be restored, and (iv) additional revenues and employment trainings.

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project

ADB SPS Legal Provisions and Local Practice; and Differences compared to ADB SPS Measures in the RP services through benefit sharing schemes where possible. Ministry of Land and Resources [2004] 238 and relevant provincial policies require Policy Principle 4: Provide physically and economically that (1) Agricultural production resettlement; (2) re-employment resettlement; (3) using the displaced persons with needed assistance, including the land as share of the project; and (4) provision of replacement land. following: (i) if there is relocation, secured tenure to relocation land, better housing at resettlement sites with Compensation rates for affected assets are administratively determined through comparable access to employment and production application of prescribed valuation processes. 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. Policy Principle 5: Improve the standards of living of the As per legal provisions, poor and vulnerable groups are defined as those (i) who fall within Identification of the poor and vulnerable displaced poor and other vulnerable groups, including the five-guarantee households; and (ii) eligible for the Minimum Living Guarantee System. groups has been made during the women, to at least national minimum standards. In rural The local village/community committee, civil affairs bureau, social security bureau and other preparation of the RP. The RP includes areas provide them with legal and affordable access to agencies pay attention to the needs of the poor and vulnerable groups: a) Five-Guarantee special provisions for them. land and resources, and in urban areas provide them with program, the elderly, weak, widowed and disabled members who are unable to work and The RP also includes the provision of appropriate income sources and legal and affordable have no means of living, or whose households lack labor a rural production cooperative monitoring of the standards of living of access to adequate housing. would provide production and living assistance (e.g. food, clothing, fuel, education and the displaced poor and other vulnerable burial expenses; b) Those eligible for the Minimum Living Guarantee System are provided groups during the implementation. with living subsidy each month; c)Other assistance - urgent cash assistance if the HHs have serious illness in addition to the subsidy paid under rural cooperative medical care system; cash or in-kind assistance for the women headed HHs provided by the women’s federation; priority given by the village committee to be included in the endowment insurance system for the farmers affected by LA. Regulations on the House Demolition and Compensation on State-owned Land (2011) states that : If the residential houses of any individuals are to be demolished and they meet the conditions for affordable housing, the concerned city and county people's governments shall give priority to providing affordable housing to such persons. According to the Regulations to Solve the Housing Difficulties for the Low Income HHs issued by State Council [GF 2007, No 24], affordable housing and low-rent housing should be provided to the households who have housing difficulties. The demolished HHs can apply the affordable housing and low-rent housing. Principle 6: Develop procedures in a transparent, Not relevant as the project does not involve land acquisition through this means. N/A 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. Policy Principle 7: Ensure that displaced persons without Based on the Regulations on the Demolition and Compensation of Houses on The RP provides compensation for all titles to land or any recognizable legal rights to land are State-owned Land (2011), the illegal houses and temporary structures which were affected persons regardless of legal eligible for resettlement assistance and compensation for constructed after the approval period will not be compensated. ownership of land or assets. loss of non-land assets. As good practice, (for households who are not eligible for compensation for houses at

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project

ADB SPS Legal Provisions and Local Practice; and Differences compared to ADB SPS Measures in the RP replacement value) the history or reason why the structure has no certification/license and their socio-economic conditions and vulnerability will be assessed by the local government and concerned bureaus to determine the necessary assistance that can be provided to them to ensure that they will be able to restore or will not be worse-off. According to the Regulations to Solve the Housing Difficulties for the Low Income HHs issued by State Council [GF 2007, No 24], affordable housing and low-rent housing should be provided to the households who have housing difficulties. The demolished HHs can apply the affordable housing and low-rent housing. Policy Principle 8: Prepare a resettlement plan (RP) Except for large-scale water sector projects, there are no specific requirements to RP has been prepared for the project elaborating on displaced persons’ entitlements, the income prepare a resettlement plan which is similar to the RP required by ADB. elaborating on displaced persons’ and livelihood restoration strategy, institutional For other projects, LRB prepares the “1-book and-4-plans”, which include (i) entitlements, income and livelihood arrangements, monitoring and reporting framework, Submission Instruction Book for Land Using of Construction Project; (ii) Plan of Transferring restoration measures, institutional budget, and time-bound implementation schedule. Farmland; (iii) Plan of Replacement of Cultivated Land; (iv) Land Acquisition Plan and (v) arrangements, monitoring and reporting Policy Principle 9: Disclose a draft resettlement plan, Plan of Provision of Land. 1-book-4 plan can be considered as a “resettlement planning framework, budget, and time-bound including documentation of the consultation process in a document”. implementation schedule. timely manner, before project appraisal, in an accessible For house demolition, local government prepares the compensation and relocation The RP will be disclosed to affected place and a form and language(s) understandable to plan, which also can be considered as a “resettlement planning document”. villages/communities and affected people affected persons and other stakeholders. Disclose the final after cleared by ADB. resettlement plan and its updates to affected persons and other stakeholders. Policy Principle 10: Conceive and execute involuntary Refer to Article 12 of No. 28 Decree, the total resettlement cost should be included in The RP includes full costs of land resettlement as part of a development project or program. the total project cost. All compensation and administrative costs are included. acquisition and resettlement, which are Include the full costs of resettlement in the presentation of Decree 29 issued in 2006 states land compensation and resettlement should ensure included in the overall project cost. project’s costs and benefits. For a project with significant that the living standards and sustainability of the livelihood of the landloss farmers are involuntary resettlement impacts, consider implementing ensured; and that vocational training and social security programs should be properly the involuntary resettlement component of the project as a implemented for landloss farmers. Any shortfall in the resettlement budget should be stand-alone operation. provided by the local government. Policy Principle 11: Pay compensation and provide other Regulations generally require compensation and other financial forms of resettlement Coordination mechanism between the resettlement entitlements before physical or economic assistance to be paid before physical or economic displacement. PMO and concerned LAR implementing displacement. Implement the resettlement plan under Local government is responsible for supervising throughout the project agencies have been established in the close supervision throughout project implementation. implementation period, but only focused on if the AHs have received the full compensation RP to properly monitor and supervise LAR activities, ensuring that APs receive their compensation and entitlement before dispacelement. Policy Principle 12: Monitor and assess resettlement Except for large-scale water projects, there are no requirements to monitor and Coordination mechanism between the outcomes, their impacts on the standards of living of evaluate outcomes, including impacts on standards of living of displaced persons. PMO and concerned LAR implementing displaced persons, and whether the objectives of the Local government is responsible for supervising throughout the project agencies have been established in the resettlement plan have been achieved by taking into implementation period, however, monitoring reports are not disclosed RP to properly monitor and supervise account the baseline conditions and the results of LAR activities. The enhanced information resettlement monitoring. Disclose monitoring reports. sharing will include the disclosure of monitoring reports. Monitoring reports will be disclosed in project areas.

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project

4.3 Resettlement Policies for the Project

50. The policy principles for the project LAR are summarized in Table 4-2.

Table 4-2 Policy Principles for Resettlement No. Policy Principles for Resettlement 1 Involuntary resettlement is avoided where feasible. 2 The APs are granted compensation and assistance that can at least maintain or even improve their livelihoods after the project. 3 The APs are given compensation and assistance in resettlement whether legal title is available or not. 4 If the land available to APs is insufficient to maintain his/her livelihood, cash compensation and other income-generating support are provided for the APs. APs are fully informed and consulted with; they fully understand their entitlements, the method and 5 standard of compensation, the livelihood and income restoration measures, and the project schedule; and APs participate in the implementation of the RP. No relocation or economic displacement occurs, until: 1) Compensation at full replacement cost has 6 been paid to each AP; 2) APs have received other entitlements specified in the RP; and 3) Integrated income and livelihood restoration programs have been developed, and appropriate financial support is available to increase or at least restore APs income and living standard. Vulnerable groups are provided special assistance or treatment so that they lead a better life, and 7 all APs have an opportunity to benefit from the project. At least two members of each AH receive skills training, including at least one woman. 8 The resettlement expenses are sufficient to cover all affected aspects. 9 The executing agency and an external agency / third party will monitor the compensation, relocation and resettlement operations.

4.4 Cut-off Date 51. The cut-off date of 15 January 2019 for the eligibility for compensation is fixed preliminarily and disclosed to AHs during the preliminary Inventory of Losses (IOL) survey and socioeconomic survey. Local governments will not issue any new permits for construction in the area affected by LA of the Project after the preliminary cut-off date. Any newly claimed land, newly built house or settlement in the project area by the APs after this date will not be entitled to compensation or subsidization. Any building constructed or tree planted purely for extra compensation will not be counted in. The cut-off date will be reconfirmed during the RP update after the detailed measurement survey.

4.5 Compensation Rates 52. The following compensation rates have been established in the draft RP, which will be reconfirmed or updated during the RP update

4.5.1 Permanent LA 53. In accordance with the Notification of The People`s Government of Henan Province on Adjustment of Comprehensive Land Price Standard of Land Acquisition Areas in Henan Province (Henan Government (2016) No.48), the LA compensation

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project rates are summarized in table 4-3. The compensation for young crops on farmland is 1200yuan/mu.

Table 4-3：The Location-Based Comprehensive Land Acquisition Compensation Rates in Project Area in Dengzhou City Location Land Acquisition Remarks City Town Village Category Compensation Rates(CNY/mu） Dazhuang, Class I On the basis of Gongjia, democratic 58000 Xiaoding, decision-making Zhanglou Beizhangpo procedures and past Huangzhuang, Class II local practices, each Dingwan, 47000 village committee will Cha’an discuss with their Dengzhou affected villagers and Class III Jiulong Houwang 42000 voluntarily decide the Sangzhuang Class II Sangzhuang 47000 proportion of land Community compensation to be Jitan Sunzhuang Class II 47000 withheld by village Class II collective for public Rangdong Zhaizhuang 47000 affairs (but no more than 10%). Source：Notice of Henan Provincial Government on Adjustment of Location-Based Comprehensive Land Acquisition Compensation Rates in Henan Province (Document Yuzheng [2016] No. 48, 27 July, 2016).

54. According to estimates, the aforementioned compensation rates can offset the actual losses of affected people. See the replacement prices analysis in table 4-4.

Table 4-4：Replacement prices Analysis for LA compensation Rates Location Land Annual Annual Differences Remarks Category Acquisition Risk-free average （A-B） Compensati returns of income loss on investment of due to LA Rates(CNY/ LA Fees （yuan/mu）(B) mu）（yuan/mu）（ A） Class I 58000 2320 1200 1120 Risk-free return rate is Class II set as 4%, according to the market quotations of 47000 1880 1200 680 commercial bank's finan cing products. Class III 42000 1680 1200 480

Case Analysis Box: Take an AH who will have a loss of 10 mu farmland in Class I Area as an example. Due to the land acquisition for the Project, this HH will lose annually agricultural income with a total amount of 12,000 Yuan, based on the area of LA (10 mu) and average annual output value of farmland (1200 yua/mu). After LA, this AH will receive total land compensation with a total amount of 0.58 million yuan from LAR implementing agency following the LA compensation rates. Assuming the compensation amount will be fully invested by this HH to purchasing commercial bank's financing products which have an average return rate of 4% without any risks of capital loss, this HH will have a total income of 23,200 yuan every year (580,000×4%=23,200). It means this HH will have a risk-free annual 23,200 yuan income from the investment of LA compensation fund, which is adequate to offset its annual income loss of 12000 yuan due to LA.

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project

4.5.2 Compensation Rates for Residential House Demolition 55. According to the Expropriation and Compensation Measures for houses on collective land for New type community Projects in Tuanbei New District（Construction Headquarter of Dengzhou City Tuanbei New District，6 Jan, 2014）, two options will be provided to AHs to be relocated in Tuanbei New District, including i) one-off cash compensation on basis of market value assessment, and ii) combination of cash compensation on basis of stipulated prices and offering with resettlement houses. See details in Table 4-5 and Table 4-6.

Table 4-5：Compensation Rates for House Demolition and Resettlement Optional Compensa Compensat tion Compensation ion and House Structures Unit Remarks Rates（CNY） Resettleme Compone nt Modes nts Finally determined by the market value assessed by a (i) One-off qualified Additional House cash independent Real 200yuan/m2 will compensa compensa Estate Appraisal be provided as tion tion Agency, following subsidy the evaluation regulation of Acquired Houses. brick-concrete yuan/㎡ 820 brick-timber yuan/㎡ 660 ㎡ House earth-timber yuan/ 590 compensa calculated by homestead yuan/HH 67000 2 tion rates 134m per HH Per Document (ii) yuan/pie house decoration compensation Dengzheng [2013] Combinati ce on of cash NO.49 compensa Residential houses： Purchasing tion and 55 ㎡ /person price: 850yuan/ offering (provided to AHs) ㎡ with ㎡ Commercial Space： resettlem Resettlement quota Resettlem /person 10 ㎡ /person （ to Purchasing ent ent be managed and price: 850yuan/ houses houses to operated by villager ㎡ be offered group uniformly） Residential houses： Purchasing ㎡ price: actual Extra resettlement quota 20 ㎡ /person /person construction (provided to AHs) cost Only for the HHs who opt Subsidy for new houses purchasing yuan/㎡ 200 one-off cash compensation mode Moving subsidy yuan/㎡ 8 ㎡ Other Living allowance 200 /person Subsidies yuan/ and Transition subsidy ㎡ 3 For 36 months Allowance ·month Phase I: sign house demolition s 5% of the total agreement，clear and hand over the yuan house On-sched house within 30 days after the compensation fee ule house demolition notice issued demolition Phase II: sign house demolition 2.5% of the total no reward will rewards agreement, clear and hand over the yuan house be provided house from 30 to 60 days after the compensation fee after 60 days house demolition notice issued

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project

Table 4-6：Compensation Rates for Ancillary Facilities Compen Feature Items Unit sation Remarks s Rates steel roof trus m2 200-400 s board room m2 150-300 Asbesto m2 Brick walls, with sound door and windows, and higher than 2.2 Simple house 60-150 s tile m Simple shed m2 30-60 Brick walls, with door and windows, and higher than 1.8 m concrete m2 30-60 ground brick m2 10 wall brick m 150-300 Brick walls higher than 2.5 m, with two sides whitewashed Simple gate piece 100-200 pond m3 50-70 With sound water supply and drainage pipes Diameter: 5 yuan for 5-10cm; 10yuan for 10-20cm; 30yuan for trees piece 5-30 more than 20cm cable televisi set 260 on network phone and br set 100 oadband natural gas or HH 1000 bio gas cellar concrete set 500 Deep more than 2m Brick-co m2 100-150 ncrete Pig house Brick-wo m2 50-100 od single set 1000 tomb double set 1500 Simple toilet 100-200 Three-phase HH 500 Moving subsidy electricity hand moveme set 200 Water pump nt Power-d set 500 riven detached air- set 200 Moving subsidy condition solar water 500-100 set heater 0

4.5.3 Compensation Rates for Non-residential House Demolition 56. The Compensation Rates for Non-residential House Demolition will be determined by market value assessment, referring to the Expropriation and Compensation Measures for houses on collective land for New type community Projects in Tuanbei New District（Construction Headquarter of Dengzhou City Tuanbei New District，6 Jan, 2014）. In addition, loss subsidy for suspension will be provided with a rate of 100yuan/m2.

57. If they want to restore their business in other place, they can apply for new land from local government (Dengzhou Nature Resources Bureau) as per relevant regulations and policies. If these enterprises move to another place to continue their business, the employees could continue their contract with these enterprises without unemployment risks. If these enterprises shut down after house demolition and terminate the contracts with employees in advance, the employees will be compensated as per labor law and relevant regulations. Skills training and reemployment assistance from Human Resources and Social Security Bureau and

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project

other concerned departments of DCG will be provided to these affected employees for free. Detailed measures will be confirmed while updating the RP during the project implementation.

4.5.4 Temporary Land Occupation 58. According to the civil work schedule, the land will be temporarily occupied with a duration of half a year, and another half a year will be taken for reclamation. So one year’s output of farmland will be paid for temporary land occupation. According to the Notice on the Measures on Cash compensation for house expropriation and ground attachments in in central urban areas of Dengzhou City Issued by Dengzhou City Government (DZ [2017] No.35), the compensation rate for young crops on farmland is 1200 yuan/mu. See Table 4-7.

Table 4-7：Compensation Rate for Temporary Land Occupation Young crops Compensation rate Item Type Times （yuan/mu/year）（ yuan/mu/） Temporary Land Occupation Dry land 1200 1 1200

4.5.5 Young Crops and Ground Attachments 59. According to the Notice on the Measures on Cash compensation for house expropriation and ground attachments in central urban areas of Dengzhou City Issued by Dengzhou City Government (DZ [2017] No.35), the compensation rates for young crops and ground attachments are presented in Table 4-8. Local governments can opt for lump sum compensation at the rate of 18,000 yuan/mu for all the crops and ground attachment, or chose compensation on the basis of calculation for each item, which depends on the complexity of affected attachments and willingness of affected households.

Table 4-8：Compensation Rates for Young Crops and Ground Attachments Compensation Rates Items Category Unit Remarks (Yuan) diameter at breast height (DBH): less than 5cm 1-5 （including 5cm） Timber forest (poplar, willow, DBH: 6—10cm 5-10 acacia, elm, tung, DBH:11—15cm Piece 10-25 tree of heaven, DBH: 16—20cm 25-40 neem, etc.) DBH: 21—25cm 40-45 See details in the Notice on the DBH: 26—30cm 45-55 Measures on Cash compensation DBH: more than 30cm 55-75 for house expropriation and Economic forest ground diameter (GD): ground attachments in central 10-15 （ Apple, peach, less than 4cm urban areas of Dengzhou City plum, apricot, GD: 4.1—6cm 15-60 Issued by Dengzhou City pear, cherry, Government (DZ [2017] No.35). GD: 6.1—8cm Piece 60-100 grape, jujube, GD: 8.1—10cm 100-150 hawthorn, persimmon, GD: more than 10.1 cm 150-200 walnut, etc.） Greening forest DBH:≤2cm 1-5 Piece （ Camphor, big 2cm＜DBH≤4cm 5-15

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project leaf privet, luan 4cm＜DBH≤8cm 15-70 tree, French tong, 8cm＜DBH≤12cm 70-180 cedar , etc.） 12cm＜DBH≤14cm 180-260 14cm＜DBH 260-300 Mountain willows 15 shrub wood Sandal weed thicket 10 oak stump 30 Bamboo M2 10 Timber forest 8 M2 per Nursery garden Economic forest and year 12 Greening forest Note: above compensation rates are implemented smoothly under other similar projects in Dengzhou City and are accepted by affected HHs and entities.

60. For the special facilities that may be encountered during project implementation, such as high-voltage iron tower, electric pole and wire, optical cable, water/electricity/gas pipelines, and tombs, a detailed measurement survey will be carried out on the basis of final design in the implementation stage, and compensation rates and restoration measures will be determined in the updated RP on the basis of market assessment and full consultation with APs.

4.5.6 Tax and Fee Rates 61. See Table 4-9 for the Tax and Fee Rates on LA. All the taxes and fees related to LAR are included in the resettlement budget (see Table 8-1, accounting for 16.1% of the total budget), which is the important part of the project’s total cost. These taxes and fees will be paid to tax bureau and land and resources bureau by IAs during RP implementation. These will not impact any compensation for affected households and/or entities.

Table 4-9：Tax and Fee Rates on LA No. Item Rate Basis Notice of the General Office of the Henan Provincial Irrigated farmland: Government on Strengthening Land Control and Rigidly Land reclamation 8,671 yuan/mu ； Enforcing Land Administration (HCGO2007] No.33) 1 costs Dry farmland Notice on cancel and suspension of collection and adjustment 7,337 yuan/mu of relevant fee items issued by Henan Provincial Government (YZ [2008] No.52) Measures of Henan Province for the Implementation of the Farmland occupation 2 14,667 yuan/mu Interim Regulations on Farmland Occupation Tax of the PRC tax (Decree [2009] No.124 of the Henan Provincial Government) 3 LA management costs 2.8% of LA costs / Notice of the Ministry of Finance, the Ministry of Land and Compensation fees Resources, and the People’s Bank of China on Adjusting the 4 for using additional 10,667 yuan/mu Policy on Fees for Compensated Use of New Construction construction land Land (CZ [2006] No.48) In urban planning area: 7,150yuan Notice of the Henan Provincial Labor and Social Security Social security costs ／ mu; out of 5 Department on Disclosing Location-based Composite Land for LEFs urban planning Prices for Land Acquisition (HPLSS [2008] No.72) area: 4,290 yuan/mu

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project

4.6 Entitlement Matrix 62. The entitlement matrix has been established in accordance with the applicable policies in this chapter, as shown in Table 4-10.

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project

Table 4-10：Entitlement Matrix Type of impact Degree of impact APs Compensation and resettlement policy Compensation rates 1) Compensation rates：Dazhuang, Xiaoding, Gongjia, Huangzhuang and Beizhuangpo Village- 58,000 yuan/mu; Dingwan, Cha’an, Sangzhuang, Sunzhuang villages- 47000 yuan/mu; Tianying, Houwang 1) Cash compensation: as per location-based Villages- 42,000 yuan/mu. Young crops compensation for farmland-1200 composite land price yuan/mu. 2) Agricultural development: land use transfer, crop 769 2) Distribution mode：For contracted land, LA compensation and young restructuring, etc.; Permanent crops is paid directly and fully to AHs without any retention by village 2,001.57mu of households 3) Employment: Social and project jobs, and Land collective in principle. In same villager groups, representatives of farmers collective land with 2,952 small-amount business startup loans will be offered. will held conference to discuss the collective retention percentages of LA Acquisition 4) Endowment insurance: APs to receive higher persons compensation on a basis of democratic procedure and traditional pensions after LA. practice in these villages; however, the retention percentage will no more 5) Skills training: Free skills training will be offered to than 10%. For non-contracted land, LA and young crop compensation the AHs. is paid directly to the village collective and will be used for public welfare of all the villagers. 3) All compensation will be paid prior to the implementation of LAR. Temporary 1) Compensation will be paid directly to proprietors land 2,260 based on the actual period of occupation. occupation 2,953 mu of households 2) Temporary land occupation will be notified in 1,200 yuan/mu for temporary land occupation for one year advance. collective land, with 8,746 3) The occupied land will be restored by the persons contractor, and the procedures will be supervised by APs and villager groups.

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project

1) Two resettlement options: One-off cash compensation; Combination of cash compensation and offering with resettlement houses 2) provide compensation on basis of replacement value 3) provide compensation for ancillary facilities Residential 525 HHs with 152,600 ㎡ of 4) provide moving subsidy, living allowance, See details in Table 4-3 and Table 4-4. And a qualified appraiser will be House 1,841 residential houses transition subsidy and On-schedule demolition engaged to determine the replacement value. Demolition persons rewards 5) Resettlement communities will be constructed by local government. 6) The APs to be relocated in Tuanbei New District will obtain share bonus annually from operation of shops managed by collectives. 1）One-off cash compensation on basis of market value assessment 2）provide moving subsides and suspension loss subsidy 3）If they want to restore their business in other Cash compensation on the basis of market value assessment place, they can apply for new land from local government as per relevant regulations and policies. 4) If these enterprises move to another place to Subsidy for suspension loss: 100yuan/m2 Non-residential 13,333 ㎡ of continue their business, the employees could 2 entities with House non-residential continue their contract with these enterprises without 9 persons In line with the Labor Law of PRC, unemployed workers will receive Demolition houses unemployment risks. If these enterprises shut down after house demolition and terminate the contracts compensation on the basis of standard of monthly wages multiplying with employees in advance, the employees will be by working years as an employee in the enterprise or agency (Ref. compensated as per labor law and relevant Article 47 in Labor Law). regulations. Skill training and reemployment assistance from Human Resources and Social Security Bureau and other concerned departments of DCG will be provided to these affected employees for free.

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project

Impact on Affected 1) Making at least 30% of unskilled jobs first Women women available to women (48 out of 160 permanent jobs); 2) Making free skills training first available to women, in which equal number of trainees are LA & HD women; See details in section 5.6. 3) Women will receive relevant information during resettlement, and are able to participate in resettlement consultation. A special women’s FGD will be held to introduce resettlement policies. Impact on 1)Giving priority to them during resettlement and Vulnerable restoration groups 2)Including eligible vulnerable groups in the MLS system 3)Offering urban and rural medical assistance to 7 HHs with 19 eligible vulnerable groups LA See details in section 5.7. person 4) Additional assistance will be provided to these vulnerable groups on basis of the actual difficulties and needs of them, with a manner of “case by case”. And any additional necessary cash assistance to vulnerable groups will be expended from the contingencies in resettlement budget. Ground Scattered fruit and Proprietors Ground attachments will be compensated for as See Table 4-5 and Table 4-7. attachments deciduous trees, stipulated. trees, water tanks, wells, telegraph poles, canals, etc.

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project

5 Livelihood Restoration and Resettlement Measures

63. In the process of feasibility study, the project has fully considered the impacts of land acquisition and resettlement on APs as well as the features of local production and living systems. The project has minimized its land acquisition and resettlement impacts through optimization of designs, scales and sites selections, to reduce the negative impacts on local residents’ production and living.

64. According to the willingness survey, almost all AHs support such an ecological protection and integrated rehabilitation project and subsequent LAR. All of them request cash compensation for LAR, and expect to restore or improve their future livelihood and living conditions through various means. Through consultations with the affected village/community committees and AHs during the socioeconomic survey, income restoration programs and house resettlement scheme have been developed based on degree of losses, resource availability and APs’ expectations.

5.1 Cash Compensation for Households with Minor LA Impacts 65. The slightly affected village groups (with less than 10% loss of livelihood assets-farmland) will be subject to cash compensation in strict conformity with the applicable regulations and compensation policies in this RP.

66. The project will provide cash compensation to affected villager groups and HHs, strictly following the applicable regulations and compensation policies in the RP. The specific standards are shown in table 4-3 in subsection 4.5.

67. The allocation plan of land compensation will be determined through a meeting organized by the village committees on the basis of full consultation and discussions among villager representatives. The allocation plan will be implemented after it is approved and disclosed by town government. According to the consultation with village group cadres, they all expect that the land compensation for contracted land will be paid directly to the AHs in principle, without land adjustment in the village. However, some villager groups can discuss the collective retention percentages of LA compensation on the basis of democratic procedure and traditional practices in these villages; however, the retention percentage will be no more than 10%. For non-contracted land, LA and young crop compensation is paid directly to the village collective and will be used for public infrastructure and/or welfare of all the villagers.

68. After receiving cash compensation following the aforementioned allocation plan, the households affected by the LA will carry out various livelihood restoration activities with the assistance of local government departments.

69. The AHs suffering minor LA impacts will continue farming on their remaining land, and use land compensation to carry out income-generating activities, such as small business, running transport, etc. As the land compensation is based on full replacement price, these HHs withe minor LA impacts can be easily restored after land compensation.

5.2 Income Restoration Program for Households Severely Affected by LA 70. For the severely affected village groups (with more than 10% loss of farmland), additional measures such as agricultural development, skills training, non-agricultural employment and social security will be provided, in addition to cash compensation for LA. All these measures are based on the integration between the existing livelihood development strategies of local governments and the measures 48

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project provided by the Project.

71. The following livelihood and income restoration measures are developed mainly targeting the severely affected villager groups and households, but all affected villager groups and HHs are also eligible to participate and benefit from these measures.

5.2.1 Agricultural Development 72. Since most of the AHs will be affected slightly by LA and will have much remaining land, agricultural development will be an important means to promote their livelihood restoration.

73. Following agricultural development measures will be taken to support affected households to increase their agricultural incomes, and it is expected that AHs with remaining farmland will benefit from these measures.

(i) Land use transfer: Since many local villagers work or do business outside, they have contracted their land to other villagers. Local governments encourage land use transfer actively to prevent land from being laid idle and increase land utilization rate. It is learned that the average price of land use transfer is 600-800 yuan/mu per annum (market price). (ii) Soil improvement: The AHs may improve soil quality by such means as formulated fertilization with the assistance of local township agrotechnical stations to increase agricultural output and income, and make up LA losses. (iii) Crop restructuring: Currently, the affected village groups grow basic crops with stable yield but low income, such as wheat and corn. After LA, the AHs may switch to commercial crops to increase agricultural income, since more labor force can be input into litter land. (iv) Enhanced field management: DCG will organize crop management team with around 10 technicians to conduct investigation, offer training and technical guidance on crop management and pest control, and distribute relevant technical information in townships. This will improve agricultural efficiency and land utilization rate, thereby increasing agricultural income.

5.2.2 Skills Training 74. An important measure for employment is to improve labor skills through training, which is organized by the DCG and its Labor and Social Security Bureau mainly.

75. The Dengzhou City Labor and Social Security Bureau offers skills and business startup training every year, especially for rural households with difficulties and land expropriated farmers (LEFs), covering computer, electric sewing, textile, tailoring, welding, electrics, driving, beauty care, hairdressing, restaurant service, etc., offered for free to migrant workers, laid-off workers and LEFs. Training costs are disbursed from county-level public finance. It is expected that 850 person-times training will be provided to APs affected by LA under the Project from 2020 to 2023 on the basis of their demands. See Table 5-3.

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project

Table 5-1：Summary of Local Training Programs for APs Person-ti Agency Scope of Person-time Funding Affected Duration mes per Hours responsi training s per annum source population session ble Computer Jun., Jul. 4 30 120

Electric Oct., Dec. 4 20 80 sewing 204 HHs Textile Oct., Dec. 4 20 80 with 798 Tailoring Oct., Dec. 4 20 80 people affected Welding May, Aug. 4 30 120 Dengzh by LA Electrics May, Aug. 4 20 80 ou City Dengzhou permanen Driving Jul., Sep. 4 20 80 Labor city tly, Beauty and including care and Social budget for May 2 25 50 about 500 hairdressin Security training labors g Bureau Restaurant (260 Mar., May 4 40 160 service males and 850 240 females) （females Total \ 34 225 accounting 40% at least）

5.2.3 Employment Promotion 76. Livelihood restoration of AHs will be promoted by offering more job opportunities as well.

(i) Employment services 77. According to the Opinions of the Henan Provincial Labor and Social Security Department, Land and Resources Department, and Finance Department on Doing Well in the Employment Training and Social Security of Land-expropriated Farmers (HPLSS [2008] No.19), local public employment service agencies will be open to LEFs for free and provide them with employment consulting, guidance, training and referral services to promote their employment. Unemployed LEFs will be registered to receive employment services for unemployed urban residents.

(ii) Social jobs 78. The Dengzhou City Labor and Social Security Bureau has been organizing initiatives for unemployed residents, including large job fairs. In addition, the Dengzhou City Employment and Social Security Service Center will further improve the employment service platform for LEFs, and offer one-stop services to them, including job referral, employment guidance, policy consultation, social insurance, and file management. It is estimated that about 500 permanent jobs will be offered to APs.

(iii) Employment under the project 79. The Project will generate about 3,000 temporary unskilled jobs at the construction stage. In the stage of operation and maintenance of the project, 150 permanent jobs will be generated to the APs. Each IA will recommend to the contractors the priority employment of the APs affected by the land acquisition.

80. The city and township labor and social security offices will collect employment information and distribute it in the affected villages, so that APs may choose suitable jobs themselves. During employment, employers will enter into labor contracts with employees, offer necessary safety and pre-job training, and grant pays

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project that are not less the prevailing minimum wage standard of Dengzhou City (1,550 yuan/month or 15 yuan/hour for full-time laborers after October 1, 2018). During employment, the principle of equal pay for equal work will be applied, and the use of child labor is prohibited.

(iv) Small-amount business startup loans 81. In order to promote the business startup of laborers, registered unemployed urban residents and residents having difficulty in employment (including APs by LA) will be entitled to small-amount secured business startup loans with interests discounted by public finance at an interest rate of not more than 3% higher than the prevailing benchmark loan rate published by the People’s Bank of China, for a term of not more than two years, and with a credit line of 50,000 yuan. The APs will have priority in receiving such loans for business startup.

82. The application and disbursement procedure is as follows:

(a) Voluntary application: A borrower files a written application with the township labor and social security office, and submits relevant materials and certificates. (b) Review and recommendation: The township labor and social security office investigates the applicant’s eligibility, credit standing, business place, market prospect, personal capacity, etc., and gives a preliminary opinion to the guarantee agency. (c) Guarantee: The guarantee agency qualifies the applicant and examines its application, and offers guarantee if the applicant is eligible. (d) Disbursement: The borrower enters into a loan contract with and receives the loan from the agent bank.

5.2.4 Social Security 83. Most APs are not currently eligible for the pension insurance for land expropriated farmers (LEFs), which is only provided to the family members of rural HHs with less than per capita 0.3 mu farmland. It is shown in Table 2-4 that the average per capita farmland in all villager groups is more than 0.3 mu after LA. However, the Basic Endowment Insurance for Urban and Rural Residents can help APs improve the pension and living conditions for APs in the future, especially for the aged members among APs who are nearing the eligible age for pension. In Dengzhou City, new-type rural social endowment insurance has been implemented since 2009, with a current coverage higher than 99%. In 2018, DCG issued the Notice on the collection and payment of basic old-age insurance for urban and rural residents in 2018 (DCG [2018] No.73), in order to enhance the basic endowment insurance affairs for urban and rural residents. The main points of the latest Basic Endowment Insurance for Urban and Rural Residents are summarized as follows:

(i) Coverage: Urban and rural residents having attained 16 years (excluding active students), other than workers of state organs and public institutions, and not covered by basic endowment insurance for employees may enroll in basic endowment insurance for urban and rural residents. (ii) Fundraising: (a) Individual contribution: The insured will pay premiums at one of the 16 levels (100, 200, 300, 400, 500, 600, 700, 800, 900, 1,000, 1,500, 2,000, 2,500, 3,000, 4,000 and 5,000 yuan per annum) voluntarily; and (b) Government subsidy: Those choosing levels 100-400 yuan will receive a subsidy of 30 yuan per capita per annum, including 20 yuan from provincial finance and 10 yuan from local finance bureau; those choosing levels 500 yuan and above will receive a subsidy of 60 yuan per capita per annum, including 40 yuan from provincial finance and 20 yuan from local finance bureau. (iii) Pension: (a) Basic pension: basic pension fixed by the central government, 51

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project plus a subsidy of 3 yuan per capita per month from provincial and City finance, and a subsidy of not less than 5 yuan from county/district finance; and (b) Monthly individual account pension: balance of the individual account divided by 139. (iv) Eligibility for receiving pension: Individuals having covered basic endowment insurance for urban and rural residents having attained 60 years, having paid premiums for 15 years and not receiving basic pension may receive a pension monthly. 84. The contribution and pension levels of endowment insurance for urban and rural residents can be calculated from the above policy provisions. See Table 5-2 for details.

Table 5-2：Contribution and Pension Levels of Endowment Insurance for Urban and Rural Residents (yuan) Borne Annual Contributi by Total of 15 Borne by Monthly Annual Annual contributi Total on level individu years individual pension pension subsidy on al 100 130 100 1950 1500 94.03 1128.35 96 1224.35 200 230 200 3450 3000 104.82 1257.84 96 1353.84 300 330 300 4950 4500 115.61 1387.34 96 1483.34 400 430 400 6450 6000 126.40 1516.83 96 1612.83 500 560 500 8400 7500 140.43 1685.18 96 1781.18 600 660 600 9900 9000 151.22 1814.68 96 1910.68 700 760 700 11400 10500 162.01 1944.17 96 2040.17 800 860 800 12900 12000 172.81 2073.67 96 2169.67 900 960 900 14400 13500 183.60 2203.17 96 2299.17 1000 1060 1000 15900 15000 194.39 2332.66 96 2428.66 1500 1560 1500 23400 22500 248.35 2980.14 96 3076.14 2000 2060 2000 30900 30000 302.30 3627.63 96 3723.63 2500 2560 2500 38400 37500 356.26 4275.11 96 4371.11 3000 3060 3000 45900 45000 410.22 4922.59 96 5018.59 4000 4060 4000 60900 60000 518.13 6217.55 96 6313.55 5000 5060 5000 75900 75000 626.04 7512.52 96 7608.52 Note: 1. The minimum basic pension approved by the State Council is 70 yuan per capita per month, and from 1 January 2017, the minimum basic pension in Henan Province has been increased to 80 yuan per month; 2. The total amount of county/district, City and provincial subsidies is 8 yuan per capita per month; 3. The pension calculation does not take into account basic pension changes, personal account interest and other factors.

85. All persons affected by LA have been covered by basic endowment insurance for urban and rural residents. Since pensions are low (mostly 100-500 yuan per annum), the APs can increase their contribution levels voluntarily after receiving LA compensation to receive higher pensions when attaining statutory age. In addition, APs employed in town may cover endowment insurance for urban employees to receive higher pensions. If the laborers get employed permanently in the public sectors or private companies and pay premiums for 15 years, they will be covered by the urban employee’s basic endowment insurance and receive same pension (average 2500 yuan/mouth in 2018 in Henan Province) as urban retired employees.

5.2.5 Share Bonus from Commercial Space Operated by Collective in Tuanbei New District 86. According to the Expropriation and Compensation Measures for houses on

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project collective land for New type community Projects in Tuanbei New District（Construction Headquarter of Dengzhou City Tuanbei New District，6 Jan, 2014）, the government will construct commercial spaces for the AHs to be relocated to resettlement communities in Tuanbei New District. Each AP will obtain 10 m2 of commercial space, which will be managed and operated by collective. Share bonus will be paid to APs annually, in order to restore their income and livelihood. This operation model of the above commercial spaces has been fully consulted with and satisfied by AHs. Under the Project, 525 households and 1,841 people affected by the HD in Tuanbei New District will benefit directly from this measure. The specific levels of share bonus will be determined by the business performance of these shops. This measure and its benefits will be continuously monitored by external monitoring agency during project implementation.

5.3 House Demolition and Resettlement Measures 87. The Project will demolish the residential houses of 525 households and 1,841 people in Tuanbei New District. These houses to be demolished have problems of imperfect supporting infrastructure and aging structure to varying degrees, and the supporting conditions of public services around the residential sites are also poor. The relocation and resettlement activities under the Project will provide an opportunity for the affected households to improve their living conditions and environment.

88. According to the Expropriation and Compensation Measures for houses on collective land for New type community Projects in Tuanbei New District（Construction Headquarter of Dengzhou City Tuanbei New District，6 Jan, 2014）, one of two resettlement modes can be opted by AHs, namely : (1) One-off cash compensation and (2) Combination of cash compensation and offering with resettlement houses. According to the survey of resettlement willingness, all affected households opted the second resettlement mode, but the final choices of AHs will be reconfirmed during RP update and implementation.

5.3.1 One-off Cash Compensation 89. With reference to the relevant provisions in the Regulation on the House Expropriation and Compensation on State-owned Land, the property value of affected houses will be assessed by real estate assessment institutions with corresponding qualifications according to relevant house assessment methods. And then, one-off cash compensation will be paid to AHs. If there is any objections to the house value determined in the appraisal, AHs may apply to the real estate price appraisal institution for reexamination and appraisal; if there is any objections to the result of the reexamination, the applicant may apply to the real estate price appraisal expert committee for appraisal.

90. All sorts of compensation fees, such as house compensation, allowance, awards, will be paid in one time to the AHs who opt cash compensation. Meanwhile, these AHs will receive house purchasing subsidy with a rate of 200 yuan /m2. Other subsidy standards are shown in table 4-4.

5.3.2 Combination of Cash Compensation and Offering with Resettlement Houses 91. In accordance with the Implementation Measures of the expropriation and compensation for houses on collective land in the planning area and out of the urban built-up area (trial) (DZ [2013] No.50) and the Expropriation and Compensation 53

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project

Measures for houses on collective land for New type community Projects in Tuanbei New District（Construction Headquarter of Dengzhou City Tuanbei New District，6 Jan, 2014），the specific resettlement measures for whom opt combination of cash compensation and offering with resettlement houses mode are summarized as follows:

(i) House Compensation ➢ House Compensation Rates: according to the house area and structure, 820 yuan/m2 for brick-concrete houses, 660 yuan/m2 for brick-wood houses, and 590 yuan/m2 for earth-wood houses. ➢ Land Compensation Rates: Rural residents who meet the requirements of household division (with the ID card as the standard, reaching the age of 18) are regarded as one household. According to the standard of 134 m2 of homestead for each household, 67,000 yuan homestead compensation will be paid to each household. ➢ Compensation for Auxiliary Facilities and Decoration: See details in the document DZ [2013] No.49. (ii) The principle of distribution and prices of Resettlement Houses ➢ Distribution quotas of Resettlement Houses: All eligible APs affected by HD will obtain resettlement house quotas, on basis of the standards such as 55 m2 residential houses per capita and 10 m2 commercial houses per capita. The AHs need to settle the value difference between their original houses and resettlement houses. The residential houses will be owned by the AHs for living use, while the commercial houses will be uniformly managed and operated by the collective economic organizations, from which the APs will receive share bonus annually on basis of their shareholding percentages and actual operation returns. ➢ Prices of Resettlement Houses: regarding the per capita 55m2 of resettlement houses, the price for eligible APs will be 850 yuan/m2 in average, with a range from 820 to 920 yuan/m2 considering the differences among different floors. In term of the commercial houses to be provided, the price will be 850 yuan/m2 in average for eligible APs. ➢ Settlement Measures of Prices and Differences of Extra Resettlement House Area：If the total area of resettlement houses selected by AHs are different from their resettlement quotas on basis of the resettlement policy mentioned above, the AHs can obtain extra resettlement house area, for which the price will be same rate of construction cost of resettlement houses (about 2,000yuan/m2) if the extra area is less than 20 m2 per capita. For the extra area more than 20 m2 per capita, AHs need to pay on basis of the actual market price (about 6,000yuan/m2). If the resettlement house quota is bigger than the actual house area selected by AHs, the value difference will be paid to AHs by local government, on basis of actual market price while deducting the selling cost as well as relevant taxes and fees. (iii) Profiles of Resettlement Communities 92. There are six resettlement communities under construction in Tuanbei New District, including Dading, Dongding, Xiaoding, Cha’an, Dazhuang, and Gongjia Communities, which are less than 2.5 km away from the houses to be demolished. So far, a part of Dading Resettlement Community has been built and a few residents have moved in. The remaining resettlement communities are still under construction. See table 5-3 for details.

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project

93. The six resettlement communities are being built in Tuaibei New District, where all displaced households affected by the demolition of residential houses in the urban planning area in Tuanbei will be resettled. The HHs to be relocated by the ADB-financed project are a part of the households that will resettle into these resettlement communities. A total area of 512.4 mu land for these resettlement communities was acquired during the period of July 2014 - May 2018, i.e. before the start of construction of resettlement communities. According to the due diligence review, relevant land compensation and entitlements had been fully paid and/or delivered to affected villages/people in line with applicable local laws, regulations and policies (see the compensation rates in subsection 4.5). There are no pending issues related to the land acquisition and compensation for these resettlement communities.

94. Green spaces, community clinic, fitness venues, kindergarten, public activity center，business spaces and other necessary facilities will be made available in these resettlement communities, see details in table 5-3. Before the selection and construction of resettlement sites, all the affected HHs had been consulted and involved in many rounds for the design and planning process, including the location selection, structures of different apartment types, affiliated facilities, green space, leisure space, commercial space, etc. The planning and design were satisfactory/acceptable to residents after several rounds of revisions and improvements. See the model of the resettlement community in Figure 5-6 that was used also for the purpose of public consultation.

Figure 5-1：Planning Graph of Dazhuang Resettlement Community

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project

Figure 5-2：Planning Graph of Dongding Resettlement Community

Figure 5-3：Location of Dading Resettlement Community

Figure 5-4：Constructed Dading Resettlement Community (Partial)

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project

Figure 5-5：Dazhuang Resettlement Community under Construction

Figure 5-6: The model of Resettlement Community for Pulic Consultation

(iv) Supporting Facilities in Resettlement Communities 95. All the budget for these resettlement community construction in Tuanbei New District has been incorporated into the annual financial budget of Dengzhou city, according to the approval from the standing committee of Dengzhou people's congress (see figure 5-7). The five resettlement communities under construction in the project area and their supporting conditions are shown in Table 5-3.

Figure 5-7: Budget Approval for Resettlement Community Construction in Tuanbei New District from

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project

the standing committee of Dengzhou people's congress (29 Dec. 2018)

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project

Table 5-3： Resettlement Communities under Construction and Supporting Facilities Main LA completion No. of Tota Resettleme Land apartme for Commenceme Date of NO Building Resettleme l Main Supporting nt Location Area nt resettlement nt of completi Remarks . Area(m2) nt floor Facilities Community (m2) area(m2 sites construction on Apartments s ) Community public 2016.6 activity center/property North of management Rangdeng center/Community Avenue, clinic /Community South of Dading committee office Lingshan Resettleme 3891 /Commercial Partially 1 Road, East 148108 833 120 24 2016.8 2019.7 nt 0.5 spaces/fitness completed of Xingsheng Community venues/power Street, and distribution West of rooms/public Jiulong toilets/solid waste Street collection sites and transfer station North of 2018.5 Rangdeng Kindergarten/communi Avenue, ty public service South of Xiaoding center/property Gongxun Under Resettleme 9459 management 2 Road, East 240680 1350 120 11 2018.6 2020.12 constructi nt 2.93 room/public of Beijing on Community toilets/power Avenue, and distribution room/heat West of exchange station Xianghe Road the North Kindergarten/communi 2018.2 ty committee office Cha’an block: south /property management Under Resettleme of Rangdeng 7292 175741.2 3 920 125 11 housing/public activity 2018.6 2020.12 constructi nt Avenue, 3.5 6 center/substation/publi on Community north of Anzhong c security Road, East station/public toilet

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project

of Dongfang Avenue, and West of Limin South Road; the south block: south of Anzhong Road, north of Yanlin Road, east of Dongfang Avenue, and west of Limin South Road. North of 2017.12 Binhe North Kindergarten/communi Road, South ty public service Dazhuang of Rangdeng center/property Under Resettleme Avenue, 8380 4 170241 820 120 12 management 2018.6 2020.12 constructi nt East of 2.9 room/public on Community Xianghe toilets/power Road, west distribution room of Ping’an Avenue Community public 2018.5 North of activity center/property Rangdeng management Avenue, room/community Gongjia South of clinic/community Under Resettleme Dading 5137 123208.7 5 641 125 11 committee office 2018.6 2020.12 constructi nt Road, East 9.96 3 /business space/ on Community of Xianghe fitness center/power Road, west distribution room/public of Ankang toilet/solid waste Street collection sites

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project

5.4 Resettlement Measures for Non-residential Houses 96. The two enterprises to be affected by the Project will be compensated in one-off cash on basis of market value evaluation procedure. Meanwhile, the losses due to production and business suspension will be provided by IAs as well. After receiving the cash compensation, if it is necessary to rebuild their enterprises in another place, the owner can apply to the government for land use, and relevant government department will provide corresponding convenience and assistance.

97. If these enterprises move to another place to continue their business, the employees could continue their contract with these enterprises without unemployment risks. If these enterprises shut down after house demolition and terminate the contracts with employees in advance, the employees will be compensated as per labor law and relevant regulations. Skill training and reemployment assistance from Human Resources and Social Security Bureau and other concerned departments of DCG will be provided to these affected employees for free.

5.5 Measures for Affected Women 98. In the Project, women will be encouraged to participate in the implementation of this RP and play an important role in income restoration. In addition, the PMO will have female staff members in order to communicate with women more effectively and ensure women’s participation. Job opportunities will be made available to women at the construction and operation stages The main measures to promote women’s development during RP implementation are summarized as follows5:

(i) Small-amount business startup loans for women 99. Small-amount secured business startup loans of up to 80,000 yuan per capita are available locally for women doing business individually or 100,000 yuan per capita for women doing business together.

(ii) Equal rights of women in the development of resettlement programs 100. During public consultation, women enjoy equal rights of participation and decision-making. Not less than 30% of participants of village meetings or congresses discussing resettlement programs will be women. All resettlement agencies will have female staff members.

(iii) Priority of women in livelihood restoration 101. Affected women will have priority in enjoying the above livelihood restoration measures, especially employment and skills training.

5.6 Supporting Measures for Vulnerable Groups 102. During RP implementation, the PMO, IAs and local government departments will pay particular attention to vulnerable groups. Any necessary cash assistance to

5 Separate gender and social development action plans provide details on overall opportunities for women to benefit from the project. The RP section covers only measures for LAR affected women. 61

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project vulnerable groups will be expended from the contingencies in resettlement budget (see Table 8-1).

103. According to the preliminary survey, 7 HHs with 19 persons have been identified as vulnerable groups. Affected vulnerable population will be further identified during the DMS and confirmed in the updated RP. The following supporting measures will be provided for vulnerable groups, including:

(i) Giving priority to them during RP implementation 104. Laborers in vulnerable households will have priority in receiving skills training, taking public welfare jobs and jobs generated by the Project, and applying for small-amount secured loans.

(ii) Including eligible vulnerable groups in the MLS system 105. Eligible vulnerable persons affected by the Project will be included in the MLS system of Dengzhou City. In 2017, the minimum living security standard for urban residents in Dengzhou was 450 yuan per person per month in urban areas and 3,150 yuan per person per year in rural areas. The basic living standard for the urban extremely poor will be raised to 585 yuan per person per month, and that for the rural poor will be raised to 4,176 yuan per person per year. Meanwhile, the subsidy standard for urban and rural extremely poor people is divided into three levels: full care, semi-care and full self-care, and provide subsidies of 180 yuan and 80 yuan per month to first two levels, respectively.

(iii) Offering urban and rural medical assistance to eligible vulnerable groups 106. Urban and rural medical assistance will be offered to eligible vulnerable groups, following the Measures for the Implementation of "Medical Insurance Assistance Program" for Rural Residents in Difficulties in Dengzhou City (DCG [2018] No.63).

107. The target of urban and rural medical assistance are the residents with household registered in Dengzhou City, who live in Dengzhou for a long time and enjoy the lowest living security subsidy in urban and/or rural areas, as well as the personnel with five guarantees.

108. The reimbursable expenses incurred in the patient's hospitalization shall be subsided according to the following standards:

(a) Subsidize the chronic diseases expenses for the poor. On the basis of reimbursement of basic medical insurance, serious illness insurance and supplementary insurance for serious illness for urban and rural residents, 70% of the remaining compliant medical expenses shall be subsidized, and the accumulative amount of subsidy shall not exceed 2,000 yuan per person per year (b) Subsidize the outpatient services for serious diseases for the poor. When

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project

receiving medical treatment in the second-level designated medical institutions within Dengzhou city, 70% of the remaining compliant medical expenses shall be subsidized, on the basis of the reimbursement of basic medical insurance, serious illness insurance and supplementary insurance for serious illness for urban and rural residents. The accumulative amount of subsidy shall not exceed 12,000 yuan per person per year (c) Subsidize hospitalization and medical expenses for the poor. On the basis of basic medical insurance for urban and rural residents, serious illness insurance, supplementary insurance for serious illness and reimbursement for urban and rural residents, the remaining medical expenses shall be subsidized by 50%, with the accumulative amount of subsidy not exceeding 30,000 yuan per person per year. 109. During RP implementation, additional assistance will be provided to these vulnerable groups on basis of the actual difficulties and needs of them, with a manner of “case by case”. And any additional necessary cash assistance to vulnerable groups will be expended from the contingencies in resettlement budget.

5.7 Restoration Program for Ground Attachments 110. The Project will affect several ground attachments, such as water, electric and communication facilities. Cash compensation will be granted to proprietors by PMO and IAs, on basis of replacement cost assessment. Then these ground attachments will be relocated and restored by sector management and service institutes. Restoration measures for demolished facilities must be planned in advance, and suited to local conditions so as to be safe, efficient, timely and accurate, with minimum adverse impact on nearby residents.

111. The affected ground attachments, including trees, greenhouses and tombs, will be compensated for in cash at replacement cost.

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project

6 Organizational Structure

6.1 Resettlement Implementation and Management Agencies

6.1.1 Organizational Setting 112. To ensure successful resettlement as desired, a systematic organizational structure must be established during project implementation in order to plan, coordinate and monitor resettlement activities. Since resettlement is a very comprehensive task that requires the assistance and cooperation of different departments. The departments of water resources, land and resources, etc. will participate in and support resettlement implementation. Each affected township or village has one or two key staff responsible for resettlement. The agencies responsible for LA and HD in the Project are:

➢ Dengzhou City Project Leading Group ➢ Dengzhou PMO ➢ Implementing Agencies ➢ Dengzhou City Natural Resources Bureau (land acquisition center) ➢ Dengzhou House Acquisition Office ➢ Sangzhuang, Jiulong, Jitan, Rangdong and Zhanglou Town Governments ➢ Affected village/community committees ➢ Design agency ➢ External M&E agency ➢ Other agencies concerned: women’s federation, labor and social security bureau, etc.

6.1.2 Organizational Responsibilities 113. The responsivities of relevant organizations are as follows:

➢ Dengzhou City Project Leading Group Making overall arrangements and decisions, leading the implementation of the project, and coordinating major issues. ➢ Dengzhou PMO 1) Appointing a resettlement consulting agency to conduct resettlement planning and preparation 2) Coordinating the consulting agency with other agencies concerned 3) Coordinating the progress of construction and resettlement 4) Supervising the disbursement of resettlement funds 5) Coordinating the work of agencies concerned 6) Coordinating with ADB resettlement specialists at the preparation and implementation stages 7) Developing resettlement policies and implementation plan

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project

8) Reporting resettlement progress to the Dengzhou City Project Leading Group and ADB project team 9) Submitting the resettlement investment plan to the Dengzhou City Project Leading Group and ADB project team 10) Managing resettlement files 11) Conducting internal resettlement monitoring 12) Handling grievances and appeals arising from resettlement 13) Communicating and coordinating with the external M&E agency during resettlement implementation 14) Supervising the construction of the resettlement sites 15) Implementing employment and livelihood restoration measures 16) Training the resettlement staff 17) Implementing other measures as per the RP ➢ Implementing Agencies 1) Applying for planning and land use permits with competent authorities; 2) Communicating resettlement policies to the public; 3) Appointing a dedicated staff to implement the RP; 4) Arranging, supervising and managing resettlement funds ➢ Dengzhou City Natural Resources Bureau (land acquisition center) 1) Determining the project area and conducting a socioeconomic survey with DIs; 2) Participating in RP preparation and assisting in its implementation; 3) Communicating resettlement policies to the public; 4) Conducting the land measurement surveys; 5) Handling LA and HD formalities; 6) Conducting LA compensation and livelihood restoration measures; 7) Keeping LA compensation and livelihood restoration records; 8) Assisting the external M&E agency in fieldwork; 9) Preparing LA progress reports and submitting them to the PMO ➢ Dengzhou House Acquisition Office 1）Managing and supervising HD compensation and resettlement works 2) Participating in RP preparation and assisting in its implementation; 3) Communicating resettlement policies to the public; 4) Conducting the house measurement surveys; 5) Keeping house compensation and resettlement records; 6) Assisting the exterma; M&E agency in fieldwork; 7) Preparing HD progress reports and submitting them to the PMO ➢ Sangzhuang, Jiulong, Jitan, Rangdong and Zhanglou Town Governments 1) Participating in the socioeconomic/measurement survey and assisting in RP preparation; 2) Organizing public participation and communicating the resettlement policies;

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project

3) Implementing, inspecting, supervising and recording all compensation and resettlement activities; 4) Supervising the disbursement and management of LA compensation fees; 5) Supervising LA; 6) Reporting LA, HD and resettlement information to the IAs and PMO; 7) Handling grievances and appeals arising from resettlement; 8) Handling resettlement issues ➢ Affected village/community committees 1) Participating in the socioeconomic survey and measurement surveys; 2) Organizing public participation and communicating the resettlement policies; 3) Organizing resettlement activities; 4) Handling grievances and appeals of the APs, and reporting their comments and suggestions to the IAs and PMO ➢ Dengzhou City Labor and Social Security Bureaus Offering skills training and relevant social protection measures to APs ➢ Design agency 1) At the planning and design stage, it will survey the physical indicators of LA and HD, usable resources, etc. accurately, and assist the governments in the project area in developing resettlement programs, preparing budgetary investment estimates for compensation for LA and HD, and preparing 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. ➢ External M&E agency to be Recruited by PMO 1) Observing all aspects of resettlement planning and implementation as an external M&E agency, monitoring and evaluating the effectiveness of resettlement and the social adaptability of the APs, and submitting resettlement M&E reports to ADB and PMO; 2) Providing technical advice to the PMO and concerned agencies in data collection and processing. 6.2 Staffing, Equipment and Training 114. DCG and relevant local government agencies have set up organizations and appointed workforce to prepare and implement the resettlement affairs of this project. Most of the staffs are familiar to the law and regulations of LAR of PRC and have good experiences to implement the LAR work in project area. Since this is the first time for most of the staff to participate in the ADB financed project, they lack the experience of implementing the resettlement plan of ADB financed project. Hence training of the staffs are proposed to strengthen their capacity of implementation of this RP.

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project

6.2.1 Staffing 115. See staffs in Table 6-1.

Table 6-1：Staffing of Resettlement Agencies Workforce Agency Composition Male Female Dengzhou City Project Leading Group 3 2 Civil servants Dengzhou PMO 4 3 Civil servants, technicians Dengzhou City Natural Resources Bureau (land 2 2 Civil servants, technicians acquisition center) Dengzhou House Acquisition Office 2 2 Civil servants, technicians Sangzhuang Town Government 2 1 Civil servants, Jiulong Town Government 2 1 Civil servants, Jitan Town Government 2 1 Civil servants, Rangdong Town Government 2 1 Civil servants, Zhanglou Town Government 2 1 Civil servants, Officials, representatives of Affected village/community committees 3 3 APs Design agency 2 1 Engineers Resettlement and social External M&E agency Some Some experts will be engaged during the project implementation.

6.2.2 Equipment 116. All resettlement agencies of the project have been provided basic office, transport and communication equipment, including desks and chairs, PCs, printers, telephones, facsimile machines and vehicles.

6.2.3 Organizational Training Program 117. In order to ensure the successful implementation of the resettlement work, the resettlement staff must be trained under the leadership of the Dengzhou PMO.

118. During project preparation from October 2018 to April 2019, several rounds of training on ADB’s Involuntary Resettlement safeguard and relevant project specific requirements on procedures have been organized by Dengzhou PMO and provided by resettlement specialist among TA consultants for the staff of PMO, IAs and concerned local government departments.

119. A staff training and human resources development system for the City-, township- and village-level resettlement agencies will be established during LAR implementation period. Further training will be conducted in such forms as expert workshop, skills training course, visiting tour and on-site training. The training contents will include:

—ADB’s resettlement policy and principles —Differences and similarities between ADB and PRC policies; and importance of the project’s resettlement policies and implementation to comply with ADB policies —Resettlement implementation planning and management

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project

—Points requiring attention during resettlement implementation —Resettlement M&E

Table 6-3： Operational Training Program of Resettlement Implementation Agencies Agency responsible Scope Trainees Time No. A B C D Resettlement related 1 Dengzhou PMO ADB’s resettlement policy 2019.10-2020.12 staff Updates of policies on Resettlement related 2 Dengzhou PMO 2019.10-2020.12 LA and HD staff Experience and lessons in resettlement from Resettlement related 3 Dengzhou PMO 2019.10-2020.12 other ADB financed staff projects Computer operation and Resettlement related 4 Dengzhou PMO 2019.10-2020.12 data processing staff Resettlement Consultants during procedures and policies Resettlement related 5 2020.2-2020.12 Implementation stage for ADB-financed staff projects Consultants during Resettlement policies Resettlement related 6 2020.2-2022.12 Implementation stage and practice staff Internal and external Consultants during resettlement monitoring Resettlement related 7 2020.2-2022.12 Implementation stage and evaluation of ADB staff financed projects

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project

7 Consultation, Participation and Grievance Redress

7.1 Consultation and Participation

7.1.1 Consultation and Participation during Preparation Stage 120. Since April 2018, the RP-DI team and consultants have conducted a series of socioeconomic survey and public consultation activities (with more than 40% of participants being women) in project area, with assistance of PMO and IAs. At the preparation stage, the PMO, IA and design agency conducted extensive consultation on LA and resettlement. See Table 7-1.

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project

Table 7-1：Consultation and Participation Activities at the Preparation Stage Person-times Main concerns and Measures incorporated in Date Organizer Participants Purpose Key activities Male Female suggestions received the project design and RP Introducing the Optimizing the design of the Feasibility background Minimize the impacts on Project and minimize the study, field APs, village and purpose of income and living, and keep LAR impacts investigation, 2018.4~2018. 6 PMO, FSR-DI officials, 40 31 the Project, and project information and preliminary technicians minimizing resettlement policies measurement resettlement transparent survey impacts Assisting in Based on the socio-economic socio-economic surveys; Village characteristics of the project representatives area and the affected Reps. of RP A small number of APs expressed their population as well as the APs and preparation, expressed concerns about 2018.8~2018.10 PMO, RP-DI 38 28 views on the willingness of APs, the RP government socioeconomic their future livelihood after project; was developed to ensure agencies survey LA Socio-economic APs’ losses can be fully survey and compensated and their resettlement income and living standards intention survey can be effectively restored. The compensation rates at replacement cost shall be in Consult on accordance with the compensation comprehensive land prices rates and issued by Henan Provincial Officials allocation plan APs hope reasonable Government, and shall be and APs in of Pubic compensation for the loss of subject to public 2018.11~2018.12 PMO, RP-DI the affected 40 35 compensation consultation land and assets can be supervision. village funds; discuss provided fully and timely. Establishing GRM and groups the timeline of external monitoring LAR and mechanism will be compensation established to supervise and payment monitor the payment of compensation funds.

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project

Person-times Main concerns and Measures incorporated in Date Organizer Participants Purpose Key activities Male Female suggestions received the project design and RP A fund audit system will be established to ensure that funds are paid in compliance. Various income restoration measures have been Discuss the APs hope effective incorporated in draft RP and income and livelihood rehabilitation consulted with APs, such as livelihood measures can be provided increasing employment Officials restoration effectively after land opportunities, providing and APs in measures; Pubic acquisition; APs hope they skills training and social 2018.12 PMO, RP-DI the affected 32 25 discuss the consultation can benefit from the project security, and providing village location, design directly, and housing concessional loans for those groups and supporting resettlement information who want to start up small facilities of need to be disclosed timely. business. The housing resettlement demolition and resettlement communities. plan have been disclosed and consulted with AHs. Special assistance Representatives of APs measures for vulnerable Officials Discuss the hope necessary assistance groups have been consulted and APs in assistance to vulnerable groups will be and incorporated in draft RP. Pubic 2018.12 PMO, RP-DI the affected 20 12 measures to provided during RP A GRM has been developed consultation village vulnerable implementation; and the and included in RP to groups groups GRM should be open and address any complaints and smooth. appeals from APs in a timely manner Questionnaire i) Control the level and Best efforts have been done APs in the Social survey survey, FGDs scale of the road and to minimize the LAR IAs, affected and social and KIIs to impacts; RP will be 2019.01 282 166 other facilities, not too consultants village impacts learn about the disclosed to affected groups assessment needs, wide or big to avoid villages/communities and attitudes, significant impacts of land RIB will released to AHs; the

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project

Person-times Main concerns and Measures incorporated in Date Organizer Participants Purpose Key activities Male Female suggestions received the project design and RP concerns and acquisition and RP stipulates that all the job willingness of demolition; ii) Ensure all opportunities during local residents the information related to implementation and LAR is open and operation stages will be transparent; iii) expect provided to APs with priorities. the job opportunities can be provided to APs with priorities.

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project

7.1.2 Consultation and Participation during Implementation Stage 121. The PMO and IAs will conduct further public participation during the implementation stage. See details in Table 7-2.

Table 7-2： Public Participation Plan for Implementation Stage Purpose Mode Time Agencies Involved Topic Village Distributing the RIB bulletin Dengzhou PMO, IAs, RIB distribution board, May. 2019 All APs community committees village meeting Finding out anything DMS results Dengzhou PMO, IAs, Field omitted to determine verification and Nov. 2019 town governments, All APs investigation the final impacts; and RP update community committees updating the RP Village Disclosure of updated Disclosure of bulletin Dengzhou PMO, IAs, RP, including LA area, updated RP and board, Dec. 2019 town governments, All APs compensation rates LA village community committees and resettlement announcement meeting modes, etc. Determination / Discussing final implementation resettlement and Village Dengzhou PMO, IAs, of resettlement Before income restoration meeting town governments, All APs and income implementation programs and the use (many times) community committees restoration of compensation fees programs Dengzhou PMO, IAs, Discussing training Training Village Dec. 2019 – town governments, All APs needs program meeting Jan. 2020 community committees

7.2 Grievance Redress 122. Since consultation and participation is encouraged during the preparation and implementation of the RP, no substantial dispute is expected to arise. However, unforeseeable circumstances may arise during this process. In order to address issues effectively, and to ensure the successful implementation of project construction and land acquisition, a transparent and effective grievance redress mechanism has been established. The basic grievance redress system is as follows:

7.2.1 Modes of Collection of Grievances and Appeals 123. Modes of Collection of Grievances and Appeals include:

1) Grievances collected and reported by the village and township resettlement offices; 2) Construction impacts-related grievances from construction logs submitted by construction agencies; 3) Grievances in LA and HD found by the construction agency through field visits; 4) Information on grievances from the external M&E agency; 5) Letters and visits from APs with grievances; 6) Special grievances issues reported during auditing and inspection; 73

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project

7) LA and HD grievances collected from fund disbursement sheets; and 8) Internal monitoring information on grievances.

7.2.2 Grievance Redress Procedure 124. The Grievance Redress Procedure includes：

Stage 1: If any right of any AP is infringed on in any aspect of LA, HD and resettlement, he/she may report this to village/community committee, which shall record such appeal and solve it together with the village committee or the AP within two weeks. Stage 2: If the appellant is dissatisfied with the disposition of Stage 1, he/she may file an appeal to the town government after receiving such disposition, which shall make a decision within two weeks. Stage 3: If the appellant is still dissatisfied with the decision of Stage 2, he/she may file an appeal to IAs after receiving such decision, which shall make a decision within two weeks. Stage 4: If the appellant person is still dissatisfied with the decision of Stage 3, he/she may file an appeal to Dengzhou PMO within one month after receiving such decision, which shall make a decision within 4 weeks. 125. At any stage, an AP may bring a suit in a local court directly in accordance with the Administrative Procedure Law of the PRC.

126. Affected persons can also submit complaints to ADB which will first be handled by the project team. If an affected person is still not satisfied and believes he/she has been harmed due to non-compliance with ADB policy, s/he may submit a complaint to ADB’s Accountability Mechanism.6

127. All agencies will accept grievances and appeals from the APs for free, and costs so reasonably incurred will be disbursed from contingencies. During the whole construction period of the Project, these appeal procedures will remain effective to ensure that the APs can use them to address relevant issues. The above grievance redress system will be communicated to the APs at a meeting or through the RIB, so that the APs know their right of appeal. In addition, the appeal process will be published to affected population on mass media.

7.2.3 Principles for Grievance Redress 128. All resettlement agencies must conduct field investigation on grievances raised by APs, and address them through adequate consultation objectively and fairly in accordance with the principles herein.

129. During resettlement, women may have their special grievances, so each resettlement agency will have at least one female member to handle women’s

6 For further information, see: http://www.adb.org/Accountability-Mechanism/default.asp 74

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project grievances.

7.2.4 Scope and Modes of Reply on Grievances 130. Scope of reply on grievances includes:

1) Brief description of grievance; 2) Investigation results; 3) Applicable state provisions, and the principles and rates specified in this RP; 4) Decision and basis 131. Modes of reply include:

1) For any individual grievance, the reply will be delivered directly to the grievant in writing. 2) For any common grievance, a village meeting will be held or a notice given to the village committee. 3) In whichever mode of reply, the reply materials must be sent to the grievant and submitted to the competent resettlement agency.

7.2.5 Recording and Feedback of Grievances and Appeals 132. During the implementation of the RP, the resettlement agencies should register and manage grievances and handling information, and submit such information to the IAs and/or PMO in writing on a monthly basis. The Dengzhou PMO will inspect the registration of grievances and handling information regularly.

7.2.6 Contact Information for Grievance Redress 133. The town resettlement offices and village resettlement teams have assigned staff members to collect and accept grievances and appeals from the APs. Their contact information is shown in Table 7-3. The APs may also file appeals with the Dengzhou PMO directly.

Table 7-3： Contact Information for Grievance Redress Name of Focal Agency Phone Number Persons Dengzhou PMO Mr. Lu Zhengtao 135 9820 3999 Dengzhou City Nature Resource Bureau Mr. Han 139 4935 9608 Dengzhou City House Acquisition Office Mr. Deng 189 3771 0276 Dengzhou City Water Resource Bureau Mr. Gao Xintao 198 3772 6366 Dengzhou City Ecology and Environment Mr. Fan Junfeng 130 3761 7589 Bureau Dengzhou Integrated Urban–Rural Development Pilot Area Administration Mr. Liu Yang 183 3630 9096 Bureau Sangzhuang Town Government Mr. Liu Wenbin 159 3640 9610 Mr. Guo Jiulong Town Government 150 3629 7960 Xiaodong Jitan Town Government Mr. Li Peng 135 9822 2282 Zhanglou Town Government Mr. Liu 138 3879 3554 Rangdong Town Government Mr. Hu Xinhe 136 0845 2803

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project

8 LAR Budget and Financing

8.1 Budget Estimation 134. All costs for LA and resettlement will be included in the general budget of the Project. Based on prices in April 2019, the LAR budget of the Subproject is 504.364 million yuan. See Table 8-1 and appendix 3 for details.

135. The LAR budget will be updated based on the detailed design and DMS results. The local government has committed to implement the RP by allocating adequate counterpart budget. All compensation will be paid prior to the implementation of LAR.

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project

Table 8-1：LAR Budget (unit: million yuan) (2)Jiulong (4)Tuanbei (1)Tuanbei (3)Sanzhuang Water Wastewater (5)Tuan River Water Water Treatment Treatment Downstream No. Subproject Combination Environment Treatment Total Percent (%) Plant and Plant and Comprehensive Comprehensive Plant and Pipe Pipe Pipe Improvement Improvement Networks Networks Networks 1 Basic LAR costs 303.046 5.002 3.176 13.004 1.806 326.034 64.6 1.1 Permanent LA 103.279 2.242 2.612 3.918 1.719 113.77 22.6 1.2 Temporary land occupation 0.009 2.76 0.564 0.132 0.088 3.553 0.7 1.3 Residential House Demolition 185.397 0 0 8.954 0 194.351 38.5 1.4 Non-residential House Demolition 14.36 0 0 0 0 14.36 2.8 2 Ground attachments (15% of basic LAR costs) 45.423 0.75 0.476 1.985 0.751 49.385 9.8 3 Resettlement Planning and M&E costs 1.515 0.025 0.016 0.065 0.01 1.631 0.3 4 Training costs (both for APs’ skill training and LAR related Staff training) 0.303 0.005 0.003 0.013 0.002 0.326 0.1 5 Taxes and fees on LA 72.552 2.059 2.092 3.275 1.158 81.136 16.1 5.1 LA management costs (2.8% of basic costs) 8.485 0.14 0.089 0.364 0.051 9.129 1.8 5.2 Farmland occupation tax 23.595 0.761 0.795 1.072 0.439 26.662 5.3 5.3 Land reclamation costs 11.802 0.381 0.398 0.536 0.22 13.337 2.6 5.4 Compensation fees for using additional construction land 17.168 0.554 0.578 0.78 0.32 19.4 3.8 5.5 Social security costs for LEFs 11.501 0.223 0.233 0.523 0.128 12.608 2.5 6 Total costs of LAR (Sum of Item No.1 to No. 5) 422.873 7.841 5.764 18.309 3.726 458.513 90.9 7 Contingencies (10% of Item No.6) 42.287 0.784 0.576 1.831 0.373 45.851 9.1 8 Total Budget 465.16 8.625 6.341 20.139 4.099 504.364 100 Note: see resettlement budget details in appendix 3.

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project

8.2 Resettlement Funds Investment Schedule and Funding Sources 136. All resettlement funds of the project are from local counterpart funds. The RP will be implemented in stages in order not to affect the production and livelihoods of the AHs. See Table 8-2 for details.

Table 8-2：Resettlement Funds Investment Plan (unit: million yuan) Year 2020 2021 2022 Total Investment 302.6184 151.3092 50.4364 504.364 Percent 60% 30% 10% 100%

8.3 Disbursement and Management of Resettlement Funds

8.3.1 Disbursement of Resettlement Funds 137. Resettlement funds will be disbursed as follows: All costs related to LAR will be included in the general budget of the project. DCG will disburse compensation fees based on the compensation rates directly to the affected town governments, village/community committees and AHs via a special account. LA and HD compensation fees and young crop compensation fees will be paid before LAR. See Figure 8-1.

DCG and Executing Dengzhou Land and Management Entrust Resources Bureaus, PMO , supervision agency ment Dengzhou House Demolition Office and Town Governments

Implementation

Application for approval Approval Entering into compensation agreements

AHs Disbursement

Villages and Households affected AHs affected by temporary land by LA occupation

Figure 8-1 Disbursement Process of Resettlement Funds

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project

8.3.2 Management of Resettlement Funds 138. Land compensation fees and resettlement subsidies should be used in full consultation with the APs; 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.

139. To ensure that the resettlement funds are available timely and fully, and the APs’ production, livelihoods and income are restored, the following measures will be taken:

140. All costs related to resettlement will be included in the general budget of the Project;

141. Land compensation fees and resettlement subsidies will be paid up before LAR so that all APs can be resettled properly;

142. In order to ensure the successful implementation of LAR, financial and supervisory agencies will be established at all levels to ensure that all funds are disbursed timely and fully.

143. The resettlement budget may be increased due to the change of the project area, the modification of the compensation rates and inflation, but the IA will ensure that compensation fees are fully paid. The budget will be modified as necessary in the updated RP.

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project

9 Resettlement Implementation Schedule

9.1 Principles for Resettlement Implementation 144. According to the implementation schedule, the Project has a construction period of 5 years, from June 2020 onwards. The basic principles for resettlement implementation are as follows:

➢ LAR should be completed at least 1 month prior to the commencement of construction, and the starting time will be determined as necessary for LAR. ➢ During resettlement, the APs shall have opportunities to participate in the project. Before the commencement of construction, the range of LAR 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 1 months of approval of the compensation and resettlement program for LAR. No entity or individual should use such compensation fees on their behalf, nor should such compensation fees be discounted for any reason. 9.2 Resettlement Implementation Schedule 145. The general resettlement schedule of the project has been drafted based on the schedule of project construction, and LAR implementation. The exact implementation schedule may be adjusted due to deviations in overall project schedule. See Table 9-1.

Table 9-1： Resettlement Implementation Schedule No. Task Target Agencies in charge Time Remarks 1 Information disclosure RIB 11 villages in 5 1.1 PMO May. 2019 towns Disclosure of the draft RP 1.2 PMO, ADB May. 2019 on ADB’s website 2 RP update and resettlement budget approval 2.1 DMS 11 villages in 5 PMO, IAs Nov. 2019 towns 2.2 Updating the RP based 11 villages in 5 PMO, IAs Nov. 2019 on the DMS towns 2.3 RP and budget endorsed by EA (including Updated RP DCG, PMO Nov. 2019 compensation rates) 2.4 Submission of updated Updated RP DCG, PMO Nov. 2019 RP to ADB for approval 2.5 Disclosure of updated RP Updated RP ADB Dec. 2019 on ADB website 3 LA announcement Disclosing the updated 11 villages in 5 3.1 DCG, PMO Dec. 2019 RP towns Releasing the LA 11 villages in 5 3.2 DCG, PMO Dec. 2019 announcement towns 4 Compensation agreement

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project

No. Task Target Agencies in charge Time Remarks Entering into LA 11 villages in 5 Jan. 2020 – 4.1 agreements and paying DCG, PMO, IAs towns Dec. 2020 compensation 5 Livelihood restoration measures Payment of compensation 5.1 for young crops and AHs DCG, PMO May. 2020 attachments Implementation of 11 villages in 5 Jan. 2020 – 5.2 livelihood restoration Town governments towns Dec. 2024 programs Implementation of training Dengzhou labor and 11 villages in 5 Jan. 2020 – 5.3 program social security towns Dec. 2024 bureaus Implementing supporting 7 HH with 19 Civil affairs bureau, Jan. 2020 – 5.4 measures for vulnerable persons PMO Dec. 2024 groups Hiring APs under the PMO, labor and 11 villages in 5 Jan. 2020 – 5.5 Project social security towns Dec. 2024 bureau, contractors 6 House demolition and resettlement Sign house demolition 525 HHs+4 PMO, IA, Zhanglou Jan. 2020 – 6.1 agreement and pay Enterprises Town Government Dec. 2020 compensations Jun. 525 HHs+4 PMO, IA, Zhanglou 6.2 Houses demolition 2020-Jan. Enterprises Town Government 2021 Move to resettlement PMO, IA, Zhanglou 6.3 525 HHs Jun. 2021 houses Town Government 7 Capacity building of resettlement agencies Training of PMO and IA 7.1 15 men-times PMO, IAs Nov. 2019 staff Training of officials of 7.2 60 men-times PMO Dec. 2019 sub-district offices 8 M&E Establishing an internal 8.1 As per the RP PMO, IAs Nov. 2019 monitoring mechanism Internal monitoring From Jan. 8.2 Semiannual PMO reporting 2020 Appointing an external 8.3 One PMO Dec. 2019 M&E agency external monitoring 1st report reporting (including Feb. 2020 baseline survey external M&E 8.4 Semiannual results) agency Jul. 2020 2nd report Jan. 2021 3rd report Jul. 2021 4th report external monitoring Jan. 2022 5th report reporting Jul. 2022 6th report external M&E Jan. 2023 7th report 8.5 Semiannual agency 8th report Jul. 2023 (completion report) 9 Public consultation PMO, IAs Ongoing

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project

No. Task Target Agencies in charge Time Remarks 10 Grievance redress PMO, IAs Ongoing 11 Disbursement of compensation funds - Disbursement to county 11.1 Initial funds DCG Jan. 2020 water resources bureaus - Disbursement to town 11.2 Initial funds Mar. 2020 governments PMO, IAs - Disbursement to AHs End of May. 11.3 Initial funds Town governments 2020 12 Commencement of civil construction Henan Dengzhou Ecological Protection and 12.1 PMO, IAs Jun. 2020 Integrated Rehabilitation Project

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project

10 Monitoring & Evaluation

146. In order to ensure the successful implementation of the RP and realize the objectives of resettlement properly, LA, HD and resettlement activities of the Project will be subject to periodic M&E according to ADB’s resettlement policy, including internal and external monitoring.

10.1 Internal Monitoring 147. Internal monitoring will be conducted by the Dengzhou PMO and other authorities concerned. The PMO will develop a detailed internal monitoring mechanism for LA and resettlement, including:

1) Coordination of planning and implementation of LAR following the RP; 2) Restoration of the household income of the APs after LA; 3) Resettlement and living conditions of the APs after HD; 4) Resettlement and income restoration of vulnerable groups; 5) Payment, use and availability of compensation funds for resettlement; 6) Disbursement, use and availability of LA compensation fees; 7) Resettlement training and its effectiveness; and 8) Establishment, staff training and working efficiency of resettlement management agencies. 148. The Dengzhou PMO will submit an internal monitoring report together with the progress report to ADB semiannually. Such report should indicate the statistics of the past 6 months in tables, and reflect the progress of LA, resettlement and use of compensation fees through comparison.

10.2 External Monitoring 149. According to ADB’s policies, the PMO will employ a qualified and experienced resettlement agency as the external resettlement monitoring agency.

150. The external M&E agency will conduct 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 PMO and ADB.

10.2.1 Scope and Methods （1）Baseline survey

151. The external M&E agency will conduct a baseline survey on the villages affected by LAR to obtain baseline data on the sample AHs’ production level and living standard. The production level and living standard survey will be conducted semiannually to track variations of the APs’ production level and living standard. This survey will be conducted using such methods as panel survey (sample size: 10% of

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project households affected by LA and 20% of the households affected by HD, 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 152. During the implementation of the RP, the external M&E agency will conduct periodic follow-up resettlement monitoring semiannually of the following activities by means of field observation, panel survey and random interview:

➢ Payment and amount of compensation funds; ➢ Training; ➢ Support for vulnerable groups; ➢ Restoration and rebuilding of infrastructure and special facilities; ➢ Production resettlement and restoration; ➢ Construction and allocation of resettlement housing; ➢ Compensation for lost properties; ➢ Timetables of the above activities (applicable at any time); ➢ Resettlement organization; ➢ Income growth of APs through employment; and ➢ If APs have benefited from the Project （3）Public consultation 153. The external M&E agency will attend public consultation meetings held during resettlement implementation to evaluate the effectiveness of public participation.

（4）Grievance redress 154. The external M&E agency will visit the affected villages and groups periodically, and inquire the township resettlement offices and implementing agencies that accept grievances about how grievances have been handled. It will also meet complainants in field to learn about the key issues, and then raise AHs’ concerns with the PMO and provide proposed measures and advice to the PMO so as to redress the grievance smoothly.

10.2.2 Reporting 155. The external M&E agency will submit a monitoring or evaluation report to ADB and the PMO semiannually. See Table 10-1.

Table 10-1：M&E Schedule No. Report Date Remarks 1 Monitoring report (No.1) Feb. 2020 incl. baseline survey 2 Monitoring report (No.2) Jul. 2020 3 Monitoring report (No.3) Jan. 2021

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project

4 Monitoring report (No.4) Jul. 2021 5 Evaluation report (No.5) Jan. 2022 6 Evaluation report (No.6) Jul. 2022 7 Evaluation report (No.7) Jan. 2023 8 Evaluation report (No.8) Jul. 2023 Resettlement completion report 10.3 Resettlement Completion Report 156. After project implementation, the resettlement activities will be subject to post-evaluation using the theory and methodology for post-evaluation on the basis of M&E. Successful experience and lessons of LA, HD and resettlement will be evaluated to provide experience that can be drawn on for future resettlement. The external M&E agency will prepare and submit the Resettlement Post-evaluation Report to the Dengzhou PMO and ADB. The resettlement completion report is expected to be submitted to PMO and ADB in July 2023.

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project

Appendix 1：Land Acquisition Due Diligence Report for North to South Open Channel and West to East Diversion Channel

Land Acquisition Due Diligence Report for North to South Open Channel and West to East Diversion Channel

Henan Dengzhou Ecological Protection and Integrated Rehabilitation Project Management Office April 2019

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project

1. Project Introduction and Background of DDR 1.1 Project Introduction 1. The proposed Henan Dengzhou Ecological Protection and Integrated Rehabilitation Project (hereafter refer as “the Project”) is located in the urban and rural areas of Dengzhou City, a county-level city in the south-west of Henan Province. The expected project impact is living standards in the Yangtze River Economic Belt improved. The project will have the following outcome: water security and environmental sustainability in Dengzhou City improved. The project comprises three outputs: (i) urban and rural water infrastructure in Dengzhou City improved; (ii) ecological zones in Han River restored; and (iii) water resources management capacity enhanced. The key components of the project comprise wastewater management, construction of water supply systems to rural areas, solid waste management in a rural township (Rangdong), natural drainage regulation in a new development district (Tuanbei New District), control of non-point source pollution, wetland development along Tuan River (a tributary of the Han River), and institutional capacity strengthening in integrated water resources management (IWRM) for relevant agencies of Dengzhou City.

2. Among these subprojects, the north to south open channel and west to east diversion channel, along with existing Lingshan road and Beijing Avenue, have completed the land acquisition in 2013 and 2014, before the preparation of the ADB financed project. These LA activities were implemented following the master plan of Dengzhou Tuanbei New District, rather than in anticipation of the project of the ADB financed project. See the locations of north to south open channel and west to east diversion channel in figure 1.

North to south open West to east diversion channel channel

Tuanbei New Town Green Corridor Park

Tuan River Shoreline Landscape Park

Figure 1：Locations of North to south open channel and West to east diversion channel

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project

1.2 Construction Scale and Activities 3. See the Construction Scale and Activities of the north to south open channel and west to east diversion channel in table 1.

Table 1：Construction Scale and Activities of North to south open channel and West to east diversion

channel activities Locations and Scale Investment (10,000yuan) West to east Start from the Xingsheng Road in the west, to Huolong Canal in 5878.14 diversion the east, parallel to Lingshan Road in the north side, with a channel length of 4990m, with a water area of 64,000 ㎡，and river bank area of 132,000 ㎡

North to south In the west of Beijing Avenue, with a length of 1,350m, with a 2973.29 open channel water area of 25,000 m2 and river bank area of 69,500 m2

1.3 Background of DDR 4. Since the north to south open channel and west to east diversion channel, along with existing Lingshan road and Beijing Avenue, have completed the land acquisition before the preparation of the ADB financed project, a due diligence report has been prepared and submitted to ADB for review.

5. According to ADB’s requirements on involuntary resettlement, resettlement due diligence review has been conducted, in order to review whether: 1) their land acquisition and compensation are compliant with relevant laws, regulations and policies of the People's Republic of China; 2) the legitimate rights and interests of the affected people are fully and effectively safeguarded; 3) effective measures have been taken to restore the livelihood of affected people; and 4) there are any pending issues related to land acquisition and compensation.

6. With the assistance of the consultants, Dengzhou PMO prepared this DDR for these two canals, on basis of several rounds of field visits in December 2018.

2. Land Acquisition and Affected People

2.1 Land Acquisition Area 7. The north to south open channel and west to east diversion channel completed collective land acquisition of 241.62mu in Zhanglou Town in 2013 and 2014, in which 217.485mu was operated by villagers as contracted farmland and 24.162mu was managed by collective. See details in table 2.

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project

Table 2: Details of Land Acquisition of North to South Open Channel and West to East Diversion Channel Affected People Subcomponent Town Village Villager Group Acquired Land(mu) AHs APs No.6 8.99 1. North to south No.7 18.74 Zhanglou Xiaoding 63 252 open channel No.8 15.8 No.12 8.19 No.4 12.5 Zhanglou Xiaoding No.6 24 33 141 No.7 6 No.1 14.1 Zhanglou Dading No.2 23.2 22 95 No.3 14.2 2. West to east Zengxi 2.3 diversion channel Zhanglou Dongding Zengdong 12.6 125 542 Houshi 21.8 No.1 6 No.3 33 Zhanglou Zhangpo 34 143 No.5 7.9 No.6 12.3 No. 241.62 277 1173 2.2 Impacts of Young Crops and Ground Attachments 8. In total, young crops on 241.62 mu farmland was affected by the two canals, mainly peanuts, corn and wheat. No house nor other facility were affected. 2.3 Affected People and Impact Analysis 2.3.1 Affected People 9. Totally, 277 HHs with 1173 people in 4 villages of Zhanglou Town in Tuanbei New District of Dengzhou City were affected, including 584 females. No urban resident nor ethnic minority were affected by these two channels. No vulnerable groups were identified. 2.3.2 Impact Analysis 10. According to the socioeconomic survey and the land loss analysis, 132 households had a land loss rate less than 10%, 79 lost 11% to 29% of their land, 61 households lost 30% to 49% of their land, and 5 households suffered a land loss rate more than 50%. See details in table 3 and table 4. 11. In project area, agricultural income is a small part of household income sources, and the affected villages are very close to the downtown and the New District of Dengzhou City, most of the family labors get employed out of their villages. So their household income was not mainly from land and agricultural income. Therefore, the income losses are not significant for them. The survey showed that the respondents support for the project and its land acquisition, and expect that the project can be commenced and completed as soon as possible, so that more jobs and income opportunities can be gained. They believe the project is a good opportunity for them to increase incomes and improve their living environments. The construction and operation of the project is expected to bring a lot of business and employment opportunities to affected villages and villagers. 2.4 Houses and Structures Affected

12. No houses nor structures were affected by north to south open channel and west to east diversion channel.

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project

Table 3: Average Land and Income Losses of Affected People Before LA LA impact Land loss rate at village level Income loss (yuan)

Percent to per Per capita Village Per capita Cultivated Cultivated cultivated Percent of Percent of Land loss Annual loss at Average loss Per capita HHs Population cultivated AHs APs capita net area (mu) area (mu) area after HHs (%) Persons (%) rate (%) village per HH loss area (mu) LA (mu) income (%)

Xiaodin 435 1867 3360 1.8 96 393 94.22 1.74 22 21 2.8 g 75376 785.2 191.8 1.4

Dading 401 1720 2900 1.68 22 95 51.5 1.65 5.4 5.52 1.77 41200 1872.7 433.7 3.2 Dongdin 848 3650 3335 9.13 125 542 36.7 9.03 14.7 41.8 1.1 g 29360 234.9 54.2 0.4 Zhangp 235 975 1525 1.56 34 143 59.2 1.5 14.46 14.6 3.8 o 47360 1392.9 331.2 2.5

Note: according to the field survey, the net income of cultivated land was about 800 yuan/mu per year in 2013, and the annual average net income was about 13500 yuan per capita.

Table 5: Land Losses Rates for Different Groups Land loss rate Total Village <10％ 11-29％ 30-49％ 50-69％ 70-89％ 90-100% HHs APs HHs APs HHs APs HHs APs HHs APs HHs APs HHs APs

Xiaoding 49 200 18 77 29 116 0 0 0 0 0 0 96 393

Dading 15 67 0 0 7 28 0 0 0 0 0 0 22 95

Dongding 50 200 50 242 25 100 0 0 0 0 0 0 125 542

Zhangpo 18 68 11 45 0 0 5 30 0 0 0 0 34 143

Total 132 535 79 364 61 244 5 30 277 1173

Percentage 47.65 45.6 28.5 31.03 22.02 20.8 1.8 2.5 0 0 0 0 (%)

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project

3. Land Acquisition and Compensation Processes 3.1 Approval for Land Acquisition 13. On May 28, 2013, the project land use pre-examination was approved by Dengzhou City Land and Resources Bureau with a document DGTZH [2013] No.18, see figure 2.

Figure 2：Land Pre-examination Approval for Lingshan Road Issued by Dengzhou City Land and Resources Bureau in 2013 3.2 LA Announcement 14. On December 11, 2013, Dengzhou City Government issued the two sub-items of the land acquisition pre-announcement for these two subcomponents, and announced the area and boundary of the LA, the compensation policies and the hearing regulations (if applied), etc.

3.4 Compensation Rates for LA 15. In accordance with the land Administration Law of PRC, Henan Province’s Implementation Measure of “Land Administration Law”, and " Notice on the Comprehensive Land Prices of the Land Acquisition in Henan Province (YZ[2013] No. 11)” issued by the Henan Provincial Government, the specific Location-Based comprehensive compensation rates for the north to south open channel and west to east diversion channel in 2013 are summarized in table 6. See the replacement price analysis for LA compensation rate in Table 5.

Table 5：The Location-Based Comprehensive Land Compensation Rates in Zhangzhou Town Land Compensation Rate Young Crops Compensation Rate Town in 2013 (yuan /mu) in 2013 (yuan /mu) Farmland Farmland Zhanglou 50000 1,200 Source: the Notice on the comprehensive land price of the land Acquisition in Henan province (YZ [2013] No. 11)” issued by the Henan Provincial Government.

Table 6：Replacement Prices Analysis for LA Compensation Rate

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project

Annual Annual Risk-free Land Acquisition average returns of Differences Compensation farmland Remarks investment of （A-B） Rates(CNY/mu） outputs LA Fees （yuan/mu）(B) （yuan/mu）（ A） Risk-free return rate is set as 4%, 50000 2000 1200 800 according to the market quotations of commercial bank's financing products.

3.5 Procedures of Land Acquisition and Compensation 16. Zhanglou Town Government is the implementing agency of land acquisition of these two subprojects, while Dengzhou City Land and Resources Bureau is responsible for overall management and supervision for the land acquisition and compensation.

17. The Nnorth to south open channel and west to east diversion channel subprojects completed the physical measurement survey in March 2013, signed the compensation agreement in May 2013 and completed the compensation payment in June 2013. The actual comprehensive land compensation standard was 50,000 yuan/mu, and the compensation rate for young crops was 1,200 yuan/mu. The comprehensive land compensation fees for contracted land were mostly paid to the land contractors, while 10% was paid to the rural collective organizations, on basis of democratic decision-making procedures among villagers. The compensation fees for young crops and ground attachments were 100% paid to the owners. Regarding the uncontracted land managed by collective organizations, the comprehensive land compensation fees were fully paid to the villager groups, which were used as a public infrastructure and welfare expenditure for all villagers.

18. The specific process of land acquisition and compensation included: 1) endorsed by the town government, affected households signed the land acquisition and compensation agreement with Dengzhou City Land and Resources Bureau (see appendix 1), through which the land acquisition area and the amount of compensation fees were finalized; 2) after the compensation was allocated to the affected villages, the village committees requested the heads of affected villager groups to receive their amounts of land compensation fees; and 3) each AHs received their due compensation fees from villager groups. All the compensation fees for land, young crops and ground attachments had been fully paid to affected households in a timely manner. See the statements for no remaining issues on land compensation from the committees of affected villages in annex 4.

19. The comprehensive land compensation fees, with a total amount of 12.081 million yuan, have been fully paid to affected villager groups and households in Zhanglou town. Among them, the compensation fees paid to AHs was about 10.8729 million yuan, while the amount paid to collective organizations was about 1.2081 million yuan.

20. The land had been handed over to for west to east diversion channel and north to south open channel subprojects in June 2013 and July 2017, respectively. The milestones of land acquisition and compensation are shown in table 7.

Table 7： Milestones of land acquisition and compensation Milestones Subprojec Compensation Measurement Survey Agreement Signed Land ts Payment handover started completed started completed started completed

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project

West to east 2013.4.10 2013.4.15 2013.5.05 2013.5.15 2013.6.20 2013.6.30 2013.7.5 diversion channel North to south 2014.3.11 2014.3.15 2014.5.10 2014.5.15 2014.5.20 2016.7.5 2016.7.16 open channel 3.6 Compensation Payment for Young Crops and Ground Attachments 21. The compensation for young crops and ground attachments followed the policy rates in 2013, namely 1200 yuan/mu for young crops on farmland. So far, these two subprojects had completed the compensation payment for young crops and ground attachments. Totally, 0.362 million yuan had been fully paid to the owners of these properties.

Figure 3：Signature Form for Receiving the Compensation of Young Crops and Ground Attachments in Dongding Village 4 Livelihood Restoration of Affected Households after Land Acquisition 4.1 Livelihood Restoration Measures after LA 22. On basis of the different degrees of land and income losses, various measures had been taken by Zhangzhou Town Government and concerned government departments of Dengzhou City to restore the incomes and livelihood of affected households, mainly including: i) cash compensation; ii) industrial structure adjustment for increasing agricultural incomes; iii) employment opportunities generated during project construction and operation; iv) tertiary industry development in combination with project construction; v) public service jobs opportunities; vi) skills training, especially for jobs that require a large number of workers nearby; vii) social security programs. See details in table 9

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project

Table 8： Livelihood Restoration Measures Provided After LA

Beneficiaries employm ent public industri employm social al during service Cash ent in security skills AHs(N structur project jobs Village Compensa tertiary program training o.) e construct opportuni tion industry s （person adjustm ion and ties （HHs）（person （person ） ent operation （person s s） s）（HHs）（person s） s） Xiaodi 96 96 25 24 43 4 96 85 ng Dading 22 22 3 5 10 4 22 18 Dongdi 125 125 32 27 56 10 125 117 ng Zhang 34 34 16 8 8 2 34 31 po Total 277 277 76 64 117 20 277 251 Source: Zhanglou Town Government and affected village committees.

4.2 Livelihood Restoration Status and Satisfaction Level Survey 4.2.1 Livelihood Restoration Status 23. During due diligence review, totally 40 sample HHs had been surveyed in order to evaluate their income before and after LA. The survey results of income levels of AHs are shown in table 9.

Table 9：Comparison Analysis on Income levels and structures of AHs

Per capita Per capita average Main average Growth Rate Main income Main income net income income net income of Per capita Village restoration sources after before LA sources after LA（in average net measures LA （in 2012, before LA 2018, income yuan） yuan） Agriculture Planting Migrant work; structure corn and planting; adjustment; Xiaoding 6700 peanuts 10062 transportation 50.2% employment Migrant running; promotion; work business skills training Agriculture Planting Migrant work; structure corn and planting; adjustment; Dading 6308 peanuts 10210 transportation 61.9% employment Migrant running; promotion; work business skills training Agriculture Planting Migrant work; structure corn and planting; adjustment; Dongding 6094 peanuts 9544 transportation 56.6% employment Migrant running; promotion; work business skills training Agriculture Planting Migrant work; structure corn and planting; adjustment; Zhangpo 6164 peanuts 9364 transportation 51.9% employment Migrant running; promotion; work business skills training Source: due diligence review in December 2018.

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project

4.2.1 Survey Results 24. The due diligence review survey team conducted a satisfaction level survey with 40 sample households. The results showed that 100% of the respondents received full cash compensation, 55% participated in agricultural structure adjustment, 77.5% received non-agricultural employment opportunities, and 57.5% attended the skills training organized by local governments. Meanwhile, 85% percent of the respondents were very satisfied with these livelihood recovery measures, with no dissatisfaction. In addition, after the implementation of livelihood restoration measures, 92.5% of the sample households believed that their income opportunities increased compared with before, and 95% of the sample households thought their family income level increased. It can be concluded that the livelihood restoration measures were well implemented and satisfied with the affected households. See details in Table 10.

Table 10: Survey Results Percentages（%） No, Questions Answers (1) (2) (3) (4) (5) 1 How old are you? ①younger ②middle aged ③elderly 17.5 50 32.5 0 0 How many family 2 ① <=3 ② 35 10 45 45 0 0 member? What’s your ①illiterate ②primary school ③middle 3 5 35 55 5 0 education level? school ④college and above Which livelihood ① cash compensation ② agriculture restoration development measures ③ 4 measure was 100 55 77.5 57.5 45 non-agriculture employment ④ skills provided to your family? training ⑤others （multiple） Are your satisfied ①very satisfied ②satisfied ③so-so ④ 5 with these 35 50 15 0 0 unsatisfied ⑤very unsatisfied measure? How did you ①don’t know ②directly or indirectly to express your village committee and/or village cadres 6 opinions and 0 80 0 0 20 ③ directly or indirectly to local thoughts during LA, if any? governments④ to media⑤ to the IAs How about the income ① significantly increased ② increased 7 opportunities after ③ basic stable ④ decreased ⑤ 50 42.5 7.5 0 0 implementation of significantly decreased these measures? How about the ① significantly increased ② increased income levels after 8 ③ ④ ⑤ 37.5 57.5 5 0 0 implementation of basic stable decreased these measures？ significantly decreased Are you satisfied with your live after ①very satisfied ②satisfied ③so-so ④ 9 32.5 62.5 5 0 0 implementation of unsatisfied ⑤very unsatisfied these measures?

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project

Figure 4: Sample Household Survey

5 Information Disclosure, Public Participation and Grievance Redress 5.1 Information Disclosure 25. During the project preparation, related departments of Dengzhou City Government disclosed relevant information of these two subprojects. Before the land acquisition for north to south open channel and west to east diversion channel, relevant information had been disclosed to public timely.

26. See the figures below.

Figure 5：Disclosed Mater Plan of Tuanbei New District (including the two canals)

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project

Figure 6：Disclosed Information of the Location of Related Subprojects

Figure 7: Disclosed Bidding Advertisements for Relevant Subprojects

5.2 Public Consultation and Participation 27. During the land acquisition of these two subprojects, attention had been paid to the public consultation and participation. See the main public consultation and participation activities in Table 11.

Table 11: Summary of Public Consultation and Participation Activities Place Time Subjects Participants

detailed measurement Zhanglou Nov to Physical measurement survey, publicity on town Dec survey and introduction of 26（12 females） compensation policies government 2012 compensation polices and restoration measures to learn about the affected people’s Zhanglou Jan to Socioeconomic survey and attitudes and town Feb restoration willingness 28 （10 females） expectations for land government 2013 survey acquisition through FGDs and other ways Zhanglou Consult with AHs on the Jan town Consulting meeting compensation rates, and 10（4 females ） 2013 government restoration measures Zhanglou Feb Consulting meeting Consult with village 16（5female）

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project town 2013 cadres and government representatives of APs on the land acquisition and compensation schemes Zhanglou Negotiation and April town Publicity and mobilization agreement signing with 40（16 females） 2013 government AHs 120(including 47 Total females )

Sources: Zhangzhou Town Government and Affected Village Committees.

Figure 8：Field Survey on Project Sites

5.3 Grievance Redress 28. In the process of land acquisition and compensation, in order to effectively resolve the problems to be encountered, the local government established a transparent and effective mechanism for complaints and appeals handling. The main stages were as follows:

Stage 1: If any right of any AP is infringed on in any aspect of LA, he/she may report this to village/community committee, which shall record such appeal and solve it together with the village committee or the AP within one week. Stage 2: If the appellant is dissatisfied with the disposition of Stage 1, he/she may file an appeal to the Zhanglou Town Government after receiving such disposition, which shall make a disposition within two weeks. Stage 3: If the appellant is still dissatisfied with the disposition of Stage 2, he/she may file an appeal to IA (Tuanbei New District Construction Headquarter) after receiving such disposition, which shall make a disposition within two weeks. Stage 4: If the appellant person is still dissatisfied with the disposition of Stage 3, he/she may file an appeal to Dengzhou City Government (Petition Bureau and/or Land and Resources Bureau) within one month after receiving such disposition, which shall make a disposition within 4 weeks. 29. In addition, according to the administrative procedure law, the affected person can also directly file an administrative lawsuit to the people's court against any aspect of land acquisition at any time (not limited by the first four stages). All complaints and solutions would be maintained by the IA.

30. The land acquisition and compensation work was understood and supported by the vast majority of affected households in Zhanglou town. The compensation fees

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project had been paid in a full and timely manner following applicable regulations and policies, so the affected people were highly satisfied, and there was no complaints nor appeals received regarding LAR.

6 Conclusions (1) Land Acquisition Impacts 31. The north to south open channel and west to east diversion channel acquired collective farmland of 241.62 mu in Zhanglou town, Tuanbei New District of Dengzhou city, affecting 277 households and 1,173 people in four villages totally. Specially, 51.72 mu land in Xiaoding village had been acquired for north to south open channel, and 189.9 mu land in Xiaoding, Dading, Dongding and Zhangpo villages had been acquired for west to east diversion channel.

32. Due to the linear characteristics of these subprojects and the sufficient area of farmland per household in the project area, AH’s actual land and income losses caused by these two channels are not significant. According to assessment on the village level, the land loss rate for all affected villages are less than 10%, and the per capita net income loss of AHs is less than 10% of the average per capita income of farmers in affected villages. While on the level of HHs, despite 52% AHs lost more than 10% of their contracted farmland, they were not significantly affected by land acquisition, considering farmland is not the main livelihood capital and/or asset for these HHs. For them, the rental from house leasing and other nonagricultural incomes from working outside and doing business account for more than 60% of their total income, as these villages are less than 2 km away from the downtown of project city Dengzhou.

(2) Implementation progress of land acquisition 33. According to the due diligence review, the land acquisition and compensation had been completed in 2013 and 2014 for the north to south open channel and west to east diversion channel, respectively. All the compensation fees had been paid to the affected villages and households in a full and timely manner.

(3) Land compensation rates and payment 34. According to the Notice on the Comprehensive Land Prices of the Land Acquisition in Henan Province (YZ [2013] No. 11), Dengzhou City Government provided the land compensation at a rate of 50,000 yuan/mu and compensation for young crops at a rate of 1,200 yuan/mu. In addition, compensation for other ground attachments complied with relevant laws, regulations and local policies which were applicable in the duration of land acquisition. According to the sample survey with 40 affected households, all the due compensation fees were fully paid to them from June 2013 to July 2014 according to the disclosed compensation standards.

(4) Livelihood Restoration 35. After land acquisition, relevant government departments of Dengzhou City and the Zhanglou Town Government had timely adopted various measures to help affected households to restore their livelihood, including cash compensation, agricultural development measures, non-agricultural employment promotion, skills training, social security programs, etc. Affected people were satisfied with the implementation of these livelihood restoration measures on the whole. The sample survey found that the average annual per capita net income of affected households increased from about 6,300 yuan in 2012 to about 9,800 yuan in 2018, with an average growth rate of 55% in four affected villages.

Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project

(5) Satisfaction Evaluation 36. The two canals will significant improve the living environment and development quality of project area, affected people stated that they strongly supported these projects and their land acquisition.

37. According to the field survey, the incomes of affected villagers had significantly increased compared with that before. The affected households were satisfied with the land compensation and restoration measures implemented by relevant government departments. Main information about these projects and land acquisition had been released in a timely manner, and the affected population has widely participated in the consultation activities on land acquisition, compensation and livelihood restoration activities. No complaints or appeals were received during the due diligence reviews, and there is no pending issues on the land acquisition and compensation of the north to south open channel and west to east diversion channel.

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Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project

Annex 1 ： The Land Acquisition and Compensation Agreements Signed between Dengzhou City Land and Resources Bureau and Affected Villages (partial)

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Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project

Annex 2：Signing Forms for Receiving Land Compensation in Xiaoding Village Affected by the North to South Open Channel

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Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project

Annex 3：Signing Forms and Statements for Receiving Land Compensation in Villages Affected by the West to East Diversion Channel

Signing Forms for Receiving Land Compensation in Xiaoding Village

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Statements for Receiving Land Compensation Provided by Dading, Dongding and Zhangpo Village Committees

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Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project

Appendix 2：Resettlement Information Booklet

1. Dengzhou City Government (DCG) applied for a loan from Asian Development Bank (ADB) for the Henan Dengzhou Ecological Protection and Integrated Rehabilitation Project (hereinafter referred as the “Project”). The expected project impact is living standards in the Yangtze River Economic Belt improved. The project will have the following outcome: water security and environmental sustainability in Dengzhou City improved. The project comprises three outputs: (i) urban and rural water infrastructure in Dengzhou City improved; (ii) ecological zones in Han River restored; and (iii) water resources management capacity enhanced. The key components of the project comprise wastewater management, construction of water supply systems to rural areas, solid waste management in a rural township (Rangdong), natural drainage regulation in a new development district (Tuanbei New District), control of non-point source pollution, wetland development along Tuan River (a tributary of the Han River), and institutional capacity strengthening in integrated water resources management (IWRM) for relevant agencies of Dengzhou City. 2. The project is estimated to cost $462 million, including a loan of $200 million from ADB to help finance the project. The project will be implemented from 2020 to 2025. 3. The project will be implemented in Dengzhou City of Henan Province of the People’s Republic of China (hereinafter referred as “PRC”). 4. This Resettlement Information Booklet (RIB) of the project provide more information about (1) Impacts, (2) Compensation Rates for LA, HD and ground young crops (attachments), (3) Entitlement, (4) Resettlement Plan, (5) Livelihood Restoration Program and (6) Grievance Redress Mechanism.

A. Impacts

5. According to initial surveys in project scope on basis of Feasibility Study Report (FSR), the proposed project will affect 29 villager groups of 11 villages/communities in 5 towns of Dengzhou City in terms of LAR impacts. In total, 2,001.57 mu collective land will be acquired, including 1,817.82 mu cultivated/garden land and 183.75 mu rural construction land, affecting 769 HHs with 2,952 persons. In addition, 5,190.38 mu state-owned land (SOL), mainly the watercourse management land, will be occupied, without any affected people. A total of 2,953 mu land will be used temporarily (TLU) during construction. A total of 152,600 m2 of rural residential houses will be demolished (HD), with 525 HHs and 1,841 persons to be relocated. A total of 13,333 m2 of rural non-residential houses will be affected, with 2 agencies and 9 persons affected. In total, 793 HHs and 3,023 persons will be affected permanently by LAR of the project, meanwhile 2,260 HHs with 8,746 persons will be affected temporarily by temporary land use. In addition, the subproject will affect some young crops and ground attachments.

B. Polices and Compensation Rates 6. The resettlement policies and compensation rates of the subproject will be based strictly on the policies of the PRC, Henan Province, Dengzhou City, as well as ADB’s SPS (2009), particularly including: (i) ADB policies ➢ Safeguard Policy Statement, June 2009 ➢ Safeguard Requirement 2: Involuntary Resettlement (ii) Laws, regulations and policies of the PRC

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Resettlement Plan Henan Dengzhou Integrated River Restoration and Ecological Protection Project

(iii) Regulations and policies of Henan Province ➢ Notification of The People`s Government of Henan Province on Adjustment of Comprehensive Land Price Standard of Land Acquisition Areas in Henan Province (Henan Government (2016) No.48) ➢ Notice of the General Office of the Henan Provincial Government on Issuing the Special Corrective Plan for Land Acquisition and House Demolition (HCGO [2014] No.110) ➢ Notice of the General Office of the Henan Provincial Government on Strengthening Land Control and Rigidly Enforcing Land Administration (HCGO [2007] No.33) ➢ Opinions of the Henan Provincial Labor and Social Security Department, Land and Resources Department, and Finance Department on Doing Well in the Employment Training and Social Security of Land-expropriated Farmers (HPLSS [2008] No.19) ➢ Notification of Department of Human Resources and Social Security of Henan Province on Announcement of Expense Standard of Social Security of Comprehensive Land Price to Land Acquisition Areas of Every District (Henan Human Resources and Social Security Office (2008) No.72) ➢ Notice of the Henan Provincial Labor and Social Security Department, and Finance Department on Further Strengthening the Management of Special

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Employment Funds (YCS [2011] No.293) ➢ Notice of the Henan Provincial Labor and Social Security Department, and Finance Department on Issuing the Administrative Measures for Employment and Business Startup of Henan Province (YRSJY [2012] No.25) ➢ Notice on strengthening the management of financial discount funds for small secured loans issued by Henan Provincial Financial Department, Henan Provincial Human Resources and Social Security and Zhengzhou central branch of the people's bank of China (YCJ [2013] No.103) ➢ Notification of The People`s Government of Henan Province on Announcement of Canceling Stop Acquisition and Adjusting Relative Charging Items (Henan Government (2008) No.52) ➢ Measures for the Implementation of Henan Province on Provisional Regulations of Farmland Occupation Tax (No.124 of The People`s Government of Henan Province) ➢ Notification of Increase of Minimum Standard of Basic Pension of Basic Endowment Insurance of Urban and Rural Residents jointly issued by Department of Human Resources and Social Security and Department of Finance of Henan Province in March 2017 ➢ Notice of the General Office of the Henan Provincial Government on Strengthening Land Control and Rigidly Enforcing Land Administration (HCGO [2007] No.33) ➢ Opinions of the Henan Provincial Labor and Social Security Department, Land and Resources Department, and Finance Department on Doing Well in the Employment Training and Social Security of Land-expropriated Farmers (HPLSS [2008] No.19) ➢ Opinions of the Henan Provincial Government on Trials on Social Endowment Insurance for Urban and Rural Residents (HPG [2011] No.58) ➢ Notice of the Henan Provincial Labor and Social Security Department, and Finance Department on Further Strengthening the Management of Special Employment Funds (YCS [2011] No.293) ➢ Notice of the Henan Provincial Labor and Social Security Department, and Finance Department on Issuing the Administrative Measures for Employment and Business Startup of Henan Province (YRSJY [2012] No.25) (iv) Regulations and policies of Dengzhou City ➢ Notice on the Compensation standards for house and ancillary facilities in central urban areas of Dengzhou City Issued by Dengzhou City Government (DZ [2013] No.49) ➢ Implementation Measures of the of expropriation and compensation for houses on collective land in the planning area and out of the urban built-up area (trial) (DZ [2013] No.50) ➢ Expropriation and Compensation Measures for houses on collective land for New type community Projects in Tuanbei New District（Construction Headquarter of Dengzhou City Tuanbei New District，6 Jan, 2014） ➢ Notice on the Measures on Cash compensation for house expropriation and ground attachments in central urban areas of Dengzhou City Issued by Dengzhou City Government (DZ [2017] No.35)

C. Compensation Rates

C.1 Compensation for Permanent Land Acquisition 7. Compensation for acquisition of collectively-owned land includes land compensation, resettlement subsidy, young crop compensation and ground

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attachment compensation. As practice in project area, most of land compensation will be directly and fully paid to the households affected by land acquisition. And on basis of democratic decision-making procedures and past local practices, each village committee will discuss with their affected villagers and then voluntarily decide the proportion of land compensation to be retained by village collective for public affairs (but no more than 10%). After compensation, no land will be redistributed in the village or group; if some affected households want to obtain new farmland, this can be done through mutually agreed land use right transfer in the nearby area. Compensation for houses, young crops, trees and other associated facilities and impacts of temporary land occupation is directly paid to the affected persons. See Table 1 for details.

Table 1: Location-Based Comprehensive Land Acquisition Compensation Rates in Project Area Land Acquisition Location Town Village Compensation Remarks Category Rates (CNY/mu) Dazhuang, Gongjia, Class I 58000 Xiaoding, On basis of democratic Zhanglou Beizhangpo decision-making procedures and Huangzhuang, past local practices, each village Dingwan, Class II 47000 committee will discuss with their Cha’an affected villagers and voluntarily decide the proportion of land Jiulong Houwang Class III 42000 compensation to be withheld by Sangzhuang Sangzhang Class II 47000 village collective for public affairs Community (but no more than 10%). Jitan Sunzhuang Class II 47000 Rangdong Zhaizhuang Class II 47000 Source: Notice of Henan Provincial Government on Adjustment of Location-Based Comprehensive Land Acquisition Compensation Rates in Henan Province (Document Yuzheng [2016] No. 48, 27 July, 2016).

C.2 Compensation Rates for House Demolition 8. For desidential house demolition, the compensation, subsidy and awards have been presented in table 2.

Table 2: Compensation Rates for House Demolition and Resettlement Optional Compensation Compensation House Compensation and Unit Remarks Components Structures Rates (CNY) Resettlement Modes Finally determined by the market evaluation value assessed by a qualified Additional (i) One-off cash House independent Real 200 yuan/m2 will compensation compensation Estate Appraisal be subsided Agency, following the evaluation regulation of Acquired Houses. brick-concrete yuan/m2 820 brick-timber yuan/m2 660 earth-timber yuan/m2 590 (ii) Combination House calculated by of cash compensation homestead yuan/HH 67000 134m2 per HH compensation rates Refer to Document and offering with house decoration yuan/piece Dengzheng [2013] resettlement compensation houses NO.49 Resettlement Purchasing Resettlement Residential houses： houses to be ㎡/person price: 850yuan/ quota offered 55 (provided to m2

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AHs) Commercial Space： 10 (to be managed Purchasing and operated by price: villager group 850yuan/m2 uniformly) Purchasing Residential houses： Extra resettlement price: actual ㎡/person quota 20 (provided to construction AHs) cost Only for the HHs who opt Subsidy for new houses purchasing yuan/m2 200 one-off cash compensation mode Moving subsidy yuan/m2 8 Living allowance m2/person 200 yuan/ To be subsided Transition subsidy 3 m2·month with 36 months Phase I: sign house demolition agreement, clear Other Subsidies 5% of the total and hand over the and Allowances yuan house house within 30 compensation fee days after the house demolition On-schedule notice issued demolition Phase II: sign rewards house demolition agreement, clear 2.5% of the total no reward will and hand over the yuan house be provided house from 30 to compensation fee after 60 days 60 days after the house demolition notice issued 9. The Compensation Rates for Non-residential House Demolition will be determined by market value assessment, referring to the Expropriation and Compensation Measures for houses on collective land for New type community Projects in Tuanbei New District（Construction Headquarter of Dengzhou City Tuanbei New District，6 Jan, 2014）. In addition, loss subsidy for suspension will be provided with a rate of 100yuan/m2.

C.3 Compensation for Affected Attachments and Young Crops 10. According to the Notice on the Measures on Cash compensation for house expropriation and ground attachments in central urban areas of Dengzhou City Issued by Dengzhou City Government (DZ [2017] No.35), the compensation rates for young crops and ground attachments are presented in Table 3. Local governments can opt for lump sum compensation at the rate of 18,000 yuan/mu for all the crops and ground attachment, or chose compensation on the basis of calculation for each item, which depends on the complexity of affected attachments and willingness of affected households.

Table 3：Compensation Rates for Young Crops and Ground Attachments Compensation Rates Items Category Unit Remarks (Yuan) diameter at breast height (DBH): less than 5cm 1-5 See details in the Notice on the Timber forest （including 5cm） Measures on Cash compensation (poplar, willow, DBH: 6—10cm 5-10 for house expropriation and acacia, elm, tung, Piece DBH:11—15cm 10-25 ground attachments in central tree of heaven, urban areas of Dengzhou City DBH: 16—20cm 25-40 neem, etc.) Issued by Dengzhou City DBH: 21—25cm 40-45 Government (DZ [2017] No.35). DBH: 26—30cm 45-55

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DBH: more than 30cm 55-75 Economic forest ground diameter (GD): 10-15 （ Apple, peach, less than 4cm plum, apricot, GD: 4.1—6cm 15-60 pear, cherry, GD: 6.1—8cm Piece 60-100 grape, jujube, GD: 8.1—10cm 100-150 hawthorn, persimmon, GD: more than 10.1 cm 150-200 walnut, etc.） DBH:≤2cm 1-5 Greening forest 2cm＜DBH≤4cm 5-15 （ Camphor, big 4cm＜DBH≤8cm 15-70 leaf privet, luan Piece ＜ tree, French tong, 8cm DBH≤12cm 70-180 cedar , etc.） 12cm＜DBH≤14cm 180-260 14cm＜DBH 260-300 Mountain willows 15 shrub wood Sandal weed thicket 10 oak stump 30 Bamboo M2 10 Timber forest 8 M2 per Nursery garden Economic forest and year 12 Greening forest

D. Entitlement Matrix 11. The cut-off date of 15 January 2019 for the eligibility for compensation is fixed preliminarily and disclosed to AHs during the preliminary Inventory of Losses (IOL) survey and socioeconomic survey. Local governments will not issue any new permits for construction in the area affected by LA of the Project after the preliminary cut-off date. Any newly claimed land, newly built house or settlement in the project area by the APs after this date will not be entitled to compensation or subsidization. Any building constructed or tree planted purely for extra compensation will not be counted in. The cut-off date will be reconfirmed during the RP update after the detailed measurement survey. 12. The entitlement matrix is developed in line with relevant policies, regulations and laws, and assessment of compensation and resettlement assistance for the affected persons experiencing different impacts under the project. See Table 4.

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Table 4：Entitlement Matrix Type of impact Degree of impact APs Compensation and resettlement policy Compensation rates 1) Compensation rates：Dazhuang, Xiaoding, Gongjia, Huangzhuang and Beizhuangpo Village- 58,000 yuan/mu; Dingwan, Cha’an, Sangzhuang, Sunzhuang villages- 47000 yuan/mu; Tianying, Houwang 1) Cash compensation: as per location-based Villages- 42,000 yuan/mu. Young crops compensation for farmland-1200 composite land price yuan/mu. 2) Agricultural development: land use transfer, crop 2) Distribution mode：For contracted land, LA compensation and young 769 restructuring, etc.; Permanent crops is paid directly and fully to AHs without any retention by village 2,001.57mu of households 3) Employment: Social and project jobs, and Land collective in principle. In same villager groups, representatives of farmers collective land with 2,952 small-amount business startup loans will be offered. Acquisition will held conference to discuss the collective retention percentages of LA persons 4) Endowment insurance: APs to receive higher compensation on a basis of democratic procedure and traditional pensions after LA. practice in these villages; however, the retention percentage will no more 5) Skills training: Free skills training will be offered to than 10%. For non-contracted land, LA and young crop compensation the AHs. is paid directly to the village collective and will be used for public welfare of all the villagers. 3) All compensation will be paid prior to the implementation of LAR. Temporary 1) Compensation will be paid directly to proprietors land based on the actual period of occupation. occupation 2,260 2) Temporary land occupation will be notified in 2,953 mu of households 1,200 yuan/mu for temporary land occupation for one year advance. collective land, with 8,746 persons 3) The occupied land will be restored by the contractor, and the procedures will be supervised by APs and villager groups.

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4) If these enterprises move to another place to Subsidy for suspension loss: 100yuan/m2 Non-residential 13,333 ㎡ of continue their business, the employees could 2 entities with House non-residential continue their contract with these enterprises without 9 persons In line with the Labor Law of PRC, unemployed workers will receive Demolition houses unemployment risks. If these enterprises shut down compensation on the basis of standard of monthly wages multiplying after house demolition and terminate the contracts by working years as an employee in the enterprise or agency (Ref. with employees in advance, the employees will be Article 47 in Labor Law). compensated as per labor law and relevant regulations. Skill training and reemployment assistance from Human Resources and Social Security Bureau and other concerned departments of DCG will be provided to these affected employees for free.

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E. Resettlement and Restoration measures 13. For the preparation of the draft RP, the evaluations of land and income losses by affected villager groups have been carried out. While the land loss rates vary from 0.1% to 68.8% among the affected villager groups, the loss rates of AHs’ average net income are all lower than 10% because of the low contribution from agricultural income to AHs. The income and livelihood rehabilitation measures developed in the draft RP based on public consultations include the following: 1) Agricultural development measures; 2) Non-agricultural employment promotion; 3) Agricultural and non-agricultural skills training; and 4) Endowment insurance provided to eligible farmers affected by land acquisition. 14. With regard to the HHs to be relocated, almost all of them have selected the second resettlement mode during the willingness survey, namely combination of cash compensation and resettlement houses offered by the government. Dengzhou City Government has a plan to construct six resettlement communities in the Tuanbei New District, where all the residential houses affected by the project will relocate. The Dading resettlement community has been partially completed; and the remaining five communities are under construction. 15. With respect to non-residential house demolition, the owners of two affected small-scale enterprises will receive cash compensation for their non-residential houses based on market assessment. They will also receive moving subsides and subsidy for relevant losses from the local government following the RP. If they want to relocate their business to other places, they will apply for the new place to the local government following relevant regulations and policies. The affected workers will have a priority to get jobs in new enterprises in the project area. They will also participate in skills training and receive re-employment assistance from Human Resources and Social Security Bureau and other concerned departments of DCG.

F. Organizational Structure and Schedule 16. The Dengzhou City Government (DCG) is the executing agency (EA) of the Project, and there are three implementing agencies (IAs) for the Project, including Dengzhou City Water Resource Bureau, Dengzhou City Ecology and Environment Bureau and Dengzhou Integrated Urban–Rural Development Pilot Area Administration Bureau. On behalf of DCG, the Dengzhou PMO is responsible for the overall management and coordination of the RP preparation and implementation. And Dengzhou City Natural Resources Bureau, Dengzhou House Acquisition Office and concerned town governments have been authorized as the implementing agencies for the RP implementation. Meanwhile, the village committees in the project area will also assist to implement the RP during implementation stage. 17. To ensure smooth implementation of the RP, the PMO and local staff participating in the LAR will receive training on resettlement policies and implementation operations, as well as internal monitoring, evaluation and reporting. The RP includes a resettlement implementation schedule based on the project preparation and implementation schedule. 18. According to the implementation schedule, the Project has a construction period of 5 years, from June 2020 onwards. The resettlement schedules will be linked up with the construction schedules of the project components; the main part of LA, HD and resettlement of the Project will be commenced in January 2020 and end in December 2021. The civil works of the Project will start in June 2020.

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G. Grievance Redress Mechanism 19. In order to ensure the proper channel for APs to file the complaints on any issues related with the land acquisition and resettlement, a four-stage grievance mechanism has been established as follows: Stage 1: If any right of any AP is infringed on in any aspect of LA, HD and resettlement, he/she may report this to village/community committee, which shall record such appeal and solve it together with the village committee or the AP within two weeks. Stage 2: If the appellant is dissatisfied with the disposition of Stage 1, he/she may file an appeal to the town government after receiving such disposition, which shall make a decision within two weeks. Stage 3: If the appellant is still dissatisfied with the decision of Stage 2, he/she may file an appeal to IAs after receiving such decision, which shall make a decision within two weeks. Stage 4: If the appellant person is still dissatisfied with the decision of Stage 3, he/she may file an appeal to Dengzhou PMO within one month after receiving such decision, which shall make a decision within 4 weeks. 20. At any stage, an AP may bring a suit in a local court directly in accordance with the Administrative Procedure Law of the PRC. 21. Affected persons can also submit complaints to ADB which will first be handled by the project team. If an affected person is still not satisfied and believes he/she has been harmed due to non-compliance with ADB policy, s/he may submit a complaint to ADB’s Accountability Mechanism.7 22. All agencies will accept grievances and appeals from the APs for free, and costs so reasonably incurred will be disbursed from contingencies. During the whole construction period of the Project, these appeal procedures will remain effective to ensure that the APs can use them to address relevant issues. The above grievance redress system will be communicated to the APs at a meeting or through the RIB, so that the APs know their right of appeal. In addition, the appeal process will be published to affected population on mass media.

Table 5： Contact Information for Grievance Redress Name of Focal Agency Phone Number Persons Dengzhou PMO Mr. Lu Zhengtao 135 9820 3999 Dengzhou City Nature Resource Bureau Mr. Han 139 4935 9608 Dengzhou City House Acquisition Office Mr. Deng 189 3771 0276 Dengzhou City Water Resource Bureau Mr. Gao Xintao 198 3772 6366 Dengzhou City Ecology and Environment Mr. Fan Junfeng 130 3761 7589 Bureau Dengzhou Integrated Urban–Rural Development Pilot Area Administration Mr. Liu Yang 183 3630 9096 Bureau Sangzhuang Town Government Mr. Liu Wenbin 159 3640 9610 Mr. Guo Jiulong Town Government 150 3629 7960 Xiaodong Jitan Town Government Mr. Li Peng 135 9822 2282 Zhanglou Town Government Mr. Liu 138 3879 3554 Rangdong Town Government Mr. Hu Xinhe 136 0845 2803

7 For further information, see: http://www.adb.org/Accountability-Mechanism/default.asp

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H. Rights of interpretation 23. The Dengzhou PMO have the power to interpret this RIB.

Dengzhou PMO

May 2019

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Appendix 3：Detailed Resettlement Budget (unit: yuan)

(I)Tuanbei Water Environment Comprehensive Improvement （1）Tuanbei New Town Green （2）Tuan River Shoreline Landscape （3）Tuanbin North （4）Fusheng No. Items Total Corridor Park Park Road Road 1 Basic Cost of LAR 141550271 84273240 43582160 33639484 303045155 1.1 Compensation for PLA 56634830 34108440 3904160 8631484 103278914 Class 1 Area 50074300 31093800 3874400 7227960 92270460 Class 2 Area 5459050 2368800 0 1250200 9078050 Class 3 Area 0 0 0 0 0 Young Crops 1101480 645840 29760 153324 1930404 1.2 Compensation for TLU 0 0 6000 3600 9600 1.3 Compensation for residential HD 70555800 50164800 39672000 25004400 185397000 1.3.1 brick-concrete 47232000 32882000 25420000 16482000 122016000 1.3.2 homestead 11792000 9246000 8040000 4489000 33567000 1.3.3 house decoration compensation 2361600 1644100 1271000 824100 6100800 1.3.4 Transition subsidy 6220800 4330800 3348000 2170800 16070400 1.3.5 Moving subsidy 460800 320800 248000 160800 1190400 1.3.6 Living allowance 127000 97000 74000 53600 351600 1.3.7 On-schedule demolition rewards 2361600 1644100 1271000 824100 6100800 1.4 Compensation for non-residential HD 14359641 0 0 0 14359641 1.4.1 brick-concrete 10933060 0 0 0 10933060 1.4.2 Transition subsidy 1439964 0 0 0 1439964 1.4.3 Moving subsidy 106664 0 0 0 106664 1.4.4 loss subsidy for suspension 1333300 0 0 0 1333300 1.5.5 On-schedule demolition rewards 546653 0 0 0 546653 2 Compensation for Ground Attachments 21232540.65 12640986 6537324 5045923 45456773.3 3 Resettlement Planning and Monitoring costs 707751.355 421366.2 217910.8 168197.4 1515225.78 3.1 Resettlement Planning 141550.271 84273.24 43582.16 33639.48 303045.155 3.2 Resettlement Monitoring and Evaluation 566201.084 337093 174328.6 134557.9 1212180.62 4 Training costs 141550.271 84273.24 43582.16 33639.48 303045.155 5 Taxes and fees on LA 40519692.99 23794004 2207985 6030474 72552155.8 5.1 LA management costs (2.8% of basic costs) 3963407.588 2359651 1220300 941905.6 8485264.34 5.2 Farmland occupation tax 13462839.3 7893779 363741.6 1874003 23594362.9 5.3 Land reclamation costs 6734632.3 3948773 181957.6 937448.5 11802811.8 5.4 Compensation fees for using additional construction land 9795828.8 5743670 264665.6 1363561 17167726.2 5.5 Social security costs for LEFs 6562985 3848130 177320 913555.5 11501990.5 5.5.1 Inside of the urban planning area 6562985 3848130 177320 913555.5 11501990.5 5.5.2 outside of the urban planning area 0 0 0 0 0 6 Total costs of LAR (Sum of Item No.1 to No. 5) 204151806.3 121,213,869 52588962 44917717 422872355 7 Contingencies (10% of Item No.6) 20415180.63 12121387 5258896 4491772 42287235.5 8 Total Budget 224566986.9 133,335,256 57847858 49409489 465159590

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(II) Jiulong Water Treatment Plant and Pipe Networks Jiulong Water Treatment Plant No. Items Pipe Networks Total budget 1 Basic Cost of LAR 2242080 2760000 5002080 1.1 Compensation for PLA 2242080 0 2242080 1.1.1 Class 1 Area 0 0 0 1.1.2 Class 2 Area 0 0 0 1.1.3 Class 3 Area 2179800 0 2179800 1.1.4 Young Crops 62280 0 62280 1.2 Compensation for TLU 0 2760000 2760000 1.3 Compensation for residential HD 1.4 Compensation for non-residential HD 2 Compensation for Ground Attachments 336312 414000 750312 3 Resettlement Planning and Monitoring costs 11210.4 13800 25010.4 3.1 Resettlement Planning 2242.08 2760 5002.08 3.2 Resettlement Monitoring and Evaluation 8968.32 11040 20008.32 4 Training costs 2242.08 2760 5002.08 5 Taxes and fees on LA 1981314 77280 2058594 5.1 LA management costs (2.8% of basic costs) 62778.24 77280 140058.2 5.2 Farmland occupation tax 761217.3 0 761217.3 5.3 Land reclamation costs 380790.3 0 380790.3 5.4 Compensation fees for using additional construction land 553876.8 0 553876.8 5.5 Social security costs for LEFs 222651 0 222651 5.5.1 Inside of the urban planning area 0 0 0 5.5.2 outside of the urban planning area 222651 0 222651 6 Total costs of LAR (Sum of Item No.1 to No. 5) 4573158 3267840 7840998 7 Contingencies (10% of Item No.6) 457315.8 326784 784099.8 8 Total Budget 5030474 3594624 8625098

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(III) Sangzhuang Water Treatment Plant and Pipe Networks

No. Items Sangzhuang Water Treatment Plant Pipe Networks Total

1 Basic Cost of LAR 2612440 564000 3176440 1.1 Compensation for PLA 2612440 0 2612440 1.1.1 Class 1 Area 0 0 0 1.1.2 Class 2 Area 2547400 0 2547400 1.1.3 Class 3 Area 0 0 0 1.1.4 Young Crops 65040 0 65040 1.2 Compensation for TLU 0 564000 564000 1.3 Compensation for residential HD 0 1.4 Compensation for non-residential HD 2 Compensation for Ground Attachments 391866 84600 476466 3 Resettlement Planning and Monitoring costs 13062.2 2820 15882.2 3.1 Resettlement Planning 2612.44 564 3176.44 3.2 Resettlement Monitoring and Evaluation 10449.76 2256 12705.76 4 Training costs 2612.44 564 3176.44 5 Taxes and fees on LA 2076706 15792 2092498 5.1 LA management costs (2.8% of basic costs) 73148.32 15792 88940.32 5.2 Farmland occupation tax 794951.4 0 794951.4 5.3 Land reclamation costs 397665.4 0 397665.4 5.4 Compensation fees for using additional construction land 578422.4 0 578422.4 5.5 Social security costs for LEFs 232518 0 232518 5.5.1 Inside of the urban planning area 0 0 0 5.5.2 outside of the urban planning area 232518 0 232518 6 Total costs of LAR (Sum of Item No.1 to No. 5) 5096686 667776 5764462 7 Contingencies (10% of Item No.6) 509668.6 66777.6 576446.2 8 Total Budget 5606355 734553.6 6340908

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(IV) Tuanbei Wastewater Treatment Plant and Pipe Networks No. Items Tuanbei Wastewater Treatment Plant and Pipe Networks 1 Basic Cost of LAR 13004420 1.1 Compensation for PLA 3918220 1.1.1 Class 1 Area 0 1.1.2 Class 2 Area 3830500 1.1.3 Class 3 Area 0 1.1.4 Young Crops 87720 1.2 Compensation for TLU 132000 1.3 Compensation for residential HD 8954200 1.3.1 brick-concrete 5904000 1.3.2 homestead 1608000 1.3.3 house decoration compensation 295200 1.3.4 Transition subsidy 777600 1.3.5 Moving subsidy 57600 1.3.6 Living allowance 16600 1.3.7 On-schedule demolition rewards 295200 1.4 Compensation for non-residential HD 0 2 Compensation for Ground Attachments 1950663 3 Resettlement Planning and Monitoring costs 65022.1 3.1 Resettlement Planning 13004.42 3.2 Resettlement Monitoring and Evaluation 52017.68 4 Training costs 13004.42 5 Taxes and fees on LA 3275404.36 5.1 LA management costs (2.8% of basic costs) 364123.76 5.2 Farmland occupation tax 1072157.7 5.3 Land reclamation costs 536334.7 5.4 Compensation fees for using additional construction land 780123.2 5.5 Social security costs for LEFs 522665 5.5.1 Inside of the urban planning area 522665 5.5.2 outside of the urban planning area 0 6 Total costs of LAR (Sum of Item No.1 to No. 5) 18308513.88 7 Contingencies (10% of Item No.6) 1830851.388 8 Total Budget 20139365.27

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(V) Tuan River Downstream Comprehensive Improvement 1) Ecological Restoration and 2) Environmental 4)Solid waste 3) Rangdong 5)Jitan No. Items Spot Bank Protection Works of Research and Education treatment in Rangdong Total WWTP WWTP Lower Tuan River Center Town 1 Basic Cost of LAR 0 1480000 166200 21690 138300 1806190 1.1 Compensation for PLA 0 1480000 144600 21690 72300 1718590 1.1.1 Class 1 Area 0 1450000 0 0 1450000 1.1.2 Class 2 Area 0 0 141000 21150 70500 232650 1.1.3 Class 3 Area 0 0 0 0 0 1.1.4 Young Crops 0 30000 3600 540 1800 35940 1.2 Compensation for TLU 0 0 21600 66000 87600 1.3 Compensation for residential HD 0 1.4 Compensation for non-residential HD 0 2 Compensation for Ground Attachments 480000 222000 24930 3253.5 20745 750928.5 3 Resettlement Planning and Monitoring costs 7400 1495.8 108.45 691.5 9695.75 3.1 Resettlement Planning 1480 831 21.69 138.3 2470.99 3.2 Resettlement Monitoring and Evaluation 5920 664.8 86.76 553.2 7224.76 4 Training costs 1480 166.2 21.69 138.3 1806.19 5 Taxes and fees on LA 965590 115551.6 17242.02 59321.4 1157705 5.1 LA management costs (2.8% of basic costs) 41440 4653.6 607.32 3872.4 50573.32 5.2 Farmland occupation tax 366675 44001 6600.15 22000.5 439276.7 5.3 Land reclamation costs 183425 22011 3301.65 11005.5 219743.2 5.4 Compensation fees for using additional construction land 266800 32016 4802.4 16008 319626.4 5.5 Social security costs for LEFs 107250 12870 1930.5 6435 128485.5 5.5.1 Inside of the urban planning area 0 0 0 0 0 5.5.2 outside of the urban planning area 107250 12870 1930.5 6435 128485.5 6 Total costs of LAR (Sum of Item No.1 to No. 5) 480000 2676470 308343.6 42315.66 219196.2 3726325 7 Contingencies (10% of Item No.6) 48000 267647 30834.36 4231.566 21919.62 372632.5 8 Total Budget 528000 2944117 339178 46547.23 241115.82 4098958

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