Resettlement Plan People's Republic of China: Chongqing Urban–Rural

Resettlement Plan

May 2015

People's Republic of China: Chongqing Urban–Rural Infrastructure Development Demonstration II Project

Prepared by Shizhu County Transportation Construction Corporation for the Asian Development Bank. This is an updated version of the draft originally posted in March 2013 available on http://www.adb.org/projects/documents/chongqing-urban-rural-infrastructure-development- demonstration-shizhu-rp

CURRENCY EQUIVALENTS (as of 1 November 2014)

Currency unit – yuan (CNY) CNY1.00 = $0.1628 $1.00 = CNY6.1431

ABBREVIATIONS ADB – Asian Development Bank AP – affected person GDP – gross domestic product PMO – project management office RP – resettlement plan PRC – People's Republic of China RMB – Chinese Renminbi (Yuan)

WEIGHTS AND MEASURES mu – 666.7 square meters km – kilometer

NOTE

In this report, "$" refers to US dollars.

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

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

ADB-financed Urban and Rural Road Network Reconstruction Project

(Yuelai- Huangshui Section) of Shizhu County, Chongqing

Final Resettlement Plan (based on detailed measurement survey)

Shizhu County Transportation Construction Corporation

March 2015

Content

Executive Summary ...... 5

A、Project Background Information ...... 5 B、Impact Scope ...... 5 C、Information Disclosure，Participation and Appeal ...... 5 D、Policy and Legal Framework ...... 7 E、Resettlement and Income Restoration ...... 8 F、Resettlement Expense Budget ...... 8 G、Institution and Implementation Plan ...... 9 H、Monitoring and Evaluation ...... 9

1 Project Description ...... 10

1.1 Introduction ...... 10 1.2 Project Compilation Basises ...... 10 1.3 Project Profile ...... 11 1.4 Measures for Reducing the Project Impacts ...... 12

2 Scope of Land Acquisition, Demolition and Relocation ...... 13

2.1 Impact Profile ...... 13 2.2 Project Impacts ...... 13 2.2.1 Permanent Land Acquisition Impact ...... 13 2.2.2 Temporary Land Occupation Impact ...... 16 2.2.3 House Demolition and Impacts Analysis ...... 17 2.2.4 Affected Vulnerable Groups ...... 17 2.2.5 Affected Ethnic Minorities ...... 19 2.2.6 Ground Structures (Attachments) and Fruit treess ...... 19

3 Socio-economic Surveys ...... 21

3.1 Social and Economic Status Quo of the Counties Involved ...... 21 3.2 Social and Economic Status Quo of the Townships and Towns Involved ...... 22 3.3 Social and Economic Status Quo of the Villages Involved ...... 22 3.4 Social and Economic Status Quo of the Households Affected by the Project ...... 23 3.4.1 Demographics of Affected Persons ...... 25 3.4.2 Landownership Condition ...... 27 3.4.4 Financial Analysis ...... 28 3.4.5 Main Economic Activities ...... 29

4 Public Participation and Appeal Mechanism ...... 31

4.1 Public Participation Plan ...... 31

4.1.1 Public Participation in Progress ...... 32 4.1.2 Public Participation Plan of the Next Stage ...... 35 4.2 Appeal Mechanism ...... 36

5 Legal Framework and Resettlement Policy ...... 39

5.1 Resettlement Principles ...... 39 5.2 Applicable Laws and Regulations on Resettlement ...... 39 5.3 ADB Involuntary Resettlement Policy Requirement ...... 40 5.4 Policy Gap ...... 42 5.5 Compensation Standards ...... 43 5.5.1 Compensation Standards for Permanent Land Acquisition ...... 43 5.5.2 Compensation Standards for Temporary Land Occupation ...... 45 5.5.3 Compensation Standards for Rural Houses ...... 45 5.5.4 Compensation Standards for Attachments ...... 46 5.6 Qualification and Power Matrix ...... 46

6 Income Restoration and House Relocation Schemes ...... 50

6.1 Objectives and Principles of Land Acquisition and Resettlement ...... 50 6.2 Income Restoration Scheme ...... 50 6.2.1 Land Acquisition Compensations ...... 50 6.2.2 Skill Trainings for the Affected Persons ...... 52 6.2.3 Employment Created by the Project ...... 52 6.3 Rural House Demolition and Relocation Scheme ...... 53 6.4 Relocation of the Vulnerable Groups ...... 53 6.5 Temporary Land Occupation ...... 54 6.6 Restoration of the Affected Attachments ...... 54

7 Resettlement Cost Estimation and Management ...... 55

7.1 Resettlement Budget ...... 55 7.2 Source of Fund ...... 57 7.3 Fund Flow and Appropriation Plan ...... 57 7.3.1 Fund Flow ...... 57 7.3.2 Appropriation Plan ...... 58

8 Institution Setup ...... 59

8.1 Implementation Institution ...... 59 8.2 Resettlement Implementation Institution ...... 59 8.3 Responsbilities of the Institution ...... 60 8.4 Resettlement Institution Staff and Facility ...... 63 8.4.1 Facility ...... 64 8.4.2 Training Plan ...... 64

9 Implementation Schedule ...... 66

10 Monitoring, Evaluation and Reporting System ...... 68

10.1 Monitoring and Evaluation ...... 68 10.2 Internal Monitoring ...... 68 10.2.1 Implementation Procedure ...... 68 10.2.2 Monitoring Content ...... 68 10.2.3 Internal Monitoring Report ...... 69 10.3 External Independent Monitoring ...... 69 10.3.1 Objective and Task ...... 69 10.3.2 Independent Monitoring Institution ...... 69 10.3.3 Monitoring Procedure and Content ...... 70 10.3.4 Monitoring Indexes ...... 71 10.3.5 External Monitoring Report ...... 72

Appendix 1: Relevant Laws and Regulations ...... 74

Appendix 2: The Resettlement Information Brochure ...... 76

Appendix 3: The External Monitoring and Evaluation Compendium ...... 85

Appendix 4: The Commitment Letter of Shizhu County Land and Resources

Bureau ...... 89

Table Directory

Table 1 - Alternative Schemes ...... 12 Table 2 - Permanent Land Acquisition Situation ...... 14 Table 3 - Cultivated Land Loss Situation ...... 15 Table 4 - Temporary Land Occupation Area ...... 16 Table 5 - House Demolition Structure and Use Area ...... 17 Table 6 - Impacts on Vulnerable Groups ...... 19 Table 7 - Ground Structures (Attachments) and Fruit treess ...... 19 Table 8 - Basic Information of Affected Towns ...... 22 Table 9 - Basic Information of Affected Villages ...... 23 Table 10 - Sample Survey Proportion ...... 24 Table 11 - Demographics of the Surveyed Households ...... 25 Table 12 - Per Capita Cultivated Land Possession Quantity of the Affected Villages/Groups ...... 27 Table 13 - Household Income Distribution ...... 28 Table 14 - Female-earned Income Distribution in the Household Income ...... 28 Table 15 - Annual Income and Expenditure Structure of Rural Households ...... 29 Table 16 - Public Participation Activities Situation ...... 33 Table 17 - Public Participation Suggestions and Solutions ...... 34 Table 18 - Public Participation Plan of the Next Stage ...... 35 Table 19 - Contacts of the Responsible Persons of Each Stage of The Appeal Channel Diagram37 Table 20 - Compensation Standards for Permanent Land Acquisition ...... 43 Table 21 - “Agricultural to Non-agricultural” Status Changing Population Computation ...... 44 Table 22 - Compensation Standards for House Demolition ...... 45 Table 23 - Compensation Standards for Affectd Attachments ...... 46 Table 24 - Power Matrix ...... 47 Table 25 - The Preliminary Scheme of Using the Land Compensations ...... 51 Table 26 - Trainings Provided by Local Governments ...... 52 Table 27 - Capital Budget Sheet ...... 55 Table 28 - Institution Staffing ...... 63 Table 29 - General Progress Plan of the Resettlement Activities ...... 66 Table 30 - The Resettlement Monitoring and Evaluation Schedule...... 72 Diagram Directory

Map 1 The Geographical Location Map of the Huangyue Road Project and Huangshui Road Project ...... 12 Map 2 The House Demolition Status Quo and the Geographical Location Map ...... 10 Diagram 3 The Appeal Channel Diagram ...... 37 Diagram 4 The Resettlement Fund Flow Diagram ...... 58 Diagram 5 The Resettlement Implementation Institution Diagram ...... 60

Executive Summary A、Project Background Information The 19.7-km Yuelai-Huangshui (Yuehuang) Road in Shizhu County is a subproject of Asian Development Bank (ADB)-Financed Chongqing Urban and Rural Infrastructure Development II Project. The feasibility study of the Yuehuang Road project was completed in May 2011. The draft Resettlement Plan was completed in December 2012 and was approved by ADB in March 2013. Due to the adjustment of the project construction design, which has been completed in Feburary 2015 The Final Resettlement Plan (RP) has to be correspondingly updated according to the ADB requirements.

The compilation of The Final RP of the Yuehuang Road project is entrusted by Shizhu

County Transportation Construction Corporation finished updating in November 11st. of

2014.

The compilation of The Final RP aims to guarantee that the living standard of persons affected by the land acquisition will be improved or at least equivalent to that which they had without the project. B、Impact Scope

According to the detailed survey of preliminary design, the total rural collective land area to be required by the permanent land acquisition is 642.9mu, including 182.3mu cultivated land and 460.6mu forestland. The permanent land acquisition will affect 1, 018 persons of 289 households from 13 groups of 5 villages in 2 towns of Shizhu County. The temporary land occupation area is 390.75mu, including 45.85mu cultivated land and

344.90mu forestland. The temporary land occupation will affect 510 persons of 129 household from 5 villages in 2 towns of Shizhu County. The rural house demolition area is

739m², including 133m2 masonry-concrete structured houses and 606m2 masonry-timber structured houses. In addition to 21 persons of 5 households from 3 groups of 3 villages in

2 towns of Shizhu County, the demolition will affect 10 kinds of attachments, including enclosing walls, wells, tombs and electric poles and so on. C、Information Disclosure，Participation and Appeal

All of the affected households, villages, village cadres and governments of townships, towns and the county have participated in the project impacts and socio-economic survey.

The representatives of the affected persons have participated in the project design in many occasions by attending to the meetings, interviews, key group interviews, public participation activities and community consultative meetings. All of their concerns have been addressed in the land acquisition resettlement plan. From November 2011 to

November 2014, there have been 25 consultations held in the village committees and attended by 270 affected persons. Before the project implementation, the Chongqing PMO, the implementation institution and village cadres will further consult and disscuss the specific impacts and compensation scheme with the representatives of the affected persons to protect the rights and interests of the affected persons and provide employment opportunity for their livelihood restoration. The county government will publicize the Final

RP in the community and village committees, and it has been publicized on the ADB’s website in March 2015.

The Land Acquisition and Resettlement Information Brochure will be distributed to the affected households in March 2015 (after the local land and resources department has completed the detailed measurement survey). The Brochure includes the following information: the affected area, the project schedule, compensation standards for land and other properties, the demolition and relocation scheme, the economic restoration strategy and the appeal settlement mechanism.

If the affected persons are not satisfied with the resettlement planning or implementation, they could submit an oral or written complaint to the relevant village committee first. If the village committee couldn’t solve the problem, the affected persons could submit a complaint to the town government. If the complaint still could not be solved, they could submit a complaint to the Land and Resources Bureau. The Bureau must reply to the affected persons within 2 weeks. If the affected persons were still not satisfied with the result or the complaint was very serious, the Shizhu County PMO should solved the problem. In addition, at any point in the appeal procedure, the affected persons can lodge a complaint to the civil court according to the Civil Procedure Law of the People’s Republic of

China.

D、Policy and Legal Framework

1.5 The legal framework of the project resettlement is mainly based on the PRC Law on

Land Management (2004), The Decision of State Council on Deepening Reform of the

Strict Land Management (GF[2004] 28), Chongqing Land Management Laws and

Regulations and Notice of People’s Government of Chongqing Municipality on Issues

Regarding Further Adjusting the Policies of Land Acquisition, Compensation and

Resettlement (YFF [2013] 58). These policies have been important guides for the compilation of The Resettlement Plan, which conforms to the relevant PRC laws and regulations on the resettlement and ADB’s Safeguard Policy Statement (2009). The resettlement principles of this project are:（i）avoiding or reducing the land acquisition and involuntary resettlement by compiling and comparing various design schemes;（ii）providing compensations and rights for the affected persons according to the replacement cost and making sure that the compensaitons and rights are enough to keep the affected persons’ living standard higher or at least not lower than that before the project;（iii）reducing the temporary land occupation area and shorten the land use intervals as far as possible;（iv） taking all affected persons into consideration, including law-abiding ones and law-breaking ones;（v）assuring that the per capita land possession quantity is enough for the affected persons to maintain their original living standard;（vi）providing other income-generating activities for the affected persons if the per capita land possession quantity is not enough for them to maintain their original living standard;（vii）providing preferential policies for the vulnerable groups in compensations, special funds, subsistence allowances and employements;（viii）informing all the affected persons of the qulifications, compensation amount and standards, livelihood and income restoration plan and the project implementation schedule;（ix）starting demolition after paying full compensations and providing other rights for the affected persons;（x）assuring that the resettlement budget is enough to settle all of the impacts caused by the project construction; and（xi）monitoring closely and act timely to find out and solve all problems.

E、Resettlement and Income Restoration

The compensation standards for the land acquisition and the house demolition

conform to the Notice of People’s Government of Chongqing Municipality on Issues

Regarding Adjusting the Policies of Land Acquisition, Compensation and Resettlement (YFF [2013] 58) and ADB’s Involuntary Resettlement policy requirements. The land compensations standard is 15,000yuan/mu and the relocation subsidiy for each

“agricultural to non-agricultural” status changing person is 36,000yuan. The land compensations and relocation subsidies will be paid to the village collectives to help them develop collective economy and arrange the production and livelihood of the members.

The villages will convoke the villager assembly to discuss and decide how to use the compensations. The quality of the replacement land distributed to the affected persons should be equal to that of their original ones. The income restoration measures include:

providing employment opportunities for the affected persons during the project construction and operational phases, developing crops with high economic value, promoting and developing the second and tertiary industries and providing skill trainings to

improve the labor skills of the affected persons. The compensations for the rural house demolition should be paid in cash according to the replacement cost. The real estate appraisal and measurement institution will conduct field evaluation. Then the demolition

institution and the affected households should reach an agreement based on the above situation. The villages should provide new land for the affected persons to build new houses. F、Resettlement Expense Budget

7 The total resettlement cost of the ADB-financed rural road project of Shizhu County, Chongqing is 34,026,800yuan, including 3 parts: (1) 18,744,300yuan basic cost, including 17,208,700yuan permanent land acquisition compensations, 436,600yuan temporary land occupation compensation yuan, 543,500yuan house demolition and relocation compensations and subsidies, and 551,000yuan attachments compensations; (2) 10,198,600yuan management cost and monitoring cost; (3) 1,874,300yuan contingencies.

The resettlement capital is provided by the Shizhu County government.

G、Institution and Implementation Plan

The institutions of the ADB-financed rural road project of the Shizhu County, Chongqing include the leading institutions and the implementing institutions. The leading institutions include the Shizhu County ADB project leading groups and Shizhu County PMO. The implementing institutions include Shizhu County Transportation Construction Corporation (the owner unit), the resettlement management office and cadres groups from towns and villages.

The Shizhu County PMO and the project implementation institutions will respectively provide at least 2 full-time staff to take charge of the land acquisition and resettlement (LAR) and the RP implementation, financing and monitoring. They also have to monitor (the rights delivery, the income restoration, the replacement of the land and other economic measures of the LAR and train the LAR staff within the Land and Resources Bureau and the responsible persons of the villages and communities. Before the civil engineering contract is signed, the Final RP must be updated based on the final design and detailed measurements and surveys and be submitted to ADB to be reviewed and approved; this process has now been completed H、Monitoring and Evaluation The monitoring and evaluation includes internal monitoring and evaluation and external monitoring and evaluation. The internal monitoring and evaluation ensure that all responsible departments strictly implement the land acquisition resettlement plan and schedule. The external monitoring and evaluation are conducted regularly by an external independent institution, which is responsible for regularly reporting to Chongqing PMO and making suggestions on the solutions of the LAR problems so that the LAR can go smoothly. At present, external institution of Halcrow(Chongqing) Engineering Consulting Co.LTd was determined through pubic bidding in February 2015. The contract number of external monitoring and evaluation.for RP is 0004.

1 Project Description 1.1 Introduction

1 This Resettlement Plan (RP) is compiled according to the Requirement 2 of ADB’s Safeguard Policy Statement (2009): The Involuntary Resettlement and the relevant land use laws and regulations of PRC and relevant policies made by Chongqing and Shizhu County governments. The RP has summarized the frameworks of these policies and has come up with some effective measures to reduce the negative effects the project has brought based on a series of public participation activities and sufficient consultations.

2 For the Chinese government and ADB, the primary goal of the RP is to ensure that people whose lands or properties are inevitably lost in the development plan can have the same or better livelihood and living standard than the “non-project” time. All policies, suggestions and compensation measures in the RP contribute to realizing this goal. This version is the Final RP based on detailed design and detailed measurement survey (DMS) of affected lands, persons and assets.

1.2 Project Compilation Basises

3 The compilation basis of the RP is as follows: ⑴ Requirement 2 of ADB’s Safeguard Policy Statement (2009): The Involuntary Resettlement； ⑵ Laws and regulations of PRC;

⑶ Local laws, regulations and policies of Chongqing and Shizhu County; ⑷ Reports related to the project design and evaluation: Project Feasibility Study Report and Environment Impact Assessment Report;

⑸ Field investigations on the project design places; ⑹ In-depth interviews on the relevant staff of towns, villages and groups in Shizhu County;

⑺ Sample surveys on the socio-economic situation and land use compensations and relocations desires of the affected persons in November 2011and 2014; ⑻ Discussion with representatives of the affected persons and representatives recommended by the affected persons from 6 villages; 10

⑼ Discussion with responsible persons from relevant towns and bureaus;

⑽ Interivews on people in poverty and other vulnerable groups.

4 The above items are the compilation basises of The Resettlement Plan and provide policy framework for making measures to reduce the negative effects and conditions for restoring income of the affected persons.

5 The engineering data in this resettlement plan come from the preliminary design and construction design report finished in February 2015. The RP and The Resettlement

Information Brochure will be publicized in local language and distributed to the affected persons in March 2015. 1.3 Project Profile

6 Project Name: ADB-financed Urban and Rural Road Network Reconstruction Project ( Yuelai- Huangshui Section) of Shizhu County, Chongqing; Construction Type: Rehabilitation and Expansion;

Owner Unit: Shizhu County Transportation Construction Corporation; Construction Location: Huangshui Town and Yuelai Town of Shizhu County; Project Scale: the overall length of Huangyue Road project is 19.694km and its width is

7.5m; Third Class highway; It includes 2 medium bridges and 55 culverts;

7 Project Investment: The total project cost of the ADB-financed Huangyue Road project of Shizhu County, Chongqing is 197,435,200yuan, including 36,701,900yuan resettlement cost, which accounts for 18.59% of the total project cost.

8 The geographical locations of the Huangyue Road project and Huangshui Road project of Shizhu County is in Map 1.

主线不实施段主线实施段支线

Map1 The Geographical Location Map of the Huangyue Road Project and Huangshui Road Engineering

1.4 Measures for Reducing the Project Impacts

9 To reduce the land acquisition area and the house demolition area, populated regions should be avoided in the project layout. The acquired cultivated land area and the demobilization area should be reduced as far as possible.

10 The alternative schemes of the Yuehuang Road project are in Table 1 and Scheme 2 was adopted.

Table 1 - Alternative Schemes

Alternative Content Scheme 1 Scheme 2

Total Length 21.287 km 19.694km

Acquired Collective Land Area 740mu 642.9mu

Affected Households and Affected Persons 328 households，1322 289 households，1018 by the Land Acquisition persons persons

House Demolition Area 5102 m2 739m2

Affected Households and Affected Persons 64 households，235 persons 5 households，21 persons by the House Demolition

Remark: The affected volumes of scheme 1 are based on actual land occupation area which is not only including the 7.5 meter width of road surface . Please refer to Shizhu Road Change Duty Report.

2 Scope of Land Acquisition, Demolition and Relocation 2.1 Impact Profile

11 According to the detailed survey, finished in February 2015，the project requires 642.90mu rural collective land permanently, including 182.3mu cultivated land and 460.6mu forestland. The permanent land acquisition will affect 1,018 persons of 289 households from 13 groups of 5 villages in 2 towns of Shizhu County. The temporary land occupation area of the project is 390.75mu, including 45.85mu cultivated land and 344.90mu forestland. The temporary land occupation will affect 510 persons of 129 households from 4 villages in 2 towns of Shizhu County. The rural house demolition area is 739m², including 133m2 masonry-concrete structured houses and 606m2 masonry-timber structured houses. In addition to 21 persons of 5 households from 3 groups of 3 villages in 2 towns of Shizhu County, the demolition will affect 10 kinds of attachments, including enclosing walls, wells, tombs and electric poles and so on.

2.2 Project Impacts 2.2.1 Permanent Land Acquisition Impact 12 The permanently occupied land of this project is mainly land occupied by the roadbed. It requires 642.90mu rural collective land permanently, including 182.3mu cultivated land and

460.6mu forestland. The permanent land acquisition will affect 1,018 persons of 289 households from 13 groups of 5 villages in 2 towns of Shizhu County. The influence physical quantity of land acquisition and demolition in feasibility study report was updated in

2014 August. In the original plan, the physical quantity for land acquisition and demolition impact data was estimated on only within the road range of 7.5 meters, without considering of constructing roads, especially constructing on slope, slope and retaining wall must be carried out on both sides of the road. Therefore, the original data of feasibility research on land acquisition and demolition is far smaller than that of possible data. The data of table which was measured in 1:2000 topographic map is updated, including the impact physical quantity on road surface and both sides of the road pavement,

Table 2 - Permanent Land Acquisition Situation

Affecte Land Acquisition Area Village/Neighb Affected Road Group/Co d Cultivated Land Town ourhood Househol Subtota Forest Name mmunity Person Subtota Paddy Goldthread Committee d l Dry Land land s l Field Field Huangshui Dachuan Neighbourhood 15 56 21.51 10.26 2.85 3.21 4.2 11.25 Group Committee Huanshui Baijin Town 13 54 20.71 8.37 3.13 1.74 3.5 12.34 Group Jinhua Village Jintan 28 110 58.21 21.47 6.35 8.52 6.6 36.74 Group Gucheng 30 119 54.15 20.61 16.05 4.56 0 33.54 Community Qinglong 36 120 65.59 20.36 11.81 8.55 0 45.23 Xincheng Community Village Yongwei 6 23 15.46 3.94 2.51 1.43 0 11.52 Group Yuelai- Xingguang Huangshui 80 221 222.0656.81 35.24 21.57 0 165.25 Community Section Shuangjian 12 45 24.71 7.37 5.23 2.14 0 17.34 Yuelai Group Town Longjing 15 60 30.63 12.4 8.74 3.66 0 18.23 Group Shiping Yuelai Village 12 43 29.37 9.19 6.31 2.88 0 20.18 Group Xuetang 26 105 62.75 7.5 4.25 3.25 0 55.25 Group Yongfeng 13 50 31.1 2.77 1.58 1.19 0 28.33 Group Huangjin Heli Group 3 12 6.65 1.25 1.25 0 0 5.4 Village Total 289 1018 642.9 182.3 105.3 62.7 14.3 460.6

In Chongqing, the forestland tenure reform has just been completed. The forest right is the individual’s. The forest land are collective-owned. The land compensations and the

resettlement subsidies of forestland will be paid to the collective economic organizations, but the resettlement subsidies of forest crops will be directly distributed to the affected persons or the collective economic organizations..

The cultivated land acquisition will affect 258 households. 114 households will lose less than 10% of their cultivated land. 117 households will lose 11%-20% of their cultivated land. 23 households will lose 21%-30% of their cultivated land.It can bee seen more hilly areas were been occupied rather than cultivated land which reduces the influence on farmer’s income. 14 According to the socio-economic survey, the agricultural income accounts for 13% of the household income. Therefore, 77% land loss can only cause 10% income loss of 1 household. The household income losses of all 258 affected households are less than 4%.

Comparison with the feasibility study report, Heli group of Huangjin village increased in the affected households. The specific cultivated land and income loss proportion is in Table 3.

Table 3 - Cultivated Land Loss Situation

Village/Neig Affected Households’ Land Loss Proportion (household) Road Group/Co Town hbourhood Name mmunity Total <10% 10%~20% 20%~30% 30%~50% >50% Committee Huangshui Neighbourho Dachuan 7 1 5 1 od Group Huanshui Committee Town Baijin 9 6 7 2 Jinhua Group Village Jintan 27 12 12 3 Group Gucheng 29 15 8 6 Community Qinglong 33 13 20 0 Yuelai- Xincheng Community Huangshui Village Yongwei 6 2 4 0 Section Group Xingguang 72 28 29 5 Community Yuelai Shuangjian Town 11 4 7 0 Group Longjing 15 9 5 1 Group Yuelai Village Shiping 10 4 6 0 Group Xuetang 24 14 7 3 Group Yongfeng 12 4 6 2

Group Huangjin Heli Group 3 2 1 0 Village Total 258 114 117 23 0 0

2.2.2 Temporary Land Occupation Impact

15 The temporary occupied lands mainly refer to the lands occupied by the construction roads, material yards, and camp buildings. The total temporary land occupation area is 390.75mu, affecting 510 persons of 129 households. The specific situation is in Table 4.

Table 4 - Temporary Land Occupation Area

Temporarily Occupied Rural Administrative Region Affected Persons Subproject Collective Land (mu) Name Cultivate Town Village Group Subtotal Forestland Household Person d Land Huangshui Neighbourh Dachuan 34.43 3.21 31.22 12 47 Huanshu ood Group i Town Committee Jinhua Baijin Group 21.66 1.84 19.82 7 30 Village Jintan Group 35.21 5.2 30.01 11 43 Gucheng 35.54 4.33 31.21 15 60 Community Qinglong 28.69 3.56 25.13 8 33 Xincheng Community Yuelai- Village Yongwei Huangshui 43.35 4.53 38.82 15 50 Group Section Xingguang 82.01 7.2 74.81 18 75 Yuelai Community Town Shuangjian 16.54 2.8 13.74 7 27 Group Longjing 23.38 4.1 19.28 10 40 Yuelai Group Village Shiping Group 19.33 3.1 16.23 7 28 Xuetang Group 24.59 2.77 21.82 12 50 Yongfeng 26.02 3.21 22.81 7 27 Group Total 390.75 45.85 344.9 129 510

2.2.3 House Demolition and Impacts Analysis

16 Accordng to the survey, the house demolition area of the rural road rehabilitation and expansion project of Shizhu County is 729m2. From the building structure aspect, there are 133m2 masonry-concrete structured houses, 540m2 masonry-timber structured houses and

56m2 wooden houses. From the application aspect, there are 673m2 living houses and 56m2 enclosures and sheds. The house demolition will affect 21 persons of 5 households from 3 groups of 3 villages in 2 towns of Shizhu County. The demolition has also affected

10 kinds of attachments, including enclosing walls, wells, tombs and electric poles and so

on. The specific demolition situation is in Table 5 and Map 2. Comparison with original RP, the number of house demolitions will be much decreased, as for the detailed dates please refer to

Shizhu Huangyue Road Duty Report.

Table 5 - House Demolition Structure and Use Area

Affected House Use Administrative Region Household and House Structure and Area（m2） and Area 2 Subject Person （m ） Househol Perso Steel-c Masonry- Masonry- Mud Main Wing- Town Village Group Total d n oncrete concrete timber Wall House room Huangshui Huanshu Dachuan Neighbourhoo 1 4 90 0 0 90 0 90 0 i Town Group Yuelai- d Committee Huangshui Xincheng Gucheng 1 4 133 0 133 0 0 133 0 Section Village Group

Shuangjian Yuelai Village 3 13 506 0 450 56 450 56 Group

Total 5 21 729 0 133 540 56 673 56

2.2.4 Affected Vulnerable Groups

18 According to the socio-economic survey, the affected vulnerable groups by the project

include 4 households with 14 persons: 1 household with 2 elderly persons, the main labor force of which is the elderly people, 1 household with 3 persons, the main labor force of which is women, and 2 poverty-stricken households with 9 persons. The total cultivated

land area acquired from the surveyed vulnerable households is 0.63mu. The specific situation is in Table 6.

Map 2 The House Demolition Status Quo and the Geographical Location Map

Table 6 - Impacts on Vulnerable Groups

Main Labor Force Main Labor Force of the Household Poveny-stricken Cultivated Annual of the Household Agricultura Road is the Elderly Households Land Income of Town Village is Women l Income Name People Acquisition Househol Loss Househol Househol Househol Area (mu) d Person Person Person d d d Huangshui 1 2 0.1 3500 34 Huangshui Village Town Jinhua Yuelai- 1 4 0.15 7000 24 Village Huangshui Xincheng Section 1 5 0.2 8000 31 Yuelai Village Town Yuelai 1 3 0.18 6000 42 Village Total 1 2 1 3 2 9 0.63 Data Sources: The socio-economic surveys of November 2014.

2.2.5 Affected Ethnic Minorities

19 According to the relevant ethnic policy of China, Shizhu County is an autonomous county of Tujia ethnic minority. 85% of the total population of the county is ethnic minority.

There are 265 ethnic minority households in the affected 289 households. All of them are Tujia ethnic minority. Shizhu County has re-become Shizhu Antonomous County of Tujia Ethnic Minority in 1984. It has 3,000 years history, dating from the Western and Eastern

Zhou Dynasties. After 3,000 years, the Tujia custom, language and words, culture, religion and clothes have assimilated into the Han nationality.

2.2.6 Ground Structures (Attachments) and Fruit treess 20 The specific information is in Table 7.

Table 7 - Ground Structures (Attachments) and Fruit treess

Quantity Type of Attachments Unit Huangshui Note Owner Total Yuelai Town Town each enclosing wall m3 80 50 30 household each soil m2 450 150 300 dam household flagstone m2 220 100 120 each

household each Manure pit m3 14.1 7.8 6.3 strip stone household each tomb each 6 2 4 household brick canal m3 190 70 120 village structure electric pole each 19 5 14 village electric wire m 2050 550 1500 village diameter: 2-4 cm plant 800 500 300 each fruit trees diameter: 4-7cm plant 370 280 90 household diameter: 7-10 cm plant 250 150 100 commercial diameter: 3-5 cm plant 23000 5000 18000 forest commercial diameter: 5-10 cm plant 7000 2000 5000 forest each unspecifie commercial household diameter: 10-15 cm plant 3500 1000 2500 d trees forest or commercial collectives diameter: 15-20 cm plant 2600 800 1800 forest commercial diameter: more than 20 cm plant 1200 400 800 forest

21 6 affected tombs are built 20 years ago. They are not ancient tombs or ethnic minority tombs. The local tomb removal custom is same with other places, which mainly includes

selecting the removal date by practising geomancy and no other special matters needing attention.

3 Socio-economic Surveys 3.1 Social and Economic Status Quo of the Counties Involved

22 Lying in the east of Chongqing and on the south band of Yangtze River, Shizhu Autonomous County of Tujia Ethnic Minority is the center of the Three Gorges Reservoir Region, with Lichuan City of Hubei in the east, Pengshui County in the south, Fengdu

County in the southwest, Zhong County in the northwest and Wanzhou District in the north. It is located at 107°59′ to 108°34′ east longtitude and 29°39′ to 30°32′ north latitude. 23 In 2013, the GDP of Shizhu County totals to 9,310.33 million yuan, 13.3% higher than

2011, among which the primary industry has achieved 1,818.50 million yuan added-value with the growth rate of 5.0%; the secondary industry has achieved 4,240.62 million yuan added-value with the growth rate of 20.6%; the tertiary industry has achieved 3,251.21 million yuan added-value with the growth rate of 9.1%. In the second industry, the industry has achieved 3,126.19 million yuan added-value with the growth rate of 20.3%. If the permanent population is calculated on, the per capita GDP is 22,614 yuan. The contribution rates to the local economic growth of the three industries are respectively 7.0%, 67.2% and 25.8%. The contribution rate of the industial economy is 49.2%. The structure ratio of the three industries is 19.5:45.5:35.0. The comparable growth rate of the private economy is

13.3% with 5,392.20 million yuan added-value, accounting for 57.9% of the regional economic aggregate. The general financial revenue is 1,673.26 million yuan with the growth rate of 14.3%. The local financial revenue is 1,409.77 million yuan with the growth rate of 20.0%. The general budget revenue is 714.26 million yuan with the growth rate of

28.5%. In the tax revenue, the added-value tax revenue, the business tax revenue and the corporate income tax revenue are respectively 36.75 million yuan, 195.83 million yuan and

37.85 million yuan, with the respective annual growth rates of -21.9%, -12.7% and -6.8%. This leads to decreasing taxes on land which caused by the real estate market depression. The year-round fiscal expenditure is 3,795.52 million yuan with the year-on-year growth rate of 30.5%. The local general budget expenditure is 3,161.35 million yuan with the growth rate of 36.5%, among which 813.46 million yuan is used in the education, 170.87 million yuan is used in the medical treatment and public health and 813.46 million yuan is

used in the social insurance and employment, with the respective annual growth rates of 78.2%, -17.9% and 11.3%. 3.2 Social and Economic Status Quo of the Townships and Towns

Involved

25 In the northeast of Shizhu County, Chongqing, Huangshui Town is located at 108°25′ to 108°30′east longtitude and 30°10′ to 30°15′north latitude. The distance between Huangshui

Town and Shizhu County town is 68km. The distance between Huangshui Town and Xituo Port is 58km. It is 4-hour drive from Huangshui Town to the main urban area of Chongqing. Huangshui Town covers an area of 157.8km2, with the average elevation of 1,551.4m, the lowest elevation of 1,200m and the highest elevation of 1,934m. The forest coverage rate in this town is 84%. The total population is 13,000, among which 90% are Tujia Ethnic Minority people. It governs 5 villages, 2 neighborhood committees and 33 villagers

(residents) groups. 26 Yuelai Town covers an area of 170km2, with the elevation of 800-1200m. There are 4,785 households with 18,000 persons in this town. As a typical agricultural town, it is an important grain production base of Shizhu County, with the annual grain yield of about 10.00 million kilograms. The economic conditions of the affected towns are in Table 8.

Table 8 - Basic Information of Affected Towns

Total Income of Year-end Per Capita Net Cultivated Land Rural Economy Town Population（ten Grain Yield（ton） Income of Farmers Area（mu）（ten thousand thousand person）（yuan） yuan） Huangshui 1.3 27744 7685 14453 9450 Town Yuelai Town 1.8 38281 8780 24650 8689 3.3 Social and Economic Status Quo of the Villages Involved

Through comparison between preliminary design and pheasibility plan of Huangyue Road, there are some changes which lead to some changes of land acquisition, villages demolition, and affected people, please refer to change duty report of Huangyue

Road. Therefore, new investigated carried on social and economic situation of

the affected people in the affected area. The following analysis is based on the new survey data.

27 The Huangyue Road will pass through Huangshui Town Neighbourhood Committee and Jinhua Village of Huangshui Town and Xincheng Village and Yuelai Village of Yuelai Town. The specific situation is in Table 9.

Table 9 - Basic Information of Affected Villages

Total Per Capita Village/Neig Household Total Agricultural Poverty-stricke Poverty-stricken Net Income Town hbourhood Number Population Population n Population (household) of Farmers Committee (household (person) (person) (person) （yuan） ) Huangshui Neighbourh Huangs 214 680 680 23 75 9412 ood hui Committee Town Jinhua 650 1670 1670 41 141 9417 Village Xincheng 676 2372 2372 69 249 8654 Village Yuelai Yuelai 997 3524 3524 147 384 8765 Town Village Huangjin 630 2010 2010 39 134 8423 Village Data Sources: The socio-economic surveys of November 2014.

28 We can see from the above table that the per capita net income of villagers of the affected 5 villages in two towns is between 8,420 yuan and 9.420 yuan. The per capita net income of farmers in Shizhu County in 2010 is 6,782 yuan. Therefore, the per capita net income of villagers of the affected 5 villages is higher than the county per capita net income. 3.4 Social and Economic Status Quo of the Households Affected by the Project

29 To deeply understand the socio-economic situation of the affected area and the resettlement desires of the affected persons, the investigation team have conducted a socio-economic survey in the affected area in June 2014 and conducted the supplementary survey in November 2014. The main objectives are as follows: (1) to gain the 23

socio-economic information of the affected persons who might lose land and properties; (2) to know the requirements and desires of the affected persons on the project construction.

30 The investigation objects are the affected persons from 13 groups of 5 village/neighbourhood committees in 2 towns. The method is the sample survey by consulting the cadres of villages and groups, distributing questionnaires and carrying out interviews and discussions. During June to November of 2014, 67 households have been investigated, accounting for 23.18% of the affected households by the permanent land acquisition.

Table 10 - Sample Survey Proportion

Village/Neig Group/ Proportion of Affected Sample Survey Road Name Town hbourhood Communit Surveyed Note Household Household Committee y Households Huangshui Neighbourh Dachuan 15 3 20.00% ood Group Huangshui Committee Town Baijin Jinhua 13 3 23.08% Group Village Jintan 28 7 25.00% Group Gucheng 30 7 23.33% Community Qinglong 36 8 22.22% Xincheng Community Village Yongwei Yuelai- Huangshui 6 2 33.33% Group Section Xingguang 80 18 22.50% Community Shuangjian Yuelai 12 3 25.00% Group Town Longjing 15 3 20.00% Group Yuelai Shiping 12 3 25.00% Village Group Xuetang 26 6 23.08% Group Yongfeng 13 3 23.08% Group Huangjin Heli Group 3 1 33.33% 24

Village Total 289 67 23.18%

3.4.1 Demographics of Affected Persons

31 The demographics of the affected persons include sex, age, population composition, education and occupation. 262 persons of 67 households have been investigated. The demographics of these households are in Table 11.

Table 11 - Demographics of the Surveyed Households

Town Huangshui Town Yuelai Town

Huangshu i Neighbour Total Village Jinhua Village Xincheng Village Yuelai Village hood Committe e Mal Fema Subto Sex Male Female Male Female Male Female Male Female e le tal Household 3 10 35 19 67 Total 12 37 138 75 262 Population Average 4 3.7 3.94 3.95 3.91 Population

、Age Composition <16 1 1 2 3 9 8 5 4 17 16 33 12.60% 16-60 3 4 13 12 45 49 26 27 87 92 179 68.32% >60 2 1 3 4 14 13 7 6 26 24 50 19.08% Total 6 6 18 19 68 70 38 37 130 132 262

、Education Background

Illiterate 0 0 0 1 2 3 0 1 2 5 7 2.67% Primary 1 1 2 4 15 19 4 5 22 29 51 19.47% School Junior High 4 4 9 8 40 39 22 23 75 74 149 56.87% School Senior High 1 1 5 5 8 7 10 7 24 20 44 16.79% School Junior 0 0 2 1 3 2 2 1 7 4 11 4.20% College Total 6 6 18 19 68 70 38 37 130 132 262

、Labor Force Composition

Child 0 1 1 2 5 6 4 3 10 12 22 8.40% Student 1 0 3 3 9 10 7 7 20 20 40 15.27% Labor Force 3 4 11 10 40 41 20 21 74 76 150 57.25% Aged 2 1 3 4 14 13 7 6 26 24 50 19.08% Population Total 6 6 18 19 68 70 38 37 130 132 262

、Occupations

Farmer 1 2 4 5 12 25 8 11 25 43 68 45.33% Worker 1 1 6 5 28 15 12 10 47 31 78 52.00% Businessma 1 1 1 0 0 1 0 0 2 2 4 2.67% n

Total 3 4 11 10 40 41 20 21 74 76 150

32 Sex Composition——There are 262 persons of 67 households investigated. All of them

have argricultural status. There are 132 women and 130 men in the investigated persons, respectively accounting for 49.62% and 50.38% of the total affected population.

33 Age Composition——33 persons are 0~16 years old, accounting for 12.60% of the total

affected population; 179 persons are 16～60 years old, accounting for 68.32% of the total

affected population; 50 persons are older than 60 years old, accounting for 19.08% of the total affected population.

34 Education Background——Among the investigated persons, 7 persons are illiterate, accounting for 2.67% of the total affected population; 61 persons only have primary school education, accounting for 19.47% of the total affected population; 149 persons only have

junior high school education, accounting for 56.87% of the total affected population; 44 persons only have senior high school education, accounying for 16.79% of the total affected population; 11 persons have finished technical secondary school, junior college or

even higher education, accounting for 4.20% of the total affected population. According to the survey, the illiterate people are mainly elderly people who are older than 60 years old. The education levels of men and women are basically the same.

35 Labor Force Composition——22 children, accounting for 8.40% of the total affected population; 40 students, accounting for 15.27% of the total affected population; the labor force population is 150, accounting for 57.25% of the total affected population; 50 elderly

persons, accounting for 19.08% of the total affected population.

36 Occupations——Among the 150 labor force population, 68 persons are farmers, accounting for 45.33% of the labor force population; 78 persons are workers (20 persons

are temporary workers in the local place, 58 persons are perennial workers in the local

place), accounting for 52.0% of the labor force population; 4 persons are businessmen, accounting for 2.67% of the labor force population.。 3.4.2 Cultivated land and forest land ownership Condition

37 According to the survey, the per capita cultivated land area of Longjing Group of Yuelai Village is the largest one in all the affected villages in Huangshui Town and Yuelai Town. Its

per capita cultivated land area is 2.45mu. The smallest per capita cultivated land area is that of Yongfeng Group of Yuelai Village. Its per capita cultivated land area is 1.99mu. The specific information is in Table 12. The per capita cultivated land area of the affected

villages is much higher than that of Chongqing Municipality, which is 1 mu. After survey it has been learned that although forest land occupied area were big, most of which are open forests, broad leaved community and sporadic planting fruit tree, so the farmers almost have no gains from

the forest land. Therefore, there is no necessary to do study on forests land of the affected villages and households occupied by.

Table 12 - Per Capita Cultivated Land Possession Quantity of the Affected Villages/Groups

Village/Neighbourho Road Name Town Group/Community Per Capita Cultivated Land od Committee Huangshui Nerbourhood Dachuan Group 2.33 Committee Huangshui Town Baijin Group 2.12 Jinhua Village Jintan Group 2.16 Gucheng Community 2.03 Qinglong Community 2.13 Xincheng Village Yongwei Group 2.18 Yuelai- Huangshui Section Xingguang 2.12 Community Yuelai Town Shuangjian Group 2.01 Longjing Group 2.45 Yuelai Village Shiping Group 2.11 Xuetang Group 2.18 Yongfeng Group 1.99

Huangjin Village Dachuan Group 2.23

Data Sources: The socio-economic surveys of November 2014. 3.4.4 Financial Analysis

3.4.4.1 Distribution of the Household Income 38 The annual per capita net income of 15 sampled households is more than 8,001 yuan.

The annual per capita net income of 36 sampled households is more than 5,000-8,000 yuan. The annual per capita net income of 12 sampled households is 3,001-5,000 yuan. The annual per capita net income of 4 sampled households (most of them are poverty-stricken households) is less than 3,000 yuan. See Table 13.

Table 13 - Household Income Distribution

Net Income Less than More than (yuan/person· 1501-3000 3001-5000 5000-8000 Total 1500 8000 year) Household 0 4 12 36 15 67 (household) Proportion 0.00% 5.97% 17.91% 53.73% 22.39% 100.00% （%） Data Sources: The socio-economic surveys of November 2014. 3.4.4.2 Women’s Income Analysis 39 Women’s income is part of the total household income. According to the survey, among the 67 investigated households, there is 2 household in which women’s income accounts for 50% of the total household income. In 25 households, women’s income accounts for 40~50%. In 30 households, women’s income accounts for 30~40%. In 10 households, women’s income accounts for less than 30%. The specific analysis is available in Table 14.

Table 14 - Female-earned Income Distribution in the Household Income

Proportion of the <30% 30%~40% 40%~50% 50%> 备注 Women’s Income（%） Household（household） 10 30 25 2 Proportion（%） 14.93% 44.78% 37.31% 2.99%

40 The fact that the proportion of women’s income is less than that of man’s is closely related to the working hours of female migrant workers. In accordance with the survey, female migrant workers of the affected persons are mainly engaged in non-manual and

unskilled jobs for which the payments are relatively low, such as restaurant waiter, baby-sitters, cleaners, clothing making or shoemaking and so on. Some women work outside discontinuously instead of perennially because they have to spend some time to look after their children and aging parents. 3.4.4.3 Household Income and Expenditures 41 The incomes of the affected households are mainly non-agricultural incomes, including

incomes earned as workers, ancillary incomes, business incomes, and social insurance payments and so on. The non-agricultural incomes account for 88% of the annual

household incomes. The nonproductive expenditures account for 89% of the total

household expenditures.On the whole, income is more than spending, and average balance of each household is about 10000 yuan for a year.

Table 15 - Annual Income and Expenditure Structure of Rural Households Household Average Item Proportion Value (yuan) 1. agricultural incomes 4000 12% Household Annual 2. non-agricultural incomes 29000 88% Incomes 2.1 incomes earned as workers 25000 76% 2.2 other incomes 4000 12% Total Incomes 33000 100% 1. productive expenditures 2500 11% 2. nonproductive expenditures 20500 89% 2.1 food expenditures 10000 43%

Household Annual 2.2 transportation expenditures 2000 9% Expenditures 2.3 education expenditures 1000 4% 2.5 medical expenditures 1500 7% 2.6 other expenditures 6000 26% Total Expenditures 23000 100%

3.4.5 Main Economic Activities

42 According to the interviews on leaders of each village and the sample survey, we can

see that the household income sources of the affected area are mainly agricultural incomes and non-agricultural incomes. Many people of the villages work in the cities. Therefore, the incomes earned as workers are the important part of the local household incomes.

43 Agricultural Incomes: the main crops in the project area are corns, potatoes, sweet potatoes and vegetables. Most of the agricultural products are eaten by people or used to feed the livestock. Only a small amount of them will be sold. The livestock mainly includes pigs, cows, sheep, poultry and fish. Apart from the traditional crops, the local farmers also plant scattered cash crops, including tobacco, cotton, preserved vegetables, shiitake mushrooms and traditional Chinese medicinal materials. Most of the cash crops will be sold, But no gains can be earned from the forestland. According to the survey, the annual production value of the local land is 1,000yuan/mu.44 Non-agricultural Incomes: the agricultural incomes are relatively low due to the limited transportation condition, the uneven land and poor soil. Therefore, incomes earned as workers outside become an important part of the local household incomes, accounting for about 76% of the total household incomes. People who go to work in the cities mainly engage in service and engineering industries, including serving in restaurants, retailing, and drivers of engineering machinery. The technical contents of their jobs are relatively low. Their working places are mainly in Shanghai, Guangdong Province and Chongqing Municipality. In addition, it is common that people work as temporary workers in the local place. Their temporary jobs generally include bricklayers, carperters and porters. The daily wage is about 180yuan. They usually work about 20 days a month.

4 Public Participation and Appeal Mechanism 4.1 Public Participation Plan

45 According to the relevant resettlement policies, laws and regulations of ADB, China and

Chongqing, the public participation in the project preparation period and implementation period is very necessary to ensure the legal interests of the affected persons, reduce the complaints and disputes, work out the resettlement policies and rules for implementation, compile The Resettlement Plan, and carry out RP, and realize the resettlement objectives. 46 In consideration of the practical situation of this project, the public participation is divided into three phases: Phase 1: During the project construction design phase and The Resettlement Plan compiling process, people responsible for the organization consult the interest-related units, especially those in the affected areas to know their knowledge about the resettlement, introduce the project information to the affected masses to know their requirements and desires, discuss the possible land acquisition and resettlement impacts, and discuss suggestions on optimizing the project design, the compensation standard and policies as well as the resettlement scheme and measures. This phase has been completed when this report is finished. The Resettlement Information Brochures, which introduce the basic information, the project impacts, the compensation policies, resettlement scheme and the appeal channel and other relevant information, have been distributed to the affected households. Phase 2: Before the implementation of the land acquisition, people in charge should convene affected persons to attend meetings to gather advice and suggestions on compensation and resettlement. The Resettlement Plan, which has been updated according to the final design and detailed measurements and investigations, should be disclosed to the affected persons.

Phase 3: During the construction and operation process, relevant staff should conduct regular research and interviews in the affected areas to know the compensation payment condition and the livelihood restoration condition.

4.1.1 Public Participation Completed

47 Launch various public participation activities, including convoking community meetings, interviewing the owner and visiting every household.

 Community Meetings: Before the investigation group begin their job, the group should publicize the project background information to the villagers and residents who attend the meetings. The publicized content includes the project content, the necessity of the project, the possible project impacts, the compensation policies and the resettlement scheme. The participants should include representatives of the affected villagers, women representatives, representatives of the project owner unit, town government representatives and cadres of villages and communities.

 Face-to-face Discussion with the Affected Persons: Explain the project impacts on their properties.

 Socio-economic Questionnaire Survey for Households: Know the socio-economic situation of the affected persons and their opinions and suggestions. The investigation group has conducted questionnaire survey in each affected household from June 2014 to November 2014. The survey content includes the project information, projects impacts and the resettlement policies. The group has gained suggestions of the sampled households on the resettlement compensations and livelihood restoration. Their opinions and suggestions are the base of The Resettlement Plan.

 Discussion with Cadres of Villages and Communities: Discuss with the village heads, village secretaries and accountants about the general socio-economic situation, the selection of the homesteads of the self-built houses, the desires and requirements of the cadres of villages and communities, opinions and suggestions on the land compensations and resettlement policies and relevant experience.

 Interviews on Governments: The investigation group has gained some relevant data, information, resettlement policies and some opinions and suggestions on the project implementation by visiting Shizhu County Development and Reform Commission, the Land and Resources Bureau, the Labor and Social Security Bureau and the Statistical Bureau.

48 The current public participation activities are as follows:

Table 16 - Public Participation Activities Situation

Interview Number of Interview Main Concerns Interview Sponsor Participants Time Participants Objectives and Suggestions Huangshui 23 persons, among which there are 16 Neighbourhood 2014.5 affected persons Committee and 8 women. 36 persons, among which there are 28 Jinhua Village 2014.5 affected persons and 12 women. 35 persons, among which there are 30 Gucheng 2014.5 affected persons and 10 women. 42 persons, among which there are 33 Qinglong 2014.5 affected persons Xinchen and 13 women. g Village 10 persons, among Introduce the which there are 6 Yongwei 2014.5 latest status of The Land and affected persons the route and the Discusse the draft of Resources and 3 women. latest the resettlement Department, 75 persons, among compensation Xingguan which there are 70 plan; discusse the 2014.5 the owner, the documents and Committees g affected persons appeal mechanism; responsible compensation of 5 and 16 women. consult the persons of standards Affected 16 persons, among resettlement plan; towns and adopted in the Village Shuangjia which there are 13 discuss the 2014.6 villages, the resettlement plan n affected persons information affected in detail. Know and 5 women. disclosure plan. persons and the requirements 20 persons, among villagers. which there are 16 and desires of Longjing 2014.6 affected persons the affected and 4 women. persons. 17 persons, among Yuelai which there are 13 Shiping 2014.6 Village affected persons and 6 women. 32 persons, among which there are 27 Xuetang 2014.6 affected persons and 9 women. 18 persons, among which there are 15 Yongfeng 2014.6 affected persons and 6 women. 7 persons, among which there are 4 Huangjin Village 2014.6 affected persons and 2 women. The Conduct necessary Transportation investigations of Bureau, staff of Collect the project design; know Implementation Design Unit 2013.1 towns and the 15 project design the opinions of the county, the information. affected persons on affected the project. persons The Collect the Conduct necessary Implementation Design Unit 2014.1 Transportation 25 project design investigations of Bureau, the information. project design;

owner and the responsible persons of towns the owner, the responsible Discuss the Discuss the persons of resettlement resettlement Owner 2014.3 towns and 120 standards standards villages and the preliminarily. preliminarily. affected persons Investigate the land acquisition and The Collect the demolition amount; Transportation resettlement Investigate the Bureau, the impacts 2014.6 economic conditions The Resettlement Plan owner and information, the and 160 of the affected Compilation Unit responsible economic 2014.11 persons. persons of the conditions and project affected the resettlement Investigate the areas desires. resettlement desires of the affected persons.

49 With many public participation activities having been carried out, the opinions and requirements of the affected households have been known by the relevant departments. The PMO and the relevant department have worked out the corresponding solutions, which have been compiled into The Resettlement Plan. See Table 17.

Table 17 - Public Participation Suggestions and Solutions

Serial Main Requirements and Opinions Solutions Number To the villages which can allocate the reserve land, the land compensations and the resettlement subsidies will be paid to the collective economic organizations for them to develop the collective economy and arrange the production and life of their members. The village collectives will re-allocate the land for the affected persons and the affected persons do not have to change their status from agricultural one to non-agricultural one. If the villages cannot allocate the reserve land,or for those affected persons whose land was been Due the the relatively small area of land requisitoned little and there is no need to allocate new acquisition, the affected persons want the land, the resettlement subsidies will be directly 1 agricultural resettlement instead of the distributed to the affected persons, but land compensation “agricultural to non-agricultural” status subsides will be paid to the collective economic changing resettlement. organizations. Each village will order the affected persons according to the areas of land acquisition on this project and other projects, and then the number of affected persons who changing their status from agricultural one to non-agricultural one and and who will have the priority to change first will be negotiated through meetings held by the villagers. And final name sheet of who changing their status from agricultural one to non-agricultural one for each time will be based on the willing of the affected persons. 2 The affected persons want to build new The number of persons who are affected by the demolition is houses by themselves on the new relatively small. Therefore, the villages will provide new

allocated homesteads. homesteads for them. The labor department, the Women’s Federation and other The affected persons want the relevant relevant institutions will provide the planting, the breeding and 3 departments to provide the agricultural non-agricultural trainings for the affected persons according to and non-agricultural skill trainings. the specific situation of the project affected areas.

4.1.2 Public Participation Plan of the Next Stage

50 With the advancing of the project preparation and the project implementation, though there have been many public consultations in the earlier stage, the resettlement implementation institution of Shizhu County will carry out further public consultations. The

public participation plan of the next stage is in Table 18.

Table 18 - Public Participation Plan of the Next Stage

Participating Time Place Objective Main Content Institution Shizhu County Land and The main content of The Resettlement Information distributing Resources Brochure includes the project profile, the land affecte The Bureau, acquisition plan, the resettlement policies, the rights 2015/03 d Resettlement responsible to gain compensations, the compensation villages Information persons of standards, the implementation institutions, the Brochure villages and all appeal channel and The Resettlement Plan. the affected households the owner, Put The Resettlement Plan in the offices of village Shizhu County committees or neighbourhood committees so that the Land and affected persons and units or individuals that are publicizing Resources interested in the project can read and consult it. The PMO affecte The Bureau, will publicize a notice in the local newspaper to state the 2015/03 d Resettlement responsible consulting places of the land acquisition and resettlement villages Plan persons of plan before putting The Resettlement Plan in those offices. villages and all The Resettlement Plan which has been signed the the affected commitment letter to by the County government will be households publicized on the ADB website. the owner, Shizhu County The main content of the notice includes the project Land and profile, the land use area, the resettlement policies Resources (the land adjustment scheme and compensation affecte the notice of Bureau, standards), the resettlement implementation 2015/04 d the land responsible institution the land use schedule, the rights and villages acquisition persons of obligations of the affected persons, the appeal villages and all channel and mechanism and the monitoring and the affected evaluation plan. households

Participating Time Place Objective Main Content Institution the owner, Before the project implementation, the county Land and Shizhu County Resources Bureau had measured the land area and Land and counted the material objects in February 2015, mainly Resources including the land use area, the demolition area, the Bureau, affected attachments and the involved infrastructures. responsible They are the basis of the land use compensation. The investigating persons of measurement results will be publicized in March and April and villages and all after checking with the affected households one by one. affecte measuring in the affected The specific steps are as follow: convening villagers 2015/04 d detail and households assembly, to introduce the project profile, the land use and villages publicizing resettlement compensation policies, The resettlement the results compensation plan, the material objects quantity, the investigation objectives and methods and other relevant basic information; measuring the affected land area and counting the attachments (The results will be confirmed by the affected villagers.); publicizing the investigation results and accepting the villagers’ correction; and publicizing the final compensation scheme and the resettlement scheme. Shizhu County Land and publicizing Let the affected persons see The Resettlement Plan affecte Resources the Final in the offices of the village committees. The PMO will 2015/05 d Bureau, the Resettlement publicize The Resettlement Plan in the local villages owner,and all Plan newspaper and the consulting places of it. the affected households

4.2 Appeal Mechanism

51 The project owner has established an appeal mechanism to guarantee the openness, fairness and speediness of the dealing with the affected persons’ suggestions on land acquisition, compensation and resettlement and help the affected persons avoid expressing dissatisfactions or opinions through complex formal appeal channels. The appeal procedure is as follow. Phase 1: If the affected persons or the village committees are dissatisfied with the land use compensations and the resettlement plan, they can submit oral or written complaints to the town government. If it is an oral complaint, the town government shall keep a written record and deal with it in 1 week; Phase 2: If the affected persons are dissatisfied with the result of the Phase 1, they can submit complaints to Shizhu County Land and Resources Bureau or Demolition Office according to the relevant laws and regulations of Chongqing.

The county Land and Resources Bureau or Demolition Office shall deal with it within ten days. Phase 3: If the affected persons are dissatisfied with the result of the Phase 2, they can submit complaints to Shizhu County PMO. The County PMO shall deal with it in 1 week. 52 The affected persons can choose to solve the problem directly through the legal system instead the project appeal channel. 53 The affected persons can submit any complaint related to the resselement, including the compensation standards and so on. The affected persons will be informed of the appeal channel above so that they can know their appeal rights. The media will also be used to publicize the appeal channel. The opinions and suggestions of the relevant people or institutions will be compiled into information terms and studied by the resettlement institutions timely. All the resettlement institutions will accept the complaints and appeals of the affected persons for free. The reasonable expense in the process will be paid by the resettlement contingencies. The appeal channel is in Diagram 2. The contacts of the responsible person of each appeal channel are in Table 19. 54 The complainant can submit complaints to the external monitoring institution, which should report the situation to Shizhu County Land and Resources Bureau, the project owner and the PMO. In addition, the complainant can submit complaints to the ADB project leader group so as to solve the problem. If all these kind attempts do not work and all the complaints violate the ADB’s Safeguard Policy, the affected persons can submit complaints to the ADB according to the ADB’s accountability mechanism (2012)1.

County Legal Department Shizhu County PMO

County Discipline Inspection Department The Resettlement Monitoring Institution Shizhu County Land and Resources/Demolition Office

CountyComplaint Divisions Town Government

Diagram 3 The Appeal Channel Diagram Affected Households/Village Committees

Diagram 3 The Appeal Channel

Table 19 - Contacts of the Responsible Persons of Each Stage of The Appeal Channel Diagram

Responsible Appeal Channel Contact Departments Persons Contacts Phase 1 Huangshui Town Construction Office Director Ma 13709483340

Government Yuelai Town Government Construction Office Director Huang 13452216656 Shizhu County Land and Land Acquisition Phase 2 Resources Bureau Office Luo Guo 15025751678 Development and Phase 3 Shizhu County PMO Reform Commission Ma Peiqi 13996932813 County Legal Department Justice Bureau Office Tan Jiuyin 73378148 County Discipline Discipline Inspection

Inspection Department Commission Office Yang Jingyou 73332062 CountyComplaint Government Service Divisions Center Chen Huayong 73327100

1The affected persons should apply kind methods to solve the problems with the relevant department of ADB before submitting the complaints to the accountability mechanism. If the affected persons are still dissatisfied with the results after all these efforts, they can adopt the accountability mechanism of ADB. The website is: http://compliance.adb.org/.

5 Legal Framework and Resettlement Policy 5.1 Resettlement Principles

55 The first objective of The Resettlement Plan is to restore the incomes of the affected persons, improve the living standards of the affected persons and reduce the project impacts on the society and environment. The principles of the land occupation and resettlement are as follow. These compensations, resettlements and restoration principles aims to restore and improve the living standards of the affected persons by giving them enough compensations during the resettlement process.

 Ensure that the affected persons can get enough compensations and rights to at least maintain their “non-project” living standards or even improve their living standards;

 Take any possible actions to minimize the project impacts;

 Consult with the affected persons about the land use compensations and the resettlement sincerely so that they have the opportunity to entirely participate in the design and implementation of the land use compensation and the resettlement scheme;

 All the affected properties will be compensated as the full resettlement cost;

 Try to build new houses before demolish the old ones or pay compensations to the affected persons before demolish their houses. Befroe the implementation of the land use, the land use and resettlment compensations will be paid up to the affected persons. The occupation of the land and relevant properties can only be implemented after the affected persons get the compensations;

 Pay close attention to the vulnerable groups and take special measures to ensure that the living standards of the affected vulnerable groups will not deteriorate because of the project.

5.2 Applicable Laws and Regulations on Resettlement 56 The land compensation policies are compiled on the basis of consultations among the Land and Resources Bureau, the Labor Social Security Bureau and the affected towns and households. The basises of the policies are as follows:

 Land Administration Law of PRC (Auguest 28, 2004, Revised edition), and relevant laws and regulations;  The Organic Law of Village Committees of PRC, November 4, 1998;  Chongqing Land Management Regulations (Document 53 of the People’s Government of Chongqing) January 1, 1999;  Chongqing Land Compensation and Resettlement Methods (Document No. 55 of the People’s Government of Chongqing) January 1, 1999;  Notice of People’s Government of Chongqing Municipality on Issues Regarding Further Adjusting the Policies of Land Acquisition, Compensation and Resettlement (YFF [2013] 58);  Notice of People’s Government of Shizhu Autonomous County of Tujia Ethnic Minority on Issues Regarding Adjusting the Policies of Land Acquisition, Compensation and Resettlement (Shizhu FF [2013]63);  ADB’s Safeguard Policy Statement (2009) Requirement 2: Involuntary Resettlement.

5.3 ADB Involuntary Resettlement Policy Requirement 57 ADB’s Safeguard Policy Statement has three key elements for involuntary resettlement: (1) compensation for lost properties, livelihoods and income; (2) assistance in resettlement, including the provision of a resettlement site, and appropriate facilities and services; and (3) assistance for restoration, as a minimum, to the standard of living before the project. Planning and implementation should take into account the following basic principles: 1) Screen the project early on to identify past, present, and future involuntary resettlement impacts and risks. Determine the scope of resettlement planning through a survey and/or census of displaced persons, including a gender analysis, specifically related to resettlement impacts and risks. 2) Carry out meaningful consultations with affected persons, host communities, and concerned nongovernmental organizations. Informally displaced persons of their entitlements and resettlement options. Ensure their participation in planning, implementation, and monitoring and evaluation of resettlement programs. Pay particular attention to the needs of vulnerable groups, especially those below the poverty line, the landless, the elderly, women and children, and Indigenous Peoples, and those without legal title to land, and ensure their participation in consultations. Establish a grievance redress mechanism to receive and facilitate resolution of the affected persons’ concerns. Support the social and cultural institutions of displaced persons and

their host population. Where involuntary resettlement impacts and risks are highly complex and sensitive, compensation and resettlement decisions should be preceded by a social preparation phase. 3) Improve or at least restore, the livelihoods of all displaced persons through (i) land-based resettlement strategies when affected livelihoods are land based where possible or cash compensation at replacement value for land when the loss of land does not undermine livelihoods, (ii) prompt replacement of assets with access to assets of equal or higher value, (iii) prompt compensation at full replacement cost for assets that cannot be restored, and (iv) additional revenues and services through benefit sharing schemes where possible. 4) Provide physically and economically displaced persons with needed assistance, including the following: (i) if there is relocation, secured tenure to relocation land, better housing at resettlement sites with comparable access to employment and production opportunities, integration of resettled persons economically and socially into their host communities, and extension of project benefits to host communities; (ii) transitional support and development assistance, such as land development, credit facilities, training, or employment opportunities; and (iii) civic infrastructure and community services, as required. 5) Improve the standards of living of the displaced poor and other vulnerable groups, including women, to at least national minimum standards. In rural areas provide them with legal and affordable access to land and resources, and in urban areas provide them with appropriate income sources and legal and affordable access to adequate housing. 6) Develop procedures in a transparent, consistent, and equitable manner if land acquisition is through negotiated settlement to ensure that those people who enter into negotiated settlements will maintain the same or better income and livelihood status. 7) Ensure that displaced persons without titles to land or any recognizable legal rights to land are eligible for resettlement assistance and compensation for loss of non-land assets. 8) Prepare a resettlement plan elaborating on displaced persons’ entitlements, the income and livelihood restoration strategy, institutional

arrangements, monitoring and reporting framework, budget, and time-bound implementation schedule. 9) Disclose a draft resettlement plan, including documentation of the consultation process in a timely manner, before project appraisal, in an accessible place and a form and language(s) understandable to affected persons and other stakeholders. Disclose the final resettlement plan and its updates to affected persons and other stakeholders. 10) Conceive and execute involuntary resettlement as part of a development project or program. Include the full costs of resettlement in the presentation of the project’s costs and benefits. For a project with significant involuntary resettlement impacts, consider implementing the involuntary resettlement component of the project as a stand-alone operation. 11) Pay compensation and provide other resettlement entitlements before physical or economic relocation. Implement the resettlement plan under close supervision throughout project implementation. 12) Monitor and assess resettlement outcomes, their impacts on the standards of living of displaced persons, and whether the objectives of the resettlement plan have been achieved by taking into account the baseline conditions and the results of resettlement monitoring. Disclose monitoring reports.

5.4 Policy Gap 58 The CMG Order No. 55 documents were in effective on 1 January 1999 following the Regulations on the Implementation of the Land Administration Law of PRC (1998), which stipulated detailed compensation and resettlement measures including the disbursement channels of compensation for land loss—exactly refer to the Article No.26 of the above mentioned PRC regulations. In addition, No. 55 document also stipulated the organizational arrangement for the implementation and management of land acquisition and resettlement.

59 However, this document was annulled by a latest CMG [2008] No.45 document and [2013] No.58 which paid more attention on the APs who will be urbanized after land loss. 80% of the land compensation and resettlement subsidy will be only benefited by the APs who will be urbanized after land loss. With updated compensation rates in the latest

document, there is no detailed description on the compensation and resettlement of non-urbanized APs after land loss. The entitlements received by the APs will be different depend on if they will change to urban households registration. Under this policy: (i) The rate of land compensation fee is based on the region where it is located and it’s the same for all types of land. (ii) Resettlement subsidy is calculated based on number of the agricultural population that needs to be resettled for the production resettlement. The agricultural population to be converted into urban status is the sum of the acquired cultivated land area and 0.5 times the acquired non-cultivated land area divided by the per capita cultivated area of this village before land acquisition.

60 Considering the lack of clarity on non-urbanized APs after land loss, full consultation with the affected villagers and land resource bureaus were conducted to fill these policy gaps. The result of the consultation is that all affected persons can gain equal rights and treatments, and that means all can get resettlement compensation and land adjustment. Appendix 4 is the commitment letter of Shizhu County Land and Resources Bureau.

5.5 Compensation Standards

5.5.1 Compensation Standards for Permanent Land Acquisition

61 The land use compensations include land compensations, resettlement subsidies and crops compensations. The relevant compensation standards are in Table 20.

Table 20 - Compensation Standards for Permanent Land Acquisition

Land Resettlement Crop Compensation (yuan/mu) Compendation Compensation （yuan/mu）（yuan/person） Grain Vegetables Goldthread Water Shield

15000 36000 1500 2000 8000 4500

Remark：:The old compensation standard for crop was 1600 yuan/mu in average, and based on new standard the compensation would exceed more than 3000 yuan/mu which is much higher than before. According to the policies of Chongqing YFF[2013]58 and Shizhu FF[2013]63, the resettlement subsidies are set accoding to the affected agricultural population, which is the result of the quotient of the sum of the acquired cultivated land area and 0.5 time

uncultivated land area and the per capita cultivated land area in the village before the land

acquisition. The relevant numbers are in Table 21. Each village can choose the number of

households transformed from rural to urban accordingly or give up the rights.

The subsidy/unit price of the cultivated land acquisition and resettlement is set according to the time, quantity of AAOV and every mu of cultivated land. However, according to the regulations, the resettlement subsidies are distributed as the standards for

people who have changed their status from agricultural one to non-agricultural one after losing their land. In this project, there are no people who have changed their status from agricultural one to non-agricultural one after losing their land. Therefore, all of the cultivated

land compensation and resettlement subsidies will be paid to the village collectives and the crop compensation will paid to the affected households.Allocation proportion of resettlement subsidies and how to use collective funds will be discussed on the

village meetings based on if adjusting the land or not,and crop compensations will be paid to the affected households.

Table 21- “Agricultural to Non-agricultural” Status Changing Population Computation

Cultivated Uncultivate Number of People Who Village/ Per Capita Land d Land Changing Their Staus Project Neighbourh Group/Com Cultivated Town Acquisition Acquisition from “Agricultural to Name ood munity Land Area Area (mu) Area(mu) Non-agricultural” Committee (mu) (1) (2) (4)=[(1)+(2)*0.5]/(3) Huangshui Neighbourho Dachuan 10.26 11.25 2.33 7 od Group Huangshu Committee i Town Baijin Group 8.37 12.34 2.12 7 Jinhua Jintan Yuelai- Village 21.47 36.74 2.16 19 Group Huangshui Gucheng Section 20.61 33.54 2.03 19 Community Qinglong Yuelai Xincheng 20.36 45.23 2.13 21 Community Town Village Yongwei 3.94 11.52 2.18 5 Group Xingguang 56.81 165.25 2.12 66

Community Shuangjian 7.37 17.34 2.01 8 Group Longjing 12.4 18.23 2.45 9 Group Yuelai Shiping 9.19 20.18 2.11 10 Village Group Xuetang 7.5 55.25 2.18 17 Group Yongfeng 2.77 28.33 1.99 9 Group Huangjin Heli Group 1.25 5.4 2.23 2 Village Total 182.3 460.6 199

5.5.2 Compensation Standards for Temporary Land Occupation

62 According to the project timescale, the crops compensation caused by the temporary land occupation will be paid for 2 years. The compensations are paid according to the type of the occupied land: 2,000yuan/mu for cultivated land and 1,000yuan/mu for uncultivated land. While paying the compensation to the affected persons, the land occupation institution has to pay 20yuan/m2 (i.e. 13,334yuan/mu) temporary land occupation cash deposit to the county Land and Resources Bureau, which will be returned to the institution after the restoration of the affected land (see Section 6.5).

5.5.3 Compensation Standards for Rural Houses

The house demolition compensation standards are set according to the similar local house building price of 2013, which reflect the replacement cost. The final compensation

standards are agreed by the demolition company and the affected persons after the field evaluation conducted by the real estate evaluation and measurement company. The specific house demolition compensations is in Table 22.

Table 22 - Compensation Standards for House Demolition

House Compensation Standards (yuan/m2) Other Compensations (yuan) Updated RP masonry-co Masonry-ti Steel-concret Wood ncrete mber Transition Subsidys Moving Subsidy e Structure Structure Structure Structure

The moving subsidy is calculated by 800 yuan/person will household. A one-off payment of 800 be paid to the yuan will be given to the household with 1020 920 710 400 resettlement of the no more than 3 members. For self-built households. households with more than 3 members, each household will get 1,000 yuan.

Original RP

Lump-sum subsidy for their house moving will be paid based on a each AP will get household, with RMB400 to a 650 500 400 300 RMB 500 of household with 3 family members lump-sum subsidy. or less, and RMB600 to a household with 4 or more members.

5.5.4 Compensation Standards for Attachments

63 The specific compensation standards for the attachments are in Table 23. The relevant

compensation standards are set according to the local replacement market price.

Table 23 - Compensation Standards for Affectd Attachments

Compeensation Original Type of Attachments Unit Standard RP enclosuring wall m3 75 40 soil m2 10 -- dam flagstone m2 35 -- Manure pit m3 120 30 tomb each 2800 800 canal m3 120 40 electric pole each 200 -- electric wire M 5 -- diameter: 2-4 cm plant 5 3 fruit trees diameter: 4-7cm plant 50 23 diameter: 7-10 cm plant 80 44 diameter: 3-5 cm plant 5 5 diameter: 5-10 cm plant 13 8 unspecified diameter: 10-15 cm plant 24 15 trees diameter: 15-20 cm plant 35 26 diameter: more than 20 cm plant 40 50 Remark: There is a mistake in the old compensation standard, that is diameter 2-4cm of fruit trees should be 3 yuan per plant instead of 20 yuan. 46

5.6 Eligibility and Entitlement Matrix

64 The deadline of the qualification recognition is the land occupation and demolition information release date, which is Dec 31, 2014 according to the plan. After this date, the affected persons should not build, expand or reconstruct their houses. They also should not

change the usages of the house and the land, lease the land and the house and sell the house. People who move to the affected area do not have the qualification to get the compensations.

Table 24 - Entitlement Matrix

Affected Type Impact Rights Compensation Policies and Standards Persons

(1) The land

compensation and

resettlement subsidy will

be paid to the village

collectives;Allocation

proportion of

resettlement subsidies Land Compensation: 15,000 yuan/mu 1,018 and how to use collective Resettlment Subsidy: 36,000 yuan/person (compensations persons of for people who change their status from agricultural one to Permanent 289 funds will be discussed non-agricultural one = the quotient of the sum of the Acquisition households acquired cultivated land area and 0.5 time uncultivated 642.9mu on the village meetings of Collective from 13 land area and the per capita cultivated land area in the Land groups of 5 based on if adjusting the village before the land acquisition.) villages in 2 Crop Compensation: 1,500yuan/mu for grain, land or not,and crop towns 2,000yuan/mu for vegetables, 8,000yuan/mu for compensations will be goldthread, 4,500yuan/mu for water shields.

paid to the affected

households.

(2) The crops compensations will be distributed to the affected households; (3) The affected persons will be trained for free;

(4) The village collectives will use the compensations to build the public facilities in the villages; (5) Employment opportunities will be provided for the affected persons during the project construction and maintenance process. Steel- concrete 1020yuan/m2 structure Masonry- concrete 920yuan/m2 (1) The house structure compensations for the Masonry- 2 affected persons are paid timber 710yuan /m at the replacement price. structure Meanwhile, the transition Wooden 400yuan/m2 subsidies, moving structure The total 21 persons subsidies and the 800 yuan/person will be Rural House demolition Transition of 5 demolition subsidies will paid to the affected Demoition area is households also be paid to the subsidies 729 m2. persons. affected persons; The moving subsidy is (2) The village calculated by committees will provides household. A one-off house building land for payment of 800 yuan free within the will be given to the corresponding villages. Moving household with no more subsidies than 3 members. For households with more than 3 members, each household will get 1,000 yuan. (1) The villages will provide necessary help for the affected persons; 0.63mu 13 persons (2) The affected persons Vulnerable land will of 4 have the priority to pick Groups be households the house building acquired. places; (3) Employment opportunities will be

provided for the affected persons during the project construction and maintenance process. The relevant institution According to the project timescale, the crops compensation conducts field caused by the temporary land occupation will be paid for 2 investigations and 510 persons years. The compensations are paid according to the type of consultations. The owner of 129 the occupied land: 2,000yuan/mu for cultivated land and Temporary unit pays the households 1,000yuan/mu for uncultivated land. While paying the Land 390.75mu compensations in cash to from 5 compensation to the affected persons, the land occupation Occupation the collectives and villages in 2 institution has to pay 20yuan/m2 (i.e. 13,334yuan/mu) individuals that towns temporary land occupation cash deposit to the county Land implement the land use and Resources Bureau, which will be returned to the contract and land institution after the restoration of the affected land. restoration. Compensatio Types of Attachments Unit n Standard enclosuring wall m3 75 soil m2 10 dam flagstone m2 35 stercorary 0 120 The compensations will tomb each 2800 Including be paid to owner of the 3 electric attachments at the canal m 120 Attachments poles, replacement cost or the electric pole each 200 and Public wells and owner demolition electric wire m 5 Facilities tombs implementation unit will diameter: 2-4 cm plant 5 and so restore the attachments fruit trees diameter: 4-7cm plant 50 on. to their original sizes and diameter: 7-10 cm plant 80 standards. diameter: 3-5 cm plant 5 diameter: 5-10 cm plant 13 unspecifie diameter: 10-15 cm plant 24 d trees diameter: 15-20 cm plant 35 diameter: more than 20 plant 40 cm

6 Income Restoration and House Relocation Schemes

6.1 Objectives and Principles of Land Acquisition and Resettlement

65 According to the project impacts evaluation in this phase and the investigation results of the current production and living standards of the affected persons, the relevant departments have analyzed and set the land use compensations and resettlement objectives:  The annual per capita net income of the affected households should be restored to that before the project resettlement;  The production and living standards of the affected households should be improved;  The public infrastructures, the education, the medical conditions, the social welfare, the natural environment should be better than those before the project resettlement. The original enrollment rate of the children of school age and the original coverage rate of the basic medical care should be maintained.

6.2 Income Restoration Scheme

6.2.1 Land Acquisition Compensation

66 This project will influence 5 villages in 2 towns. The land compensation will be distributed to the village collectives according to Shizhu FF[2013]63. The use of the compensations should be decided according to the suggestions of 2/3 villagers. The resettlement subsidies will be calculated according to the document above and distributed according to the quantity of the land acquisition area. The affected persons whose land acquisition areas are relatively large have the priority to gain the subsidies. Meanwhile, the villager assembly will be convened to decide people who will change their status from agricultural one to non-agricultural one. For example, A, an affected person who has relatively large loss of land and does not want to change his or her status from agricultural one to non-agricultural one, can consult with B, another affected person who wants to change his or her status from agricultural one to non-agricultural one, about the interchange of their quotas. The resettlement subsidies will be calculated on the land acquisition area and will be distributed to the affected persons. The villages have conducted many

consultations about the preliminary plan of the land compensations. The specific

information is in Table 25.

Table 25 - The Preliminary Scheme of Using the Land Compensations

The Villager Assembly Convening Situation Village/ Total Number Road Neighbourh Land Number of of Agree Town Using Scheme Meeting Name ood Compens Time Participant People Proportio Place Committee ations s Who n Agree 1. The reclaimed waste land as the replacement land will be distributed to the Huangshui Huangshui affected households. Neighbourh Neighbour- 2014. 322650 2. Buy medical facilities. ood 20 17 85% hood 5 Committee Committee 3. Rebuild the school and buy the teaching equipment. Offic Huangsh 4. Pay social insurance for ui Town the elderly people. 1. The waste land Jinhua reclamation subsidies will be distributed to the affected Village Jinhua 2014. 1183800 households. 33 29 88% Village Committee 5 2. Rebuild the village roads.

3. Pay social insurance for the elderly people. 1. The waste land Xincheng reclamation subsidies will be distributed to the affected Village households. Committee Xincheng 2. Buy the teaching 2014. Yuelai- 5358900 150 136 91% Huangshui Village equipment. 5 Section 3. Rebuild the water supply facilities of the villages. 4. Pay social insurance for the elderly people. 1. The waste land YuelaiVillag reclamation subsidies will be distributed to the affected e Yuelai households. Committee Town 2. Rebuild the village roads and the home-entry 2014. YuelaiVillage 2678400 passageways. 88 73 83% 6 3. Build head tanks. 4. Develop the collective economy. 5. Pay social insurance for the elderly people and rebuild the school. Huangjin Huangjin 2014. 99750 Village 5 5 100% Village 6 Committee Total 9643500

6.2.2 Skill Trainings for the Affected Persons

68 According to the sample survey, 70 persons of the surveyed 150 affected persons who are in the labor age group want to participate in the labor skill trainings. To improve the production and living standards of the affected persons, the governments will provide specialized skill trainings for the affected households, including the agricultural and non-agricultural industries trainings, so as to broaden their income increasing channels. The relevant trainings provided by the governments are in Table 26.

Table 26 - Trainings Provided by Local Governments

Institution Training Content Number of Trainee (women) Department Animal Husbandry The pig raising skill and epidemic 100（45） Bureau prevention skill. Planting Skill, Animal Breeding Skill, Agricultural Machinery Using Skill, and Agricultural Bureau 100×60） Diseases and Insect Pests Control. Planting Goldthread. Forestry Bureau Silkworm Breeding Skill. 20 （20）

6.2.3 Employment Created by the Project

69 The project will employ some local people during the project construction and project maintainance so as to provide job opportunities for the local people and help them improve their incomes. Some of the affected persons have the priority to be employed as temporary workers. About 250 temporary workers will be needed during the project construction. The contractor will try to employ the local people, which will account for at least 30% of the temporary workers. The local women will be employed as far as possible if they want to participate in the project construction, especially in the later phase of the project, such as in the landscaping engineering, the women labor force will account for more than 50% of the whole labor force.

6.3 Rural House Demolition and Relocation Scheme

70 According to the survey, 10 households have chosen the self-built resettlement mode. The homestead distribution standard is 30m2/person and at least 90m2 and at most 120m2 for one household.

71 Before the house demolition, the specific locations of the homesteads will be consulted by the village collectives and the affected households. The conditions of the newly distributed homesteads should not be worse than those of the orginal houses. The households affected by the demolition scatter. According to the field investigation, every village can provide flat homestead for the affected persons. Therefore, all of the affected persons will still live in their original villages/communities.

72 Take a household with 4 persons for example. Their original mansory-concrete structure house is 150m2. If it is demolished, the household will gain 150*920=138,000yuan and other subsidies, including 3,200yuan transition subsidy (800yuan/person will be paid one-off to the household which choose self-built resettlement mode according to Shizhu FF[2008]175.), 800yuan moving subsidy and the attachments subsidy and the decoration subsidy. The total compensation is about 100,000yuan. Currently, the new mansory-concrete structure house building price is 900yuan/m2. With the materials of the old houses, the around 150,000yuan compensation can build a house which has the same or larger area. All of the affected households think that the demolition is an opportunity to improve their housing conditions and conform to the new rural construction trend. 73 During the 3-4 months transition period, the villagers usually live in their relatives’ or friends’ homes. Therefore, they do not have to spend money on housing. If they rent houses in the villages, the rent is 400yuan/month. 500yuan transition subsidy is enough.

6.4 Relocation of the Vulnerable Groups

74 The affected persons can participate in the pig raising training, the silkworm breeding training and the tea planting training for free. After the trainings, their family members will be recommended to some employers and have the priority to be employed by the project. In addition, the vulnerable groups have the priority to choose the new homesteads.

6.5 Temporary Land Occupation

75 The temporary land occupation of this project mainly refers to the construction site, the construction material area, the borrow area and mud disposal area and so on. According to

Shizhu FF [2013] 63, the temporary land occupation implementation institution should sign

Land Use Agreement with the affected households. The Land Use Agreement must be sealed by the village committee and reported to the county Land and Resources Bureau to be recorded. The land occupation institution can use the land only after the approval and the distribution of the compensation. The longest temporary land occupation period is no more than 2 years and the temporary land occupation is within 2 years.

The land occupation institution has to pay the compensation to the affected persons.

Meanwhile, it should pay 20yuan/m2 temporary land occupation cash deposit to the county

Land and Resources Bureau, which will be returned to the institution after the restoration of the affected land. If the affected land cannot be restored because of the external factors, the cash deposit will be paid to the affected persons by the permanent land acquisition compensation standard. If the land occupation institution cannot restore the affected land in person, the cash deposit can be treated as the entrust cost for the relevant units to restore the affected land.

During the restoration of the temporary land occupation, Shizhu County Land and

Resources Bureau will supervise the entire process of restoration according to the Land

Administrative Law until the condition of the restored land is acceptable.

6.6 Restoration of the Affected Attachments

76 As for the 6 affected tombs, the resettlement implementation unit will give public notice of the tomb removal matters and pay 2,800yuan for each tomb to the households that have to remove tombs before the demolition. The new tomb places, which are near to the original ones and still in the original villages, will be provided by the village collectives for free. The compensations are enough for building new tombs. The local tomb removal custom is same

with other places, which mainly includes selecting the removal date by practising geomancy

and no other special matters needing attention. 7 Resettlement Cost Estimation and Management

7.1 Resettlement Budget

77 ⑵ The total resettlement cost of the ADB-financed rural road project of Shizhu County,

Chongqing is 30,816,100 yuan, including three parts: (1) 18,744,300 yuan basic cost, among which the permanent land acquisition compensation is 12,208,700 yuan, the temporary land occupation compensation is 436,600 yuan, the house demolition and

resettlement compensation is 543,500 yuan and the attachments compensation is 551,000 yuan; (2) 10,198,600 yuan management and monitoring cost; (3) 1,874,300 yuan contingencies. See Table 27.

Table 27 - Resettlement Budget

Serial Huangyue Road Total Numbe Project Standard Unit Yuelai Town Huangshui Town

r Quantity Subtotal Quantity Subtotal

A Basic Expenses 3814016 14929171 18743187 Permanent Land I 2859700 14349085 17208785 Acquisition 1 Land Compensations 15000 yuan/mu 100.43 1506450 542.47 8137050 9643500 yuan/perso 3 Resettlement Compensations 36000 33 1188000 166 5976000 7164000 n Crops Compensation Grain 1500 yuan/mu 17.7 26550 122.33 183495 210045 s

4 Vegetables 2000 yuan/mu 4.86 9720 14.75 29500 39220 Goldthreads 8000 yuan/mu 14.3 114400 0 0 114400 Water 4500 yuan/mu 3.24 14580 5.12 23040 37620 Shields Temporary Land II 101550 335050 436600 Occupation Compensations for Crops in yuan/mu·ye 1 2000 10.25 20500 35.6 71200 91700 Cultivated Land ar Compensations for yuan/mu·ye 2 1000 81.05 81050 263.85 263850 344900 Temporarily Occupied ar

Uncultivated Land

House Demolition III 478660 68100 546760 Subsidies Masonry-con crete 920 yuan/m2 133 122360 0 0 122360 Subsidies for Structure Demolition 1 Masonry-timb and 710 yuan/m2 450 319500 90 63900 383400 er Structure Resettlement Wooden 400 yuan/m2 56 22400 0 22400 Structure No more than yuan/house 800 0 0 0 0 0 Moving 3 persons hold 2 Subsidies No less than yuan/house 1000 4 4000 1 1000 5000 4 persons hold Transition Self-built yuan/perso 3 800 13 10400 4 3200 13600 Subsidies Resettlement n Ground Structures IV 374106 176936 551042 (Attachments) 1 enclosuring wall 75 yuan/m3 30 2250 50 3750 6000

soil 10 yuan/m2 300 3000 150 1500 4500 2 dam flagstone 35 yuan/m2 120 4200 100 3500 7700 3 stercorary 120 yuan/m3 6.3 756 7.8 936 1692 4 tomb 3800 yuan/each 4 15200 2 7600 22800 5 canal 120 yuan/m3 120 14400 70 8400 22800 6 electric pole 200 yuan/each 14 2800 5 1000 3800 electric wire 5 yuan/m 1500 7500 550 2750 10250 diameter: 5 plant 300 1500 500 2500 4000 2-4 cm diameter: 7 fruit trees 50 plant 90 4500 280 14000 18500 4-7cm diameter: 80 plant 100 8000 150 12000 20000 7-10 cm diameter: 5 plant 18000 90000 5000 25000 115000 3-5 cm diameter: 13 plant 5000 65000 2000 26000 91000 unspecified 5-10 cm 8 trees diameter: 24 plant 2500 60000 1000 24000 84000 10-15 cm diameter: 35 plant 1800 63000 800 28000 91000 15-20 cm

diameter: more than 40 plant 800 32000 400 16000 48000 20 cm Management Cost and B 2399587 7799044 10198632 Monitoring Cost Land Acquisition I 4% of A 152561 597167 749727 Management Const Cultivated Land Reclamation II 20 yuan/m2 26735 534693 94805 1896095 2430788 Cost Compensated Use of III Newly-added Construction 8 yuan/m2 66957 535653 36183 289462 825115 Land Cost Cultivated Land Occupancy IV 25 yuan/m2 26735 668367 94805 2370119 3038485 Tax Forest Vegetation V 6 yuan/m2 40222 241332 266860 1601160 1842492 Restoration Cost

The Resettlement Plan VI 4% of A 152561 597167 749727 External Monitoring Cost Resettlement Training VII 3% of A 114420 447875 562296 Cost for APs C Contingencies 10% of A 381402 1492917 1874319

D Total（A+B+C） 6595005 24221132 30816137 Note: The land acquisition management cost is included to pay the trainings of the PMO resettlement staff and other relevant fees. The resettlement training cost is mainly used to pay the trainings of the affected persons.

7.2 Source of Fund

78 According to the project construction plan, the resettlement fund is provided by Shizhu County finance.

7.3 Fund Flow and Appropriation Plan

7.3.1 Fund Flow

79 The compensations of this project will conform to the compensation policies and standards in The Resettlement Plan. After the Shizhu County resettlement institution and

the affected households sign the compensations and resettlement agreement, Shizhu County Finance Bureau will give the land use and demolition compensations to the affected towns and the affected towns will distribute the compensations to the affected collective

economic organizations or individuals. The Shizhu County leader group will monitor and

guide the use of the fund so as to prevent the embezzlement of the fund. The fund flow is in

Diagram 3.

Shizhu County Finance Bureau

Land Compensations and House Demolition Crops Compensations and Resettlement Subsidies Compensations Attachments Compensations

Affected Collective Affected Peasant Households Economic Organizations Relcation Households and Owners of Attachments

Diagram 4The Resettlement Fund Flow Diagram

7.3.2 Disbursement Plan

80 The payment and use of the compensations will be monitored and managed by the internal monitoring institution and be verified by the external monitoring institution. Shizhu County Finance Bureau will distribute all the compensations and subsidies to the affected towns and the towns will distribute them to the affected collective economic organizations and persons:  All costs relating to the resettlement will be added to the project general estimate. The demolition and resettlement compensations and other subsidies will be directly paid to

the relevant institutions and persons;  Land Compensations: the county resettlement office will sign the land use compensations and attachments compensation agreement with the affected towns and

village committees. The land use compensations will be paid by the county Finance Bureau according to the compensated items, the quantity, the time and the expense regulated in the compensation agreement to the affected towns and the towns should

distribute them to the affected collective economic organizations. The attachments compensations will be directly paid to the owners of the attachments.  House Demolition: the land use institution and the affected persons will sign an

agreement on the compensation standards, the resettlement modes, the moving

deadline and other relevant content. The demolition compensations will directly paid to the affected persons.  Other Expenses: The project implementation unit has the right to use these funds. If the

budget reserve is not enough due to the rising prices or other factors, the project implementation unit should report the situation to the relevant departments. 8 Institution Setup

8.1 Implementation Institution

81 To guarantee the effective organization and leading work of the project preparation and construction, under the instruction of Shizhu County government, the leaders in charge of the relevant affairs of the project from the Development and Reform Commission, the Land and Resources Bureau, the Transportation Bureau of Shizhu County have constitute the Shizhu County ADB-financed Project Leader Group. The group leader is the Deputy County Chief, who is in charge of the relevant affairs. The deputy group leader is the director of the Development and Reform Commission. The leader group takes charge of coordinating all the departments. The PMO, which is the decision-making and implementation institution of the project, will represent Shizhu County government to take charge of the general management of the project implementation, the specific project management and the contact with ADB.

8.2 Resettlement Implementation Institution

82 Under the unified leadership of Shizhu County ADB-financed leader group, Shizhu

County PMO takes charge of the general management of the project. The project owner is Shizhu County Transportation Construction Corporation, which is responsible for the specific project implementation, including the preparation and coordination in the resettlement report compilation stage, the cooperation of the implementation institution on the resettlement work during the implementation process and the monitoring and evaluation of the project in the later stage. All of the affected towns and village committees will send relevant staff to coordinate the resettlement. The organization structure is in Diagram 4.

Shizhu County ADB-financed Project Leader Group

Shizhu County Transportation Construction Corporation Internal External Monitoring Monitoring

Institution Institution Shizhu County Land amd Resources Bureau

Affected County and Towns

Land Use House Demolition Owners of the Affected Persons Affected Persons Attachments Diagram 5 The Resettlement Implementation Institution Diagram

8.3 Responsibilities of the Institution

⑴Shizhu County ADB-financed Project Leader Group 83 The main duties of the group are to organize the resettlement of the project, to compile the resettlement policies and to coordinate all the resettlement institutions.  Coordinating all the relevant departments in the project preparation and implementation stages;

 Making decisions on important issues in the construction and resettlement process.

⑵PMO of Shizhu County ADB-financed Project 84 As the project management institution, the main duties of the PMO are dealing with the daily routine in the resettlement and implementation process and performing the functions like managing, planning, implementing, coordinating and monitoring the resettlement:  Coordinating, managing, monitoring and serving the project implementation;  Reporting the project implementation process to Chongqing government and the

competent department of ADB;  Compiling the annual financial plan;  Organizing and coordinating the compilation of The Resettlement Plan;

 Controlling the project quality;

 Coordinating the technical aid, the research and trainings of the project;

 Directing and inspecting the internal monitoring activities and compiling the resettlement progress report;  Assisting the external monitoring activities.

Project Owner 85 The project owner is Shizhu County Transportation Construction Corporation. Specially-assigned staff will be responsible for the monitoring and management of the resettlement activities during the resettlement process. Their main duties are as follow:  Organizing bidding and purchasing activities;  Entrusting the consultation unit to compile The Resettlement Plan;

 Participating in and coordinating the resettlement investigation;  Entrusting or organizing the resettlement implementation;  Monitoring and management the resettlement activities;

 Reporting the resettlement progress and the internal monitoring results to Shizhu County ADB Office regularly.

Shizhu County Resettlment Implementation Institution 86 The implementation institution of the project is Shizhu County Land and Resources Bureau.

 Participating in the compilation of The Resettlement Plan;  Implementing the resettlement according to The Resettlement Plan approved by ADB;

 Transacting the formalities related to the land use and demolition;  Publicizing the resettlement policies and organizing the public to participate in the relevant activities;

 Implementing the resettlment scheme and reporting the relevant information to the project owner and the PMO to put on records;  Distributing the funds and giving the copies of the pay orders to the project owner

and the PMO to put on records;  Dealing with the complaints and appeals in the resettlement process.

Village Committees and Villager Groups

87 The village committees and villager groups resettlement working group is constituted by the main cadres of the village committees and villager groups. The duties of the group are as follow:

 Participating in the socio-economic investigations and project impacts investigations;  Organizing the public to consult the relevant issues and publicizing the land use

and demolition policies;  Choosing the relocation places and distributing the homesteads for the affected households affected by the demolition;

 Working out the land adjustment scheme and implementing the land adjustment;  Implementing the agricultural and non-agricultural production arrangement activities;

 Managing the funds and distributing them to the affected households;  Reporting the opinions and suggestions of the affected persons to the relevant superior departments;

 Reporting to the resettlement implementation process;  Providing helps for the demolition affected households.

Design Department

88 The main duties of the design department are:  In the project design stage, accurately investigating the real object indexes, the environment capacity, the developable resources of the land occupation and

demolition areas, assisting the project district government to work out the resettlement scheme, and compiling the land occupation and demolition compensation investment budget estimate, the land occupation and demolition

plan and The Resettlement Plan.  In the project implementation stage, providing the project owner with the design documents, the technical regulations, the drawings and notices, disclosing the

design information to the PMOs of all different levels, assisting the resettlement implementation office to implement the resettlement and conduct the production 62

arragement and improving the resettlement planning scheme according to the

actual situation.

The Resettlement External Monitoring and Evaluation Unit 89 The Shizhu County ADB Office will employ a qualified monitoring and evaluation institution as the resettlement external monitoring and evaluation unit. Its main duties are as follow:  As an independent monitoring and evaluation instittution, observing The

Resettlement Plan and its implementation situation, monitoring and evaluating the resettlement work and effects and as well as the social adaptiveness of the affected persons, and submiting the resettlement monitoring and evaluation report

to the PMO and ADB.  Providing technology consultations of the data investigation and processing for the Chongqing ADB project office.

8.4 Resettlement Institution Staff and Facility

90 To make sure that the resettlement work can go on wheels, the implementation institutions of all levels have been equipped with special staff, which is an open information transmission channel. The implementation institutions mainly consist of administrative staff and professionals, who have certain professional levels, management qualities and rich resettlement work experience. The specific institution staffing of this project is in Table 28.

Table 28 - Institution Staffing

Person in Serial Number Department Duty Position Contact Charge Development Project Leader Chief of General 1 and Reform Lang Xiajun 02373332099 Group Department Commission Shizhu County Transportation Assistant Project Owner Yi Shide 13908273231 Construction Manager 2 Corporation Shizhu County Project Owner Lang Hongjun Contact Person 02373332665 Transportation

Construction Corporation Huangshui Town TownGovernme Secretary Ran 13709493478 Coordination nt Huangshui Town Economic Town Tan Xianglin Director 13896820448 3 Development Coordination Office Yuelai Town Economic Town Director Huang 13452216656 Development Coordination Office

8.4.1 Facility

91 The facilities of the resettlement institution offices of districts and towns are all current available resources. These offices have been equipped with basic office facilities, the transportation facilities and communication equipment, including the tables and chairs, computers, printers, telephones, fax machines and vehicles and other equipment resources.

8.4.2 Training Plan

92 The training objectives: providing trainings for the relevant resettlement administrative staff and technicians so that they can understand and grasp the relevant resettlement content and make sure that the resettlement action plan can be fully implemented. 93 The training objects: according to the work contents, the trainings can be divided into two kinds:  The resettlement administrative staff——Train the high-rise staff of the project management about the resettlement implementation and emergency measures. The objective is to let them learn the advanced state road resettlement and management experience and publicize the relevant information to the resettlement staff.  The resettlement administrative staff——The objective is to let them know the relevant project contents, the resettlement policies and the restoration measures adopted by the project and make sure that implementation of The Resettlement Plan goes on wheels.  The training method: the trainings can be divided into two levels: trainings for the high-rise management staff provided by the resettlement office, which are lectured by the ADB officials and other government officials; and trainings for the general

staff in the county provided by the county resettlement office, which are lectured by the specially-assigned persons from the resettlement office.  The training content: the content include the project profile and background, the relevant laws and regulations, the details of the resettlement action plan, the management, the report procedure, the cost management, the monitoring evaluation, the report and the appeal settlement.

9 Implementation Schedule 94 The suggested implementation schedule of The Resettlement Plan is in Table 29. The land acqisition and house demolition are planned to start in February 2015 and end in August 2015.

Table 29 - General Progress Plan of the Resettlement Activities

Serial Number Duty Institution in Charge Objective Deadline Phase : The Compilation and Evaluation of the The Resettlement Report 1.Shizhu County Transportation Construction Affected Village Distributing the information 1 Corporation; Collectives and 2015.3 brochure 2.Shizhu County Land and Individuals Resources Bureau. 1.Shizhu County Distributing the final Resettlement Transportation Construction 6 Affected 2 Plan to the subproject Corporation; 2015.3 Villages offices/affected villages 2.Shizhu County Land and Resources Bureau. Publicizing The Resettlement Plan 3 ADB 2015.3 on the ADB website. Phase : Detailed Measurement and Investigation and Updating The Resettlement Plan Conducting the detailed investigation of the quantity of the Shizhu County Land and 4 2015.2 real objects on the basis of the final Resources Bureau design. 1.Shizhu County Updating The Resettlement Plan on Transportation Construction 5 the basis of the detailed Corporation； 2015.3 investigation. 2.Shizhu County Land and Resources Bureau Phase : The Signing of the Land Use Agreement and the Resettlement The signing of the land occupation Affected Village Shizhu County Land and 6 agreement and the demolition Collectives and 2015.4 Resources Bureau agreement Individuals Affected Village Shizhu County Land and 7 Distribution of the compensations Collectives and 2015.5 Resources Bureau Individuals House House Demolition Affected Demolition 8 New houses building 2016.2 Households Affected Households 9 Moving to the new house 2016.3 House Shizhu County Land and Demolition 10 Demolishing the old houses 2015.4 Resources Bureau Affected Households Shizhu County Land and 11 Transfering the land to the project 2015.5 Resources Bureau Phase Implementation Capability Building 1．Shizhu County Transportation Construction The Organizing trainings for the Corporation; Resettlement 13 compensation and resettlement 2．Employed Professional 2015.1 Implementation staff Staff; Staff 3．Shizhu County Land and Resources Bureau. 14 Establishing the appeal and Shizhu County Transportation 2014.12

complaint committee Construction Corporation Phase Monitoring and Evaluation The compilation of the 15 The baseline investigation Monitoring Institutions resettlement 2015.3 report has been completed. Establishing the internal monitoring Shizhu County Transportation 16 2014.12 system Construction Corporation 1．Shizhu County Signing the external monitoring Transportation Construction 17 2015.2 contract Corporation; 2．Monitoring Institutions. Shizhu County Transportation 18 Internal monitoring 2014.11 Construction Corporation 19 External monitoring Monitoring InstitutionsE 2015.1 The Resettlement Completion Shizhu County Land and 20 2015.4 Report Resources Bureau

10 Monitoring, Evaluation and Reporting System

10.1 Monitoring and Evaluation

95 In order to make sure that the implementation of The Resettlement Plan goes on wheels and that the resettlement objectives can be properly realized, the project has monitored and evaluated the land occupation, the demolition and the resettlement implementation regularly. The monitoring can be divided into internal monitoring and external monitoring. The monitoring and evaluation will start from January 2015 and end half a year after the resettlement has been completed and the production and life of the affected persons have been restored. According to the construction progress and the resettlement progress of the project, the internal monitoring report and the external monitoring report should be submitted to the ADB semiannually.

10.2 Internal Monitoring

96 The ADB-financed project will establish the internal monitoring operating mechanism to inspect the resettlement activities. Establishing the land occupation, the demolition and the resettlement database, the internal monitoring institution will conduct internal monitoring and inspection to the overall resettlement preparation and implementation process by taking advantage of the compilation of The Resettlement Plan and its monitoring of the resettlement.

10.2.1 Implementation Procedure

97 During the implementation process, the project unit will collect and record the resettlement information according to the monitored samples and report the current activity records to the PMO timely so that the monitoring of the implementation is continuous. The PMO will conduct regular inspection on the project implementation.

10.2.2 Monitoring Content

98 The monitoring content is as follow:  the payment situation of compensations for the land occupation and house demolition;  the income restoration situation, including the locations and conditions of the new

allocated lands;

 the house restoration situation, including the allocation of the homesteads;  the resettlement institution staffing, trainings, the work schedule and the work efficiency;

 the record and settlement of the complaints and appeals of the affected persons.

10.2.3 Internal Monitoring Report

99 The project implementation unit will compile an internal monitoring report every half year and submit it to the PMO. The PMO will summarize the reports annually and report the result to the ADB-financed project office and ADB.

10.3 External Independent Monitoring

10.3.1 Objective and Task

100 The external monitoring and evaluation mainly aims to evaluate whether the resettlement objectives are realized by regularly monitoring and evaluating of the land occupation, the demolition and the resettlement activities. With the external monitoring and evaluation, the external monitoring institution will put forward the evaluation comments and suggestions on the overall resettlement process and the restoration of the production and life of the affected persons, which will provide a pre-warning system for the project management department and provide a reflection channel for the opinions of the affected persons. 101 The external monitoring institution will be the consultant of the project management institution and the project implementation institution. It will monitor and evaluate the implementation of The Resettlement Plan and provide advisory opinions on the decision-making.

10.3.2 Independent Monitoring Institution

102 The project will entrust a qualified institution to be the independent external monitoring and evaluation institution according to the ADB requirements (The contract of the external monitoring institution of the second phase of the ADB-financed project has been approved by ADB, external institution of Halcrow(Chongqing) Engineering Consulting Co.LTd was

determined through pubic bidding in February 2015. The contract number of external monitoring and evaluation.for RP is 0004..). The external independent monitoring institution will perform the basic monitoring work by providing technique helps for every project unit and investigating the resettlement situation and the living standards of the affected persons.

10.3.3 Monitoring Procedure and Content

103 The monitoring steps and content are as follow: 1、compiling the working outline of the monitoring and evaluation; 2、compiling the investigation outline, the investigation forms and the record cards for the affected persons; 3、the sample size of the sample investigation scheme design: the sampled land occupation affected households account for no less than 20% of the total land occupation affected households; the sampled demolition affected households account for no less than 50% of the total demolition affected households; 4、Baseline Investigation

Conduct baseline investigations on the land occupation affected households, which are required by the independent monitoring and evaluation, to obtain the basic information of the living standards (life, production and management and income level) of the affected households. 5、Establishing the Monitoring and Evaluation Information System Establish the monitoring and evaluation information system and set up databases for all kinds of data generated during the resettlement monitoring and evaluation process. This can provide computer assistances for the analysis and tracking monitoring. 6、The Monitoring and Evaluation Investigation

the capability evaluation of the resettlement implementation institution: investigating the operational capability and working efficiency of the resettlement implementation institution

the resettlement progress, the compensation standards and the monitoring of typical demolition affected households: monitoring the payment situation of the compensations for

the affected persons, the income restoration situation and the resettlement quality

the public participation consultations: participating in the compilation of The Resettlement Plan and the public participation activities during the implementation process and monitoring the result of the public participation

the appeal of the affected persons: monitoring the records and disposals of the appeals of the affected persons 7、neatening the monitoring data and establishing databases

8、contrastive analysis 9、compiling the monitoring and evaluation report according to the monitoring plan

10.3.4 Monitoring Indexes

104 Main indexes of the monitoring and evaluation: 1、progress: including the preparation and implementation of the land use, the house demolition and the resettlement. 2、quality: including the implementation effects of the resettlement measures and the satisfaction degree of the affected persons.

3、investment: including the distribution situation and the use of the funds The monitoring and evaluation will be conducted on the basis of the investigation data provided by the Survey and Design Institute and the resettlement implementation institution. After fully understanding the situation, the monitoring institution will conduct the evaluation by interviewing the key objects and applying the rapid rural appraisal method. Generally, the external monitoring and evaluation institution will do the following work.

1、Participate in public consultations. The independent monitoring institution will participate in the public consultations held by the villages and towns so as to evaluate the effectiveness of the public participation and the cooperation attitudes of the affected persons to the implementation of The Resettlement Plan. These activities will be conducted during and after the resettlement implementation. 2、Collect the opinions of the affected villagers along the road.

The independent monitoring institution will frequently meet the resettlement implementation institution and the representatives of the villagers to obtain the opinions

they collect. It will report the opinions and suggestions of the affected individuals and collectives to the resettlement implementation institution and provide improvement suggestions for the implementation institution so that the resettlment implementation can go on wheels.

3、Other Duties The independent monitoring institution will provide suggestions on the compilation of The Resettlement Plan for the resettlement institution and will monitor the implementations of the following resettlement activities. 105 The external monitoring institution will verify the data and results of the internal monitoring report.

10.3.5 External Monitoring Report

106 Based on the observations and investigations, the external monitoring institution should compile the external monitoring report and independently submit the report to Chongqing PMO,which will submit the report to ADB. 1、Cycle

107 The monitoring and evaluation will start from January 2015 and end half a year after the resettlement has been completed and the production and life of the affected persons have been restored. According to the ADB requirements, there will be 2 times external monitorings during the resettlement implementation process, that is one in the middele of the year and one is in the end of the year. There will be one external monitoring in the end of the year after the implementations of the land occupation and the demolition have been completed.

Table 30 - The Resettlement Monitoring and Evaluation Schedule

The Resettlement Monitoring and Evaluation Time Report

1 Social Economy Baseline Survey 2015.03 The Monitoring and Evaluation Report of 2 2015.05 Phase The Monitoring and Evaluation Report of 3 2015.09 Phase 4 The Monitoring and Evaluation Report of 2016.03

Phase III The Monitoring and Evaluation Report of 5 2016.09 Phase IV The Monitoring and Evaluation Report of 6 2017.03 Phase V The Monitoring and Evaluation Report of 7 2017.9 Phase VI 8 TThe Resettlement Completion Report 2018.09

2、Content (1) the resettlement baseline investigations;

(2) the progresses of the land occupation, the demolition and the resettlement; (3) the situations of the land adjustment, the production arrangement and the restoration;

(4) the house demolition and rebuilding resettlement; (5) the implementation progress of the special facilities; (6) the change of living standards of the affected persons;

(7) the payment and use situation of the resettlement funds; (8) the evaluation of the operation and efficiency of the resettlement implementation institution;

(9) the supports for the vulnerable groups; (10) the functions of the resettlement implementation institution; (11) the existing problems and suggestions.

Appendix 1: Relevant Laws and Regulations

Notice of People’s Government of Shizhu Autonomous County of Tujia Ethnic Minority on Issues Regarding Further Adjusting the Policies of Land Acquisition, Compensation and Resettlement

(Shizhu FF [2013]63)

、Adjusting the Mode and Standards of the Land Acquisition Compensations The land acquisition institution should pay for the land compensations, the resettlement subsidies and the attachments (ground structures) and crops compensations according to the laws. The land compensations and resettlement subsidies should be calculated separately. （）Land Compensations

The land compensations will be calculated on the acquired land area without regardless of land types and land locations. The land compensation standard is 15,000yuan/mu.

（）Resettlement Subsidies The resettlement subsidies will be calculated on the number of people who change their agricultural status to non-agricultural one. The standard of the resettlement subsidies is 36,000yuan/person. （）Crops and Attachments (Ground Structures) Compensations

1． Crops Compensations The crops compensations will be calculated on the acquired cultivated land area. The compensation standard will conform to the relevant standards in the Shizhu County policies.

2． Ground Structures Compensations The ground structures compensation standard will conform to the relevant standards in the Shizhu County policies.

（）Rural House Demolition Compensations and the Resettlement 1． The Basis of the House Demolition Compensations The house collective land right to use certificate and the rural house ownership certificate are the basis of the rural house demolition compensations.As for owners of 74

newly built houses, who have not yet obtained the house collective land right to use certificate and the rural house ownership certificate, the urban and rural residents house building land use approval paper and the rural construction planning permission and other relevant legal approval procedures are the basis of the demolition compensations. The unapproved buildings (structures) will not be compensated. 2．The AreaVerification of the House Demolition Compensations The compensated area of the house demolition will conform to the legal area on the house property right registration. As for people who have the relevant legal papers and do not have the property right registration, the land acquisition implementation unit will take the measured area as the compensated area. The house area measurement will conform to the relevant measurement specifications of China. 3．Compensation Standards for House Demolition The land acquisition and demolition compensation standards confrom to the relevant standards in the Shizhu County policies. 4． Resettlement Mode The resettlement mode is self-built resettlement.

Self-built resettlement:some house demolition affected households living outside of the planning area of the scenic regions in towns, gardens and cities (except the households whose members all change their status from agricultural one to non-africultural one), the subsidies will be distributed to the affected households according to the resettlement area and the local average building and relocation price. The homesteads of the self-built houses should be applied for according to the administrative regulations of countryside homesteads. 5． The Moving and Other Subsidies Standards The moving should be completed within the regulated time limit. The subsidies will be paid one-off to the affected households. 800yuan will be paid to each household with no more than 3 persons and 1,000yuan for each household with no less than 4 persons. 800yuan transition subsidy will be paid one-off to each affected person.

Appendix 2: The Resettlement Information Brochure

A Project Profile

The overall length of Huangyue Road project is 19.694km and its width is 7.5m. It is a third class highway, including 2 medium bridges and 55 culverts. It passes through Huangshui Town Neighbourhood Committee and Jinhua Village of Huangshui Town and Xincheng Village and Yuelai Village of Yuelai Town, which totals to 13 groups (communities) in 5 villages (committees) of 2 towns. The overall length of Huangyue Road is 7.8km and its widthe is 6.5m. It is a third class highway, passing through Huangshui Town Neighbourhood Committee, which totals to 3 groups (communities) in 2 villages (committees) of 1 town.

B Resettlement Principles

According to the relevant requirements of the ADB and domestic policies, The Resettlement Plan is compiled on the basis of detailed impact investigations and considering the opinions of the affected villagers. It has summarized the frameworks of the relevant policies and put forward effective measures to reduce the project impacts after holding a series of consultations participated by the public. As for the Chinese government and ADB, the primary goal of The Resettlement Plan is to ensure that people whose lands or properties are inevitably lost in the development plan can have the same or better livelihood and living standard than the “non-project” time. All policies, suggestions and compensation measures in The Resettlement Plan contribute to realizing this goal.

C Project Compilation Basises

 Requirement 2 of ADB’s Safeguard Policy Statement (2009): The Involuntary Resettlement；  Laws and regulations of PRC;

 Local laws, regulations and policies of Chongqing and Shizhu County;  Reports related to the project design and evaluation: Project Feasibility Study Report and Environment Impact Assessment Report;

 Field investigations on the project design places;

 In-depth interviews on the relevant staff of towns, villages and groups in Shizhu County;

 Sample surveys on the socio-economic situation and land use compensations and relocations desires of the affected persons in November 2011;  The approval papers for the land use methods of the affected committees and villager

groups;  Documentary evidence for the project land use not having to turning into the construction land provided by Shizhu County Land and Resources Bureau;

 Interivews on the representatives of the affected persons and cadres of towns, villages and groups about the compensation policies and standards, the resettlement desires and the income restoration scheme.

 Interivews on people in poverty and other vulnerable groups. D Information Disclosure

During the compilations of the land use, the demolition and the resettlement policies, the plan compilation and the plan implementation stages, the project will attach great importance to the participations of the affected persons in the consultations and their opinions. The relevant departments will convene public information conferences or print and distribute The Resettlement Information Brochure or publicize the project information by other means so that the affected persons fully understand their complaint and appeal rights, the appeal channel and procedure. The resettlement institution should settle the complaints and appeals of the affected persons timely. The project will also employ an independent monitoring institution to monitor and correct the problems of organizations of all levels generated in the implementation process of the land use and the demolition. It will continuously report the land use and the demolition progress to the relevant departments.

E Project Impacts

According to the survey, the total rural collective land area required by the permanent land acquisition is 642.9mu, including 182.3mu cultivated land and 460.6mu forestland.

The permanent land acquisition has affected 1, 018 persons of 289 households from 13 groups of 5 villages in 2 towns of Shizhu County. The temporary land occupation area is

390.75mu, including 45.85mu cultivated land and 344.90mu forestland. The temporary 77

land occupation has affected 510 persons of 129 household from 5 villages in 2 towns of

Shizhu County. The rural house demolition area is 739m2, including 133m2 masonry-concrete structured houses and 606m2 masonry-timber structured houses. In addition to 21 persons of 5 households from 3 groups of 3 villages in 2 towns of Shizhu

County, the demolition has also affected 10 kinds of attachments, including enclosing walls, wells, tombs and electric poles and so on.

F Compensation Standards

The resettlement policies and compensation standards will conform to the above policy basises. The specific compensation standards are in Table 1, Table 2 and Table 3.

Table 1 Compensation Standards for Permanent Land Acquisition Land Resettlement Crops Compensations (yuan/mu) Compendation Compensation （yuan/mu）（yuan/person） Grain Grain Grain Grain

15000 36000 1500 2000 8000 4500

Table 2 Compensation Standards for House Demolition House Compensation Standards (yuan/m2) Other Compensations (yuan) Steel-concr masonry-co Masonry-ti Wood ete ncrete mber Transition Subsidys Moving Subsidy Structure Structure Structure Structure The moving subsidy is calculated by 800 yuan/person will household. A one-off payment of 800 be paid to the yuan will be given to the household with 1020 920 710 400 resettlement of the no more than 3 members. For self-built households. households with more than 3 members, each household will get 1,000 yuan.

Table 3 Compensation Standards for Attachments Compensation Type of Attachments Unit Standards enclosuring wall m3 75 soil m2 10 dam flagstone m2 35 stercorary m3 120 tomb each 2800

canal m3 120 electric pole each 200 electric wire m 5 diameter: 2-4 cm plant 5 fruit trees diameter: 4-7cm plant 50 diameter: 7-10 cm plant 80 diameter: 3-5 cm plant 5 diameter: 5-10 cm plant 13 unspecified diameter: 10-15 cm plant 24 trees diameter: 15-20 cm plant 35 diameter: more than 20 cm plant 40

The deadline of the qualification recognition is the land occupation and demolition information release date, which is March 1, 2015 according to the plan. After this date, the

affected persons should not build, expand or reconstruct their houses. They also should not change the usages of the house and the land, lease the land and the house and sell the house. People who move to the affected area do not have the qualification to get the

compensations. The compensation power matrix is in Table 4.

Table 31 - Entitlement Matrix

Affected Type Impact Rights Compensation Policies and Standards Persons

(1) The land compensation

and resettlement subsidy will

be paid to the village Land Compensation: 15,000 yuan/mu Resettlment Subsidy: 36,000 yuan/person 1,018 collectives;Allocation (compensations for people who change their status persons of proportion of resettlement from agricultural one to non-agricultural one = the Permanent 289 quotient of the sum of the acquired cultivated land Acquisition households subsidies and how to use 642.9mu area and 0.5 time uncultivated land area and the per of Collective from 13 collective funds will be capita cultivated land area in the village before the Land groups of 5 land acquisition.) villages in 2 discussed on the village Crop Compensation: 1,500yuan/mu for grain, towns meetings based on if adjusting 2,000yuan/mu for vegetables, 8,000yuan/mu for goldthread, 4,500yuan/mu for water shields. the land or not,and crop

compensations will be paid to

the affected households.

(2) The crops compensations will be distributed to the affected households; (3) The affected persons will be trained for free; (4) The village collectives will use the compensations to build the public facilities in the villages; (5) Employment opportunities will be provided for the affected persons during the project construction and maintenance process. Steel- concrete 1020yuan/m2 structure Masonry- concrete 920yuan/m2 structure Masonry- timber 710yuan /m2 structure (1) The house compensations Wooden for the affected persons are 400yuan/m2 structure paid at the replacement price. Meanwhile, the transition Transitio 800 yuan/person The total subsidies, moving subsidies n will be paid to the 21 persons subsidies affected persons. Rural House demolition and the demolition subsidies of 5 Demoition area is will also be paid to the affected The moving households 729 m2. persons; subsidy is (2) The village committees will calculated by provides house building land household. A for free within the one-off payment of corresponding villages. 800 yuan will be given to the Moving household with no subsidies more than 3 members. For households with more than 3 members, each household will get 1,000 yuan. Vulnerable 0.63mu 13 persons (1) The villages will provide

Groups land will of 4 necessary help for the affected be households persons; acquired. (2) The affected persons have the priority to pick the house building places; (3) Employment opportunities will be provided for the affected persons during the project construction and maintenance process. According to the project timescale, the crops compensation caused by the temporary land The relevant institution occupation will be paid for 2 years. The 510 persons conducts field investigations compensations are paid according to the type of the of 129 and consultations. The owner occupied land: 2,000yuan/mu for cultivated land and Temporary households unit pays the compensations in 1,000yuan/mu for uncultivated land. While paying the Land 390.75mu from 5 cash to the collectives and compensation to the affected persons, the land Occupation villages in 2 individuals that implement the occupation institution has to pay 20yuan/m2 (i.e. towns land use contract and land 13,334yuan/mu) temporary land occupation cash restoration. deposit to the county Land and Resources Bureau, which will be returned to the institution after the restoration of the affected land. Compensatio Types of Attachments Unit n Standard enclosuring wall m3 75 soil m2 10 dam flagstone m2 35 stercorary 0 120 The compensations will be tomb each 2800 Including paid to owner of the 3 electric canal m 120 attachments at the Attachments poles, electric pole each 200 replacement cost or the and Public wells and owner electric wire m 5 demolition implementation unit Facilities tombs diameter: 2-4 cm plant 5 will restore the attachments to and so fruit their original sizes and diameter: 4-7cm plant 50 on. trees standards. diameter: 7-10 cm plant 80 diameter: 3-5 cm plant 5 diameter: 5-10 cm plant 13 unspeci diameter: 10-15 cm plant 24 fied diameter: 15-20 cm plant 35 trees diameter: more than plant 40 20 cm

G The Resettlement and Income Restoration

The land compensations and the resettlement subsidies will be paid to the collective economic organizations for them to develop the collective economy and arrange the production and life of their members. The affected villages will convene the villager assemblies to discuss and decide how to use the compensations. The compensations for the crops, the attachments and other properties will be directly distributed to the affected persons.  The project owner will give the land use and demolition compensations and other

subsidies to Shizhu County resettlement implementation institution and the institution will give them to the affected collectives and individuals.  The house demolition compensations will be given to the affected persons before the

new house building. The affected persons can use the materials demolished from their own old houses arbitrarily. The project owner should not reduce the compensations for the affected persons because of this reason.

 All of the land compensations will be given to the affected villager groups before the construction of the project. H Institutions and Implementation Plan

The resettlement implementation institution is Shizhu County Land and Resources Bureau, which takes charge of the specific implementation of the project, including the preparations and coordinations during the compilation of The Resettlement Plan stage, the overall resettlement work during the land use implementation and the monitoring and evaluation in the later stage of the project. The affected towns and village committees will send relevant members to coordinate the resettlement work.

I Appeal Mechanism

The project owner has established an appeal mechanism to guarantee the openness, fairness and speediness of the dealing with the affected persons’ suggestions on land acquisition, compensation and resettlement and help the affected persons avoid expressing dissatisfactions or opinions through complex formal appeal channels. The appeal procedure is as follow:

 Phase 1: If the affected persons or the village committees are dissatisfied with the land

use compensations and the resettlement plan, they can submit oral or written

complaints to the town government. If it is an oral complaint, the town government shall keep a written record and deal with it in 1 week;  Phase 2: If the affected persons are dissatisfied with the result of the Phase 1, they can

submit complaints to Shizhu County Land and Resources Bureau or Demolition Office according to the relevant laws and regulations of Chongqing. The county Land and Resources Bureau or Demolition Office shall deal with it within ten days.

 Phase 3: If the affected persons are dissatisfied with the result of the Phase 2, they can submit complaints to Shizhu County PMO. The County PMO shall deal with it in 1 week.

The affected persons can choose to solve the problem directly through the legal system instead the project appeal channel. The affected persons can submit any complaint related to the resselement, including the compensation standards and so on. The affected persons will be informed of the appeal channel above so that they can know their appeal rights. The media will also be used to publicize the appeal channel. The opinions and suggestions of the relevant people or institutions will be compiled into information terms and studied by the resettlement institutions timely. All the resettlement institutions will accept the complaints and appeals of the affected persons for free. The reasonable expense in the process will be paid by the resettlement contingencies. The contacts of the responsible person of each appeal channel are in Table 4. The complainant can submit complaints to the external monitoring institution, which should report the situation to Shizhu County Land and Resources Bureau, the project owner and the PMO. In addition, the complainant can submit complaints to the ADB project leader group so as to solve the problem. If all these kind attempts do not work and all the complaints violate the ADB’s Safeguard Policy, the affected persons can submit complaints to the ADB according to the ADB’s accountability mechanism (2012)1. Table 4 Contacts of the Responsible Persons of Each Stage of The Appeal Channel Diagram Responsible Appeal Channel Contact Departments Persons Contacts Huangshui Town Phase 1 Government Construction Office Director Ma 13709483340 83

Yuelai Town Government Construction Office Director Huang 13452216656 Shizhu County Land and Land Acquisition Phase 2 Resources Bureau Office Luo Guo 15025751678 Development and Phase 3 Shizhu County PMO Reform Commission Ma Peiqi 13996932813 County Legal Department Justice Bureau Office Tan Jiuyin 73378148 County Discipline Discipline Inspection Phase 4 Inspection Department Commission Office Yang Jingyou 73332062 CountyComplaint Government Service Divisions Center Chen Huayong 73327100

2 The affected persons should apply kind methods to solve the problems with the relevant department of

ADB before submitting the complaints to the accountability mechanism. If the affected persons are still dissatisfied with the results after all these efforts, they can adopt the accountability mechanism of ADB.

The website is: http://compliance.adb.org/.

Appendix 3: The External Monitoring and Evaluation Terms of Reference

A. The Objectives of the Monitoring and Evaluation According to the requirements of the ADB’s policies, the project should be monitored and evaluated by an external institution. The institution will conduct tracking evaluation on the land use and resettlement of the project by checking the progresses, the funds and the management of the land use, the demolition and the resettlement and analyzing the change situation and the restoration situation of the affected persons’ production and living standard. While regularly (2 times during the resettlement) reporting to the ADB, Chongqing PMO and relevant competent departments, the external monitoring institution will provide information and suggestions for every relevant institutions so that they can refer to while making decisions. The external monitoring and evaluation allows that the ADB and the project competent units can fully know whether the land use and the resettlement are implemented according to the time limit and the quality standard required in the plan. It will point out the problems and provide improvement suggestions for the relevant institutions.

B The Main Content of the Monitoring and Evaluation

（1）the monitoring and evaluation of the land use and the demolition implementation progresses. Including: - the land use progress; - the temporary land use progress;

- the house demolition and rebuilding progress.

（2）the monitoring and evaluation of the payment and use of the funds. Including: - the payment situation of the funds; - the fund use situation (planned and practical). （3）the monitoring and evaluation of the living standards of the affected persons. Including: - the production and living standards of the affected persons before and after the resettlement; - the contrastive analysis and evaluation of the employment and living standards before and after the resettlement.

（4）the capability evaluation of the resettlement institution and the public participations

and the complaints and appeals situtations. （5）The external monitoring institution will verify the data and results of the internal monitoring report.

C. The Monitoring Route

The external monitoring and evaluation route is in Diagram 1.

Project Approval

The Compilation of the Monitoring and Evaluation Outline

The Compilation of the Investigation Outline, the Investigation

Forms and the Typical Households Record Cards

The Design of the Sample Survey Scheme

The Basal Investigation

The Establishment of the Monitoring and Evaluation Management Information System

The Monitoring Investigations

Area Socio-economic Monitoring of the Resettlement Monitoring of the Land Use Monitoring of the Land Use and

Investigation Implemenation Institution Affected Village Groups Demolition Affected Households

Neaten the Monitoring Data and Establish the Databases

Contrastive Analysis and Evaluation

Compile the Monitoring and Evaluation Report

Not Whether the Resettlement Monitoring Is Completed

Completion

Diagram 1 The External Monitoring and Evaluation Route

D. The External Monitoring Institution The external monitoring institution of the project is an institution authorized by the ADB, which is entrusted by the Chongqing PMO. E. The Organization and Division of Work of the Resettlement Monitoring and Evaluation  Chongqing PMO has entrusted the external monitoring institution to take charge of and examine the specific investigations, the data collecting, the calculation and analysis of the monitoring and evaluation.  The external monitoring institution will form a monitoring and evaluation group. According to the involuntary resettlement policies of ADB, it will monitor and evaluate the resettlement work, compile the monitoring and evaluation outline, set up monitoring points, conduct field investigations, take charge of the internal analysis work and compile the resettlement monitoring and evaluation report.  Chongqing PMO will cooperate with the resettlement monitoring and evaluation group on the staff, the transportation and other aspects while the group is conducting field investigations. F. The Monitoring and Evaluation Methods  The monitoring and evaluation will adopt the method of combing the field investigations, the calculation and analysis and the comprehensive evaluation of the experts.  The investigations will integrate points and spheres. The implementation progress, the funds, the institutions and the management of the resettlement will be fully investigated. The external monitoring institution will conduct sample surveys on the affected households.  The sample survey will adopt random sampling by classification method. The institution will conduct fixed-point tracking surveys on the sampled households. (the sample size: 20% of the land use affected households, 50% of the affected villages. The sampled households will be selected by random sampling method.)  The overall investigation will be realized by the form investigations, the discussions and inquiring the documents and files.  Besides the literal data, the institution should also collect the photographs, the records, the videos, the material objects and other relevant materials.

G. The External Monitoring and Evaluation Report According to the project progress and the requirements of ADB, the external monitoring and evaluation institution will regularly (generally one time every half year) report the monitoring and evaluation report to the ADB and Chongqing PMO.

Table 1 The Resettlement Monitoring and Evaluation Schedule

The Resettlement Monitoring and Evaluation Time Report

1 Social Economy Baseline Survey 2015.03 The Monitoring and Evaluation Report of 2 2015.05 Phase The Monitoring and Evaluation Report of 3 2015.09 Phase The Monitoring and Evaluation Report of 4 2016.03 Phase III The Monitoring and Evaluation Report of 5 2016.09 Phase IV The Monitoring and Evaluation Report of 6 2017.03 Phase V The Monitoring and Evaluation Report of 7 2017.9 Phase VI 8 TThe Resettlement Completion Report 2018.09

Appendix 4: The Commitment Leter of Shizhu County Land and Resources Bureau

Shizhu County Land and Resourcs Bureau and Housing Authority

The Commitment Leter of the Land Use of theADB-financed Shizhu County

Yuelai-Huangshui and Huangshui-Yangdong Road Reconstruction Project Chongqing ADB Office: The ADB-financed Shizhu County Yuelai-Huangshui and Huangshui-Yangtong road project is a livelihood project which can improve the transportation conditions of areas along the road. It is also an important project which can lead the affected persons living in this region get rid of poverty and become better off. The project is a rehabilitation and expansion project which is based on the original road. There is relatively small quantity of new land being occupied. The per capita cultivated land area of the affected village groups is relatively large. The reduction of the per capita cultivated land area is small after the new land occupation. The impacts on the production and life of the affected persons are very small. Every village can ensure that the land use is implemented according to the rural road land use policies: (1)the project is a rural road project. The land use of it can be treated as an agricultural internal structure adjustment; (2) the compensations will be given to the collective economic organizations according to the current land acquisition compensation standard. The collective economic organizations will use the compensations to develop the collective economy and solve the production and life problems of the land occupation affected persons or directly distribute them to the affected households according to the villagers’ desires. The villagers can choose any compensation method; (3) after the land occupation is implemented, the project owner or the transportation competent department will have the project construction right and the management and administrative rights. The collective economic organizations should not intervene. The notice letter is hereby given.