Chapter 3 Impact Analysis on Displaced Persons

Home , Changning District, Chongming District, Fengjing, Fengxian District, Jinshan District, Minhang District

World Bank Shanghai Urban Environment APL III

Public Disclosure Authorized

District Financing Vehicle ----- Sub-project

Public Disclosure Authorized RAP of Minfeng Raw Water Conveyors Project

Public Disclosure Authorized

Shanghai Chengtou Raw Water Co., Ltd. Public Disclosure Authorized March, 2015

Preface

A. RAP’s Aim

1. RAP is stipulated in terms of state and local laws of People’s Republic of China as well as a series of guidelines established in OP4.12 for non-voluntary resettlement by the World Bank. The aim of RAP is to provide a resettlement and restoration action plan for the affected to guarantee their benefits, improvement of their daily life, or, at least, restoration of their living standard to original level after completion of this project.

B. Definition of Terms

Displaced Persons (DPs)

2. According to qualifications of compensation standard, the displaced persons can be divided into 3 categories:

 Person who has legal property right of land (including consistent and traditional right which is certified by state law);

 Before census, a person has no official legal right of acquisitioned land, but he/she has some requirements which is approved by state laws or acknowledged by resettlement plan;

 Others who has no acknowledged legal rights or requirements on the occupied land;

3. Anyone who are qualified for 2（a）and 2（b）, he/she can receive compensation and other helps. Anyone who are qualified for 2（c）, he/she can receive resettlement help instead of compensation caused by land acquisition as well as other necessary helps provided in the RAP on the precondition that the date of occupation or use of acquisitioned land should be earlier than a

deadline1 which was stipulated by the borrowers and accepted by the World Bank. People who occupy and use this land cannot be granted any compensation or resettlement help in any means. All people involved in 2（a）, 2（b）and 2(c) can receive compensation on physical loss in addition to land.

Compensation and Resettlement Measures

4. The following possible results are likely to be caused by compulsory acquisition of land:

(i) Relocation or loss of shelter;

(ii) Loss of assets or channels of getting assets;

(iii) Loss of income sources or means of livelihood (regardless of whether the affected person must be displaced to another place)

An RAP or a resettlement policy framework should be established to resolve and eliminate these possible results mentioned above, covering the following contents:

 RAP or resettlement policy framework should take corresponding measures to guarantee that:

(i) to be informed of their option right in resettlement and other rights;

(ii) to understand the technical and economic feasibilities and participate in the consultation, and enjoy the opportunity to choose;

1 Deadline: Generally speaking, the deadline is commencement date of census. It can be a confirmed date before census on the precondition that information on affected area has been publicized and it can be publicized after allocation of affected area in a systematical way in order to avoid influx of external person.

(iii) to receive prompt and effective compensation at full replacement cost2 in order to offset direct physical loss caused by the project;

 If the impacts include relocation, the RAP or resettlement policy framework should take corresponding measures to ensure that all displaced persons to have following rights:

 to get help during relocation period (such as relocation allowance);

 to get access to housing or housing sites, or as required to obtain agricultural production sites; the productive potential of new agricultural production sites, location advantages and other comprehensive factors should be at least as good as the original production sites.

 In order to achieve the aims, the RAP or resettlement policy framework should also, when necessary, take appropriate measures to ensure that:

(i) After the relocation, a reasonable transition period should be estimated and calculated based on possible restoration period of livelihoods and living standards. During the transition period, necessary helps should be granted to the displaced persons.

(ii) In addition to compensation measures mentioned in 4 (a) (iii), displaced persons can receive development assistance, including land preparation, credit, training or employment.

5. Deadline: It takes effective from the date of announcement date of land acquisition. After this date, all displaced persons are not allowed to build, expand or renovate housings; Usage of the housing and land cannot be changed; neither land lease nor sale of land or housing is permitted; people who come later than the deadline is not qualified as displaced persons.

2 Replacement cost: it is a method of assessing assets which is used to confirm the amount on purchasing lost assets in new price and corresponding transaction fee. When this method is used, the depreciation factor of buildings and assets is not taken into consideration.

CONTENTS

CHAPTER 1 BASIC CONDITION ...... 1

1.1 PROJECT BACKGROUND ...... 1 1.2 PROJECT INTRODUCTION ...... 2 1.3 BENEFICIAL AREA AND AFFECTED AREA ...... 6 1.3.1 Beneficial area ...... 6 1.3.2 Affected area ...... 7

1.4 SOCIO-ECONOMIC BACKGROUND (DETAILED INFORMATION CAN BE SEEN IN OUR SA REPORT) .. 9 1.5 TOTAL INVESTMENT AND FINANCING ...... 19 1.6 COUNTERMEASURES TO LESSEN SIDE IMPACT BY CONSTRUCTION ...... 20 CHAPTER 2 PROJET IMPACT ...... 21

2.1 PROJECT INVESTIGATION ...... 21 2.2 AFFECTED SCOPE ...... 21 2.3 DIRECT IMPACT...... 21 2.3.1Land acquisition of collectively-owned land in rural area...... 23 2.3.2Affected population ...... 23 2.3.3Affected auxiliary items on-and-under ground ...... 23

2.4 INDIRECT IMPACT ...... 24 2.5 VULNERABLE GROUP...... 24 CHAPTER 3 IMPACT ANALYSIS ON DISPLACED PERSONS ...... 25

3.1 IMPACT ANALYSIS ON PERMANENT LAND ACQUISITION ...... 25 3.2 ANALYSIS ON INDIRECT IMPACT IN SURROUNDING AREA ...... 26 CHAPTER 4 LAW AND POLICIES FRAMEWORK ...... 27

4.1 LAWS®ULATIONS FOR RAP ...... 27 4.2 LAWS&POLICIES CONCERNING RAP ...... 29 4.2.1 Authority and limitation of land acquisition and nature of compensation ...... 29 4.2.2 Procedures of Laws&Adminstration ...... 32 4.2.3 Compensation standard ...... 32 4.2.4 Legal responsibility of Institutions ...... 37

4.3 RESETTLEMENT POLICIES ...... 37 4.3.1Resettlement policies concerning permanently acquisitioning collectively-owned land ...... 37 4.3.2 Compensation policies concerning auxiliaries items on-and-under ground .. 39

CHAPTER 5 COMPENSATION STANDARD ...... 40

CHAPTER 6 RESTORATION SCHEME OF PRODUCTION AND DAILY LIFE...... 46

6.1 AIM OF RAP ...... 46 6.2 RAP PRINCIPLES ...... 46 6.2.1 Equivalent compensation principle ...... 46 6.2.2 Principles of setting priority group ...... 47

6.3 COMPENSATION AND RESETTLEMENT ON PERMANENT LAND USE ...... 48 1

6.4 AFFECTED INFRASTRUCTURES AND AUXILIARIES ON-AND-UNDER GROUND ...... 50 CHAPTER 7 PUBLIC PARTICIPATION ...... 51

7.1 PUBLIC PARTICIPATION AND STRATEGY ...... 51 7.2 PROCESS OF PUBLIC PARTICIPATION AND PLANNING OF POLICIES PUBLICATION ...... 52 CHAPTER 8 APPEALING PROCESS...... 54

8.1 POSSIBLE COMPLAINTS AND SOLUTIONS ...... 54 8.2 APPEAL’S CHANNEL AND PROCEDURES ...... 55 CHAPTER 9 INSTITUTIONS ...... 59

9.1 RESPONSIBLE INSTITUTIONS ...... 59 9.2 ORGANIZATIONAL CHART OF RESPONSIBLE INSTITUTIONS ...... 62 9.3 QUALIFICATION OF INSTITUTIONS AND PERSONNEL ...... 66 9.4 MEASURES TO ENHANCE CAPABILITY OF INSTITUTIONS ...... 67 CHAPTER 10 TIME SCHEDULE ...... 69

10.1 CONNECTION PRINCIPLES OF RESETTLEMENT AND CONSTRUCTION ...... 69 10.2 TIME SCHEDULE FOR KEY TASK OF RESETTLEMENT ...... 70 10.2.1 Principles of time schedule ...... 70 10.2.2 Planned Time Schedule for land acquisition of resettlement ...... 71

CHAPTER 11 COSTS AND BUDGETS ...... 73

11.1 COST ...... 73 11.2 PLANNING OF ANNUAL CAPITAL USE ...... 74 11.3 CAPITAL SOURCE FOR RESETTLEMENT ...... 74 11.4 CAPITAL FLOW AND ALLOCATION PLAN ...... 75 11.4.1 Capital flow ...... 75 11.4.2 Payment Allocation and Management ...... 76

CHAPTER 12 MONITORING EVALUATION ...... 77

12.1 INTERNAL MONITORING ...... 78 12.1.1 Implementation procedures ...... 78 12.1.2 Monitoring content ...... 78 12.1.3 Internal Monitoring Report ...... 79

12.2 EXTERNAL INDEPENDENT MONITORING ...... 79 12.2.1 Independent Monitoring institution ...... 79 12.2.2 Monitoring steps and contents ...... 79

12.3 MONITORING INDICATORS ...... 81 12.4 FINAL EVALUATION ...... 81 CHAPTER 13 RIGHT STATEMENT ...... 82

Chapter 1 Basic Condition

1.1 Project Background

Water Source of the Upper Reaches of Huangpu River, one of four water sources in Shanghai, mainly includes six water intakes, that is, Songpu bridge, Jinshan, Songjiang Xietang, Qingpu Taipu, Minhang, Fengxian with total water capacity about 7,555,000m3/d. On March 1st, 2010, Shanghai Municipal Protection Ordinances of drinkable water took into effect which specifies the scope of water source area of the Upper Reaches of Huangpu River. Given this, there are six sets of water intakes which should be included into the first-grade protection zone. According to the requirements of first-grade protection zone, any project which is irrelevant to water-supply facilities and water protection should be terminated or disclosed; however, relocation is hard for some enterprises. For instance, according to the geographic location, demolition cannot be realized for both several enterprises on the north bank and Shanghai Shipyard on the southern bank; besides, it seems no compromise can be reached for some manufacturing plants and warehouses for Shanghai Steam turbine Co.,Ltd. Under such circumstances, since it is so hard for Minhang and Fengxian water intakes to implement the first-grade protection, concrete measures must be taken to tackle this big problem.

With Shanghai Qing Caosha Source Water Project being put into use in January, 2011, Shanghai downtown area has witnessed a big adjustment in raw water supply. Raw water to downtown areas, including Yang Shupu, Ju Jiaqiao,Lu Jiazui, Nanshi, Lingjiang, Changqiao and southwest areas supplied by Xu Jing Tap Water Plant(water supply capacity of 4,440,000m3/d) is now powered by Shanghai Qing Caosha Source Water system instead of the upper reaches of Huangpu river system. The main canal with 16.7km from Songpu 1

pump station to Caohang branch terminated it operation and has become a spare water-intake facility, which is only put into use for anti-tide protection. Therefore, it is able to supply water to other regions.

Given this, corresponding departments put forward their reasonable adjustment on water-intake layout, shifting the location of water-intakes of Minhang and Fengxian up to water-intake of Songpu bridge and water-intakes of Minhang and Fengxian reserved as a spare one for emergency-use instead of daily water intake. Raw water needed by Minhang and Fengxian districts can be transported by Fengmin branch project via Songpu pump station, and therefore the close management of the first-grade protection of drinkable water in upper reaches of Huangpu driver, improving safety security for raw water in Minhang and Fengxian district respectively.

On March 1st, 2010, Shanghai Municipal Protection Ordinances of drinkable water took into effect and the protection of water source for Minhang and Fengxian districts is of top priority. Under such circumstances, the main project on pre-processing of raw water of Huangpu River gave into birth. In addition, Environment Protection Bureau of Municipal Development and Reform Commission issued No.005 reply paper in 2012 concerning suggestion letter on this project. Besides, the feasibility report was compiled by Shanghai

Municipal Project Design Institute (Group) Co. Ltd.

1.2 Project Introduction

Upon approval on January 20th, 2012 of the project suggestion letter, the construction unit started to organize the site selection and corresponding research issues. During planning site selection, necessary adjustments have been made in piping direction, piping length and the area of land acquisition for water-intake

sites for Minhang and Fengxian districts with reference to the road traffic planning and urban construction planning of Songjiang and Fengxian districts. According to the draft version of the project suggestion letter, it had planned that two pipes of raw water would be connected from the east fence of Songpu pump station with one pipe for Minhang branch and the other for Fengxian district. As far as the Minhang branch is concerned, it would come along north anti-flood dam via Nv’er river, a water garden and an air force communications station (south) and finally reach west of Yuanjiang water-intake pump station with a total length of 2.9km. As for Fengxian branch, it would be in the following direction:

south Starting point-> Qing Shuixiang along south anti-flood dam > Dongqin road (south) east>Qian Bujing (west) north>Beiheng road (south) east>Guang

north Huixiang (west) >Fengxian water-intake site; The total length had been expected to be 10.8km. Besides, an area of 8000m2 is foreseen to be acquisitioned for Minhang branch while an area of 7200m2 for Fengxian branch. During the process of site selection for Minhang branch, pipe-jacking with fold-line layout has been adopted for construction with many factors taken into consideration, including avoiding a park and military facilities, the construction of piping-jack as well as the safety distance between piping facilities and anti-wave wall(less than 10m). Given this, it had planned to pave the water piping between 12.3m and 27.8m along the course of Huangpu River with a total length of 2.3km. On the other hand, there was a big adjustment in Fengxian branch. Now, it flows in the following direction: Songpu pump station (east) -> Qing Shuixiang (west) along the greening belt of planned Nianjing road (south) east>Nan Shaxiang (east)north>>Hong Weixiang (north) east>fences of Fengxian No.3 Water Plant (west) north>adjustment pool of water-intake site.

The total length is 9.95km. Besides, after reasonable adjustment, an area of 7447m2 had foreseen to be acquisitioned for Minhang branch while an area of 5790m2 for Fengxian branch. In May, 2011, Shanghai Municipal Project Design Institute (Group)Co.,Ltd compiled a project suggestion letter, that is, a feasibility report of raw water piping project for Minhang and Fengxian districts; on the other hand, in October, 2011, Shanghai Investment Consulting Co.,Ltd issued a No.628 appraisal paper on the project suggestion letter in 2011 to Shanghai Municipal Development & Reform Commission. In January, 2012, Environment Protection Bureau of Municipal Development and Reform Commission issued No.005 reply paper concerning suggestion letter on this project. In February.2012, Shanghai Water Authority submitted a notification of No.89 paper concerning forwarding the reply issued by Shanghai Water Authority to Shanghai Chengtou Corporation; in February.2012, Shanghai Chengtou Corporation issued No.47 paper concerning a notification of notification of Minhang and Fengxian raw water project issued by Shanghai Chengtou Corporation to Shanghai Chengtou Raw Water Co.,Ltd. According to the reply, in May.2013, the feasibility report was compiled by Shanghai Municipal Project Design Institute (Group) Co. Ltd. According to the plan and the feasibility report on the connecting pipes, Min Feng raw water project extended two piping outlines from the Minfeng watershed. One branch extends to the suction well of Songpu pump station crossing the Huangpu River northward. The diameter of the river-crossing pipe is DN3000 (DN3600) with 706m in length, including 446m of pipe-jacking and 260m of buried pipes. As for the river-crossing pipes, there are two working conditions, namely, Minfeng branch transporting water from Jinze reservoir in positive manner to Songpu pump station and local water of Songpu pump station being increased to the pressure-adjustment pool and then supply

emergency water in the reverse manner. The transfer capacity from Jinze reservoir was designed 1,300,000m3/d and reverse and emergency water was 1,547,000m3/d. Upon connection from the raw water pipelines, the other branch extends to the newly-built adjustment pool along the bank of Huangpu river(south), west bank of Qingshui port, greenbelts(south) of Nianjing road(in planning), bank of Nansha port(east) and west of Fengxian No.3 water plant. The piping line is h 2,200m in length, including 9120m of pipe-jacking and 80m of buried pipes. The single pipe of DN3000 is used with water transfer capacity of 850,000m3/d. the design working pressure of pipeline is 0.6MPa and the test pressure is 1.1MPa. Minfeng raw water project mainly includes:

A. to build river-crossing piping lines from Minfeng watershed; raw water piping lines of newly-built regulation pool river from Songpu pump station to the water-intake pump stations of Huangpu river;

B. to build new facilities, including regulation pools, measurements and pressure adjustment;

C. to gravity pipes and valves of the suction wells from Minhang,Fengxian regulation pools to existing water-intake pump stations; In this project, the legal entity is Shanghai Chengtou Raw Water Co.,Ltd affiliated to Shanghai Chengtou Corporation which is regarded as Party A.

Associated projects: Due to adjustment and confirmation regarding water source planning of the upper reaches of Huangpu River, the raw water sources in Minhang and Fengxian Districts will be moved to the upper Jinze Reservoir, the raw water will be conveyed through the newly-built pipe routing and Minfeng Conveyor s, therefore, the associated projects have also been adjusted. The associated project was Huangpu River raw water preliminary treatment project described in the original RAP report in September 2013. Up to now, the associated

projects has been consist of two projects -- Upper Huangpu River Jinze Reservoir Project and Pipe Routing Project. Detailed information can be seen in Annex 1: Minfeng Raw Water Conveyors Project of Upper Huangpu Intake system RAP on Associated Projects of Minfeng Raw Water Conveyors Project of Upper Huangpu Intake system by The World Bank. As far as RAP progress of Shanghai Municipal Environment Construction Project, APL III, is concerned, it can be seen in Annex 2 : Progress Collection on RAP of APL III.

1.3 Beneficial area and affected area

1.3.1Beneficial area

Both Minhang and Fengxian districts will be benefitted from the project.

The existing water-intake pattern is that, every district has its own water-intake, which led to poor emergency handling capability, that is, once accident of water pollution occurs, it will incur serious outcomes. However, heightening the water-intake level to the one of Songpu bridge and make the existing spare one is able to improve the raw water safety of Minhang and Fengxian districts. In addition, the reservation time period can be prolonged by means of channels from Songpu pump station to Caohang branch and water transportation of Minhang and Fengxian branches; the ammonia concentration of raw water can be reduced in order to improve the quality of raw water. Meanwhile, this project is taking advantage of channel cycle to provide water to Minhang and Fengxian districts, to some extent, which could guarantee the full utilization of idling fixed assets and normal operation of pump station units with moisture proof. From the perspective of spare function, since Songpu pump

station and the channel between Songpu and Caohang are in operation, once Qing Caosha system stops due to some functional fault, Songpu pump station and water transportation channel are able to shift to supply water to downtown areas in a quick mode which can improve the safety of water supply in downtown areas. Given this, the construction has not only improved the quality of drinkable water and water safety, but also promoted the sustainable development of regional economic and social development.

1.3.2Affected area

Main project Affected area mainly is as follows:  Songjiang district: Lianzhuang village of Chedun town and Dongqin village of Yexie town  Fengxian district:Yejia village, Yuli village and Puxiu village of Zhuanghang town  Minhang district: Pengdu village of Maqiao town Land-use includes:  Permanent land use for the adjustment pond of water intake of Minhang and Fengxian district;  Land for piping-jack well reserved for water transportation piping, man holes3 for auxiliaries (valve wells, drainage wells as well as exhaust valve well)  Temporary land renting for piping construction;

Land acquisition is as follows:

3 Man-hole (A hole, usually with a cover, through which a person may enter a sewer, boiler, drain, or similar structure.)

（1）An area of 7,447sq.m was acquisitioned for the water-intake pump station(north) in Minhang district; （2）An area of 5790sq.m was acquisitioned for the water-intake pump station(west) in Fengxian district;

Land-renting for the construction of jack-piping well and piping burial: 40,672sq.m, among which: Temporary land-renting: 40,634sq.m; Long-term land-renting: 38sq.m; Land-renting for setting up construction passages and bridges:29,834sq.m; Total area of land renting was 70,506sq.m, 105.76mu. The construction area includes Minhang and Fengxian districts. Table 1.1: Collection of affected scope Category Quantity Notes Maqiao town(Minhang), Towns 2 Zhuanghang town(fengxian) Pengdu village(Maqiao), Villages 2 Puxiu village(Zhuanghang) A water garden and a air Enterprises 2 force communications station Qty. of land An adjustment acquisition 19.85 pond(direct impact) (mu) including: Land 19.85 Conservation forest acquisition/land Qty. of land Piping and well renting of 105.76 renting(mu) location(direct impact) collectively-owne Qty. of affected Not included in land d land 36 households acquisition(indirect impact) Resettlement of labor Qty. of affected 11 force in Pengdu village population (direct impact) Table 1

1.4 Socio-economic background (detailed information can be seen in our SA report)

 Minhang district

Minhang district is located in the center which forms a "key". Minhang is located 31.05 degrees in north latitude and 121.25 degrees in east longitude. It connects Xuhui district and Pudong district in east, Pudong New Area; it is facing Fengxian district via Huangpu River; it is adjacent to Songjiang district and Qingpu District in west; it borders Changning District and Jiading District in north; Hongqiao International Airport is situated in the edge of districts. Wusong River flows through the northern district and Huangpu River stretches from Southern to northern and divides Shanghai into two parts, that is, east Shanghai and west Shanghai. Besides, Minhang is not only a vital Municipal transportation hub but also a main industrial base and technology & aerospace zone in southwest China.

The area of Minhang district area accounts for 5.86% of Shanghai with 10% of Shanghai permanent resident population; regional GDP accounts for 8.2%, ranked No.3 nationwide; in recent years, the second industry and the tertiary industry have seen a rapid growth. Main economic indicators in the city are in the leading position in Shanghai with fiscal revenue being No.2, the industrial added value being No.3, the social retail sales ranking No.4 investment attraction and being Top 1 of the real estate sales. The area of Minhang district is nearly 372 square kilometers. At present, it includes 9 towns, 3 street committees, 1 Municipal industrial zone with 138 village committees and 379 residents committee. (Sources from the website of Minhang Municipality). Minhang district has been a pilot area for factories and enterprises which was planned and developed earlier in Shanghai. For instance, many

large-scale factories and enterprises are distributed in the Minhang district. Furthermore, with the reform and opening up policies being taken, a large number of new and high-tech enterprises are located in the newly-established development zone. At the same time, Minhang sees a large of immigrant population coming from the outside. As can be seen, a large quantity of residential compounds has sprung up with many residents registered in Minhang district. Besides, regional industry has seen a rapid development with fast growing number of regional population. The original suburban areas of Minhang have combined with many old-brand downtown areas to have become a highly-urbanized city with modern features. In the regional development, the development strategy of parks in Minhang district has been implemented which forms a new development pattern featuring Shanghai Minhang economic and Technological Development Zone, Xinzhuang Industrial Zone, Shanghai Zizhu Science Park, Pujiang High-tec Park and dominated export processing zone in Shanghai Cao Hejing Development Zone. In recent years, the economy of Minhang District has maintained steady and rapid development. According to preliminary statistics, the regional GDP accounted for RMB148,308,000,000yuan, of which, the added value of the second industry was 93,954,000,000yuan, up 6% compared with last year and the added value of the tertiary industry achieved RMB54,178,000,000yuan, a growth of 13.7%. The annual agricultural output value of Minhang district was RMB444, 000,000yuan, including RMB317, 000,000yuan for crop farming and RMB86, 000,000yuan for animal husbandry.

 Fengxian District

Fengxian District is located in the southern Shanghai, connecting Pudong district in the east, bordering Jinshan and Songjiang Districts, linking Hangzhou Bay in south and facing Minhang district separated by Huangpu in the north. The distance between Fengxian and Shanghai people's Square is 42 kilometers and it is 30 kilometers away from the Pudong International Airport. It enjoys a river line of 13.7 kilometers and a coastline of 31.6 kilometers, which fosters it an attractive coastal city. The land area of Fengxian district is 720.44 square kilometers with an area of 25794.5 hectares of arable land. Both water and ground transportation is very convenient, Punan canal crossing from the east to the west and Jinhui port running through the whole territory; highways forms a network featuring ten vertical transport lines and six horizontal transport lines road with a total length of 1297.1 kilometers; as for the transportation of crossing Huangpu river, there are Fengpu bridge, Min Pu Bridge and Xidu ferry & Wu Qiaolun ferry. The fiscal revenue in Fengxian District was RMB5, 200,000,000yuan, an average annual increase of 18.2%. The total output value of enterprises whose primary industrial incomes was more than RMB5,000,000yuan per year amounted RMB154,500,000,000yuan, an average annual increase of 18.5%. The region has advanced manufacturing and modern service sector. The income of farmers has increased steadily and the per capita disposable annual income of a rural household reached RMB14,900yuan, a year-on-year growth of 13% which WAS more than the growth rate of the disposable income of urban residents. As for population, the total registered household in Fengxian district is 202,200 with a total population of 525,300 people, 1775 more than the previous year. Among them, non-agricultural population was 350,600 people, accounting for 66.7% of the whole population, 5387 more than the previous year. The registered new-birth population was 3722 people, the birth rate being 7.10 per thousand; the death population 3921 people with the mortality rate

was 7.48 per thousand; based on these, the natural population growth rate was -0.38 per thousand. By the end of the year, the resident population was 1,129,900 people, an increase of 2.4% more than the previous year. Fengxian district includes 8 towns, 2 neighborhood communities, 178 village committees and 97 resident committees.

 Songjiang district

Songjiang District is located in the southwest Shanghai within the Yangtze River Delta (31 degrees in the north latitude, 121 degrees east longitude and 45 points) in the upper reaches of Huangpu River. In Songjiang district, there is a comprehensive traffic network, including Shanghai-Hangzhou High-speed Railway, Shanghai-Hangzhou Expressway (G60 Shanghai-Kunming expressway), Hu Qingping Expressway (G50 Shanghai-Chongqing expressway), Tongjiang-Sanya National Highway (G1501 Shanghai high-speed), Jiading-Jinshan Expressway (G15 Shenhai expressway) and Airport high-speed (S32 Shenjiahu highway). Songjiang is a core which not only connects the whole Yangtze River Delta but also radiates the whole waters of Yangtze River. Meanwhile, the smooth operation of the light rail No.9 has shortened the distance between Songjiang and the downtown area and it becomes a vital gateway of Shanghai to the outside in the southwest. Songjiang district has occupied an area 604.67 square kilometers, accounting for 9.5% of the total area of Shanghai and it features wide South and narrow North with 24km from the South to the North and a width of 25km from the South to the North, slightly trapezoidal pattern. Land area accounts for 87.91% while water area accounts for 12.09%. It includes 11 towns, 4 neighborhood communities and a park zone. In addition, there are 182 neighborhood committees and 87 village committees, which are boasting state-level export processing zones and municipal-level industrial zones. On top of that,

Songjiang is a development center which is confirmed by the Shanghai municipal strategy in ―Twelfth Five Year Plan‖, stipulating that development should transfer from downtowns to suburbs.

In 2012, the GDP of Songjiang district totaled RMB88,655,000,000yuan, among which, the added value of primary industry reached RMB84,100,0000 yuan, 1% increase compared with last year, the added value of the second industry accounted for RMB54,072,000,000yuan, a decrease of 10.5% and the added value of the tertiary industry realized RMB33,742,000,000yuan, an increase of 3.9%.

Songjiang University Park is located in the northwest corner of Songjiang district. It launched in 2001 and has been basically completed now, covering an area of nearly 7236mu. Songjiang boasts a national export processing zone - Shanghai Songjiang Export Processing Zone which started official operation on January 18, 2001. In Songjiang industrial zones, 450 foreign-funded enterprises have been introduced.

Over the past several years, Songjiang has actively promoted non-agricultural employment, implementing and improving the rural social security and promoting sustained rural income. In 2012, the per capita disposable income of rural households was RMB17, 769yuan, an increase of 11.1%. Given this, the income of rural households continues to grow step by step.

At the end of 2012, the total registered population was 588777 people, 1.7% more than the previous year and it included 494322 populations of non-agricultural, a growth of 2.8%. The number of permanent population was 1,698,400 people, 2.9% more than the previous year. Among them,

1,048,300the were foreign residents, an increase of 4.5% while the number of local registered population was 650100 people, a growth of 0.4%.

 Maqiao Town

The construction site is located in Maqiao town. It is located in the southwest of Minhang District on the northern bank of the upper reaches of the Huangpu River and is situated between Xinzhuang industrial zone, a Shanghai Municipal-level industrial zone, and Minhang Development Zone, a state-level economic and technological development zone Industrial zone. The total area is 49.5 square kilometers. It is facing Zhugang River in the east. The northern part of Dongchuan road is adjacent to Zhuanqiao town and southern part of Dongchuan road is connected with Jiangchuan streets; it extends to Xi Pujing in the west which is bordering Songjiang district; it is facing Fengxian district across the Huangpu River; it is next to Xinzhuang industrial zone and Songjiang district with facing Liu Leitang. It is 24-km away from the city center and 18-km away from Shanghai Hongqiao Airport with superior geographical position and convenient traffic. The permanent residential population was 85,000, of whom 35,000 people were registered and 50,000 were immigrants. Maqiao is boasting its superior geographical position, convenient transportation and a concentrated river network. The water conservation zone of the upper reaches of Huangpu driver which provides drinkable water to 70% of Shanghai population is located here.

 Zhuanghang town

Fengxian District Zhuanghang town, established by combination of Wuqiao town and original Zhuanghang town approved by the Shanghai Municipal government in November 2003, is located in the southern Shanghai, bordering Hangzhou Bay and is 50 kilometers away from the city center. The area of

Zhuanghang town is 69.4 square kilometers, governing 31 administrative villages and 3 residential areas with the total population of about 60,000 people. As for the transportation, traffic is highly developed, the A30 highway, Nanting road and Daye road crossing the town from the east to the west while Puwei road running through from the north to the south. Together with water channels featuring two vertical rivers and four horizontal rivers, traffic is radiating in all directions.

Zhuanghang town has advanced quickly by virtue of its excellent geographical location, convenient transportation and favorable investment environment for it local economy. In recent years, it has realized three times of industrial added value of RMB2,850,000,000yuan, industrial output value of RMB7,300,000,000yuan, agricultural output value of RMB500,000,000yuan, tax revenue of RMB980,000,000yuan and local fiscal revenue of RMB320,000,000yuan. On top of that, the agricultural demonstration effect has been highlighted and a base featuring the more than ten thousand mu of grain, pear, vegetable, aquatic product each has been formed.

With the help of the resident pilot station of Shanghai Academy of Agricultural Sciences, Zhuanghang town has vigorously promoted agricultural science and technology and has passed the national acceptance of rice demonstration area of more than ten thousands’ mu. For example, Fengye pears, Jixian shrimps have been special products for the Shanghai World Expo Park and the vegetable base has been connected with the large-scale supermarkets featuring agriculture products directly connected with supermarkets. Besides, a series of agricultural brands become famous, such as Fengye and Runzhuang brands. As far as the tourism is concerned, happy hour in rural area has become popular. A series of tourism festivals, including cauliflower festival, Fuyang festival, new rice tasting festival, folk culture festival,

have attracted 2,300,000 tourists, achieving nearly RMB85,000,000yuan on consumption of catering industry and sideline products, which, to some extent, has activated the sustainable and healthy development of the surrounding happy hour in rural families. As for both stabilization and improvement of the contracting relations of rural land, it is approved to release the rural land contracting licenses to 7,980 households, confirming ownership and rights accurately to households; rural land has been transferred in order, that is, an area of 31,580mu has entered circulation platform together which brought to 526 pieces of land-contracting agreements with 4190 agricultural households. The amount involved more than RMB20, 000,000yuan; on the other hand, a new round of comprehensive improvement of land in Xinye village has been promoted. Therefore, with the boost of technology, integrated development of the first and tertiary industries and land-transferring, farmers' incomes have been increased in a stable manner, rural per capita disposable income being RMB14787yuan, an increase of 11% year-on-year.

 Chedun town

Chedun town borders Minhang Economic and Technological Development Zone in the east, facing Shanghai native Huangpu River, connecting Songjiang West Industrial Zone and is adjacent to Shanghai-Hangzhou expressway in the north. The area of the town is 45.3 square kilometers, including 16 villages with registered population of 35,000 people and 80,000 people of migrant population. The local government in located in the east of Chedun town with a distance of 6 km away from Songjiang downtown area. The geographic location is richly endowed by nature with highly-developed water and land transportation network, including 320 National Road, Chexin road, Cheting road, Beisong road, Shanghai-Hangzhou high speed railway, Jinwei railway and etc. To be specific, 320 National Road and Beisong road are running across the hinterland

of Chedun town while Shanghai-Hangzhou high speed railway and Jinwei railway are paved from all directions, which make Chedun town a major transportation hub in Shanghai.

 Yexie town

Yexie town, located in the southeast of Songjiang district and on the southern bank of the Huangpu River, covers an area of 72.48 square kilometers and is one of the largest towns of Songjiang district. In year 2010, statistics are as follows: A. The added value of Yexie town was RMB2, 595,000,000yuan; B. The industrial output value was RMB4,301,000,000yuan; C. The fiscal revenue was RMB411,000,000yuan; D. The local fiscal revenue was RMB107,000,000yuan; E. The per capita disposable income of farmers was 9641yuan; The economy of Yexie town has maintained steady development. Piping project will affected Dongqin village of Yexie town, including Sun Jiali, Cao Jiali, Fan Jiadai, Peng Jiajiao and etc.

Puxiu village

It is located in the northeast end of Puxiu village and it includes 27 village groups with total 1193 households and 3134 populations. The total area is 4.68 square kilometers, including an area of 227.7hectares for arable land. The disposable income is RMB2,685,600yuan per year.

Pengdu village

Pengdu is an administrative village of Maqiao town, Minhang district. The village covers an area of 2.85 square kilometers with the total population of about 3000 people. Pengdu village, in the protection area of water source of the

upper reaches of Huangpu River, is located in the upper reaches of Huangpu River of Xie Jingwan and is one of the water-intake gates in Shanghai.

Lianzhuang village

Lianzhuang village is located in east of Minhang District, bordering Huangpu river in the south, connecting 320 National Road in the west and near Shanghai Film Park in the north. The administrative area is 1.7 square kilometers. As of 2012, it had included 12 village teams, 453 rural households of 1460 people. The fixed assets was worthy of RMB106, 140,000yuan.

Dongqin village

It is located in the far east of Yexie town with Daye highway running from the east to the west, bordering Fengxian district and being backed by Huangpu river and facing Minhang district crossing Huangpu River. The total population is 4401 people with 1365 households, which are composed of as follows: 3083 people have local permanent residence; 1200 people are receiving rural social insurance;243 people receiving township social insurance;221 people are entitled to have urban social insurance; 1318 people are migrant population; As for land, it constitutes:4426 mu of arable land;3055mu of the grains;178 mu of vegetable;900 mu of forest land;120 mu of fish pools; Land for Livestock and poultry (not available). In recent years, the disposable income of collective economy has been RMB2, 280,000yuan with per capita net income of farmers being RMB8,500yuan.

Xinye village

It is located in the northwest corner of the town and it includes 27 village groups with total 1261 households and 3273 populations. The total area is

5.31 square kilometers, including an area of 309.8 hectares for arable land. The disposable income was RMB3,557,700yuan of last year.

Yuli village

It is located in the northern town and it includes 27 village groups with total 1276 households and 3407 populations. The total area is 5.31 square kilometers, including an area of 255.1 hectares for arable land. The disposable income was RMB2,800,200yuan of last year.

1.5 Total investment and financing

Main project According to No.005 paper issued by Protection Bureau of Municipal Development and Reform Commission issued concerning suggestion letter on Minhang and Fengxian Raw Water Project on the upper reaches of Huangpu River on January.20th 2012, the total investment is estimated to be RMB762,000,000yuan. The project belongs to one of the Municipal infrastructure constructions and according to the coordination conducted by the Municipal government, the funds should be undertaken by the Minhang Municipality and Fengxian Municipality for RMB132,000,000yuan (RMB90,000,000yuan from Minhang and RMB42,000,000yuan from Fengxian) and the quota subsidy of RMB100,000,000yuan is financed by Shanghai Municipality. The remaining funds will be financed by legal person through a bank loan arrangement which includes two parts, that is, domestic supporting funds and loans from the World Bank (DFV) respectively. All the compensation for pre-land acquisition and resettlement was financed by domestic supporting fund.

1.6 Countermeasures to lessen side Impact by construction

In planning and design stage, the design unit and project owner have listened and collected many comments and suggestions from multiple parties in order to reduce the side-impact on local social and economic conditions.

In the RAP and the implementation phase, when the land acquisition and resettlement is unavoidable, the following counter-measures have been taken to reduce the side impact of construction on the local society:

A. to strengthen basic data collection and to analyze in-depth of local socio-economic status to develop a practical action plan for the displaced in order to avoid loss by the affected persons due to construction;

B. to encourage public participation and accept their supervision; during the process of stipulation of RAP, suggestions and recommendations from different parties, the affected enterprises and individuals in particular; have been adopted;

C. to strengthen internal and external monitoring and establish a smooth and efficient feedback mechanism and channel to shorten information processing cycle in order to guarantee that various problems occurred in the implementation process can be resolved timely;

Chapter 2 Project Impact

2.1 Project Investigation

In order to have a detailed survey on this project and abiding by the requirements put forward by the World Bank, from March to June. 2013, Shanghai Chengtou Raw Water Co.,Ltd organized an expert team to have made a detailed investigation on the affected within construction area. The investigation adopted an integrated method, one-by-one interview and case-by-case investigation in local governments and village committees. Besides, all-round background and situation of directly-affected and indirectly-affected populations have been investigated concerning the impact of land acquisition, resettlement schemes and etc. On top of that, the expert team took advices and suggestions from the affected concerning land acquisition and resettlement via sufficient consultations.

2.2 Affected scope

Land acquisition involved Pengdu village of Maqiao town in Minhang district and Puxiu village of Zhuanghang town in Fengxian district.

2.3 Direct impact

Main project

 Permanent land use for the adjustment pool of water intake of Fengxian district;  Land for piping-jack well reserved for water transportation piping, man holes for auxiliaries (valve wells, drainage wells as well as Exhaust valve well) ;  temporary land renting for piping construction; 21

Notes: Man-hole (A hole, usually with a cover, through which a person may enter a sewer, boiler, drain, or similar structure.) Land acquisition is as follows: （1）An area of 7,447sq.m was acquisitioned for the water-intake pump station(north) in Minhang district; （2）An area of 5790sq.m was acquisitioned for the water-intake pump station(west) in Fengxian district; Land-renting for the construction of jack-piping well and piping burial: 40,672sq.m, among which: Temporary land-renting: 40,634sq.m; Long-term land-renting: 38sq.m; Land-renting for setting up construction passages and bridges:29,834sq.m; Total area of land renting was 70,506sq.m, 105.76mu. The construction area includes Minhang and Fengxian districts. Table 2-1 Impact summary Category Quantity Notes Maqiao town(Minhang Towns 2 District), Zhuanghang town(Fengxian District) Pendu village(Maqiao,Minhan Villages 2 g), Xiupu village(Zhuanghang,Fe ngxian) A water garden and a air force Enterprises 2 communications station Qty. of land An adjustment 19.85 acquisition (mu) pond(direct impact) including: 19.85 Conservation forest Land Qty. of land Piping and well 105.76 acquisition/land renting(mu) location(direct impact) renting of Not included in collectively-owne Qty. of affected land 36 d land households acquisition(indirect impact) Resettlement of Qty. of affected 11 labor force in Pengdu population village (direct impact)

2.3.1 Land acquisition of collectively-owned land in rural area

Rural collectively-owned land will be acquisitioned with an area of 19.85 mu, including 11.17 mu of No.13 and No.14 team of Pengdu village and 8.68mu of Puxiu village, Zhuangxing town in Fengxian district. All the land belongs to the collectively ownership and is rated as municipal conservation forest now. An area of 105.76 (collectively-owned rural land) will be rented, including well sites, construction-use land. Besides, land renting should be conducted in terms of actual needs.

2.3.2 Affected population

According to surveys, there will be 11 people who needed resettlement due to acquisition of arable land. All these 11 people have registered in Pengdu district. However, since related procedures of land acquisition have not yet to be implemented, it was difficult to confirm the number of those who should be granted pension treatment. Fortunately, since the project owner has taken detailed consideration of the non-voluntary people for their rights, corresponding compensation standard is higher than existing state standard.

2.3.3 Affected auxiliary items on-and-under ground

The underground structures needed temporary removal, including the roads, greenings, trees, farm land, fish pools, distribution box overhead lines, underground pipelines, cement ditch, water-pumping stations passing through towns, villages and enterprises (water garden, air force station) due to pipeline construction.

2.4 Indirect impact

No demolition of residential housing was involved within the scope of this project. However, some indirect impacts still exist on 36 rural households in No.13 team in the northeast of the existing water-intake pump station of Pengdu village and 3 rural households in No.14 team in the northwest. For instance, some cracking of housing walls is likely to happen due to unavailability of correct construction measures. Nevertheless, the construction unit will not only make corresponding protection against construction accidents but also guarantee the safety passages.

2.5 Vulnerable group

After investigation, there is no direct impact on vulnerable group within land acquisition scope of associated project.

Chapter 3 Impact analysis on displaced persons

In order to have a detailed survey on this project and abiding by the requirements put forward by the World Bank, from March to June.2013, Shanghai Chengtou Raw Water Co.,Ltd. organized an expert team to have made an on-the-spot investigation on land acquisition and demolition and corresponding analysis on different impacts on the displaced persons.

3.1 Impact analysis on permanent land acquisition

Main Project

The area of permanent requisition of rural collectively-owned land will be 20.46 mu, of which 11.17mu belong to No.13 and No.14 teams of Pengdu village of Maqiao town in Minhang district. In addition, an area of 8.68mu within Puxiu village, Zhuanghang town of Fengxian district will be acquisitioned. The total acquisition area of land is 19.85mu. According to the on-the-spot investigation, this part of land is rural collectively-owned land and belongs to the existing municipal conservation forest.

This compensation is in line with the compensation standard of properties on the acquisitioned land issued by Shanghai Municipality. According to the ratio of the area of land acquisition and the number of labor force on acquisitioned land, 11 individuals have been affected by the land acquisition whose domicile should be transferred from agricultural residence to non-agricultural residence. Besides, the local government would implement social security for them and include them into the coverage of Shanghai Small Town Insurance.

3.2 Analysis on indirect impact in surrounding area

Although there is no housing demolition in the area of land acquisition, the rural residential bases where 36 households in No.13 team and 3 households in No.14 team are located is conservation forest, especially No.13 team. Minhang water plant has acquisitioned the land which is located in the south of No.13 team and 704 Institute has acquisitioned the north land of No.13 team, but corresponding demolition work has not yet to be started. However, now, if the water tank were going to be established, it would be likely that villagers of No.13 teams will express their willingness for relocation.

During the construction period, the construction unit will have temporary access road to surrounding residents in order not to affect the residents’ daily life. At the same time, protective measures have been taken to prevent housing cracking caused by the construction. As for those who are not yet to be relocated, the project owner will continue to work with the local government to provide more detailed promotion and explanation to them.

The construction unit will make compensation on the temporary removal of landscape, roads, pipelines and on–and-under underground facilities due to the construction and all of them will be restored upon the completion of the construction.

As for air force communications station, although there is no special impact on it, the project owner has still taken all possible measures to protect it in terms of corresponding requirements.

Chapter 4 Law and Policies Framework

The following laws and regulations will be followed for the main project .

4.1 Laws&Regulations for RAP

In order to have resettlement work done well, guaranteeing legitimate rights of the affected individuals and villagers and make it going smoothly, corresponding policies have been stipulated in terms of state law, regulations of land acquisition of Shanghai Municipality and OP4.12 for non-voluntary resettlement. The main legal framework is as follows:

Polices & Documents Effect Law of Land Administration of People’s Republic of ive Time28/08 China /2004

LImplementationand Administration stipulation Law of People’s of Law Republic of Land of 28/08 ChinaAdministration of People’s Republic of China

State /2004

Statelevel Decision on deepening reform and tightening land 21/10 administration by the State Council No. 28 paper /2004 issued by National Reform and Development Commission in 2004

Shanghai Implementation method of ―Land 17/11 Administration Law" /2000

Shanghai Financial compensation standards on 01/06

acquisitioning collectively-owned land /2007 level level

No.66 document of management methods of 18/10 employment and social security for farmers on the /2003 requisitioned and collective-owned land issued by Shanghai Municipal Government in November 2003 No.181 documents concerning carrying 10/12 employment and social security management method /2003 for farmers on acquisitioned collectively-owned land,

issued by People’s Government of Qingpu district in ShanghaiMunicipality NovemberNo.551 2003 paper concerning implementation of 01/09 adjusting compensation standard on acquisitioned land /2008 issued by Shanghai Implementation method of ―Land Administration Law" in 2008 No.009 notification of adjusting compensation on 01/08 young crops issued by Shanghai Pricing in 2006 /2006

Business guideline of OP4.12 for non- voluntary 01/01

the the resettlement by the World Bank /2002

Bank World

4.2 Laws&policies concerning RAP

4.2.1 Authority and limitation of land acquisition and nature of compensation

 Property of land acquisition and nature of compensation Law of Land Administration of People’s Republic of China stipulates: Any one, no matter individual or unit who is willing to use land, should apply for state-owned land in terms of laws. No.44 If the acquisitioned land is agriculture-use for construction, related procedures must be made to transfer agriculture-use to construction-use. Any project, including road, piping project and large-scale infrastructure construction approved by provincial, autonomous regional and municipal government or construction approved by the State Council must be submitted to the State Council for transferring from agriculture-use to construction-use. In cities, towns and villages where the general land utilization planning is confirmed, the transfer procedures (changing from agriculture-use to construction-use) will be approved by authorities who have approved the general land utilization planning in terms of annual planning of land utilization phase by phase. Within approved scope where the land is transferring agriculture-use to other use, the detailed construction projects can be approved by people’s government at Municipal or country’s level.

No. 45 If the acquisitioned land belongs to the following nature, it will be approved by the State Council 1) basic farmland 2) beside basic farmland, there are more than 35 hectares of arable land 3) more than 70 hectares of other-kind land…

No.58 the following cases can retrieve the usage right of state-owned land after approval from the authorized people’s government which first approved

land use submitted by the land administration department of people’s government:

 land used for public interests

 Renovation on old cities in terms of urban planning and adjustment of land use.

No.47 The compensation should be paid in terms of the original usage of acquisitioned land…

Implementation method of Land Administration Law of People’s Republic of China in Shanghai stipulates:

No.24 Land occupation for construction should be in line with urban planning, and should use existing construction land confirmed by the general planning of land-use. If it is necessary to occupy the agricultural land, the following requirements should be met:

(a) It must be in the central area, towns and villages which are confirmed in the general planning of land-use, but energy, transportation, water conservancy and other infrastructure construction projects and military facilities are excluded.

(b) It should have rights to transform use of agriculture land within annual land-use planning

No.25: If agricultural land needs to be transformed to construction land, approval processes should be handled in accordance with the following provisions:

of supplementary arable land. These schemes should be submitted to the State Council batch by batch.

(B) It should be within the scope of construction land in towns and villages and land administration departments at Municipal level and district level should propose transfer scheme from agriculture use to construction and scheme of supplementary arable land. These schemes should be submitted to People’s Government of Shanghai Municipality batch by batch. Among them, if approval authority of land acquisition is beyond the People’s Government of Shanghai Municipality, it should be submitted to the State Council for approval.

Non-voluntary Resettlement in OP4.12 by the World Bank:

Standard of compensation qualification:

Non-voluntary resettlement can be divided into 3 categories:

A.person who has legal property right of land (including consistent and traditional right which is certified by state law);

B.before census, a person has no official legal right of acquisitioned land, but he/she has some requirements which has been approved by state laws or acknowledged by resettlement plan;

C.others who has no acknowledged legal right or requirements from related land;

 Resettlement Authority of Labor Force Management methods of employment and social security for farmers on rural collectively-owned land, Shanghai, stipulate:

No.2 Application Scope

Employment and social security for farmers who have registered

agricultural domicile within land of Shanghai Municipality ( hereinafter referred to as ―displaced persons‖) can be applied to this method.

No.3 (Administrative Department)

Shanghai Labor and Social Security Bureau (hereinafter referred to as the "Shanghai Labor Security Bureau") is the administrative department for the displaced persons concerning their employment and security. Municipal agriculture department, housing department, public security departments, health care department, civil affairs department, planning and other administrative departments are coordinate the implementation of this method in accordance with their respective duties. The people’s government had done the management work of employment and security for the displaced persons within their own district.

No.4 (country, town’s government and neighborhood office)

The People’s government of countries, towns and neighborhood offices should provide total number of the displaced persons who need employment and security, including their genders, ages, and etc.

4.2.2 Procedures of Laws&Adminstration

Law of Land Administration of People’s Republic of China:

No.46 If land is acquisitioned by the state, local people’s government above country’s level will make it publicized and organize implementation work after legal procedures and approval. The property owner and user of the acquisitioned land should take property certificate to local government to make compensation registration in local land administration department of people’s government.

4.2.3 Compensation standard

 Compensation on Acquisitioned land 32

Law of Land Administration of People’s Republic of China stipulates:

No.47 If land is acquisitioned, compensation will be made in term of its original use. Compensation on arable land includes compensation on land, resettlement subsidy and auxiliary items on the ground and young crops. The compensation for arable land is 6—10 times as much as average annual output of the past three years. The resettlement subsidy for requisitioned cultivated land is calculated in line with the agricultural populations who need resettlement. The number of agricultural population who need resettlement equals the number of requisitioned-arable land divided by the number of per capita possession of cultivated land that belongs to requisitioned enterprises. Resettlement subsidy for every agricultural population who needs resettlement is 4—6 times as much as average annual output of the past three years. However, maximum resettlement subsidy for every area (hectare) of requisitioned arable land cannot be 15 times as much as average annual output of last three years. If the paid compensation on land acquisition and resettlement subsidy still cannot keep farmers in their former living standard, their resettlement subsidy could be increased by approval of people’ governments at different provinces, autonomous regions and Municipalities. However, the sum of compensation on land acquisition and resettlement subsidy could not exceed 30 times as much as average annual output of last three years. No.54 The construction unit could get state-owned land by means of payment of physical compensation; and however, the construction unit also could get the land by means of state allocation after getting approval from People’s governments (above country’s level):

1. for state office and military bases

2. for urban infrastructure and public utilities

3. energy, transportation and hydraulic industry greatly supported by the state

4. land of other-use stipulated by law and administrative regulations

No.57 If construction and geographic investigation needs temporarily renting state-owned land or rural collectively-owned land, it should be approved by land administration department of people’s government (above country level). If the temporary-use land is in urban planning district, it should be applied to administrative department of urban planning for approval before submission to the government. According to the property right of land, the land-user should sign contract for temporary use with local land administration department, rural collectively-owned economic organization, or village committee and pay compensation on temporary use in terms of contract.

The temporary land user should use the land in accordance with the temporary use agreed in the contract, and should not build permanent structures.

Generally speaking, temporary use of land should not exceed two years.

No.32 If the rural collective land is acquisitioned, the following standard for land acquisition should be obeyed:

1. To pay compensation on land to village committees or village teams

2. To pay related compensation to owners of auxiliary items and young crops on the acquisitioned land

3. To pay resettlement subsidy to villagers on acquisitioned land

People’s government at district or country’s level, together with related departments, including land, labor and social security departments, should strengthen the monitoring and supervision of payment of land acquisition and its usage.

Implementation method of Land Administration Law of People’s Republic of China in Shanghai stipulates:

No.32 If the rural collective land is acquisitioned, the following standard for land acquisition should be obeyed:

 To pay compensation on land to village committees or village teams

 To pay related compensation to owners of auxiliary items and young crops on the acquisitioned land

 To pay resettlement subsidy to villagers on acquisitioned land

The compensation on land acquisition mentioned in last article should be paid in terms of standard, time limit and method stipulated in the resettlement scheme. No party, including any enterprise and individual, is allowed to embezzle, keep or convert this compensation fee. People’s government at district or country’s level, together with related departments, including land, labor and social security departments, should strengthen the monitoring and supervision of payment of land acquisition and its usage.

Besides the stipulation mentioned in 1st article of No.32, if arable land is acquisitioned, the construction unit and individual should put forward reclamation scheme of arable land or pay reclamation fee in terms of No.16 article; if vegetable land is acquisitioned, the construction unit and individual should pay for development & construction fund of vegetable.

OP4.12 for non-voluntary resettlement, issued by the World Bank

As far as the displaced persons who used to make a living on land are concerned, the priority is to have a resettlement strategy featuring land-dependence. This strategy stipulates that the resettlement for the displaced persons should be on the public land or on the private land which is acquisitioned by individuals. No matter when the land is used for acquisition, sufficient information should be given, including production potentials, geographic advantages and other comprehensive factors which mu be equal to the advantages of original land. If the displaced person hasn’t taken getting land as his/her priority and the provided land will cause side impact on sustainable development of parks and protection zone, or cannot get enough land in terms of reasonable price, the resettlement plan should provide employment opportunities or chances to create job by himself in addition to currency compensation on land and other properties. If it is short of sufficient land, it should be written down into document in terms of requirements by World Bank.

OP4.12 for non-voluntary resettlement issued by the World Bank

In order to ensure that, restriction of using resources and assets will not occur until resettlements are implemented before removal, and resettlement activities should be linked with cycles of investments of the project. As far as the impact mentioned in No.3 (a) is concerned, the measure includes compensation and assistances before removal, preparation and provision of resettlement places with sufficient facilities if necessary. It should be pointed out that acquisition of land and related assets cannot be started until completion of compensation payment and if necessary, it cannot be started until the displaced persons get resettlement place and receive removal subsidies. As far as the impact mentioned in No.3 (b) is concerned, measures should be a part of the project which should be implemented in term of action plan.

4.2.4 Legal responsibility of Institutions

Land Administration Law of People’s Republic of China:

No. 66 Land administrative department of People’s governments (above country’s level) is supervising and checking illegal behavior, which violates land administration discipline and rules.

No.70 Once administrative department of People’s governments( above country’s level) find illegal activities of civil servants, administrative disciplinary measure should be given and handled in terms of laws; if it exceed one’s power, parties concerned should put forward administrative disciplinary measure to administrative supervision office of people’s government of the same level or above.

No.79 Any party who embezzles and converts compensation on acquisitioned land or other related compensation which can be criminal, it will be People’s governments (above country’s level)

4.3 Resettlement Policies

Resettlement policies of this project have been stipulated in terms of policies of PRC, Shanghai Municipal government, people’s government of Qingpu district and the World Bank.

4.3.1 Resettlement policies concerning permanently acquisitioning collectively-owned land

The collectively-owned land, located in Jinyun village, Xu jing Town, Qingpu district, is owned by village which has been contracted to farmers. According to the stipulations of Implementation method of Land Administration Law of People’s Republic of China in Shanghai, compensation on land

acquisition and resettlement subsidies should be paid to collective village and should pay compensation on young crops and facilities on-and-under ground to their owners.

Compensation policies concerning land acquisition

(1) Compensation on acquisitioning collectively-owned land should be paid in terms of local standard of district level and should be paid by land user to rural collectively-owned economic organization of the village;

(2) Land compensation should be used for the welfare of all the villagers, and its usage should be approved by 2 / 3 villagers’ representatives.

(3) Upon consultation between collective village and land renter, compensation on young crops and related planting facilities should be paid and land renting fee of that year should be returned to renter.

 Compensation policies concerning allocation of labor force According to No.66 document of management methods of employment and social security for farmers on the requisitioned and collective-owned land issued by Shanghai Municipal Government in November 2003 and No.181 documents concerning carrying employment and social security management methods for farmers on acquisitioned collectively-owned land issued by People’s Government of Qingpu district in November 2003, if land acquisition is needed or people on this land needs to transfer their domicile from agricultural household to non-agricultural household, it is a priority to handle social security for these farmers who have left their land and then the procedures of disposal of land transformation of domicile from agricultural household to non-agricultural household in the principles of integrating implementation of social security, disposal of land and domicile transformation. In the principles of security implementation and employment of market-oriented, the compensation on acquisitioned land paid by acquisitioner

should be used as resettlement subsidy for the displaced at first, which will be used to implement social security.

The labor force on the acquisitioned land will realize employment according to employment of market-oriented.

4.3.2 Compensation policies concerning auxiliaries items on-and-under ground

This compensation will be paid to the property owner who will then make rehabilitation and reconstruction work for these auxiliaries.

Considering local condition and requirements put forward by the World Bank, the compensation standard has been stipulated in terms of the policies above. If there is any dispute, it can be resolved by mutual consultations.

Chapter 5 Compensation Standard

The following compensation standard should be executed for the main project.

According to the provisions of the legal framework and actual situation of the affected area, compensation on various targets has been stipulated as follows:

In order to meet the growing demand for water supply, according to corresponding requirements and orders Shanghai Chengtou Raw Water Co.,Ltd and People’s government of affected districts, in the principle of mutual support and active cooperation has signed contracted agreements on land acquisition, demolition and resettlement for elders through friendly consultations in term of Law of Land Administration of People’s Republic of China, Shanghai Implementation method of ―Land Administration Law", combined with ―Compensation standard of arable land young crops at districts and countries’ level ― and ―Financial compensation standards on acquisitioning collectively-owned land, Shanghai". The detailed information can be seen as follows:

Total compensation on land acquisition: RMB49, 855,900yuan

A. Compensation on land acquisition: RMB600, 000yuan/mu,

RMB11, 095,000yuan by 19.85mu in totality

B. Compensation on removal of landscape: RMB120yuan/sq.m;

RMB1, 109,500yuan by 9246/sq.m in totality

C. Compensation on renting land for piping and construction site:

RMB15, 000yuan/mu, RMB1,586,400yuan by about 105.76mu in totality; final figures will be adjusted in terms of actual conditions;

D. Compensation on removal of pipes: RMB17, 030,000yuan (estimation);

Protection of air force communications facilities: RMB2, 000,000yuan (estimation)

Final figures will be adjusted in terms of actual conditions.

Since demolition of housing or demolition is not involved, demolition expense should not be taken into consideration.

All expenses mentioned above include:

 compulsory fees (referring to tax of arable land, land reclamation fee, usage of newly-added construction) have been stipulated by our government;

 Compensation fee on land acquisition: compensation on land, young crops, collectively-owned assets, relocation and resettlement for farmers, social security of labor force, removal of auxiliary items on-and-under ground, removal of public facilities, such as water supply, electricity, communications, drainage and others; after the construction unit deducts the compulsory fees, it will contracted to land owner.

According to laws, compensation should be paid on land, resettlement of labor force, young crops, land occupation and other compulsory fee. Compensation on land acquisition per mu in Qingpu district is about 200,000yuan in terms of state laws and regulations. Given this, the compensation for this project is much higher than national standards.

The state compensation standard is as follows:

Table 5-1 Tax standard Compensation No. Item Basis Receiver standard No.36 issued by Shanghai People’s Occu government pation tax Shanghai Finance 1 6667yuan/mu No.40 (1988) of arable Bureau issued by land Shanghai financial and agricultural bureau No.053(2001) issued by Shanghai Recla Shanghai Municipal pricing and commercial mation of 25,000yuan/ Housing and 2 bureau arable mu Land Resources No.122 issued by land Bureau Shanghai financial and budget bureau Contr acted land Calculate Shanghai Municipal acquisition by=4% * total Housing and 3 No.597(92)pricing and cost of land Land Resources managem acquisition Bureau ent Shanghai Municipal Housing and Land Resources Bureau (Sept.1, 2008)

Table 5.2 Compensation standard on land acquisition, Shanghai (All used to be District/c villages and Construction land or Agricultural land ounty towns growing Unexploited land vegetable) Yuan/ Yuan/ Yuan/ mu Yuan/sq.m mu sq.m Agricultural land, (villages and Construction land, towns) Unexploited land

Minhang Yuan/mu Yuan/sq.m district Xinzhuang 33,000 49.5 town Zhuanqiao 29,800 44.7 town

(All used to be District/c villages and Construction land or Agricultural land ounty towns growing Unexploited land vegetable) Wujing town

Pujiang town

Maqiao town (All used to be villages and towns growing Construction land vegetable) Unexploited land Agricultural land

Yuan/mu Yuan/sq.m Yuan/mu Yuan/sq.m Hongqiao 33,0 43,20 49.5 64.8 town 00 0 33,0 43,20 Meilong town 49.5 64.8 00 0 33,0 43,20 Qibao town 49.5 64.8 00 0 Huacao 33,0 40,80 town(including 49.5 61.2 00 0 Longbai street) Agricultural land, (villages and Construction land, towns) Unexploited land

Yuan/mu Yuan/sq.m industrial park in the east 30,800 46.2 Fangsong street Songjiang Zhongshan district street Yongfeng street Sheshan 29,000 43.5 Resort industrial park in the west Dongjing town

(All used to be District/c villages and Construction land or Agricultural land ounty towns growing Unexploited land vegetable) Chedun town Shi Hudang town Sheshan town 26,100 39.2 Technological science park Yexie town

Xinbang town Wuku Park 23,100 34.7 Zone Maogang town (All used to be villages and towns growing Construction land vegetable) Unexploited land Agricultural land Yuan/ Yuan/ Yuan/ Yuan/ mu sq.m mu sq.m 30,8 33,60 Jiuting town 46.2 50.4 00 0 29,0 30,00 Sijing town 43.5 45.0 00 0 30,8 30,80 Xinqiao town 46.2 46.2 00 0 (villages and Agricultural land, Construction land, towns) Unexploited land Yuan/mu Yuan/sq.m Nanqiao town 26,100 39.2 Zhuanghang Fengxian town district Qingcun town

Jinhui town 24,000 36.0

Tuolin town

Situan town

(All used to be District/c villages and Construction land or Agricultural land ounty towns growing Unexploited land vegetable) Fengcheng town (All used to be villages and towns growing Construction land vegetable) Unexploited land Agricultural land Yuan/ Yuan/ Yuan/ Yuan/ mu sq.m mu sq.m Initially called 33,60 Qingcun 24,000 36.0 50.4 0 village(integrated)

Table 5-3: Compensation standard on young crops in districts

Grain and cotton land Vegetable land District/County Yuan/mu Yuan/sq.m Yuan/mu Yuan/sq.m Minhang district(Huajing of Xuhui district & Xinjing of Changning) 1570 2.35 3260 4.89 Jiading district (Changzheng and Taopu of Putuo district) 1570 2.35 2900 4.35 Baoshan district (Pengpu of Zhabei district) 1570 2.35 2900 4.35

Pudong district 1570 2.35 2900 4.35

Nanhui district 1570 2.35 2900 4.35

Fengxian district 1570 2.35 2900 4.35

Songjiang district 1570 2.35 2900 4.35

Qingpu district 1570 2.35 2900 4.35

Jinshan district 1570 2.35 2900 4.35

Chongming district 1570 2.35 2750 4.12

Chapter 6 Restoration Scheme of Production and Daily Life

The project follows the following schemes:

6.1 Aim of RAP

In order to guarantee that each displaced households and enterprise can get compensation on all losses, the construction unit will make reasonable arrangement and sound restoration to let them share benefits of the project. As far is the temporary difficult occurred after land acquisition is concerned, the construction unit will provide timely and effective compensation and help for the affected in order to increase their income level, living standard for affected individuals and capacity of production of affected enterprises and or at least, to restore their living standard, incomes standard, capacity of production to its relatively higher level. The restoration scheme of production and daily life of affected units and individuals has been made in terms of impact analysis (seen in Chapter 3).

6.2 RAP principles

6.2.1 Equivalent compensation principle

In order to guarantee that the living standard will not be decreased due to land acquisition, the equivalent compensation principles will be used. It includes two aspects: 1. replacement cost of assets 2. Reciprocal compensation will be used for other losses, that is, compensation will be the same as loss.

1. When agricultural land has been acquisitioned, all losses will be reasonably compensated to collective entity. The usage for this compensation 46

is for the collective economy and it cannot be used for other purposes.

2. According to No.66 document of management methods of employment and social security for farmers on the requisitioned and collective-owned land issued by Shanghai Municipal Government in November 2003, if land acquisition is needed or people on this land needs to transfer their domicile from agricultural household to non-agricultural household, it is a priority to handle social security for these farmers who have left their land and then the procedures of disposal of land transformation of domicile from agricultural household to non-agricultural household in the principles of integrating implementation of social security, disposal of land and domicile transformation. In the principles of security implementation and employment of market-oriented, the compensation on acquisitioned land paid by acquisitioner should be used as resettlement subsidy for the displaced at first, which will be used to implement social security. Those whose land has been acquisitioned should realize their employments by means of market-orientation.

3. Public utilities will be restored on time, at least, not lower than its original level, in order to keep normal life for those who were not displaced.

4. As far as those who were temporarily affected or those who don’t need to remove are concerned, equivalent compensation will be also paid to them.

6.2.2 Principles of setting priority group

1. This project will focus on vulnerable groups (elderly living without adult children, widows, single parent families, the disabled, the chronically ill and poor families). On removal, the vulnerable groups will be given preferential policies and reasonable cares, such as housing, employment and other aspects. After removal, the regular return visits will be continually carried on

for these vulnerable groups and assistance should be given to those who have special difficulties till their cases are transferred to local civil affairs departments.

2. This project will plan a demolition with development to mobilize the local government to make employment training for the displaced persons and create jobs as many as possible in order to make the displaced persons adapt to new environment in a short-term and become self-reliance. It is expected that the responsibility of resettlement can be switched from the resettlement institution to the displaced persons themselves.

3. the project will seek to maximize the cost-effectiveness of the resettlement, trying to improve the capacity of resettlement institution, standardize working behavior of resettlement, and establish a sound internal control mechanism to prevent the waste of funds, retention, fraud and corruption in order to have a good use of resettlement funds as much as possible to achieve the best resettlement results.

6.3 Compensation and resettlement on permanent land use

The resettlement scheme on affected enterprises and individuals has been made in terms of impact analysis on permanent land acquisition and sufficient consultations as follows:

 Collectively-owned village

Rural collectively-owned economic organization will receive compensation in term of standards and land compensation must be used for public welfare only and its usage must be approved by 2 / 3 villagers’ representatives.

 Resettlement of labor force

According to the local ratio of farmland to labor force, it will cause 11 agricultural workers to transform their domicile from agricultural household to

non-agricultural household. The resettlement on labor force will be used by the People’s government of town to pay their one-off endowment insurance of small town for consecutive 15 year. These persons are involved in Shanghai small town insurance.

According to the principle of employment of market-oriented, labor force on the acquisitioned land will be included in the urban employment service scope; they can enjoy public employment service at different levels where their domicile are.

According to the on-the-spot investigation, the acquisitioned land belonged to Municipal conservation forest and all the agricultural workers have been transformed their domicile from agricultural household to non-agricultural household and their social security has been realized. Given this, no side-impact was made on their employment.

There are still 21 individuals left in Pengdu village, including 11 ones in No.13 team and 10 ones in No.14 team. Almost of them are newly-added agricultural workers who were under 16 years old when land acquisition of the conservation forest at Municipal level was conducted. According to the existing situation, 11 individuals need resettlement (the number will be confirmed in terms of actual figures in land acquisition process.) The local government is providing professional introduction, guideline and other kind of employment service; and they can take part in the job training courses subsidized by our government. Once the labor force on the acquisitioned land wants to create job on his own, he can enjoy many supporting policies, including instruction of starting business, job-creation training, business warrants or interests and non-normal employment. Once the labor forces are recognized as exceptional poverty by the labor security department of district and country, the public employment service organizations at all levels should give them

employment assistance to help them realize employment in terms of related stipulations.

The retirees will receive pension on a monthly basis in terms of state regulations.

6.4 Affected infrastructures and auxiliaries on-and-under ground

As far as the affected infrastructures and auxiliaries on-and-under-ground are concerned, compensation on these will be given to property owner by the project owner who will later make restoration.

Restoration measures of demolished facilities must be pre-planned with arrangements, and in practice, it must be safe, efficient, timely and accurate in order to minimize the adverse impact on the surrounding people in terms of local conditions, site conditions.

As far as the Municipal public facilities are concerned, the demolition company will conduct demolition work in terms of the construction drawings. However, endeavors should be made on guarantee the quantity of demolition in the principles of not affecting construction progress. As far as the removal of piping system is concerned, the demolition company will first make re-construction (or removal) and then make demolition on the precondition that it will affect people’s normal living along the piping lines( including persons who don’t need to be displaced).

Chapter 7 Public Participation

7.1 Public participation and Strategy

According to the policies and regulations concerning land acquisition, demolition and resettlement, in order to safeguard legal rights and interests of displaced households and enterprises to reduce disagreements and disputes, the construction unit has compiled this resettlement plan of displaced persons to carry out related resettlement policies and detailed ordinances stipulated by Municipal, state or the World Bank to make the preliminarily organizational work well enough for the sake of realization of the aims of resettlement plan. The construction unit attaches great importance to public participation and consultation within the whole process, from stipulation of policies to implementation of plan.

At the preparation stage for feasibility, Shanghai Chengtou Raw Water Co.,Ltd has taken useful suggestions and opinions for several times from local governments, affected individuals and enterprises. Suggestions and opinions have been taken full consideration when design and RAP were compiled.

RAP will be filed in the on-site office of project owner to let the affected and non-government organizations take it for reference. At the same time, the contents of RAP will be publicized by means of newspaper, publication on mass media, radio station and TV station. The construction unit has compiled main contents of RAP into information booklets of displaced persons and will send them out to the displaced after project assessment but before removal. The information booklet includes general introduction of project and related project, construction impact of project, compensation policies, implementation institutions, appealing channels and etc.

7.2 Process of public participation and planning of policies publication

In order to handle with problems and requirements concerning land acquisition and resettlement properly and timely, it is needed to have further consultation with the affected to inquire their ideas and suggestions so that all problems can be resolved before implementation of RAP. Resettlement institution will arrange public participation meetings in a reasonable manner in order to provide every affected individual and enterprise with opportunity to have demolition consultations concerning compensation agreement before signing compensation agreement by two parties.

Table 7-1 Process of public participation by the affected Time Locati Participants Contents Notes on Project Representatives from Communications Fengxian introduction; Jun. the project owner and meeting before Water Listening to the 3rd, 2014 resettlement offices of commencement of the Authority suggestions of the towns project local government; Project Representatives from Communications Minhang introduction; Jun. the project owner and meeting before Water Listening to the 3rd, 2014 resettlement offices of commencement of the Authority suggestions of the towns project local government;

Table 2

Language in use & Publication Documents Publication Date Publication Address Method notification of RAP pre-evaluation by the villager’ committees World Bank Resettlement After verification Chinese (sent to the Communities or publication or propaganda and approval by the affected directly) villager’ committees booklet World Bank After verification RAP report Chinese and English and approval by the libraries World Bank

Table 3

Chapter 8 Appealing Process

8.1 Possible complaints and solutions

From the perspective of impact areas, the resettlement scheme has a general planning. During the implementation process, since changes and deviations are sometimes unavoidable in the process of actual implementation, it is very likely to cause complaints. According to experience from numerous finished and ongoing constructions, complaints can be divided into the following categories:

(1) Physical indicators problem

Since there are deviations and errors in statistics and calculation during the process of investigations, it is likely that the phenomenon, such as missing items, missing or wrong registration of physical indicators kept by the demolition company which will affect the interests of the displaced persons. If such problems occur, affected individual or enterprise can make report in written or orally to government at country or town’s level or housing and real estate department of the district; after the report is sorted, it will be reported to the project owner and monitoring unit by written who will lead professionals to verify the problems on site and sign the suggestions on solutions. As far as missing items and missing or wrong registration are concerned, they will be registered and compensated in terms of standards.

(2) Compensation standard problem

Since a small number of displaced persons don’t understand the national policies and regulations concerning resettlement and have some doubts concerning compensation standard, they are complaining about the low standard of compensation which can not satisfy their requirements for new resettlement

and production. Before and during the implementation of the resettlement, designers should, together with people’s governments at all levels and resettlement office, make on-site explanation, promoting national resettlement policies and regulations document, explaining the compensation calculation process in order to let them understand that the compensation standard is based on national documentations of the relevant laws and regulations which can ensure that the displaced can be satisfied with removal and resettlement so that they can improve their living standard and eliminate doubts.

(3) Capital problem

During the implementation process, it is likely that funds cannot be available which will affect resettlement for housing and production and therefore affecting their production and living. Given this, it requires management personnel to control work on capital, progress and quality in order to guarantee that the resettlement fund can only be used in resettlement work, coordinating and urging financial department to allocate funds in terms of actual construction progress to ensure the smooth progress of construction in accordance with time schedule.

8.2 Appeal’s channel and procedures

According the rights and obligations entitled by the constitutions and laws, the legitimate rights and interests of displaced persons can be fully protected without infringement. When their legal rights are infringed, they have the right to appeal in terms of the law until their rights and interests are fully acquired.

(1) Channels

——Petition offices are available in every county and city (district) where displaced persons are living; petition offices are handling with general appeals which are submitted by displaced persons.

------Established local resettlement management institutions from the 55

provinces, Municipalities to the county level, have the responsibilities of supervising resettlement work in terms of laws and regulations and they can accept appeals concerning resettlement.

——Independent monitoring and evaluation institution has the responsibility to safeguard the legitimate rights and interests of the displaced and to conduct their resettlement work in terms of related national laws and regulations; it can also accept appeals when the legitimate rights and interests of the displaced is infringed;

——Administrative supervision, auditing, discipline inspection, judiciary, prosecution and other legal departments at national, provincial, Municipal and county levels are equipped and they can accept appeals and complaints concerning disciplinary cases. The appeal system throughout the whole project can be seen in the Diagram 8.1.

(2) Steps for appeals:

If he/she are dissatisfied with the resettlement, he/she can reflect it to the village committee; village committee or the displaced person can directly turn to local resettlement office to have negotiation or appeal to superior resettlement office in written or by verbal; after superior resettlement office receives the appeal, the case will be recorded and resolved by superior resettlement office, village committee and local resettlement office within 10 days. If the negotiation cannot solve conflicts or disputes, the village committee can appeal to corresponding administrative authorities who have the jurisdiction rights (such as project office, resettlement management office, monitoring institution, civil petition office, administrative supervision department, discipline department, prosecution department and other departments) in terms of "Administrative Procedure Law of PRC"; Resettlement office is responsible for filing all problems of appeals and their resolutions for archive.

All institutions will accept complaints and appeals from the affected population, from which the reasonable costs will be paid in the description of unforeseen expense by the project owner. Please see the Diagram 8-1 Appealing channel for the affected.

The appeals remain in effect throughout the whole construction period in order to ensure that affected persons can use them to address corresponding problem.

These appeal channels will be publicized through the public participation process by mobilization meeting and the resettlement information booklets will make it known to displaced persons that they have the right to appeal. At the same time, the process of complaints and appeals process will be published through media in the affected population.

Appeal steps:

Phase I:

If the affected has suffered any loss or damage made by RAP, he/she can put forward oral or written appeals to the following institutions:

 Demoliton and resettlement office

 resettlement offices government of local government at town level and district level;

If oral appeals are put forward, the receipt institution should make it in written and give reply within 15 days.

Phase II: If the declarant is not convinced by the results he/she receives, he/she can put forward appeals to resettlement offices of local government at town level and district level; meanwhile, if he/she has some disputes concerning the results of

housing assessment of its pricing, he/she can apply to experts commission of demolition housing valuation of Shanghai Real Estate Appraisers Association committee for verification.

Phase III:

If he/she is still not convinced by decision made by resettlement offices of local government at town level and district level;, he/she can apply or his/her written or his/her appeal didn’t receive any reply within 15 days, he/she can apply to corresponding department of our Municipal government for compensation. This appeal should be submitted within three month since first time he/she makes the appeal; corresponding department of our Municipal government will give a decision to declarant within one month.

Phase IV:

If he/she is still not convinced by this decision, he /she can appeal to local people’s court in terms of state civil (administrative) lawsuit law within 15 days.

Diagram 8-1 Appealing channel for the affected Diagram

Chapter 9 Institutions

9.1 Responsible institutions

To ensure that RAP can achieve the desired effect, it is necessary to set a top-to-bottom organizational institution to plan, coordinate and monitor all resettlement activities during implementation period. The following institutions are responsible for planning, management, construction and monitoring during implementation process:

 Shanghai Municipal Development and Reform Committee

 Shanghai Municipal Construction Committee

 Shanghai Municipal Communications Committee

 Shanghai Urban Planning Administration Bureau

 Shanghai Municipal Investment (Group) Corporation‖，(referred to as

SMI).

 Shanghai Chengtou Raw Water Co.,Ltd

 Local governments of Minhang district, Fengxian district and

Songjiang district at town level

 Shanghai Municipal Project Design Institute

 Independent monitoring institution

Shanghai Municipal Development and Reform Committee and Shanghai

Municipal Construction and Communications Committee:

Responsible for submission of project proposals&replies as well as verificiation&approval;

SMI:

Responsible for administrative coordination for project progress and financing for special capital of water affair; besides, it is a superior body for receiving appeals from the displaced;

Shanghai Chengtou Raw Water Co.,Ltd:

Responsible for coordination of construction work, leadership of land acquisition, demolition and resettlement activities, organization and coordination, policy-making, verification and approval of resettlement plan, communications and contact with the World Bank.

 Shanghai Chengtou Raw Water Co.,Ltd: has entrusted Shanghai Municipal

Project Design Institute to determine the scope of construction

 to apply Permission License of Planning-use Land from Shanghai Urban

Planning Administration Bureau

 to conduct census on land acquisition and demolition from affected households and enterprises; compile RAP

 to sign contracted agreement concerning land acquisition with the enterprise who is in charge of demolition and resettlement work in certain districts

 To accept appeals from the displaced individuals and enterprises

Shanghai Urban Planning Administration Bureau:

Responsible for verifying the approval documents of application of

Permission License of Planning-use Land and preliminary design put forward by Shanghai Chengtou Raw Water Co.,Ltd in terms of the state and Municipal regulations and policies; to confirm the scope of land acquisition; to issue

Permission License of Planning-use Land.

Shanghai Housing and Land Resources Administration Bureau:

Responsible for issue Permission License of construction-use land for project to the construction unit; to supervise the implementation progress of land acquisition and resettlement which is responsible by the demolition company;

Local governments of Minhang district, Fengxian district and Songjiang district at town level:

a key player who are responsible for land acquisition and resettlement work; to measure and verify the area of acquisitioned land, property and affected population; to check the land-use status and make summary of land acquisition and resettlement after the land acquisition is finished;

Shanghai Municipal Project Design Institute:

Responsible for determining the project design and the scope of land acquisition;

Independent monitoring institution:

Responsible for the external monitoring and evaluation of land acquisition and resettlement work.

9.2 Organizational Chart of Responsible Institutions

SMI

Administration

Housing and Land Resource Land and Housing

Shanghai Internal Project

bureau in district in bureau Chengtou Raw monitoring unit Design Institute Water Co.,Ltd

External Land Labor monitoring unit

s acquisition office service center

Compensation on Auxiliary items Allocation of collectively-owned on and under labor force (village-owned) and individual ground assets

SMI:

Responsible for leadership, organization, coordination, stipulation of policies, censorship of RAP, internal supervision and decision-making of major events;

Shanghai Chengtou Raw Water Co.,Ltd:

 to entrust design unit to confirm the affected scope;

 to organize social and economic investigation, registration of physically-displaced items and investigation

 to organize public participation and activities

 to organize resettlement scheme, and participate in the compiling of RAP;

 to be in line with state land management policies and regulations concerning construction-use land for project

 to make land acquisition and resettlement policies and compensation standards in terms of policies and stipulations which will be then submitted to corresponding department for approval;

 to handle submission and approval of land use of project

 to apply Permission License of Planning-use Land and Permission License of construction-use land for project

 to implement RAP

 to sign agreements concerning land acquisition and resettlement with villages’ committee where land acquisition takes place

 to manage information concerning land acquisition and resettlement

 to train related personnel

 to coordinate contradictions and problems happening in the construction process;

 to handle with disputes and appealing issues and conduct coordination and administrative arbitration;

 to give report concerning land acquisition and resettlement to Shanghai

Urban Investment and Development Corporation

Shanghai Urban Planning Administration Bureau and Shanghai Housing and

Land Resources Administration Bureau:

 to be in line with state land management policies and regulations concerning construction-use land for project

 to handle procedures for land acquisition concerning construction-use land for project of project

 to issue pre-verification of construction-use land for project

 to release notification of land acquisition

 to coordinate contradictions and problems happening in the process of land acquisition and allocation;

Construction Committees of related districts:

 to approve related procedures concerning land acquisition  to manage information concerning land acquisition and resettlement activities  to train personnel  to coordinate and handle contradictions and problems

Corresponding departments of local districts and towns:

 to organize public consultation and publicize policies concerning land acquisition;

 to implement resettlement work within responsible scope in terms of corresponding policies;

 to sign compensation agreements with the displaced persons and enterprises;

 to give feedback of suggestions and opinions from the displaced to corresponding superior departments;

 to provide helps and assistances to household of difficulty;

 to manage information concerning land acquisition and resettlement activities;

 to train personnel;

 to coordinate and handle with contradictions and problems;

 to report land acquisition and resettlement progress to construction committees and water authorities at district level;

Shanghai Municipal Project Design Institute:

Responsible for determining the project design and the scope of land acquisition;

 to lessen side impact caused by construction y means of sign optimization  to confirm the affected scope by land acquisition

External and Independent monitoring institution:

As an independent morning institution, it should investigate every aspect of resettlement plan and its actual implementation. This information will be compiled in an independent evaluation report on land acquisition and resettlement work which will be then submitted to Shanghai Chengtou Raw Water Co.,Ltd and the World Bank

(1) to investigate regional socio-economic status-quo;

(2) to estimate detailed impact and restoration of living standard and production of affected individuals and enterprises respectively;

(3) to make data analysis

(4) to monitor the whole implementation process of RAP and provide monitoring report to Shanghai Chengtou Raw Water Co.,Ltd and the World Bank. Its responsibility is to give explicit explanation for external monitoring part.

9.3 Qualification of institutions and personnel

The project owner, participating in land acquisition and resettlement work of some Shanghai Municipal project, has accumulated rich experience in land acquisition and resettlement work and can play a very good organization and coordinating role.

The institutions of management and implementation have better transportation, communications tools with enough staffs of high quality and have a smooth information channel from the bottom to the top, which has played a very important role for preparation and implementation of RAP. Both designing unit and monitoring institutions have a good command of computer tools and techniques. At the same time, both construction unit and monitoring unit have rich experience in land acquisition, demolition and resettlement work.

The detailed personnel in resettlement institutions can be seen in Table 9-1:

Table 9-1 personnel in resettlement institutions Personnel Full-time at peak Resettlement Institution personnel Consitutes of peronnel time （Qty）（Qty） management personnel, engineers SMI 2 3 and technicians Shanghai Chengtou Raw management personnel, engineers 3 7 Water Co.,Ltd and technicians Resettlement offices at levels 2 3 government officials and technicians of district and towns External independant 4 8 consultation experts monitoring insitution Total 11 21

Table 4

9.4 Measures to enhance capability of institutions

 In May 2013, Shanghai Chengtou Raw Water Co.,Ltd organized training for personnel who are engaged in land acquisition and resettlement work, including OP4.12 policies stipulated by the World Bank, regulations and laws of land acquisition and demolition, theory of socio-economic survey, methods and so on.

 Before implementation of the resettlement plan, personnel who are engaged in and acquisition and resettlement were organized to have training, including operational guidelines for displaced persons stipulated by the World

Bank, laws and regulations of land acquisition, management of resettlement implementation, in order to improve the professional quality of personnel, and their capabilities of policy processing.

 To provide sufficient guarantee on capital and facilities in order to improve working efficiency;

 To have reasonable assignment and establish reward&punishment measures for personnel who are engaged in land acquisition and resettlement work to motivate their passion;

 To establish information system of land acquisition and resettlement management; to use computer to manage data of land acquisition and resettlement; to strengthen information feedback in order to ensure that the information channel from the top to the bottom will be smooth; decision on major issues is decided by the leading group;

 to strengthen report system and internal monitoring in order to resolve problems in time;

 To strengthen independent evaluation and independent institution will put forward existing problems as well as solution to them to corresponding departments;

Chapter 10 Time Schedule

10.1 Connection principles of resettlement and construction

Main project

According to the planned time schedule of project, it is planned that the construction will start from September 2014 and is expected to be completed at the end of September 2016. The basic deadline for every task has been arranged as follows:

According to the planned time schedule of project, it is expected that the construction will start from December, 2013 and is expected to be completed in

January, 2016. The basic deadline for every task has been arranged as follows:

(1) Completion of surveys, design and construction bidding (at the end of

September 2014)

(2) Operation of main body of piping (October 2014~May 2016)

(3) Anti-corrosion, auxiliary facilities, equipment construction, installation and pressure test (June 2016~August 2016)

(4) Piping will be put into operation at the end of September 2016.

According to the time schedule, the construction period is expected from

October, 2014 to September, 2016, therefore the process of land acquisition and resettlement should be in line with the construction planning. The main task is projected to start from October 2013 and end in September 2014. The progress is scheduled in the following principles:

 Land acquisition work should be finished one month earlier than

construction starts and should be started in terms of needs.

 Before commencement of the construction, sufficient time should be reserved to land acquisition and resettlement work.

10.2 Time Schedule for key task of resettlement

10.2.1 Principles of time schedule

 The scope of land acquisition should be determined by designs and should be finished before physical measurement and calculation of land acquisition and demolition.

 Before signing compensation and resettlement agreement, Shanghai

Chengtou Raw Water Co.,Ltd together with corresponding departments, will have physical measures and calculation with property owners in terms of redline scope of land acquisition and demolition.

 Before compensation agreement, motivation meeting of demolition will be held and affected individuals and displaced enterprise are called to participate in. In this meeting, policies concerning land acquisition, demolition and resettlement method will be publicized. After this meeting, demolition notification will be officially publicized.

 Compensation and resettlement agreements will be signed after physical measurement and calculation and publication of land acquisition and demolition.

 Infrastructures will be established in advance and they will be dismantled after completion of project.

 Before removal, settlement and payment of compensation will be

realized after signature of agreement.

10.2.2 Planned Time Schedule for land acquisition of resettlement

According to the preparation of land acquisition, resettlement and actual progress, a general time schedule for resettlement is planned. Specific implementation time is likely to be adjusted due to the overall progress of the project. Detail information can be seen in table 10-1.

2013 2014 2015 2016 Date Month No. Contents 3 6 9 12 3 6 9 12 3 6 9 12 3 6 9 12

Establishment of 1 organizational institutions

2 Preliminary design

Contracted land 3 acquisition of large-scale

4 Approval of land use

Investigate and 5 evaluate affected persons and assets

Signature on 6 agreement with the affected

Kicking-off of civil 7 construction

Chapter 11 Costs and Budgets

Main project

11.1 Cost

All expenses which are likely to occur in the process of land acquisition and resettlement will be included in the total budget. Total compensation on land acquisition and resettlement amounted 49,855,920yuan and other charges reached RMB 36635920 yuan, totaling RMB 38101356.80 yuan. Estimations of the resettlement are listed in Table 11-1:

Table 11-1 Budget for compensation and resettlement

Item Expenses Type Unit Qty. Standard Amount

(yuan) (yuan)

1 Permanent acquisition of mu 19.85 600,000 11,910,000 collectively-owned land

2 Renting of mu 105.76 15,000 1586400 collectively-owned land

3 Removal of landscape sq.m 9,246 120 1,109,520

4 Removal of pipes Estimation 17,030,000

5 Protection against flood Estimation 3,000,000

6 Protection of air force Estimation 2,000,000 communications facilities

Sub-total Corresponding taxes include: 36,635,920

7 Internal monitoring 1%Xsum(item 1+item 2+item 3+item 366,359 4+item 5+item 6)

8 External monitoring and 2%Xsum(item 1+item 2+item item 732,718 appraisal 3+item 4+item 5+item 6)

9 Unforeseen use 1%Xsum(item 1+item 2+item item 366,359 3+item 4+item 5+item 6)

Total RMB38,101,356.80yuan

11.2 Planning of annual capital use

According to the time schedule of the whole project, the planning of annual payment of compensation has been compiled which can be seen in table 11-2.

Table 11-2 Planning of Annual Investment Year 2014 2015 2016 Sub-total Investment 11,430,407.04 19,050,678.4 7,620,271.36 38,101,356.80 (10,000yuan) 30 50 20 100

According to the time schedule, the project capital is composed of loans from domestic and international banks and local financial allocation. On the other hand, the resettlement capital is undertaken fully by the project owner.

11.3 Capital source for resettlement

According to the time schedule of the whole project, capital for this project comes from domestic banking loans and financial allocation. All the capital for the displaced persons is self-supporting by the project owner.

11.4 Capital flow and allocation plan

11.4.1 Capital flow

In order to guarantee that the compensation will be paid sufficiently to the affected in time in terms of compensation standard in RAP, the following payment procedures of compensation is as follows: Shanghai Chengtou Raw Water Co.,Ltd will directly allocate the taxes to the management office of land acquisition and resettlement and remit compensation on land and resettlement subsidies to the bank or cooperative who will pay this amount to corresponding towns or villages’ committees upon receipt issued by Shanghai Chengtou Raw Water Co.,Ltd; the compensation on young crops will be paid to the affected directly; the compensation on auxiliaries on-and-under ground will be paid to corresponding units or individuals.

The capital flow chart can be seen in Diagram 11-1.

Shanghai Municipal Investment (Group) Corporation

Diagram 11-1 Capital flowchart Diagram 1

11.4.2 Payment Allocation and Management

 All costs associated with relocation and resettlement is included in the total budget of this project.

 Land compensation, resettlement compensation of affected labor force should be paid in full before the completion of demolition in order to ensure that all affected labor force receive proper arrangement.

 To ensure that land acquisition and resettlement can be successfully implemented, financial institutions and supervision body must be established at all levels to guarantee that all funds should be allocated on time.

The expenses mentioned above are based on estimation and the real expenses will be adjusted in terms of actual costs. 76

Chapter 12 Monitoring Evaluation

In order to ensure that RAP can be implemented in a smooth manner and the aims of making sound resettlement for the affected are reached, the parties concerned should monitor and appraise the implementation of land acquisition, demolition and resettlement on a regular basis n line with requirements from Non-voluntary Resettlement of displaced persons in OP4.12 stipulated by the World Bank and professional guideline of monitoring and appraisal on resettlement for projects loaned by the World Bank. Monitoring can be divided by two parts: internal monitoring and external independent monitoring.

The internal monitoring is conducted by the Shanghai Chengtou Raw Water Co.,Ltd to ensure that the construction unit should abide by the principles of the resettlement plan and timetable to implement the land acquisition and resettlement. The purpose of internal monitoring is to guarantee that the resettlement institution can keep every function working well during the implementation process.

Independent monitoring involves tracking and monitoring evaluation on land acquisition, resettlement implementation as well as production and living standard of affected enterprises. Independent monitoring institution will follow the resettlement activities to evaluate whether the implementation of resettlement is in line with RAP, national laws of land acquisition and resettlement as well as OP4.12 policies of "Involuntary Resettlement" stipulated by the World Bank; whether production and living standards are improved or at least maintain the original level. Independent monitoring institution will provide suggestions on the problems which are found in the monitoring period to corresponding units in order to have all the problems solved in time.

12.1 Internal monitoring

Shanghai Chengtou Raw Water Co.,Ltd launches an internal monitoring mechanism to check resettlement activities, establishing the basic database concerning land acquisition and resettlement , compiling RAP based on the database, monitoring all displaced households, enterprises and shops, and make internal supervision and check on the whole process of resettlement preparation and implementation.

12.1.1 Implementation procedures

During the implementation period, based on monitoring water samples, collecting resettlement information, corresponding office of Shanghai Chengtou Raw Water Co.,Ltd will conduct regular tracking on the implementation process.

In the monitoring operation mechanism, information table in the required format is needed to be made in order to achieve clear and accurate information. As key components of internal monitoring system, Shanghai Municipal government and national Land Resources Bureau will conduct regular inspection and verification.

12.1.2 Monitoring content

 payment of land acquisition  resettlement of affected labor force  payment of resettlement compensation  reconstruction of infrastructure  immigration agency staffing, training, work schedule and work efficiency  registration and processing of resettlement complaints and complaint 78

12.1.3 Internal Monitoring Report

Every six-month, Shanghai Chengtou Raw Water Co.,Ltd compiles an internal monitoring report which is submitted to the World Bank.

12.2 External Independent Monitoring

12.2.1 Independent Monitoring institution

Shanghai Chengtou Raw Water Co.,Ltd has invited an independent resettlement monitoring institution to carry out external monitoring.

Independent monitoring and evaluation unit is monitoring activities of resettlement progress, quality, financing and put forward the consultation suggestions. Besides, monitoring is also conducted on the affected individuals and enterprise concerning living standard and production standards respectively. The monitoring report is submitted to the World Bank report.

12.2.2 Monitoring steps and contents

⑴ Compiling monitoring and evaluation framework

⑵ Establishment of resettlement monitoring and evaluation information system

⑶ Establishment of survey outline and survey form

⑷ designing sample survey scheme

Sample size: Since the impact scale is relatively small, the whole sample survey is implemented.

⑸Basic survey

Independent monitoring and evaluation of affected household is needed to get basic material of living standard or production condition of the displaced 79

persons or enterprises, including living standard level, production and income level.

⑹ to establish monitoring and evaluation information system

Establishment of monitoring and evaluation information system will involve various data sorting of monitoring evaluation and a database to provide computer-aided analysis for tracking and monitoring.

⑺Monitoring evaluation investigation

 Capability assessment of resettlement institution: to investigate its working ability and work efficiency  Progress of resettlement, compensation standard and payment  Impact analysis of land acquisition and resettlement  Recovery measures of vulnerable groups  Public facilities: to monitor payment of cash compensation , function recovery of public facilities, reconstruction progress  Public participation and consultation: to participate in RAP compiling period and implementation period and to monitor the effect of public participation  Appeals: to monitor the registration and processing of appeals from the displaced persons

⑻Sorting monitoring data and establishment of database

⑼comparative analysis

⑽compiling monitoring evaluation report in accordance with the monitoring plan

 reasonable arrangements for monitoring and evaluation period in accordance with the actual progress of the resettlement;  compiling evaluation report after completion of resettlement activities;

12.3 Monitoring Indicators

 Socio-economic indicators: per capita income, GDP, employment rate  institutional indicators: staff composition, staff quality, regulations, equipments, processing transactions, completion rates  Affected displaced persons: compensation funds rate, production resettlement, change rate of economic income VS resettlement satisfaction  Displaced persons: compensation funds rate, resettlement satisfaction  Infrastructures: compensation funds rate, function restoration rate.

12.4 Final evaluation

Final evaluation on resettlement will be made on the basis of monitoring evaluation after the project is finished. The successful experience of land acquisition and resettlement and lessons learnt from the practice has provided valuable experience for resettlement in the future. The final evaluation work is conducted by an external and independent monitoring institution which is entrusted by Shanghai Chengtou Raw Water Co.,Ltd. The external monitoring unit will finally compile the evaluation outlet and establish the evaluation index system to conduct social economic analysis, final evaluation report which will be submitted to the World Bank.

Chapter 13 Right Statement

Table 13-1 Right statement

Affected type Affected Compensation Standards individuals and resettlement

policies

Permanent Collectively-owned Compensation on Compensation on acquisition of arable land will be land:RMB600,000yuan/ collectively-owned economic paid to rural mu; it includes taxation land (Jinyun organization of collectively-owned fees, compensation on village, Xu jing village economic auxiliary items town, Qingpu organizations for on-and-under ground, district) the development of resettlement fees and production. etc;

Affected areas Compensation on Compensation on young where the piping is young crops crops: 1,570yuan/mu conducted(Corresp onding departments)

Land-renting Compensation on Compensation on Collectively-owned arable land will be land-renting:

economic paid to rural RMB15,000yuan/mu organization of collectively-owned village economic organizations

Landscape, roads, Affected Compensation or Paid by actual cost other facilities and enterprises restoration has etc been implemented for the affected enterprises

World Bank Shanghai Urban Environment APL III

Appendix 1: District Financing Vehicle – Sub project RAP of Minfeng Raw Water Conveyors Project For Upper Huangpu Intake system on Associated Projects

Shanghai Upper Huangpu River Raw Water Co., Ltd March, 2015