World Bank Loan- Infrastructure Energy Project in Medium-Size Cities of Liaoning

RP590 V4 REV

World Bank Loan- Infrastructure Energy Project in Medium-

size Cities of Liaoning

Central Heating Project in the Urban Area of Lingyuan

Resettlement Plan

Institute of Sociology, Liaoning Academy of Social Science February 2012 Central Heating Project in the Urban Area of Lingyuan

Resettlement Plan

Chief expert of the research team:

Shen Dianzhong, Researcher, Chief of Institute of Sociology, Liaoning Academy of Social Science

Head of the research team:

Sun Hongmin, Researcher, Deputy-director of Liaoning Academy of Social Science

Leader of the research team:

Shen Xinxin, Assistant researcher, Director of Research Department, Liaoning Academy of Social Science

Main member of the research team:

Hua Yujie, Mei Zhanjun

Sociology Research Academy, Liaoning Social Science Institution February 2012 目录

1. PROJECT INTRODUCTION...... 3

1.1 BACKGROUND INFORMATION...... 3 1.2 PROJECT DESCRIPTION...... 4 1.2.1 Project Components and Area of Land Acquisition...... 4 1.2.2 Socio-economic Benefits of the Project...... 5 1.2.3 Project Impact...... 5 1.2.4 Investment Calculation and Implementation Plan...... 5 1.2.5 Identification of Co-Projects...... 5

2. POJECT IMPACT...... 6

2.1 MEASURES OF AVOIDANCE AND MINIMIZATION FOR LAND ACQUISITION...... 6 2.1.1 Principles of Project Design and Site Selection...... 6 2.2 SURVEY METHODOLOGY AND PROCESS...... 6 2.3 IDENTIFICATION OF THE PROJECT IMPACT AREA...... 6 2.4 SUBSTANTIAL INDICATOR OF PROJECT IMPACT...... 7 2.4.1 Permanent Use of State-Owned Land...... 7 2.4.2 Land for Temporary use...... 9

3. SOCIO-ECONOMIC SURVEY AND ANALYSIS...... 11

3.1 SOCIO-ECONOMIC STATUS OF THE PROJECT AREA...... 11

4. LEGAL FRAMEWORK AND POLICIES...... 13

4.1 RELATED LAW, REGULATIONS AND POLICIES...... 13 4.2 WORLD BANK POLICIES...... 13 4.3 LAW, REGULATIONS AND RELATED POLICIES IN CHINA...... 13

5. COMPENSATION CRITERIA...... 19

5.1 PRINCIPLES AND ELIGIBILITY OF THE PROJECT...... 19 5.1.1 Principles of Compensation...... 19 5.1.2 Identification of Compensation Eligibility...... 19

6. RESETTLEMENT MEASURES...... 21

6.1 OBJECTIVE OF RESETTLEMENT...... 21 6.2 ALLOCATION OF STATE-OWNED LAND...... 21 6.3 RESTORATION OF LAND FOR TEMPORAL USE...... 21

7. ORGANIZATIONAL STRUCTURE...... 22

7.1 INSTITUTIONAL SET-UP AND RESPONSIBILITY...... 22 7.2 STAFF AND TRAINING PLAN...... 23 7.2.1 Staff...... 23

1 7.2.2 Training Plan...... 24

8. PUBLIC PARTICIPATION AND GRIEVANCE...... 25

8.1 PUBLIC PARTICIPATION...... 25 8.1.1 Public Participation during the Project Preparation Period...... 25 8.1.2 Participation Plan during the Implementation Period...... 25 8.2 GRIEVANCE...... 26

9. BUDGET OF COMPENSATION...... 28

9.1 COMPENSATION BUDGET FOR LAND ACQUISITION...... 28 9.2 NVESTMENT PLAN FOR RESETTLEMENT AND SOURCE OF FUNDING...... 28 9.3 MANAGEMENT OF RESETTLEMENT FUNDS AND ALLOCATION...... 29

10. IMPLEMENTATION PLAN OF LAND ACQUISITION...... 30

10.1 IMPLEMENTING PRINCIPLES OF LAND ACQUISITION AND RESETTLEMENT...... 30 10.2 TIME SCHEDULE OF IMPLEMENTING LAND ACQUISITION...... 30

11. MONITORING AND EVALUATION...... 32

11.1 INTERNAL MONITORING...... 32 11.2 EXTERNAL MONITORING...... 32

ANNEX1 PROJECT INSTRUCTION IMAGE...... 34

ANNEX 2 EXTERNAL MONITORING PLAN...... 35

2 1. Project Introduction

1.1 Background Information

Since the CPC Central Committee and the State Council issued the 'Opinion on Implementing Strategies of Regenerating Old Industrial Bases of Northeast China', this has brought the old industrial cities in northeast China new opportunities of development. To fasten economic development in Liaoning and improve the urban infrastructure which is becoming bottleneck for rapid economic development, Liaoning Provincial Government proposed to apply for the World Bank Loan to support the construction of urban infrastructure. In order to enlarge the city capacity, create better living conditions and improve the city function, Lingyuan proposed to use the World Bank Loan to implement the urban central heating project. One hand, it solves the problem of central heating supply in the process of sustainable social and economic development in Lingyuan, on the other hand, it can save energy and reduce the pollution essentially. Currently, the proposal of the central heating plant in Lingyuan has been approved by Liaoning Provincial Development and Reform Committee (LDRC). The feasibility report has been completed by Shenyang Heating Engineering and Design Research Institute.

1.2 Project Description

1.2.1 Project Components and Area of Land Acquisition

The Central Heating Supply Project in Lingyuan includes 31.03 km long first- level pipeline, 57 heat transfer stations and 1 energy management centre within the area of east Hongshan Road (101 Line), west Gaolian Line, south Lingyuan Steel Plant and north Daling River. 23 of the 57 heat transfer stations are rebuilt from the old ones, 31 are newly established and 3 are to be built. Details are seen in Table 1-1. At the time of the project preparation, the exact locations of newly built substations had not been determined yet, so the potential involuntary impact will be address by the Resettlement Policy Framework. Other substations will be constructed on base of existing substations, no land acquisition is needed.

3 Table 1-1 Project Components Content Description Negative impact (land acquisition and boiler resettlement) Heat transfer Total 57 heat transfer station Total 57 heat transfer station including stations including 23 rebuilt from the old 23 rebuilt from the old ones, 31 new (HTS) ones, 31 new and 3 building and 3 building stations to be built as stations. the real estate develops in the city. Energy 1 energy management and To be rebuilt from the old boiler room management dispatch centre centre Pipelines Installing 31.03 km first-level Temporal use of land is needed for pipelines pipelines

1.2.2 Socio-economic Benefits of the Project

The economic analysis demonstrates that the planned project will bring significant benefits, including not only cost savings from operation, but also environmental benefits for promoting sustainable development.

1.2.3 Project Impact

The project plans to need 20.517 mu (13,678 m2) state owned land for acquisition including 139.12 mu temporarily occupied state-owned land (92,746.67m2).

1.2.4 Investment Calculation and Implementation Plan

The total investment of the project amounts to 251,449.1 thousand RMB including 20,000 RMB of the World Bank loan as planned and 5,621.6 thousand RMB investments for land acquisition, which accounts for 5.34% of the total investment. As planned, the project will be complete by the end of 2014.

1.2.5 Identification of Co-Projects

The co-project refers to those that directly relate to the project function or benefits during the course of project's preparation and implementation. During the design period, the project institution paid attention much to identification of the co-projects. The project office and the design institution of each component discussed and made the co-efficiency analysis of all the project components. According to the analysis, there is no co-project.

4 2. Poject Impact

2.1 Measures of Avoidance and Minimization for Land Acquisition

2.1.1 Principles of Project Design and Site Selection

During the period of project design, consideration should be made to have minimum land acquisition and the project should not bring major negative impact on local economy and society. The main principles include the following aspects. Different plans should be compared to choose the optimal one. When land acquisition occurs, priority should be given to use state-owned land and reduce the use of farming land. When resettlement occurs, priority should be given to have less resettlement, which is the key criterion for choosing the plan. For instance, when choose the built place of heat transfer station, priority should be considered as the place where the old ones locate. The design institution analyzes the pipeline direction and locates it in the center of the road or the two sides of the road. It can avoid for resettlement and the damage on the other constructions.

2.2 Survey Methodology and Process

The survey time for the substantial indicators of the project impact is from January 2012 to February 2012. A questionnaire survey, individual interviews, seminars and field visits were undertaken during the mission period to learn related indicators of land acquisition. Meanwhile, the plan formulation team interviewed the affected area and people to learn their opinion about the project and the impact of the project on them.

2.3 Identification of the Project Impact Area

The project impact relates to the land use in Lingyuan Town of Lingyuan County of 17.88 mu stated-owned land for 57 heat transfer stations and 2.637 mu state-owned land for the energy management centre. To install the first-level pipelines will temporarily occupy 139.12 mu land. There is no resettlement issue involved for people during the project construction period.

5 Table 2-2 Project Components Content Area of Land Venue Remarks 57 HTS 11,920 m2 Use of 17.88 mu land in total 23 rebuilt HTS 6,800 m2 Use of 10.2 mu state-owned land- 34 new HTS 5,120 m2 Use of 7.68 mu state-owned land- Energy management 1,758 m2 Use of 2.637 mu land centre 1 rebuilt boiler room 1,758 m2 Use of 2.637 mu state-owned land Temporarily 81,993 m2 122.9895 mu land temporarily occupied for first- occupied in total level pipelines State-owned land 92,748.5m2 139.12 mu land temporarily occupied in total

2.4 Substantial Indicator of Project Impact

It is planned to build 54 heat transfer stations in compounds and 3 in building, with a total of 17.88 mu land being occupied. 23 of them will be rebuilt from the previous boiler room sites and will occupy 10.2 mu land. 34 of them will be built and will occupy 7.68 mu land (including 3 building heat transfer station). The energy management centre is to be rebuilt from an old boiler room by using 2.637 mu land. All the above mentioned land are state owned. The project also includes temporal use of 139.12 mu state-owned land. During the project construction period, there are no impacts on people’s livelihood. The overall project has relatively minor impacts on local people.

2.4.1 Permanent Use of State-Owned Land

The project involves a total of 20.517 mu state-owned land for permanent use, including use of 2.637 mu land for the energy management centre rebuilt from An Tai Tiao Feng Boiler Room at Zunhua Street of Lingyuan in 2009. It also includes 23 heat transfer stations which are rebuilt from the old ones and 34 new ones (including 3 building heat transfer stations) by using 17.88 mu of state-owned land. In research period, the detailed place of these 57 stations can’t be determined, but the research institution can point the possible area. Table 2-2.

Table 2-2 Land Use of Heat Transfer Stations

6 No Name of Station Heating Use of Built year Owned by Used Area/Place Area Land of Land previously by (10,000 (m2) previo m2) usly （万平）（m²） 1 Glass Plant 20 340 2004 Stated-owned Rebuilt Lingbei 2 North of the town 20 340 2004 Stated-owned Rebuilt Bei Str. 3 The Sec.Middle 10 170 2004 Stated-owned Rebuilt Bei Str. School 4 Stadium 15 255 2004 Stated-owned Rebuilt Bei Str. 5 Lingyuan Estate Co. 20 340 2004 Stated-owned Rebuilt Bei Str. 6 Civil Government 15 255 2004 Stated-owned Rebuilt Bei Str. 7 Outside Ximen 20 340 2004 Stated-owned Rebuilt Bei Str. 8 Newspaper Office 15 255 2004 Stated-owned Rebuilt Bei Str. 9 Rice Bureau 15 255 2004 Stated-owned Rebuilt Nan Str. 10 Water Bureau 30 510 2004 Stated-owned Rebuilt Nan Str. 11 The First High 15 255 2004 Stated-owned Rebuilt Nan Str. School 12 IRS 20 340 2004 Stated-owned Rebuilt Nan Str. 13 Better Living 10 170 2004 Stated-owned Rebuilt Dongcheng 14 Health School 20 340 2004 Stated-owned Rebuilt Dongcheng 15 The Third High 20 340 2004 Stated-owned Rebuilt Nan Str. School 16 Engineer Co,ltd 15 255 2004 Stated-owned Rebuilt Nan Str. 17 Xingu Garden 15 255 2007 Stated-owned Rebuilt Bei Str. 18 Yuxiu Garden 20 340 2010 Stated-owned Rebuilt Nan Str. 19 Fuli Garden 15 255 2009 Stated-owned Rebuilt Nan Str. 20 Phase 4 of Fulin 20 340 2010 Stated-owned Rebuilt Nan Str. Garden 21 The second Prison 20 340 2004 Stated-owned Rebuilt Bajianfang 22 The third Prison 20 340 2004 Stated-owned Rebuilt Lingbei 23 The Third Bureau 10 170 2009 Stated-owned Rebuilt Lingbei 24 Unicom 10 170 2013 Stated-owned New Bei Str. 25 Commence Mansion 10 170 2014 Stated-owned New Nan Str. 26 Supply and Sale 10 170 2013 Stated-owned New Nan Str. Dept. 27 Hongjian Garden 10 170 2014 Stated-owned New Nan Str. 28 Lingbei living area 1 10 170 2014 Stated-owned New Bei Str.

29 Lingbei living area 2 10 170 2014 Stated-owned New Bei Str.

30 Jinhaodifu Garden 10 170 2014 Stated-owned New Lingbei

7 No Name of Station Heating Use of Built year Owned by Used Area/Place Area Land of Land previously by (10,000 (m2) previo m2) usly （万平）（m²） 31 Ji Express 1 10 170 2013 Stated-owned New Dongcheng 32 Ji Express 2 10 170 2013 Stated-owned New Dongcheng 33 Ji Express 3 10 170 2014 Stated-owned New Dongcheng 34 Ji Express 4 10 170 2013 Stated-owned New Dongcheng 35 Ji Express 5 10 170 2013 Stated-owned New Dongcheng 36 Ji Express 6 10 170 2014 Stated-owned New Dongcheng 37 Ji Express 7 10 170 2014 Stated-owned New Dongcheng 38 Ji Express 8 10 170 2014 Stated-owned New Dongcheng 39 Lianfu Garden 6.3 120 2014 Stated-owned New Dongcheng 40 Water Plant 10 170 2014 Stated-owned New Dongcheng 41 Xinyuan Garden 10 170 2013 Stated-owned New Dongcheng 42 Steel Wall 10 170 2014 Stated-owned New Dongcheng 43 Yulongxin Garden 10 170 2014 Stated-owned New Dongcheng 44 Huashicheng 1 10 170 2013 Stated-owned New Dongcheng 45 Huashicheng 2 5 120 2014 Stated-owned New Dongcheng 46 Lingan Garden 10 170 2013 Stated-owned New Dongcheng 47 Public security build 10 170 2014 Stated-owned New Dongcheng 48 Lvjingwan Garden 1 10 170 2014 Stated-owned New Dongcheng 49 Lvjingwan Garden 2 10 170 2014 Stated-owned New Dongcheng 50 Lvjingwan Garden 3 10 170 2014 Stated-owned New Dongcheng 51 Lvjingwan Garden 4 10 170 2014 Stated-owned New Dongcheng 52 Meter Plant 10 170 2014 Stated-owned New Dongcheng 53 The first Prison 10 170 2014 Stated-owned New Dongcheng 54 Donghe Hospital 5 120 2014 Stated-owned New Dongcheng 55 Xinxing Building A 1.2 Building 2013 Stated-owned New Nan Str. 56 Xinxing Building B 1.5 Building 2013 Stated-owned New Nan Str. 57 Xinxing Building B 1 Building 2013 Stated-owned New Nan Str. Total 699 11920

2.4.2 Land for Temporary use

The new built first –level pipeline is 31.03 km long and will occupy the land of 139.22 mu temporarily. (All occupied land is the motorway and the sideway) . During the research period, the plan formulated team finish the on-the-spot survey according to the blueprint provided by the Design Institution. The survey result shows that there is no resettlement, but if it is occurred due to blueprint adjustment, resettlement will be

8 done according to the policies.

Table 2-3 Temporal Use of Land for Heating Pipelines Dia.of Lengt New/Rebuilt Construction Venue Construction type the h Name of route Width Sideway/Moterway/Non- Working pipe (m) (m) motorway Width(m) (mm) DN90 3462 Rebuilt Line 101 40 Motor vehicle roads, pedestrians 4 0 and green belt DN50 681 Newly built Wholesale city Ro. 40 Motor vehicle roads 3.5 0 DN15 2535 Newly built Line connect each heat 24-30 Motor vehicle roads 2.5 0 transfer station DN60 2458 Rebuilt Line101 、Lingheda Str. 40 Motor vehicle roads 3.5 0 DN50 1440 Newly built Xingyun Ro. 30 Motor vehicle roads 3.5 0 DN15 2584 Newly built Line connect each heat 18-30 Motor vehicle roads, pedestrians 2.5 0 transfer station and green belt DN50 3525 Newly built Connection Line、Line 60 Motor vehicle roads 3.3 0 306 DN30 489 Newly built Line 306 60 Motor vehicle roads 3 0 DN15 1210 Newly built Line connect each heat 18-30 Motor vehicle roads, pedestrians 2.5 0 transfer station and green belt DN15 2794 Newly built Line connect each heat 18-30 Motor vehicle roads, pedestrians 2.5 0 transfer station and green belt DN15 1046 Newly built Line connect each heat 18-30 Motor vehicle roads, pedestrians 2.5 0 transfer station and green belt DN50 210 Newly built Dongcheng Planned 40 Motor vehicle roads 3.5 0 Ro. DN20 30 Newly built Line connect each heat 18-30 Motor vehicle roads, pedestrians 2.5 0 transfer station and green belt DN15 2819 Newly built Line connect each heat 18-30 Motor vehicle roads, pedestrians 2.5 0 transfer station and green belt DN50 1687 Newly built Dongcheng Planned 40 Motor vehicle roads 3.5 0 Ro. DN45 300 Newly built Logistic Planned Ro. 36 Motor vehicle roads 3.5 0 DN30 280 Newly built Meters Planned Ro. 24 Motor vehicle roads 3 0 DN15 3440 Newly built Line connect each heat 18-30 Motor vehicle roads, pedestrians 2.5 0 transfer station and green belt

9 DN12 40 Newly built Line connect each heat 18-30 Motor vehicle roads, pedestrians 2.5 5 transfer station and green belt

3. Socio-economic Survey and Analysis

3.1 Socio-economic Status of the Project Area

Lingyuan became a city since 1992 and admin 30 of villages, towns and streets. The total area is 3278km2 and the total population is 650 thousand. There is a significant area priority in Lingyuan which is the boundary of Liaoning Province, Heibei Province and Inner Mongolia Province. Lingyuan is very important for the traffic of northeast and north China especially for the communication of Inner Mongolia with coastal port. The industrial economic base is strong in Lingyuan, with rich high quality mineral resources and deep processing of agricultural products resource. Lingyuan Auto and Lingyuan Steel are two companies owned by Liaoning Province and Lingyuan city. These two strong companies play a strong radiation and leading role in Lingyuan and the completed industry system formed by metallurgy, foundry, automotive, building materials, light industry and other categories are already finished. .

In 2011, the total value of output of Lingyuan realized RMB 17.5 billion with an increase of 31% compared with the last year including RMB 3.27 billion of the first industry, RMB 8.82 billion of the second industry and RMB 5.41 billion of the third industry. The percentage is 23.9%, 31.6% and 33.5% compared with the last year. The local general budget reached RMB 10 million with an increase of 34% compared with the last year. Also, the fixed asset investment was RMB 8.5 billion of the increase of 54%. Lingyuan got 20 investment projects on provincial with RMB 126870 thousand. The opening fixed asset investment project with the capital above 10000 thousand were 97, and the stocking projects are 100. Capital investment reached RMB 7.76 billion and foreign capital utilizations reached USD 26000 thousand. The total social consumption sales reached RMB 4.57 billion (17.2% increase). The income of residents reached RMB 15,066 with the increase of 24%. The income of farmers per capita was RMB 7,887 (28% increase) and finish the force training of 6,500 person, the employment with the true name are 10,755 persons and export of labor services reached 90 thousand man-time. The new guarantee participants are 32,073 persons, the ration of new type of rural guarantee is 85% and the new-type rural CMS is 99.7%. 306 lower rent houses were allocated to the residents. 17.3 thousand m2 support project has already finished. Economic situation in Lingyuan keeps a sustainable health development. 2

10 ------1 The Materials of the fifth meeting of People Reprehensive Conference in Lingyuan: Report on Implementation Status of Domestic Economy and Social Development Plan and the Plan of 2012 (Draft)

4. Legal Framework and Policies

4.1 Related Law, Regulations and Policies

Based on the law and policies of China and the World Bank, the resettlement policies are formulated for this project. Related law and policies are as follows:  Land Management Law of PRC (revised and enacted since August 28 2004 )  Announcement on Guidelines for Improving Compensation and Resettlement System for Land Acquisition (State Land and Resources Administration [2004] No. 238, enacted since November 3rd 2004)  Announcement on Paid-use Policy Adjustment of Newly Added Construction Land (Finance Dept. [2006] No. 48)

11 Law, regulations and policies issued by Liaoning Provincial Government include:  Announcement on Integrity Acquisition Land Value Standard Implementation of (General Office, Liaoning Government, [2010] No.2)  Announcement on Acquisition Land Value Publication (Liaoning State Land and Resources Administration [2010] No.16 )

4.2 World Bank Policies

World Bank Operation Policies OP4.12 on involuntary resettlement and its annexes (enacted since January 1st 2002)

4.3 Law, Regulations and Related Policies in China

Land Management Law of PRC is the basis for formulation of the project's policies. Corresponding documents have been issued also by the State Land and Resources Ministry and Liaoning Province. Table 4-1 shows the main articles of the above mentioned law and regulations and their application in the project.

12 Table 4-3 Main principles and the utilization of (2004) No.28, State (2004) No.238, Finance (2006) No.48, LN Government (2010) No.2 and LN Stated Land and Sources(2010)No.16 State (2004) No.28 State (2004) Finance (2006) No.48 LN Government (2010) No.2 and LN Project Policy Improving Compensation and Resettlement System for Land No.238 Stated Land and Sources(2010)No.16 Acquisition Article The county government above should take feasible measures To unify The new added land is Charge standard of local land acquisition 12 to ensure that the living standards of the farmers affected by formulation of farm land and no-used refers to the total amount of farmland Improvi land acquisition will not deteriorate because of land the annual land. Charge of using compensition and resettlement ng acquisition. output value, the new added land will compensition. The other kind of land will procedu Compensation for land, resettlement and allowance as well as and the be determined by the be charged according to the standard of res of that for ground attachments and crops should be paid in full multiplication Governemt on county integrited land.With this basis,construction Compe amount and in time according to the law. If the compensation factor of the and city level according plus1, non-used land plus 0.8. No one can n- is not sufficient for the affected farmers to maintain the former annual output; to the local land area modify the standard without the addmition sation living standards, and the affected farmers still cannot pay for formulation of and its level which for the to pay for social security costs because of being landless, the integrated refers to stated land and Land the provincial level government should ratify to increase the price of land source department Acquisit allowance for resettlement. If the total amount of land for acquisition, ion compensation and resettlement allowance have reached the and allocation maximum amount, but still cannot enable the farmers to of maintain the former living standards, the local government compensation should provide allowance from the revenue of state-owned for land land use fee. The provincial level government should formulate and issue the corporate annual output value of each city/county or the integrated land price in the areas, to ensure that the price be

13 State (2004) No.28 State (2004) Finance (2006) No.48 LN Government (2010) No.2 and LN Project Policy Improving Compensation and Resettlement System for Land No.238 Stated Land and Sources(2010)No.16 Acquisition the same for the same land. The national key construction projects must include full amount of the costs for land acquisition into the budget. Article The county-level above local government should formulate Resettlement From 2007.1.1, the If the occupied land has non-mature plant 13 concrete procedures to ensure the livelihood of the affected for farming, re- charge standard of or other plant, the owner can receive Resettl farmers by land acquisition in the long-term run. employment, using new added land external compensation. Detailed standard e- For a project with stable benefits, farmers can be the being a will increase 1 time should determine by the local civil ment shareholder of the project by selling the right of land use, of shareholder, compared with the government and reported to the provincial for which has been ratified as the construction land according to and original one. After the government. The compensation fee will be farmers the law. arrangement in adjustment, Lingyuan is calculated by the real value of the plant on affected Within the planned area in the city, the local government another place on the 11 level and the that season. by land should integrate the landless farmers affected by land charge standard is acquisiti acquisition the urban employment system and the social 24 RMB／M2 on security system. Out of the planned area in the city, when the collective-owned land is for acquisition, the local government should provide the farmer necessary farming land within the administrative area or provide a job. For those landless farmers which don't have basic production and living conditions, resettlement should be provided in another place. The labour and social security administration should propose together with other related department the guidelines for establishing employment training and social security system

14 State (2004) No.28 State (2004) Finance (2006) No.48 LN Government (2010) No.2 and LN Project Policy Improving Compensation and Resettlement System for Land No.238 Stated Land and Sources(2010)No.16 Acquisition for these farmers affected by land acquisition. Article During the process of land acquisition, the ownership rights of Inform the After adjustment of the While the construction land needs to use 14 the farmer's collective owned land and the rights of the status of land charge of New added farmland temporally, the using period is 1 Improvi farmer's land contracting. acquisition and land, local and central year. Compensation standard will be 1.5 ng Before the land acquisition is submitted for approval, the use, confirm the will still share the times as the land acquisition value and procedu location, compensation criteria and resettlement should be survey results charge as 30：70. 20% for 2 years use. res of informed to the affected farmers. The survey results of the of land for Meanwhile, In order to land current status of the land for acquisition should be confirmed acquisition; enhance the control of acquisiti by the collective economic institution and the farmers where organize public land utilization, from on the affected farming land is. When it is indeed necessary, the hearing for 2007.1.1, the part which land and resources administration should organize public land is invested by the local hearing according to related regulations. The documents in acquisition. government, need to be which the affected farmers are informed and confirmed should put in the state store. be submitted as integral part of the application for approval of the land acquisition. Coordination and arbitration mechanism should be established and improved as soon as possible to solve the disputes about compensation and resettlement for land acquisition to protect the legal rights of the affected farmers and land users. The ratified land acquisition should be publicized except special occasions. Article When the compensation and resettlement has not been Publicize the Provencal financial With the agreement, construction land use

15 State (2004) No.28 State (2004) Finance (2006) No.48 LN Government (2010) No.2 and LN Project Policy Improving Compensation and Resettlement System for Land No.238 Stated Land and Sources(2010)No.16 Acquisition 15 executed, it is not allowed to use the affected land. The ratification monitoring department the farmland and non-used land, the Streng- provincial level government should follow the principle that the about land should enhance the compensation standard should refers to thening land compensation should be mainly used for the affected acquisition, supervision to the new standard of the non-used land in supervi farmers, and formulate the procedures how the compensation pay the added land and the integrated area. sion of is allocated within the rural collective economic organizations compensation charge for it. A regular impelm internally. and monitoring system en- The rural collective economic organization should publicize resettlement should be established. tation of the income and expenditure status of the land acquisition for land land compensation to the members of the organization for their acquisition; acquisiti supervision. The agricultural and civil affairs administrations supervision on should strengthen supervision work about the internal and check allocation and use of the land acquisition compensation in the after land rural collective economic organization. acquisition approval

The differences between World Bank policy and domestic policy Domestic policy World Bank policy Target Construction projects to ensure timely and As far as possible to avoid or reduce the effective completion of the maintenance of production of involuntary resettlement, social stability and harmony。 involuntary resettlement, after the election of the need to ensure their living level.

16 Domestic policy World Bank policy Stress point Stress level by level organization and Stressed the important role of the public。 management Compensation ● More use of monetary compensation, ● The affected people have the right to selection in areas where conditions permit to choose Monetary settlement and physical consider in-kind compensation。 settlement. ● When you select in-kind compensation, ● Placement location of the location of resettlement housing is usually the location public housing are free to choose。 and structure, have been identified。 Method of Using the same region, same structure, use Estimated replacement cost of the compensation of second-hand housing transaction price estimation methods used price, in the use prices as a house demolition compensation price. of the method does not consider depreciation Compensation Not be compensated for the illegal Similarly, compensation for illegal for illegal construction。 construction. buildings Public Public participation system is still not It has a complete set of mature public Participation perfect.Public participation in the true participation in the Action of measures.The sense is only part of the Action phase of public can participate in all aspects of the the project. whole process works. Monitoring By the owners, immigrants and in-house Including owners, immigration management mechanism to monitor. implementing agencies rely on the internal management system of internal controls and external independent monitoring . Complaints The creation of specialized agencies to The public through the community, the

17 Domestic policy World Bank policy mechanism accept complaints from the public. streets office, the owners, external monitoring bodies such as multi-channel and means of representation.

Since the project is the World Bank support project, all related resettlement arrangement will be in line with the OP4.12 on Involuntary Resettlement.

18 5. Compensation Criteria

5.1 Principles and Eligibility of the Project

5.1.1 Principles of Compensation

In line with the law and regulations of the State and World Bank, the project institutions formulated the principles of compensation and rights/benefits, which aims to ensure sufficient compensation and assistance that people can have for their resettlement so they can remain at least the same level of production and living they have before resettlement. See details as follows in table 5-1.

Table 5-1 Principles of Resettlement Principles

1 If it is feasible, involuntary resettlement should be avoided as much as possible. 2 The compensation and rights that those people affected get should remain at least the same level of living as before the ‘project’ or probably even higher 3 No matter these people affected have legal rights or not, they all can have the compensation and assistance for resettlement. 4 Economic compensation ensures every person can remain lat least the same level of living they have before resettlement 5 If people can’t make a living upon the land after the land acquisition, they should be compensated in cash or replacement of land in kind for the lost land as well as other profit earning activities. 6 People affected are fully aware of the criteria, way of compensation and its standard, making a living and income restoring plan, project time schedule, and participate in the implementation of the resettlement plan. 7 No land acquisition before the person affected is satisfied with the compensation and resettlement (plan). 8 The execution institution and independent/the third party shall monitor the operation of compensation and relocation/resettlement. 9 Vulnerable groups are given particular assistance or treatment to ensure they live a better life. All the groups affected should have the opportunity to benefit from the project. 10 Costs for resettlement should adequately and fully cover all the aspects affected.

5.1.2 Identification of Compensation Eligibility

The project’s deadline for the compensation should be the time of the bulletin of land

19 acquisition to be issued by the local government where the project is located. After the date, any planting and building the affected persons make will not be eligible for compensation or resettlement. Resettlement due to blueprint adjustment will be arranged according to Resettlement Policy Framework. The detailed standard is by Announcement on Integrity Acquisition Land Value Standard Implementation of (General Office, Liaoning Government, [2010] No.2) and Announcement on Acquisition Land Value Publication (Liaoning State Land and Resources Administration [2010] No.16)

20 6. Resettlement Measures

6.1 Objective of Resettlement

The objective of project resettlement is to formulate an action plan of resettlement and restoration for the affected people and group to ensure they benefit from the project and improve their living standards or at least their living condition can be restored after the project is complete.

6.2 Allocation of State-owned Land

According to related law, regulations and policies of Liaoning and other project cities, permanent use of state-owned land will take the form of free of charge allocation and there is no need for compensation and resettlement.

6.3 Restoration of Land for Temporal Use

The land for temporal use is for installing the pipelines. When it is under operation, construction and restoration will be managed in an integrated way rapidly. After the use, the project construction institution is responsible for restoration and cleaning.

21 7. Organizational Structure

7.1 Institutional Set-up and Responsibility

To ensure smooth implementation of land acquisition and resettlement and achieve the expected effect, a specific office of land acquisition and resettlement for central heating is established in Lingyuan County to take charge of land acquisition and resettlement work.

In 2011, Lingyuan determined to establish the Project Office of the World Bank Loan Project to finish the preparation and management of the central heating project in Lingyuan. The Leading Group is headed by the Executive Deputy President of Lingyuan. Deputy leaders are Director of the Reform and Development Bureau and the Finance Bureau, Deputy-director of Lingyuan Heat Supply Office. Other members include those responsible persons from related departments, e.g. Lingyuan DRC, Lingyuan HRSS, Lingyuan CA, Lingyuan Land Bureau, the Housing and Construction Bureau, the Finance Office, the City Management Bureau and the Environmental Protection Bureau etc. They are experienced of land acquisition and resettlement and are mainly responsible for preparation, organization/co-ordination, implementation and management. The detailed organizational structure is seen in Chart 7-1.

Image 7-1 Organizational Structure

22 PMO of Foreign Fund Utilization LDRC

Leading Group of World Bank Finance Project in Lingyuan

M&E Heat LASS- H&C Supply Insti- Office SI Bureau tution House Acquisiti on of H&C Bureau Affected IIOI O&I

Notes: Affected O&I- affected organizations and individuals; IIOI- Institutions and individuals who own the infrastructure

7.2 Staff and Training Plan

7.2.1 Staff

To ensure smooth implementation of the resettlement work, working staff has been organized in the project's resettlement institution at all levels so that the information flow is ensured to function well.The detailed organization of the working staff is seen in Table 7-1.

Table 7-4 Staff of Project Resettlement Institution Name No. Of No. Of Qualification Remarks Staff staff at in peak averag time e Leading Group of World 16 20 Government The project Bank Fnanced Project in officials, resettlement Lingyuan engineering management and technicians and implementation management staff institutions are Lingyuan House Acquisition 4 8 Public servants equipped relatively Office

23 Workforce Office of 14 20 Government good transport and Leading Group of World Bank Fnanced Project in officials and communication Lingyuan management staff facilities. The survey Community and village 4 8 Officer and design as well as community M&E institutions have Community and village 4 8 Government strong capabilities of community officials and using computers and management staff related technology. Independent monitoring 4 10 Professional The project institution technicians resettlement 合计 46 implementation and 74 M&E institutions are very experienced of resettlement work.

7.2.2 Training Plan

To ensure better implementation of the project, the World Bank PMO of Liaoning Development and Reform Commission (LDRC) will organize training for the key staff of resettlement work at the project institution. The world-wide well-known experts of sociology will be invited to introduce the resettlement policies of the World Bank and the key issues during the implementation of resettlement work. Meanwhile, a domestic study trip will be organized for the project institution staff to visit one World Bank project and learn their good experience.

24 8. Public Participation and Grievance

8.1 Public Participation

Public participation is of great importance during the preparation and implementation period of the project to protect legal rights of the affected people, reduce grievance and disputes, and learn opinion and suggestions of the affected people. It is also helpful for the formulation as a well developed policy, the implementation procedures and the resettlement plan for land acquisition and resettlement to ensure the organization work function well and realize the objective of the resettlement work for the affected people.

8.1.1 Public Participation during the Project Preparation Period

The public participation activities at the project preparation phase are seen in Table 8-1.

Table 8-5 Public Participation at the Project Preparation Phase Institution Date Participants No of Objective Main Opinion and Content Peopl e Heating 2012.1 Heating supply office, 10 To discuss the  To identify the location of supply development and reform feasibility of the the heat transfer station office bureau, and representatives project and and confirm the feasibility of the affected people selection of the of the project heat transfer station's location. General 2012.1 Development and Reform 18 To discuss the  To confirm the Office of Bureau, Finance Bureau, affairs related to responsibilities of each the Land and Resources land acquisition department and clarify governme Bureau, Heating supply and the the compensation. nt office, House Property responsibilities of Bureau, Housing and each department. Construction Bureau, HRSS Bureau and Finance and etc.

25 8.1.2 Participation Plan during the Implementation Period

During the implementation period of resettlement work, the Leading Group of the World Bank Financed Project of Lingyuan will continue to carry out further public participation activities. The arrangement is seen in Table 8-2.

Table 8-2 Public Participation Plan of the Project Objective Form Time Institution Participants Topic To learn the seminar 2012.10 Central Heat Supply Heating supply To identify the location compensation policies Project Office office,Land and clarify the for the owners and Bureau, Heat compensation contractors of small Supply Company standard to the boiler romms. and affected owners and the owners and contractors. contractors. To learn the seminar 2012.10 Central Heat Supply Heating supply Way of Resettlement arrangement of stokers Project Office office ,Land for employment of the and income recovering Bureau, Heat formal and temporal status. Supply Company, workers of small boiler HRSS Bureau, rooms Civil Affair Bureau and affected stokers

8.2 Grievance

Public participation should be encouraged during the process of formulation and implementation of the resettlement action plan. As a result, major disputes may not occur. However, some problems may take place during the whole process, which cannot be foreseen. To ensure the problems can be solved effectively, and ensure successful implementation of the project and land acquisition, a transparent and effective channel for grievance should be established. The basic procedures should be as follows.

Phase 1: If the affected people are not satisfied with the land acquisition and resettlement, they can submit their problems to the resettlement office orally or in a written form. If it is submitted orally, the land acquisition and resettlement office will make necessary action and document it. The office should make the decision of how to solve the problem within 2 weeks.

Phase 2: If the affected people are still not satisfied with the result when they receive it at the Phase 1, they can submit it to the Leading Group of the World Bank

26 Financed Project of Lingyuan. The leading group will respond and make the decision of how to solve the problem within 2 weeks.

Phase 3: If the affected people are still not satisfied with the result when they receive it at the Phase 2, they can submit it to the Land and Resources Bureau of Lingyuan and ask for arbitration from the arbitration institution which should respond and make the decision of how to solve it within 3 weeks.

Phase 4: If the affected people are still not satisfied with the result when they receive it at the Phase 3, they can sue it to the court according to the civil law.

The affected people can sue any aspect regarding land acquisition and resettlement, including compensation criteria etc.

The above mentioned information will be informed through meetings and other forms to the affected people. They can be fully aware of their rights in this issue. Meanwhile, media will be used for publicity and various opinion and suggestions about land acquisition and resettlement will be sorted into documents for the land acquisition and resettlement institutions at all levels to study and respond.

The implementation institution of land acquisition and resettlement of the project is the Land Acquisition and Resettlement Office of Lingyuan.

And the Grievance Receipted at the House Acquisition Office, Lingyuan Housing and Construction Bureau

Working staff: Jiang Kuixue Tel: 0421-6810170

27 9. Budget of Compensation

9.1 Compensation Budget for Land Acquisition

The total budget includes one item of compensation for land acquisition. The calculation of related fee and tax follows the criteria below: the planning and design fee is calculated as much as 0.71% of the compensation for land acquisition; implementing management fee 1.6% of that; technical training 1.42% of that; monitoring and supervision fee 0.53%; and basic reserve fee 2.13% of that.

The total budget lists the costs during the process of land acquisition and resettlement. According to the price in January 2012, the total compensation fee amounts to 5621.6 RMB thousand, including 768 thousand RMB for compensation of land acquisition, which is accounting for 13.66% of the total; all kinds of fee and tax amount to 270 thousand RMB for 4.8% of the total. The investment calculation is seen in Table 9-1.

Table 9-6 Investment Calculation of Compensation for Land Acquisition No. Component Compensati Number Total Percentage on Criteria costs (%) (RMB/unit) (in RMB 10,000) 1.0 Compensation for land acquisition 100000 7.68 mu 76.8 13.66 1.1 Street damage and rebuilt 26765 139.12m 372.36 66.24 u 1.2 Other compensation 50 8.89 合 499.16 88.79% 计 2.0 Planning and design 4 0.71% 3.0 Implementation management 9 1.6% 4.0 Technical training 8 1.42% 5.0 Monitoring and supervision 3 0.53% 6.0 Basic reserve fee 12 2.13% 7.0 Tax and fee 27 4.8% 8.0 Total 562.16 100%

9.2 nvestment Plan for Resettlement and Source of Funding

All the land acquisition and resettlement activities are planned to be implemented in

28 2012. The compensation fund will be distributed in 2012. The source of funding is all from the government financial allocation.

9.3 Management of Resettlement Funds and Allocation

The compensation for land acquisition is to be paid in full-amount and to the affected people in time according to the compensation policies and criteria of the land acquisition and resettlement. The process of fund flow of the project is that the government fund is allocated to the project office of Lingyuan Heat Supply Project, the office will allocate the fund to the Lingyuan Heat Supply Office. The compensation for land acquisition and farming will be paid directly to the affected village collective and individuals according to the land acquisition agreement; compensation for the infrastructure and attachment will be directly paid to related institution and individuals by the resettlement team. The fund flow chart is seen in Chart 9-1

Chart 9-1 Fund Flow Chart

Financial

World Bank Loan on Central Heat Supply Project Office

Project Office

Lingyuan Heat Infrastructure Supply Office belonged institution and Affected individuals village collective and individuals

29 1 Implementation Plan of Land Acquisition

9.4 Implementing Principles of Land Acquisition and Resettlement

According to the schedule of the project implementation, the project will start in March 2013 and finish in October 2012. To coordinate the schedule of land acquisition and the project construction plan, the land acquisition is planned to start in August 2012 and finish in July 2014. The basic principles of the resettlement implementation are seen as follows.

 Completion of land acquisition should be within one month before the construction of the project. The concrete starting time should be identified according to the need of land acquisition and resettlement.  During the course of resettlement, the affected people should have the opportunity to participate in the project. Before the construction of the project, the area for land acquisition should be publicized and introduction brochures should be distributed. Related public participation work should be undertaken well.  All kinds of compensation should be paid in full-amount to the property owner within 1 month since the plan of land acquisition and resettlement has been approved. Any institution and individual cannot use the compensation for the property on behalf of them. During the course of distribution, it is not allowed to make discounts for any reason.

9.5 Time Schedule of Implementing Land Acquisition

According to the schedule of the project construction, the schedule for the land acquisition is planned, which will be adjusted according to the actual progress of the project. The time schedule for land acquisition and resettlement is seen in Table 10-1.

Table 10-7 Time Schedule of Implementation of Land Acquisition No. Content Time arrangement Progress 1 Preparation 1.1 Set-up of PMO 2012.1.25 1.2 Implementation of detailed 2012.1-2012.2 socio-economic survey 1.4 Formulation of land acquisition 2012.1-2012.2 编制完毕 plan 2 Information publication and

30 No. Content Time arrangement Progress public participation 2.1 Enquiring opinion from related 2012.1-2012.2 departments and affected people 2.2 Publicizing the resettlement plan 2012.1-2012.3 via websites/media 2.3 Publicizing the resettlement plan 2012.1-2012.2 on World Bank website 3 Procedures of construction land 3.1 Pre-review 2011.7 3.2 Ratification 2011.7 4 Implementation phase 4.1 Notice of land acquisition 2012.6 4.2 Re-check of substantial 2012.6 indicators 4.3 Land acquisition agreement 2012.8. 4.4 Payment of compensation 2012.10 4.5 Skill training for affected people 2012.8 4.6 Income restoration measures 2012.10 5 Monitoring and evaluation 5.1 Baseline survey 2013.3 5.2 Internal monitoring 2013.3 5.3 External monitoring and 2013.3-2014.10 evaluation

31 10. Monitoring and Evaluation

To ensure smooth implementation of the land acquisition and resettlement plan, regular monitoring and evaluation will be undertaken on land acquisition and resettlement activities according to the requirement of the World Bank resettlement policies. It is divided into two parts- internal monitoring and external monitoring.

10.1 Internal Monitoring

Internal monitoring is undertaken by the provincial PMO, the leading group of the project in Lingyuan, the Land and Resources Bureau and Finance Bureau etc. to ensure all the responsible institutions implement land acquisition and resettlement according to the principles of the plan and the time schedule. The objective of internal monitoring is to ensure the function of resettlement institutions well. One internal monitoring mechanism is promoted by the leading group to supervise the resettlement activities. The leading group establishes basic database of land acquisition and resettlement and use them to formulate the resettlement plan as well as monitoring all the affected people and resettlement institutions. Internal supervision and check is undertaken during the entire process of the preparation and execution of resettlement. One land acquisition and resettlement progress report will be submitted every three months to the provincial PMO, which will submit it to the World Bank.

10.2 External Monitoring

Lingyuan Antai Heating Supply Co. Ltd plans to invite professional independent monitoring institution of land acquisition. The monitoring and evaluation team is composed with 4 experienced experts of resettlement, in particular, related engineering and sociology aspects.

External independent monitoring and evaluation institution will make regular monitoring and assessment on the implementation activities of land acquisition and resettlement, monitor the schedule, quality and fund of resettlement, and propose their conclusion as well as the production and living standard of the affected people and the monitoring and evaluation reports are submitted every half year to the World Bank and the PMO. The detailed arrangement for report submission is seen in Table 11-1.

Table 11-8 Schedule of Monitoring and Evaluation of the Affected People

32 Evaluation report Time 1 Socio-economic baseline survey 2013. 3 2 Monitoring and evaluation report Every half year 3 Post evaluation report 2014.10

Main indicators of monitoring assessment 1. Progress: includes the land acquisition, house demolition, preparation and Implementation of resettlement. 2. Quality: includes the implementation effect of resettlement measures and satisfaction degree of resettlement objects. 3. Investment: includes the allocation and funds use situation.

33 Annex1 Project Instruction Image

4 0 6.51

4 0 6.39

406 .22

406 .15

406 .03

405 .66

405 .48

4 0 5.45

408 +91 1.7 7

4 0 4.97

404 .85

408 +75 2.4 1

404 .73

4 0 3.49

4 0 4.17

k40 8+4 60

403 .97

404 .06 N 4 0 6.74

406 .36

405 .27

4 0 5.51

4 0 4.77

4 0 4.07

4 0 3.60 4 0 3.66

403 .49

4 0 3.25

4 0 3.11

4 0 2.94

402 .88 凌钢厂区

402 .92

402 .75

4 0 2.70

401 .09

凌钢东区住宅凌源东站

金地豪府小区

408 .34

399 .33 高 399 .27 规划住宅区

3 9 9.22 福

399 .24 庄园吉递物流商贸区一期规划住宅区连

409 .62

4 1 6.98 411 .91

线 412 .89 411 .92 4 1 2.74

414 .05 413 .19 4 1 3.77

4 1 3.35 4 1 3.08 4 1 2.36 4 1 4.56 412 .64 415 .08

4 1 4.85 415 .78 416 .60 4 1 7.09

4 1 8.11

417 .44

4 1 9.44

4 2 0.12 409 .63

419 .85

4 2 1.10

423 .04

4 2 2.91 423 .24 4 4 3.89 4 4 4.00

425 .22 444 .16 4 4 4.29 4 2 8.378.22 444 .71 4 3 1.89 4 3 2.75 433 .90

411 .24

437 .14

439 .25 433 .02 4 3 3.304 3 3.41 吉递物流商贸区 433 .61 433 .74 4 4 1.26 437 .39 442 .35 434 .61

443 .97

4 3 4.96 438 .20 444 .55 4 4 4.84 444 .86 4 4 4.55 444 .90

444 .76 4 4 0.77 4 2 2.46 438 .94 4 4 5.00 443 .14

4 4 0.15 4 3 8.61

4 1 9.92 419 .91 419 .88

436 .65 4 3 5.77 446 .68 440 .82 443 .68

447 .93

4 4 8.01 448 .49 416 .07 448 .57

409 .64 448 .67

447 .01 451 .89 451 .99 446 .87

吉递物流居住区 419 .08

4 1 9.18 4 4 5.20 4 4 7.71

4 1 9.14 4 1 8.97 4 2 6.36 4 2 0.14

4 4 3.35

443 .84

4 4 6.42

4 4 4.09 446 .80

盛世华城 4 4 7.96

4 4 1.02 4 4 4.42

441 .05 444 .73

4 4 6.98

446 .58

445 .09 4 4 0.46 441 .08 441 .24

441 .19

442 .06 4 4 2.58

规划汽配城 4 4 2.42

4 4 3.93 4 4 5.42

447 .40

444 .82

442 .34 4 3 6.83

437 .86 盛世华城 442 .08 443 .70 4 4 5.82

4 4 6.42

446 .61

4 4 4.15

446 .58

昆明小区城北公安分局 446 .05 北街街道办事处凌钢技术研发中心 4 3 7.52 东苑小区 4 3 7.81 4 1 8.31 4 2 0.50

444 .29 4 4 4.53 4 4 2.03 4 4 4.33 4 4445 5.57 .69 444 .25 444 .23 444 .14 445 .29 441 .43 4 4 5.46 438 .79 442 .34 444 .25 444 .02 4 3 8.89 规划广场 439 .50 人寿保险公司回民小学 4 2 0.86 4 3 7.91 433 .36

443 .47 442 .01 443 .63 420 .77 445 .78

4 4 6.20

442 .56

4 4 1.57 4 4 1.56 方块城 4 2 0.62

4 4 2.12 4 2 0.60 凌钢新区主干路 4 4 3.03

420 .73 446 .11 4 2 2.62 铁西体育场凌源市人民政府北桥子邮政支局 4 2 2.62422 .57 凌源市政府联通公司中医院二部木兰山变电所净水厂广播局安居工程

新华书店规划陶然居小区

规划汽车检测线

4 1 6.50

江源小区福临佳苑一期 4 1 5.68 城市信用社规划御龙馨苑

415 .17

高压线加油加气站 414 .79 福临佳苑二期市医药公司化石城 4 1 4.40 基督教宝德花园小区第一高中福临佳苑三期宏建三期美食城规划凌海花园小区交警队富丽园一期

绿地

411 .86 福临佳苑四期

中宝小区规划道监狱分局规划带状公园中宝大厦体市幼儿园育中心健鑫小区分局医院 5 5 8 2 平方米 175亩交通大厦总占地2 0 4 8 2 平方米，建设用地 1 3 7 1 1 平方米北侧可开发用地2 1 3 6 1 平方米

A B 规划绿景湾小区 C 农业局宝利园小区交通局

规划医院规划道路第三初中

南河花园一期

规划金阳丽景小区

凌源市公安局宅旁绿地规划花卉市场发展用地文化广场规划小学

加油站南环路

大凌河南大桥

34 Annex 2 External Monitoring Plan

A Objective of Monitoring and Evaluation

In line with the Non Voluntary Migration Guidelines (OP4.12) of the World bank, No. 80 Document ‘Resettlement of Non-Voluntary Migration during Project Development- Guidelines for the World Bank Financed Project’, and Annex 3 ‘Guidelines for Monitoring and Evaluation Technique for Non-Voluntary Resettlement’ and the Guidelines for Monitoring and Evaluation of the World Bank Financed Project, independent monitoring and evaluation should be undertaken on the land acquisition and resettlement of the central heating project in Lingyuan. Follow-up evaluation will be made for the resettlement work of the project. Reports will be submitted regularly (i.e. twice a year) to the World Bank, the Project Office and related administrations with information and recommendations included for their reference of decision- making. Through independent monitoring and evaluation, the World Bank and the project supervising institution are fully informed whether the land acquisition and resettlement work is implemented well on time and meet the expected objective. Also, problems and recommendations are also included in the report for further improving the work.

B Content of Monitoring and Evaluation

Assessment on Capability of the implementing institution of land acquisition: The capabilities and efficiency of the implementing institution

 Progress, compensation and payment of resettlement for the affected people  Impact analysis of land acquisition  Survey on income level of the land acquisition affected households (10% sampling)  Restoration measures for vulnerable groups  Public facilities: monitoring payment of compensation fund, restoration of function of public facilities and progress of re-building  Public participation and negotiation: participation in public participation activities during the formulation and implementation of project resettlement plan, monitoring the effect of participation of the affected people  Grievance of the affected people: monitoring registration and handling of grievance

C External Monitoring Institution The independent M&E work on this project is undertaken by the Sociology Institute of LASS.

35 D Organization and Responsibilities of Monitoring and Evaluation

 The project office entrusts the monitoring institution to conduct the survey, data collection, and computer analysis work, and review and approve the result.  The monitoring institution organized the M&E team on the project. The tasks of team are to monitor and evaluate land acquisition and resettlement work of the project with the guidance of the World Bank officers and formulate the M&E outline, set-up the monitoring sites, conduct the on-site survey and analysis, as well as formulation of the M&E report.  The project office assists the M&E team in human resources and transport etc. during the on-site survey period.

E Methodology of Monitoring and Evaluation

 Combination of on-site survey, calculation analysis and integrated evaluation by the experts  Combination of in-depth and width survey: to survey the overall situation including the schedule of the implementation, funding, institution and management etc. Sample survey is undertaken for the affected households.  Random sampling is undertaken, 10% sampling of the affected households  The survey includes the questionnaire, seminars and review of documentation etc.  Besides the text material, photos, record, videos, and real samples etc.

F External Monitoring and Evaluation Report

Evaluation Report Time 1 Socio-economic baseline survey 2013.3 2 M&E report Every half year 3 Pose Evaluation Report 2014.10