LAND ACQUISITION AND RESETTLEMENT PLAN
Supplementary Appendix to the Report and Recommendation of the President to the Board of Directors
on the
DALI-LIJIANG RAILWAY PROJECT
in the
PEOPLES REPUBLIC OF CHINA
FCTIC of Ministry of Railways West Yunnan Railway Company Planning Commission of Dali Prefecture Dali-Lijiang Railways Supporting Lead Office of Lijiang City
This report was prepared by the Borrower and is not an ADB document.
September 2004
ABBREVIATIONS
ADB Asian Development Bank APs Affected Persons AAOV Average Annual Output Value CRO County Resettlement Office DLR Dali-Lijiang Railway DLRCC Dali-Lijiang Railway Construction Command DMS Detailed Measurement Survey EA Executive Agency FS Feasibility Study IA Implementation Agency LAB Land and Resources Bureau LAR Land Acquisition and Resettlement M&E Monitoring and Evaluation MOR Ministry of Railways MOU Memorandum of Understanding NDRC National Development and Reform Commission PPTA Project Preparatory Technical Assistance ROW Right of Way RP Resettlement Plan PRA Participatory Rural Appraisal SSDI The Second Railway Survey and Design Institute SWJU Southwest Jiaotong University TOR Terms of Reference TRO Township Resettlement Office YPG Yunnan Provincial Government
Measures
CN Yuan Unit of Chinese currency: US$1.00 = CNY 8.27 Mu Area of land – 1 hectare = 15 mu
Terms Used in This Report:
Land-owning Group: Sub-division of a village collective, administratively it also called villagers’ group or just use “group”.
Cultivated land: Both irrigated and non-irrigated (dry land), which is used by the China Land Law to indicates the land with one or two harvests each year. Land for evergreen crops are excluded from this category.
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TABLE OF CONTENTS
Page
1. INTRODUCTION AND PROJECT BACKGROUND ...... I 1.1 INTRODUCTION...... 1 1.2 PROJECT BACKGROUND AND DESCRIPTION...... 2 1.2.1 Project Background ...... 2 1.2.2 Project Description ...... 2
2. LAND ACQUISITION AND RESETTLEMENT IMPACTS ...... 5 2.1 MEASURES TO REDUCE RESETTLEMENT ...... 5 2.2 REQUIREMENT FOR LAND AND PROPERTY ...... 6 2.3 IMPACTED POPULATION...... 7 2.3.1 Population Requiring Resettlement ...... 7 2.3.2 Population Affected by Loss of Land ...... 7 2.3.3 Total Population Affected ...... 7
3. SOCIO-ECONOMIC CHARACTERISTICS...... 8 3.1 THE PROJECT INFLUENCE AREA ...... 8 3.2 BASIC SITUATIONS OF RAILWAY TRAVERSED DISTRICT/COUNTY ...... 8 3.3 SOCIO-ECONOMIC SURVEYS...... 9 3.3.1 General...... 9 3.3.2 The SSDI Survey (2002) ...... 9 3.3.3 The Socioeconomic Survey (2003) ...... 10 3.3.4 The Socioeconomic Survey (2004) ...... 10 3.4 SOCIOECONOMIC CHARACTERISTICS OF THE AFFECTED POPULATION ...... 11 3.4.1 General...... 11 3.4.2 Human Resources...... 11 3.4.3 Natural Resources...... 13 3.4.4 Physical Resources (Table 7)...... 15 3.4.5 Financial Resources ...... 16 3.4.6 Railway Related Issues ...... 20 3.4.7 Land Availability...... 22 3.5 VULNERABLE GROUPS ...... 23 3.5.1 The Poor...... 23 3.5.2 Minorities ...... 24
4. LEGAL FRAMEWORK AND RESETTLEMENT POLICY ...... 25 4.1 GENERAL ...... 25 4.2 LEGAL FRAMEWORK - OVERVIEW NATIONAL/LOCAL BY-LAWS...... 25
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4.2.1 Similarities and Differences between PRC and ADB Policy and Solutions...... 26 4.3 PROJECT RESETTLEMENT POLICY...... 28 4.3.1 General Objectives and Principles ...... 28 4.3.2 Land Redistribution...... 29 4.3.3 Compensation Eligibility and Cut-off Date ...... 29 4.3.4 Compensation Standards ...... 30 4.3.5 Flow of Funds and Compensation Options ...... 32 4.3.6 The Entitlement Matrix...... 35 4.4 IDENTIFICATION OF PROJECT STAKEHOLDERS...... 38 4.5 CONSULTATION DURING PROJECT PREPARATION...... 38 4.5.1 Public Consultation...... 38 4.5.2 Public Participation and Consultation Plan...... 41 4.6 DISCLOSURE OF THE RP...... 42
5. RELOCATION AND RECONSTRUCTION PLANS ...... 43 5.1 OPTIONS FOR RELOCATION OF BUILDINGS AND STRUCTURES...... 43 5.1.1 Implementation Methods for Resettlement...... 46 5.1.2 Compensation and Transition Methods...... 46 5.2 ASSISTANCE FOR TRANSFER AND RESETTLEMENT TO NEW SITE...... 47 5.3 OPTIONS FOR DEVELOPING RELOCATION SITES...... 47 5.4 RELOCATION AND RESETTLEMENT FOR NON-RESIDENTIAL BUILDING ...... 47 5.5 REINSTATEMENT OF INFRASTRUCTURE/PUBLIC UTILITIES ...... 48 5.6 MEASURES FOR SAFEGARDING INCOME AND LIVELIHOODS...... 49 5.7 MANAGEMENT OF ENVIRONMENTAL RISKS...... 49
6. INCOME RESTORATION PLANS ...... 50 6.1 FORMULATION OF INCOME RESTORATION STRATEGY...... 51 6.2 INCOME RESTORATION: USE OF COMPENSATION FUNDS ...... 52 6.2.1 Community Based Income Restoration Measures ...... 52 6.2.2 Use of Compensation Fund by Individuals ...... 52 6.3 TRAINING PROGRAMS ...... 53 6.4 EMPLOYMENT IN THE PROJECT ACTIVITIES ...... 53 6.5 GENDER ISSUES...... 53 6.6 VULNERABLE HOUSEHOLDS ...... 54 6.7 ECONOMIC REHABILITATION PLANS FOR SERIOUSLY AFFECTED VILLAGES ...... 54 6.7.1 Impact Assessment ...... 54 6.7.2 Planning Process and Results...... 56
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7. IMPLEMENTATION ARRANGEMENT ...... 62 7.1 INSTITUTIONAL FRAMEWORK...... 62 7.2 RESETTLEMENT ORGANISATION ...... 62 7.3 ACCOUNTABILITY ...... 62 7.3.1 High Level Coordination ...... 62 7.3.2 Role of WYRC-LAR Unit...... 64 7.3.3 Responsibility of Prefecture/County Level LAR Office ...... 64 7.3.4 Responsibility of Township Resettlement Office ...... 65 7.3.5 Responsibility of Village Committee ...... 65 7.4 GRIEVANCES AND REDRESS...... 65 7.5 CAPACITY BUILDING AND STAFF TRAINING ...... 67
8. COST ESTIMATE AND BUDGET...... 68
9. IMPLEMENTATION SCHEDULE...... 71 9.1 INTERNAL MONITORING ...... 73 9.2 EXTERNAL MONITORING AND EVALUATION...... 74 Methodology and Content ...... 74 Sampling ...... 75 Survey Timing ...... 75 Schedule of the Independent Monitoring Organization ...... 76 Reporting and Distribution...... 77
ANNEXES
Annex 1 - Draft RP Information Booklet Annex 2 - Report Format for External Monitoring and Evaluation Annex 3 - Yunnan Provincial Regulations on Land Administration (Chinese Version) Annex 4 - Impact data of Land Acquisiiton and Resettlement Annex 5 - ToR for External Monitoring and Evaluation
LIST OF FIGURES Figure 1 - Income Distribution of Surveyed Households...... 18 Figure 2 - Flow of Funds for Compensation ...... 35 Figure 3 - Project Land Acquisitions and Resettlement Organisation ...... 63
LIST OF TABLES
Table 1 - Major Technical Indicators and Data of Dali-Lijiang Railway Project ...... i Table 2 - Comparisons of Major Alternatives...... 5 Table 3 - Land and Property Acquisition (summarised) ...... 6 Table 4 - Socio-Economic Status of the Counties in Project Area (2003 figure) ...... 8 Table 5 - Selected Demographic Characteristics ...... 12 Table 6 - Natural Resources ...... 15
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Table 7 - Physical Resources ...... 16 Table 8 - Distribution of Annual Net Income per Capita in Villages to be Traversed...... 17 Table 9 - Relative Importance of Income Sources in Surveyed Villages (2002 figure) ... 19 Table 10 - Income Sources and Per Capita Net Income of Surveyed Households...... 19 Table 11 - Per Capita Expenditure Distribution of Sampled Households ...... 20 Table 12 - Resettlement Information Needs...... 21 Table 13 - Sampled AP Preferences for Mitigation Measures ...... 22 Table 14 - Indicators of Poor Households...... 23 Table 15 - Resettlement Principles - Summary...... 29 Table 16 - Stakeholder Participation and Consultation Record...... 39 Table 17 - Public Consultation Plan...... 41 Table 18 - Situations of Railway Stations and related Affected Villages...... 55 Table 19-Cost Estimate of Land Acquisition and Resettlement…………………………… 69 Table 20-Resettlement Supervision Milestones…………………………………………….... 71
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Executive Summary
I. Project Area and Impact
1. The Project railway alignment will cross 56 villages in 13 townships from Dali City to Lijiang City in Yunnan. The lengths of the railway in Dali Prefecture and Lijiang City are about 138 km and 28 km, respectively. An estimated 5,913 mu (394 hectares) of land will be permanently acquired, of which about 70.3% is currently under cultivation. The number of affected people will be about 4,159 people, assuming that the total loss of cultivated land is based on average per capita land holdings. The Project will also temporarily require an estimated 1,600 mu (106.7 ha), most of which is non-irrigated farmland and barren land. About 250 people will be affected by temporary land occupation. About 179,804 square meters of mainly residential structures will be affected, requiring relocation of about 680 households (3,150 people). Nearly all households to be relocated are included in the number of households that lose land. The relocation of one school and a brick-kiln will require 594 square meters and affect an additional 150 persons. The total number of persons directly affected is thus estimated at 7,709 persons.
2. Land acquisition and resettlement impacts were minimized by aligning the railway away from densely populated areas, and avoiding irrigated land and facilities, where possible. Consultations were held with communities and local officials to minimize the potential resettlement impacts from the railway construction.
II. The Resettlement Plan
3. The draft resettlement plan (RP) was prepared by the Ministry of Railways (MOR), Western Yunnan Railway Company (WYRC), and local government, with the assistance of PPTA consultants and Southwest Jiaotong University (SWJU). It is based on the first stage of preliminary design study, 20 village surveys, 218 household surveys, local government statistics, and consultations with local officials, village leaders, and affected households. Consultations were also conducted with the affected people, whose comments and suggestions were reviewed by WYRC and incorporated in project design. After discussion with provincial, municipal and county level governments, the RP was finalized and endorsed by MOR and WYRC. The RP will be revised based on the detailed measurement survey, including associated cost changes. The revised RP will be disclosed to affected people, and submitted to Asian Development Bank (ADB) for concurrence prior to the commencement of civil works.
III. Policy Framework and Compensation
4. For people unavoidably affected by the Project, the resettlement objective is to ensure that compensation and entitlement provided to APs are adequate to at least maintain their “without project” standard of living, with prospect of improvement, in line with the PRC’s Land Administration Law (1998) and the ADB’s Policy on Involuntary Resettlement (1995), and Indigenous Peoples Policy (1998). The RP is based on the Land Administration Regulation for Yunnan Province (1999). People losing land, housing, other assets or other means of production will be assisted in restoring their incomes and living standards to at least the levels without the Project’s intervention. Lost assets will either be replaced or their owners compensated at replacement cost. In 2004, ii the PRC Constitution was amended to ensure that people are compensated according to law for land expropriated for public project.
5. The RP stipulates eligibility/entitlement provisions for affected people losing land, houses and income losses, and provides rehabilitation assistance. Permanent land losses will be compensated either through land reallocation within villagers’ group or through cash payments to the collective at rates of 8-10 times the average annual output value (AAOV) of the land over the past three years. A resettlement subsidy is calculated at 4-6 times AAOV. Compensation for temporary land loss will be paid directly to the affected people at a rate stipulated in the RP. Farmers will be paid for the period of occupation, and the land will be restored to farmland after use. Compensation for housing losses will be paid directly to the affected people in cash at replacement cost, free of demolition expenses and salvaged materials. Crop and tree losses will be directly paid to the affected people in cash at rates stipulated in the RP. Private shops will be paid compensation for relocation and reconstruction.
IV. Ethnic Minorities and Vulnerable Groups
6. Resettlement will affect about 7,709 people in a poor area where minorities live. Ethnic minorities account for 83% of the affected people. Land acquisition will affect Bai, Lisu and Naxi villages. The railway alignment was routed to minimize the level of resettlement. The people affected by land acquisition are generally better off than average person in each county. However, special measures have been included in the RP and the EMDP to ensure compliance with ADB's social safeguard policies and guidelines and provide opportunities for affected people to directly benefit from the Project.
7. Out of 56 villages, 5 are classified as being seriously affected. Land loss at the household level may include complete loss of paddy land. However, none of the farming households will incur complete land loss. Income loss is thus less severe because planted crops typically account for less than 30% of the household’s gross income. Vulnerable households are those that are orphans, widows, “Wubao” households, and the seriously disabled and mentally ill.
V. Implementation Framework and Budget
8. MOR, WYRC, and local government, including the prefecture level and county level Land Acquisition and Resettlement (LAR) Offices and Land Administration Bureaus (LAB), will be responsible for implementing and delegating resettlement activities to township officials and village committees affected by the Project. Village committees will assist in the implementation of land acquisition and resettlement, with guidance from township officials. The estimated resettlement cost is CNY 141 million ($17.0 million), including contingencies. The resettlement budget will be adjusted based on the actual measurement of physical losses. Dali Prefecture and Lijiang City governments will finance costs for livelihood training (e.g., agricultural and non-agricultural training), and additional support for vulnerable groups.
VI. Stakeholder Participation, Disclosure of RP and Grievances
9. At various stages of the project planning, affected people have been informed and consulted about the likely impacts of the project. Stakeholders consulted include iii heads of affected households, village heads and representatives, local government agencies and departments, and vulnerable groups, including women and ethnic minorities. Information about the resettlement program was disseminated to the APs to promote understanding and support from communities in the project area. A resettlement information booklet will be distributed to villages, groups, and households affected by land loss and/or resettlement. The resettlement information booklet contains objectives of the RP booklet, project description and impact, compensation policy, payments of compensation participation in RP planning and implementation, and grievance procedures. Affected households will also be consulted in the resettlement activities, including the detailed measurement survey, location of underpasses, new housing sites, collective investment of compensation, and grievance redress. Agreement on the total resettlement budget was reached on 21 July 2004 between MOR and YPG. MOR has informed the APs of the proposed compensation standards and/or rates.
VII. Project Monitoring and Evaluation
10. The RP will have both internal and external monitoring. Methods for both are specified in the RP. WYRC, with the prefecture level LAR offices, in collaboration with the County LAR Offices, will be responsible for internal supervision and monitoring. The following activities will be monitored: (i) compensation payments; (ii) house rebuilding/relocation of affected people; (iii) land redistribution; and (iv) grievance redress. Progress reports will be prepared by WYRC and submitted to ADB on a quarterly basis, until resettlement is completed. WYRC will then prepare a resettlement completion report for submission through MOR to ADB.
11. An institute or organization independent of MOR and WYRC, will be contracted to carry out the external monitoring and evaluation work under this RP. A preferred candidate for this task is an organization, which already has experience in monitoring work for international agencies. The tasks include: (i) review and verification of the compensation payments; (ii) status of land acquisition and compensation payments; (iii) appraisal of grievance redress procedures; (iv) affected people’s reaction/satisfaction with entitlements and compensation; (v) assessment of the restoration of livelihoods of affected people; and (vi) drawing lessons learned for future RP planning. The external monitor will prepare monitoring and evaluation reports for submission to MOR and ADB every six months until the completion of resettlement activities; thereafter, annual evaluation investigations will be conducted for at least two years and reported to WYRC and ADB.
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Table 1: Resettlement Supervision Milestones (as of 25 August 2004) Responsible Completion No. Resettlement Tasks Target Agency Date Status 1. Disclosure 1.1 - Stage 1: Distribution of resettlement Local government MOR/WYRC 14 Jun 2004 Complete information booklets at prefecture and WYRC/CROs counties 1.2 - Stage II: Disclosure of resettlement 56 villages MOR/WYRC information booklets CROs 31 Aug 2004 1.3 - Notification to AP of removal 1st Contract WYRC 20 Dec 2004* 1.4 - RP circulation to local offices 3 counties and 13 MOR/ WYRC 6 Sept 2004 Subject to townships item 3.1
2. Resettlement Plan & Budget 2.1 - Completion of re-staking survey 166 km SSDI 31 Dec 2004 2.2 - Approval of RP & budget CNY 141 million MOR/YPG 14 Jul 2004 Complete 2.3 - Publish compensation standards 3 counties CROs 20 Dec 2004 2.4 - Detailed Budget by county 3 counties WYRC 20 Dec 2004 3. Compensation Agreements 3.1 - Provincial agreement with MOR MOR 14 July 2004 Complete 3.2 - Village agreements for land transfer 56 villages CROs 30 Nov 2004 3.3 - Household agreements* 950 AF TROs 31 Dec 2004 4. Detailed Measurement Surveys WYRC, TROs Dec 2004 – Jan 2004 5. Waiver of Land Taxes MOR & YPG ______6. Resettlement Implementation Plans 6.1 - Village Rehabilitation Plans 8 villages CROs 31 Jan 2005 preliminary plans 6.2 - Plan for Vulnerable Groups To be determined WYRC, PGOs 31 Jan 2005 After DMS 6.3 - Technical training plan for AF TBD WYRC, PGOs, CROs 31 Jan 2005 7. Implementation Capacity 7.1 - Training for staff of WYRC 5 staff WYRC, Yunnan LAB 31 Sept 2004 7.2 - Training for staff of PGOs, CROs and TROs 45 staff: WYRC, Yunnan LAB 15 Dec 2004 (5/county=6; 2/township=35; Dali prefecture=4) 8. Monitoring & Evaluation 8.1 - Baseline survey 200 AF** External monitor Feb 2005 8.2 - Set-up internal supervision As per RP MOR/WYRC 31 Dec 2004 8.3 - Contract external monitor As per RP MOR Jan 2005 8.4 - Internal monitoring reports Quarterly MOR/WYRC Jan 2005 1st Report due 8.5 - External monitoring Semi-annual External monitor July 2005 1st Report due 8.6 - Evaluation investigations Annual External monitor Jan 2006 1st Report due 8.7 - Resettlement Completion Report Once MOR/WYRC 2008 9. Documentation of Consultation As per RP WYRC/CROs In progress 10. Documentation of Grievances As required WYRC/CRO/TROs To be recorded 11. Flow of Funds / Compensation Initial funds MOR Dec 2004 12. Commence Land Acquisition*** 12.1 Clearance of ROW WYRC, Contractors Jan-Mar 2005 Target date 12.2 Demolition of houses WYRC, Contractors May-Sep 2005 Target date
AF=affected families; CRO=County Resettlement Office; MOR=Ministry of Railways; PGO=prefecture-level government offices (Dali and Lijiang); RP=resettlement plan; SSDI=Second Survey & Design Institute; TBD=To be determined; TRO=Township Resettlement Office; VC=Village Committee; WYRC = Western Yunnan Railway Company; Yunnan LAB=Yunnan Land Acquisition Bureau; and YPG=Yunnan Provincial Government. * - For the first contract. **200 AF or according to ADB requirements (10% AFs and 20% seriously AFs). *** Start date.
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1. INTRODUCTION AND PROJECT BACKGROUND
1.1 INTRODUCTION
This Resettlement Plan (RP) addresses the land acquisition and resettlement aspects of the Dali-Lijiang Railway Project. It has been prepared in accordance with the ADB's policies on Involuntary Resettlement1, Indigenous Peoples, and other social safeguards and guidelines on social dimensions, the PRC’s laws and regulations, local by-laws relating to land acquisition and resettlement. It outlines the policy framework on remedial measures for mitigation of adverse impacts of the proposed Project (the Project), and the rehabilitation strategies for all affected people (APs) and seriously affected villages including how and when these measures must be implemented. This RP will be jointly approved by Ministry of Railways (MOR) and Yunnan Provincial Government.
For both the PRC and the ADB, the over-riding objective of resettlement planning is to ensure that persons unavoidably losing land or property as a result of a development project attain equal or better livelihoods and living standards than if the project had not occurred. All policies, proposals and compensation measures contained in this RP are designed to meet this objective.
The preparation of this RP was based on: (i) relevant Project reports: particularly the Project Feasibility Study, and the Resettlement Plan (draft) prepared by the Southwest Jiaotong University in May 2003; (ii) discussions with the principal authors of the above documents; (iii) field visits along the proposed alignment; (iv) consultations with various levels of local government, village leaders and APs; (v) socio-economic surveys of affected households carried out during the PPTA stage (2003-2004); and (vi) meetings with representatives from seriously affected villages to discuss and determine preferred compensation and income restoration strategies.
The impact data used in this RP is based on the Feasibility Study, completed and revised in January 2004. In order to fully assess project impacts prior to their occurrence, RP impact data and cost estimates will be reviewed and amended if necessary, following the results of the Detailed Measurement Survey (DMS). While the principles and the resettlement entitlements have been stipulated in this document, the compensation packages for the affected households/shops and enterprises, including budget, will be revised based on further detailed planning. Chapter 9 provides a list of detailed planning and implementation preparation tasks to be completed by the project Executive Agency (EA).
1 Asian Development Bank, Involuntary Resettlement, Manila, November 1995; Handbook on Involuntary Resettlement: A Guide to Good Practice. ADB Manila, 1998.
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1.2 PROJECT BACKGROUND AND DESCRIPTION
1.2.1 Project Background
The Project will involve the construction of a single track Railway from Dali Prefecture to Lijiang City. The proposed Dali-Lijiang Railway is a priority project under the Tenth Five Year Plan (2001-2005). The local governments and people living in the project area see the railway as a key investment for development and access to the markets. The railway link will connect the land-locked region of northwest Yunnan province with the rest of PRC and provide connectivity to Kunming, Shanghai, and Beijing through the three of the sixteen east-west and north-south national corridors. This will provide accessibility to the ports of Fangcheng, Beihai in PRC and Haiphong in Vietnam and to South and Southeast Asia. The proposed Project will also help in promoting the regional cooperation in the Greater Mekong Subregion (GMS), of which PRC is an active participant through Yunnan province, which shares borders with other GMS countries. The Project and associated developments are expected to stimulate industrial and natural resources development, tourism and related industry, generate employment and increase income of poor people and together with local development reduce poverty.
1.2.2 Project Description
1.2.2.1 Route Description
The proposed railway is located in Dali Bai Minority Autonomous Prefecture and Lijiang City of Yunnan Province. The project runs through Dali City (county level) and Heqing County of Dali Prefecture, and Gucheng District (county level) in Lijiang City. The alignment starts at the Dali East Station of Dali City, traverses Dali Valley, Heqing Valley and Lijiang Valley along the eastern mountain foot. At the boarding areas between two valleys and at the eastern bank of Er’hai Lake, tunnels are frequently designed. Total length of the alignment is about 166 km. Also, included in the Project will be 4 km inter-connection railway from Hongshan to Dali stations, 18 stations, 5 roads to the new stations totally 15 km, and 251 km of construction access roads. The provisions outlined in this RP will be applied to any land acquisition and resettlement required by those construction of the above mentioned railway stations, construction access roads and the connector roads. This RP will be updated accordingly.
In terms of the project RP covered scope, the alignment will cross 13 townships from Dali prefecture to Lijiang City. The railway length in Dali Prefecture and Lijiang City are about 138km and 28 km respectively.
1.2.2.2 Principal Technical Indicators and Cost
The major indicators are listed in Table 1. The total cost is estimated to be in the order of RMB 4.51 billion (c. $ 548million). The MOR, ADB/AFD and Yunnan Province will jointly finance the expenditure. The Asian Development Bank will provide a loan amount of $ US 180 million and the Agence Française de Développement (AFD) a loan amount of
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$ US 40 million. It is currently anticipated that contractors will commence civil works in mid 2005. The railway is to be completed in 2008.
Table 1 - Major Technical Indicators and Data of Dali-Lijiang Railway Project No. Item Unit Quantity Remark 01 Railway class Class I 02 Total length Km 166 03 Designed driving speed Km/h 120 04 Requisitioning land Mu 7513 Including temporary land acquisition 1600 mu 05 Removing buildings m2 120908 06 Various bridges m/no. 16604.6/58 07 Length of tunnels m/no. 71248.0/26 08 Length of bridges & tunnels % 52.7 % With total length 87.85 km 09 New railway stations no. 18 - passenger stations no. 6 - passing stations no. 5 - reserved passing stations no. 7 To be opened in the mid-to long-run 10 Culvert m/no. 8191.4/317 11 Construction access roads Km 251 Source: Revised Feasibility Study - SSDI January 2004.
1.2.2.3 Socio-Economic Benefits
The Project is expected to have the following socio-economic benefits: 1) reduced travel times from Dali to Lijiang; 2) the removal of constraints to economic growth (especially cargo transportation) in the project area; 3) increased short-term construction jobs in townships crossed by the railway. In addition, the construction of the railway is expected to lead to the following benefits to mountainous communities: 1) reduced transport and agricultural input costs; 2) increased opportunities for cash cropping; 3) increased non-agricultural employment activity; and 4) improved access to markets, schools and health facilities. All the above will contribute to improving the standard of living of the poor and impact favourably on women and ethnic minorities living in the Project Area (please also see the Social and Poverty Assessment of the PPTA report).
1.2.2.4 Project Land Acquisition and Resettlement Impacts
Based on the field survey of Feasibility Study, the total expected permanent acquisition of land is around 5913 mu (394 hectares) and the temporary use of land will amount to 1600 mu (107 hectares). 56.5 % of the land to be permanently acquired is currently under cultivation. The number of people who will lose all their land over which they now have user rights will be around 3,705 people. The number of rural people whose houses will be demolished is 3,150 while the school and a brickfield house relocation will affect another 150 persons. In addition, temporary land occupation will affect around 250 persons. Accordingly, it is currently estimated that the total number of persons directly affected will be around 7709 persons (detailed impacts for land acquisition and resettlement are listed in Table 20). A final estimate will only become available once the Detailed Measurement Survey associated with the formal
Resettlement Plan 4 land acquisition procedures is undertaken. The land acquisition and resettlement activities were expected to commence in February 2005.
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2. LAND ACQUISITION AND RESETTLEMENT IMPACTS
2.1 MEASURES TO REDUCE RESETTLEMENT
When aligning the route, the following principles have been followed: (1) “being close to the urban area but not entering into the urban area”, namely, avoiding cities, towns and densely populated residential areas; (2) reducing house dismantling as much as possible by aligning the railway along the village sides rather than through its centre, and occupying as little fertile farmland and economic forest as possible; (3) being far away from or avoiding natural scenic spots, water source areas and other facilities sensitive to vibration and noise; and (4) being beneficial for improvement of investment environment along the corridor, promotion of economic development and creation of preferred social economic benefit.
Obviously, a key design principle was to minimise the land acquisition and house demolition of the Project. Given the alignment optimisation based on the overall Project cost minimisation, in the Feasibility Study, the resultant amount of land acquisition is the lowest among major alignment alternatives (See Table 2). The unavoidable resettlement impact could not be minimised further at the project feasibility study stage, which also reflects AP’s preference that if unavoidable, they would like to demolish houses rather than lose fertile land. During the preliminary design and detailed design phases, minimisation of land acquisition and resettlement will be further considered.
Table 2 - Comparisons of Major Alternatives Recommended Length of Total Total land House to be Total cost Sections (underlined) and Alignment Earth/Stone * acquisition removed (M2) (CNY10000) alternatives (km) Works(M3) (mu) I. Track Connection Options Dali East connection scenario has increased invest about CNY 438 million; however, this scenario has Dali East vs. Dali Station avoided the disruption of national protected Dali Ancient Town Area in the west of Erhai Lake. Accordingly, the densely populated area with enormous fertile land acquisition and resettlement has been avoided. II. Alignment alternatives 1.Haidong--Wenbi Near mountain side 4.5 93644 … 44.1 0 12246.75 CK18+850～CK23+350 Near Lake side 4.539 140874 … 65.7 970 12327.05 2. Bijiashan Tunnels Short Tunnel Senario 12.1 96481 … 115.2 0 41849.61 CK63+000～CK75+100 Long Tunnel Senario 11.42 146390 … 156.8 0 50265.98 3.Xiyi--Changtou Eastern Alignment 15 698820 … 616.5 10032 29617.77 CK89+900～K104+000 Western Alignment 15.1 835184 … 621.1 6840 35671.62 Compared with the western alignment, the eastern alignment, shortened in length 4.Changtou--Lijiang South by 2.281km ， with bridges and tunnel shortened by 2.392 km ， has more Heqing East Station advantage. Meanwhile, the engineering geographical features are superior to the alignment CK108+800～CK155+200 western alignment. And the most important is that the station location is in line with the local county town planning. Tunnels may cut off the rock water system and disrupt the spring water sources Heqing West which will affect the drinking water system of local farmers, and even damage the Alignment nearby ecological system. 5.Location of Lijiang Station Eastern Alignment Lijiang Station sited in the east mountain slope is in line with the overall urban Western Alignment planning of Lijiang City, which is not far from the downtown area. Sub-total Recommended (a) 78 888945 … 775.8 10032 83714.13 Sub-total of alternatives (b) 79.601 1122448 … 843.6 7810 98264.65 Difference (c)=(a)-(b) -1.601 -233503 … -67.8 2222 -14550.52 N B * Other items include tunnels, large to medium bridges and underpasses, etc. **The recommended alignment sections are underlined. Source: Project Feasibility Study, 2004.
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2.2 REQUIREMENT FOR LAND AND PROPERTY
Land and structures in the following categories have been estimated: • Land: irrigated, non-irrigated (dry), forest, barren, residential. A distinction is made between land required permanently and temporarily (i.e. during the construction period only); • Trees and young crops: economic trees and timber trees; • Housing categorized by private and public used houses; • Structures and fixtures: enclosure wall, and tombs; • Infrastructure: e.g. power lines and telecommunication lines; • Non-residential establishments: e.g. schools, enterprises.
Table 3 summarises the principal categories of land and property acquisition. Over 56 % of the land to be acquired is currently cultivated land (3726 mu or 248 ha, accounted for 2.5 % of total village cultivated land area), and nearly 70 % of this land is irrigated. Most of the remainder are forestland/bush land and barren slops. Around 680 private households will require relocation, as will one school and one house in the brickfield. Over two thirds of the land acquisition and of the property demolition will occur in Dali Prefecture. Temporary land to be rented during construction will amount to 1600 mu (107 ha).
Table 3 - Land and Property Acquisition (summarised) COUNTY TOTAL ITEM Dali Heqing Gucheng No. of Townships crossed 6 5 2 13 No. of Villages crossed 21 25 10 56 Permanent Land Requirements (in mu) Dali Prefecture Lijiang City Irrigated Land 747 394 1141 Dry Land 1932 1086 3018 Total Cultivated Land 2679 1480 4159 % Irrigated 27.9 % 26.6 % 27.4 % Housing Plot 69.6 9 78.6 Orchard /Economic Forest 63.5 53 116.5 Timber Forest 981.7 55 1036.7 Other /1 450 71.6 517.1 Total land 4244 1669 5913 % Cultivated land 63.1 % 88.7 % 70.3% Temporary Land Requirement (mu) 1600 Private Households requiring relocation 680 Floor space (m2) 120314 Schools /Enterprise requiring relocation 2 Floor space (m2) 594 Total Floor space 120908 Road rerouting 14.79 4.64 19.43 Power lines (km)—single line length 47 10 57 N.B.: 1 i.e. bush land barren mountain slope and barren land and 70mu state owned land. Source: Estimated based on Feasibility Study and field survey, 2004
The impact of land and property acquisition will be widely spread with over 56 villages in 13 townships losing land or property. All the villages will lose land and 18 villages will lose
Resettlement Plan 7 property. One school - Beixihe Primary School in Heqing County and one house in Xiahe Brickfield in Dali City will be affected by land acquisition.
Infrastructures that will be affected include power lines, telecommunication lines. In addition, existing roads and irrigation systems will be “cut” by the railway and will require rehabilitation. However, the restoration of the infrastructure will be included in the civil work of railway construction. A condition of these contracts will be that the infrastructure is maintained at all times during the construction period.
2.3 IMPACTED POPULATION
2.3.1 Population Requiring Resettlement
Based on the feasibility study and field survey, it is estimated that 680 private households will require resettlement, and the total number of persons affected will be around 3,150.
One primary school and one house in Xiahe Brickfield will be affected by the demolition (whole or partial), with total students, teachers and workers 150 persons.
The total number of people affected by demolition is therefore around 3,300 persons.
2.3.2 Population Affected by Loss of Land
The Project will permanently acquire 5913 mu (394 ha) of land, of which 4159 mu (70%) is cultivated land, 116.5 mu (2%) is orchard, 1036.7 mu (18%) is forest, 78.6 mu (1%) is house plots and 517.1 mu is other/wasteland. This impact is equivalent to 3,705 persons losing all their cultivated land.
If the land can be re-distributed among farmer households in the same land loss group, then all farmers in the land owning group will share the land loss. For example, if the 4159 mu cultivated land loss is shared by all villagers in the affected villages (120,694 persons), each person will only lose 0.03 mu; thereby all the farmers in the affected villages would be indirectly affected.
2.3.3 Total Population Affected
The temporary land occupation amount is 1600 mu, but most of the land will be barren land or mountain slope. There are 250 persons who will be directly affected.
The total population directly affected by land and/or property acquisition will thus be 7709 persons.
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3. SOCIO-ECONOMIC CHARACTERISTICS
3.1 THE PROJECT INFLUENCE AREA
The area influenced by the proposed railway project mainly include Dali City, Jianchuan County, Eryuan County and Heqing County in Dali Bai Nationalilty Autonomous Prefecture; and Yulong Naxi Nationality Autonomous County, Linglang County and Gucheng District in the Lijiang City. The economic status of the influenced counties is listed in Table 4.
Table 4 - Socio-Economic Status of the Counties in Project Area (2003 figure) Total Population Per Rural per Land Rural pop Rural Minority Minority population Density capita capita net County area (1000 popul- popul- (% of total (1000 (persons/ GDP income (sq km) persons). ation. (%) ation popu.) persons) km2) (yuan) (Yuan) Dali 1468 518.6 323 62 % 353 367.0 70.8 13123 3161 Eryuan 2961 327.6 307 94 % 111 237.6 72.5 3840 1488 Heqing 2395 260.1 239 92 % 109 170.1 65.4 2685 1197 Lijiang 7648 349.1 280 80 % 46 290.1 83.1 4867 1954 Jianchuan 2318 168.0 152 90 % 72 162.0 96.4 2643 1123 Lanping 4455 188.2 166 88 % 42 176.2 93.6 2870 1076 Ninglang 6206 230.2 210 91 % 37 182.2 79.1 1686 703 Zhongdian 11613 130.6 107 82 % 11 106.6 81.6 3230 1154 Total PA 39064 2172.4 1784 82 % 56 1691.8 77.9 5641 1643 Total 394139 43331.0 36363 84 % 110 15779.0 36.4 5179 1609 Yunnan Note: the project traversed counties are highlighted; data in Gucheng district was aggregated in Lijiang County. Originally Eryuan was affected, but started from 1 January 2004, the only two traversed townships have been turned over by Dali City. Source: Yunnan Yearbook 2003.
3.2 BASIC SITUATIONS OF RAILWAY TRAVERSED DISTRICT/COUNTY
The Dali-Lijiang Railway will require land and/or property in the following district/counties: Dali, Heqing and Gucheng. Over 72 % of the arable land will be acquired in Dali City and Heqing County. The basic situation of these district/counties is presented below.
DALI CITY
Dali City is located in the middle west of Yunnan province. It is 46.3km from east to the west and it is 59.3 km from south to north, with a total area 1468 square km. The hilly region covers 67.27 % of the total areas and the water area accounts for 17.02 %, the rest 15.71 % belongs to the agricultural areas. The total population was 510,100 in 2002, of which the agricultural population accounted for 62.8 %. Bai Nationality is the majority in this prefecture, accounted for about 70.7 %. Other ethnic groups include Han (29 %), Naxi Hui, etc. The Dali-Lijiang Railway will traverse five townships of the city: Fengyi, Haidong, Wase, Shuanglang and Shangguan townships, and an economic development zone (at township level).
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HEQING COUNTY
Heqing County is located in the northwest of Yunnan province and has a total area of 2,395 square km. Of the total population of 258,896, 238,595 persons are agricultural, accounted for 92 %, it is a typical agricultural county. Of the total population, Bai people accounted for 57 %, Han 35 %, and Yi 5 %; other ethnic groups include Lisu, Zhuang, Miao, etc. The agricultural areas are 253,100 mu including 153,300mu paddy field and 99,800 mu dry lands. The Dali-Lijiang Railway will traverse five townships of this county: Xiyi, Songgui, Jindun, Caohai and Xintun townships.
GUCHENG DISTRICT
It is a new district established in 2002, covering the old town area of Lijiang City center. The Dali-Lijiang Railway will traverse two townships in this district: Qihe township and Jinshan Bai Nationality Township.
3.3 SOCIO-ECONOMIC SURVEYS
3.3.1 General
This Section presents information on the socio-economic characteristics of the population likely to lose land or property to the Railway. The information comes from the following sources:
1. SSDI field survey investigations undertaken in parallel to the surveys for the project Feasibility Study, carried out during September-November, 2002;
2. The socio-economic survey undertaken by the Southwest Jiaotong University in April 2003; and the household and village questionnaire surveys conducted by local contractors and supervised by the PPTA Consultants in January 2004;
3. The consultation and discussions of PPTA Consultants with seriously affected villages for the formulation of economic rehabilitation plans in January 2004; and
4. The analysis of local township and village statistics compiled by the PPTA Consultants in 2004.
3.3.2 The SSDI Survey (2002)
The Feasibility Study survey was conducted by collecting information from the Statistical Bureau, the Planning Bureau and the relevant departments, interviewing the local government officials on the alignment by taking consideration of the local social-economic development and environmental projection. Detailed topics included future development industries; the layout of the Railway alignment and the stations along the traversed townships; inter- connector line in Dali, frequency of underpasses and culverts; minimisation of fertile land
Resettlement Plan 10 occupation and resettlement, and other related issues to facilitating local economic growth and poverty alleviation.
The SSDI survey found strong support from government at all levels and villagers along the proposed Railway alignment. SSDI also concluded that, in most cases, land-owning groups would respond to land losses by re-allocating land and that income loss would not be significant due to the alignment has over half of the length are tunnels and bridges and the alignment will be major located in the mountain slope along the mountain contour lines.
3.3.3 The Socioeconomic Survey (2003)
This survey was undertaken by the survey team from Southwest Jiaotong University in April 2003. This survey interviewed 112-households on the basic households information, and collected second hand data from the affected 13 townships. This survey has provided a great deal of information on local farmers’ production and living situations which has been used for RP planning.
3.3.4 The Socioeconomic Survey (2004)
The survey involved collecting primary data from selected 20 villages and 218 households on the proposed alignment. Two survey instruments were used: (1) a village questionnaire, administered to village leaders, and (2) a household questionnaire administered to individual households. The survey team included members of 18 survey staff from three affected counties. The county and township officials provided full cooperation.
A strict purposive sampling frame was designed and applied using data collected in the survey, information collected by the TA survey team during a preliminary field visit traversing the length of the road, and the 1:2,000 scale alignment map prepared for the feasibility study. The following selection criteria were applied: (1) strong representativeness of villages that will suffer high proportionate land loss; (2) an even geographic distribution along the alignment; (3) relative inclusion of the least well-off villages and villages with significant minority populations; (4) a spread between rural villages and those nearer the county towns; and (5) an equal distribution of better-off, intermediate and poor households for household interview with the following distribution: land acquisition only (106), house relocation only (49) and both land acquisition and resettlement (112), total 218 households.
Within each village, individual households were selected on the basis of their proximity to the proposed alignment. Because the alignment has neither been finalised nor clearly marked on the ground, it is not certain that all interviewed households will definitely be affected by the Railway. This should not however affect the identification of the socio-economic characteristics of the APs.
The socio-economic survey covered 20 villages to be transected by the railway. A total of 218 individual households were interviewed containing around 1,037 persons.
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3.4 SOCIOECONOMIC CHARACTERISTICS OF THE AFFECTED POPULATION
3.4.1 General
The data collected during the 2004 socioeconomic survey have been analysed using the Household Livelihood Framework. The framework involves consideration of four different aspects of household socioeconomic characteristics: • Human Resources: demographic and education/skill characteristics; • Natural Resources: land, forests and access to water supply; • Physical Resources: ownership of productive and consumer assets; • Financial Resources: household incomes and expenditure (access to credit).
The following sections examine each of these in turn. An additional section describes the survey findings in respect of APs attitudes towards the railway.
3.4.2 Human Resources
The average household size of the population surveyed was 4.76 persons (See Table 5). The household size in Dali City is higher than that in Gucheng District and even Heqing County; the obvious reason for this disparity is that Dali City consists of more ethnic minority (Bai) households, which usually has a big family size, and the land scarcity is also a reason to foster some households to keep married brothers in the same household. A high proportion of households (82 %) have 4 to 6 members and there are 11 % households that have 1-3 members. Only 7 % households have 7-9 members, which are identified as large families.
Around 23 % of the population is aged under 17 years and 11 % are over 60 years. 40 % of the population is aged 17~39 years indicating a high birth rate between 1960 and 1980. The current trend is for a levelling off as family sizes continue to stabilize. The proportion of older people will however increase.
Of the population over 17 years nearly 70 % is employed; 18 % are students and the remainder are either retired, sick or disabled. The overall dependency ratio is 1.6 (persons per worker/labor); this ratio varies little with household size indicating that larger households reflect extended families under one roof (e.g., two or more nuclear families with one common elderly parent). The survey data on occupation indicated 353 males and 303 females were employed, reflecting the high female participation rate.
Virtually all households are farming households although a dozen household heads have non- agricultural status, such as local schoolteachers and workers. 45 % of the population interviewed are farmers relying on farming only, 20 % are farmers with a second occupation (58 % of these are migrants) and 4 % are wholly engaged in non-agricultural occupations. Men are more likely than women to have a second occupation or work outside agriculture. However, compared with men, women make up the majority of those working exclusively in agriculture. Other occupations are varied with a preponderance of small business, transportation, and crafts persons including carpenter and silversmith.
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Overall, one in two surveyed households had at least one migrant labour either work for short or long time each year. Migrant workers include people that travel outside the prefecture for employment for seasonal or year-round employment. Local officials estimate that 20 % of migrant workers are away 1-3 months during periods when farm labour is minimal, 20 % are away 4-9 months; and 60 % are away from 10-12 months (permanent employment outside or return only for harvest).
Table 5 - Selected Demographic Characteristics Household size Persons Dali Heqing Gucheng TOTAL % 1-3 12 6 5 23 11 % 4-6 69 57 53 179 82 % 7-9 12 2 2 16 7 % All (households surveyed) 93 65 60 218 100 % Total Pop. 448 309 280 1037 - Average 4.82 4.75 4.67 4.76 -
Age Distribution Age Group Dali Heqing Gucheng Total % ≤6 years 37 26 22 85 8 % 7-16 years 71 49 40 160 15 % 17-29 years 120 68 72 260 25 % 30-39 years 62 50 39 151 15 % 40-49 years 69 52 47 168 16 % 50-59 years 45 24 28 97 9 % 60-69 years 27 28 22 77 7 % ≥70 years 17 12 10 39 4 % Total 448 309 280 1037 100 %
Occupation by gender (excl. ≤6 years) Occupation Male Female Total % Farming only 186 242 428 45 % Farming + second job 138 (74)* 49 (36)* 187 20 % Worker 6 6 12 1 % Other occupations** 23 6 29 3 % Sub-total of employed 353 303 656 % of farming only 53 % 80 % 65 % Students 97 77 174 18 % Retired 52 70 122 13 % Total 502 450 952 100 % Note: * indicates migrants labors/workers within the second job. ** indicates teachers, officials, managers, transport, business/shop operation, craftsman, embroiderers etc.
Education by county and gender (excl. ≤6 years) Attainment Dali HeqingGucheng Male Female Total % None 37 26 18 14 67 81 9 % Primary school 179 150 108 215 222 437 46 % 1-3 yrs middle school 142 86 93 201 120 321 34 % High school 39 18 25 53 29 82 9 % Tertiary 14 3 14 19 12 31 3 % All 411 283 258 502 450 952 100 % Source: Field Survey January 2004.
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Over 90 % of the population aged 7 years and over have at least primary education; 34 % have been to middle school but only 12 % have been to high school or college. Over half of households have at least one member with high school or tertiary education. Proportionately more women have no education at all but the incidence is low and the situation is improving (i.e. most illiterate people are elderly).
Amongst the adult population, illiteracy (no formal education) is concentrated amongst those aged between 40 and 60 years and over 60 years. In contrast, most of those aged from 17 to 39 years have been to middle school or beyond. The household data suggest that for most villager groups on the alignment, around half of the adult APs have completed middle school education or more. This represents a considerable foundation on which to strengthen the skills-base through vocational and technical training, or simply facilitating off-farm opportunities.
Allied to the prevalence of households engaged in non-agricultural activities (50 %), and despite the relatively low proportion with high school or tertiary education, the results suggest that a large proportion of APs have the skills and education to assimilate improved cultivation techniques and to engage in off-farm employment opportunities. Some basic training would make this transition quite effective.
3.4.3 Natural Resources
3.4.3.1 Land Tenure
In the mid-1980s, the collective form of agriculture introduced in the 1950s was replaced by the household responsibility system, which divided land equally amongst households on the basis of their size. Where there were marked variations in the quality of land within the same village, households were allocated plots in each category; many households therefore have fragmented land holdings. Households were given contracts (originally for 15 years but since 1998 contract were for 30 years) giving them user rights to cultivate this land; ownership of the land however remained with the original land owning group - administratively the land owning group is also called villagers’ group. In some villages, 5-10 % of the land was not allocated to individual households but was held in reserve, and is farmed based on annual agreement.
The original distribution of land was equitable in the extreme. However as time passes, the household situation changes - people die, others are born, some leave to marry out, others marry in, reserve land can be used to accommodate new arrivals. However, given the fact that population is increasing (albeit slowly), the general trends are: (1) for land per capita to decrease; and (2) a growing mismatch between household size and the amount of cultivable land - in the survey nearly half (48.6 %) of households had per capita land holdings below the average, and total 188 new born and married-in persons (18 %) who have no cultivated land in wealthy, intermediate and poor households due to that they have to wait in a queue to get land after 1-3 years when the land adjustment taking place (i.e., redistribution in a small scope and basically keep the 30-year land contract unchanged).
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3.4.3.2 Cultivated Land, Orchard/Economic Forest (Table 6)
The households surveyed cultivated a total of over 1,289 mu land. Almost all households had some irrigated land and some dry land. Dry land is more prevalent in the area where the Railway leaves the valley and crosses a more mountainous area. In addition, most of the surveyed had some self-reclaimed dry land or slope land, and just 16 % households had orchard/economic forestland ranging from 1-40 mu (mainly plum but also some pear and other fruits).
The average contracted cultivated land per capita amongst the households interviewed is 0.94 mu, which is a little lower than the average obtained from village level data (0.98 mu). Adding the other cultivated land (e.g. slope land and orchard) owned by households, the per capita farmland is 1.52 mu on average. Per capita cultivated land areas are higher in the affected villages located in Heqing County (1.33 mu) and Gucheng District (1.38mu) compared with those in Dali City - only 0.4mu per capita. The variation in land per household is shown in the Table 6: 28 % households have less than 0.5 mu per capita. Over half of the households have more than 1 mu. The smallest households have more land per capita; particularly in Dali and Gucheng, indicating a relative land abundance.
3.4.3.3 Forest Land
Of the total surveyed households, only households in the Dabaguan Village of Shangguan Township in Dali City were found to have contracted forestland ranging from 2-40 mu. For other household surveyed, there was no forestland. This has been confirmed by village interviews that all forestland is owned by village collectives, and each village usually has one to two forest guard(s) to protect the forests. In Heqing County, there are more mulberry trees owned by the village, which can be contracted to farmer households. However, this is not for every households but for a business base.
3.4.3.4 Water Resources
All land in the valleys has sufficient water resources for agriculture. However, in the mountainous areas, it is expensive to develop irrigation to the farmland, thus land is classified as dry land. For dry land, precipitation is normally inadequate to support a good harvest (usually only maize). Instead, irrigated land particularly the paddy land is considered to be the most valuable land.
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Table 6 - Natural Resources Farmland Area (of all surveyed households) Land type Dali Heqing Gucheng Total Irrigated 152.6 158.2 211 521.8 Dry land 27 252.2 171 450.2 Slope/rainfed land 360.5 34.7 22.2 417.4 Total cultavated land 540.1 445.1 404.2 1389.4 % Irrigated. 28 % 36 % 52 % 38 % Orchard/tea 98.1 5.4 72 175.5 Forest land 185.5 0 3 188.5
Per Capita Cultivated Land Distribution among Households (contracted irrigated and dry land only) Mu/Capita Dali Heqing Gucheng Total % <0.5 mu 61 0 0 61 28 % 0.5-0.9mu 21 10 14 45 21 % 1-1.4mu 6 31 24 61 28 % ≥1.5 mu 5 24 22 51 23 % Total households 93 65 60 218 100 % Average-Households surveyed 0.4 1.33 1.38 0.94 - Average-Villages surveyed 0.53 1.07 1.66 0.98 -
Land per Capita by Household Size Dali Heqing Gucheng Per capita cultivat No. of Per capita No. of Per capita No. of Per capita ed Household size house- cultivated house- cultivated house- cultivated Total land (persons) holds land (mu) holds land (mu) holds land (mu) (h.h.) (mu) 1-3 12 0.94 6 1.99 5 1.63 23 1.36 4-6 69 0.46 57 1.30 53 1.39 179 1.01 7-9 12 0.41 2 1.14 2 1.13 16 0.60 Total households 93 0.4 65 1.33 60 1.38 218 0.94 Per capita 1.42 1.46 1.73 1.52 farmland* No land persons 105.5** 42 40 187.5 (%) 23.5 % 13.6 % 14.3 % 18.1 % * including orchard and slope land. ** 0.5 means that one person has gotten half amount of their per capita land quota. Source: PPTA Social-economic Survey, 2004.
3.4.4 Physical Resources (Table 7)
3.4.4.1 Housing and Fixtures
The majority of housing in the affected villages is of average quality with clay wall and wood structure, reflecting the traditional building styles. Infrastructure provision is however good: all houses have electricity and 56 % have tap water into the house or yard. About 37 % households have home telephone and 30 have mobile phone.
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Table 7 - Physical Resources Major Housing Conditions Water Supply Material No. of h.h. % Pattern No. % Concrete/brick 31 14 % Tap water--in room 44 20 % Brick+wood 37 17 % Tap water --in yard 79 36 % Clay+Wood 150 69 % Well in yard 91 42 % Other (wood) (5) - Other sources outside 4 2 % All surveyed households 218 100 % All surveyed households 218 100 %
Household Durables Productive Assets Item % households owning Item % households owning Washing machine 38 % Agricultural Truck 5 % Refrigerator 17 % Tractor 11 % Home telephone 37 % Thresher 42 % Mobile phone 30 % Power engine 15 % TV-colored 78 % Handcart 74 % TV-black & white 38 % Pump 23 % VCD.etc 43 % Tricycle 2 % Electric fan 22 % Motorcycle 8 % Solar water heater 6 % Car/taxi 1 % Source: Social-economic Survey, 2004.
3.4.4.2 Productive Assets
The ownership of productive assets is not significant within the affected villages except nearly three quarters of households have handcarts and 42 % haves threshers. One in ten households have a tractor, one in seven households have a power engine (diesel or electric), and one in 12 households have a motorcycle. There is little evidence of capital equipment related to off-farm/ non-agricultural activities. This means there is a potential for these equipment after the transportation situation improved.
3.4.4.3 Household Durables
Ownership levels of selected household durables are good indicators of relative wealth. Colored TV ownership is nearly 80 % (many are connected to the cable network), and 43 % have a VCD or similar video equipment. Around 38 % households have washing machines. One in six households have refrigerators.
3.4.5 Financial Resources
3.4.5.1 Household Incomes
Table 8 presents the distribution of household incomes in the surveyed villages and households. The village distributions are based on average incomes and other indicators such as households experiencing food shortages, recipients of the 5-guarantee (wu-bao) program.
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Income data provided by the village leaders indicates that around 56 % of the households have annual net incomes above Y 1,500 per capita and around 23 % have annual net incomes of less than Y 900 per capita.
Table 8 - Distribution of Annual Net Income per Capita in Villages to be Traversed County Per capita net (City/ Township Village >2000 2000-1501 1500-901 900-625 <625 income District) (CNY/capita) Dali City Fengyi Fengming 100 % 4300 Shilong 90 % 8 % 2 % 4200 Develop. Zone Manjiang 90 % 9 % 1 % 4421 Haidong Xiangyang 35 % 30 % 20 % 10 % 5 % 1600 Nancun 30 % 50 % 10 % 5 % 5 % 1500 Wase Guangyi 70 % 20 % 8 % 2 % 3190 Shuanglang Changyu 10 % 50 % 40 % 905 Shangguan Haichaohe 10 % 85 % 5 % 1400 Dabaguan 31 % 17 % 26 % 26 % 1586 Heqing Xiyi Qinghe 10 % 15 % 46 % 24 % 5 % 700 County Songgui Baowo 60 % 40 % 849 Xinwo n.a. n.a. n.a. n.a. n.a. 972 Jingdun Yitou 3 % 10 % 47 % 20 % 20 % 900 Beixi 10 % 15 % 35 % 35 % 5 % 1341 Xintun Lianyi 6 % 8 % 62 % 16 % 8 % 1341 Gucheng Qihe Gonghe 5 % 10 % 30 % 50 % 5 % 1500 District Qihe 10 % 65 % 10 % 10 % 5 % 1803 Wufeng n.a. n.a. n.a. n.a. n.a. 1300 Jinshan Guifeng n.a. n.a. n.a. n.a. n.a. 1300 Liangmei 15 % 10 % 45 % 15 % 15 % 1600 Xintuan 10 % 40 % 30 % 20 % 2000 Village Survey Total 38 % 18 % 21 % 16 % 7 % 2143 Household Survey Total 60 % 16 % 13 % 8 % 3 % 3022 Source: Social-Economic Village Survey, PPTA Consultants, 2004.
Income data obtained from the individual household surveys reveal a similar pattern, with the majority of households having incomes over Y 1,500. Overall however, the results are significantly higher than village average: over three quarters have incomes over CNY 1,500 and only 11 % (vs. 23 % at village level) have incomes below CNY 900, thereby revealing a generally prosperous rural economy with relatively few poor households. Figure 1 represents the household income distribution. The data have been reviewed by local township and county officials and they agreed that the survey results have basically revealed the real situations of the households along the Dali-Lijiang corridor. However, since the data was obtained based on the ‘controlled’ sample survey according to the Project Feasibility Study, which may slightly different from the approved Detailed Design, it has been agreed by the project EA that another sample survey based on 10 percent of the exactly affected households will be conducted after the DMS as the baseline survey for project monitoring.
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Figure 1 - Income Distribution of Surveyed Households
25%
20%
15%
10%
5%
0% ?625 625- 901- 1501- 2001- 3001- 4001- ?6000 900 1500 2000 3000 4000 6000 Income (Yuan/capita)
Source: Drawn from household survey data. 2004.
3.4.5.2 Income Sources
Villages along the alignment derive their income from a wide variety of sources. The relative importance of these is shown in Table 9. The importance of grain production and animal husbandry is clear: it represents the most important income source in the great majority of villages, particularly in Heqing County and Gucheng District. The off-farm activities and migrants labor in Dali City are the most important income sources.
The cash crops grown vary considerably within the project area. The most common are fruit and vegetable production, particularly plum, pear, and other fruits are grown. Other cash crops include tobacco and mulberry tree cropping (for silkworm production). Grain (rice and corn) is of vital importance to the local economy, virtually every household cultivates it, but it is used mainly for domestic consumption (and to help fatten pigs) rather than as a cash crop in its own right.
Animal husbandry mainly includes poultry, pig, cattle and goat raising along the railway alignment, as well as silkworm raising in Heqing County and dairy production in Dali City. The off-farm activity includes local transportation service and businesses are frequently mentioned.
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Table 9 - Relative Importance of Income Sources in Surveyed Villages (2002 figure) Animal Migrant Off-farm County Township Village Grain Cash crop husbandry labor activities Dali City Fengyi Fengming 5 4 3 2 1 Shilong 4 3 2 1 Develop. Zone Manjiang 4 5 2 3 1 Haidong Xiangyang 4 5 2 3 1 Nancun 3 4 2 1 5 Wase Guangyi 3 5 4 2 1 Shuanglang Changyu 3 4 1 2 Shangguan Haichaohe 2 1 3 5 4 Dabaguan 1 2 3 5 4 Heqing Xiyi Qinhe 1 3 2 4 5 County Songgui Baowo 1 3 2 4 5 Xinwo 2 1 5 3 4 Jingdun Yitou 1 2 3 4 Beixi 1 2 4 3 5 Xintun Lianyi 4 3 1 2 5 Gucheng Qihe Gonghe 1 4 2 3 5 District Qihe 1 3 2 4 5 Wufeng 1 4 2 3 5 Jinshan Guifeng 1 4 2 3 5 Liangmei 1 5 2 4 3 Xintuan 3 4 2 1 5 Note: 1=ranked first, the highest rank. Source: Social Economic Survey, 2004
Table 10 shows the different income sources in the surveyed households. The Table reinforces the variety of economic activity carried out along the proposed alignment. In the gross income of the sample households, income from the second and tertiary industries accounted for nearly 36 %, ranking first; plus the migrant labor income, the non-agricultural incomes accounted for over 50 %. Incomes from grain and cash crop production are 26.7 %, plus the fruit production. The income share from cropping is just nearly 30 %. Looking at the net income, the share from cultivated land would be even less. This has a significant implication for income rehabilitation of affected households, i.e., the income from cropping accounted for just nearly 30 % of their household gross income, even if the affected households lose 20 % of their cultivated land, the impact on gross income loss would be only 6 %.
Table 10 - Income Sources and Per Capita Net Income of Surveyed Households
Income (gross) per household in Sample % Dali Heqing Gucheng 2003 (CNY) Average Grain and cash crops 4,698 26.7 % 4,208 5,416 4,680 Fruit 503 2.9 % 642 595 189 Animal husbandry 3,520 20.0 % 3,574 2,711 4,312 Migrant labor 2,576 14.6 % 2,285 1,062 4,668 Second and tertiary industries 6,328 35.9 % 9,566 4,689 3,084 Total 17,625 100 % 20,274 14,473 16,933 Production cost1 - 3,552 3,458 2,575 Per capita net income (Yuan) 3,022 - 3,471 2,317 3,080 1 includes costs for chemical fertilizers, seeds, pesticide, tax and fees and other costs for animal husbandry and non-farm activity costs. Source: Household Survey, 2004.
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3.4.5.3 Expenditure Patterns and Savings
Based on data of the expenditure of 218 households, each member in sampled families spent an average of CNY 2,789 in 2003. As is shown in Table 11, great discrepancies in expenditure per capita exist in different areas. The average expenditure in Dali City is CNY 3,456 per capita, being the highest, while in Heqing County, it is CNY 2,064, namely CNY 1,392 less than that in Dali City.
The largest single item in the APs’ average consumption pattern is for basic needs, e.g. food, and housing, which represent nearly 61 % of total consumption expenditure. The highest expenditure for housing is further confirmed by the field visit - local people spent more money to improve their housing conditions. This does not hold for people living in traditional clay- wood houses who do not worry much about their house relocation.
The per capita net income less the per capita expenditure (3,022 - 2,233 = 789) equals to the per capita savings, which varied from household to households. Of the total surveyed households, 83 households have borrowed credit from banks or borrowed cash from friends and relatives, for a total amount 1.23 million Yuan. 23 households borrowed more than 10,000 Yuan each, mainly for off-farm activities; they accounted for about 85 % of total amount borrowed. Finally, 60 households borrowed less than 10000 Yuan each, mainly for farming activities. Over the 20 surveyed villages, 16 villages (80 %) have conducted Micro- credit programs or poverty alleviation projects.
Table 11 - Per Capita Expenditure Distribution of Sampled Households Dali Heqing Gucheng Sampled H.H. Living Per Per Per Per Expenditure Total Total Total % capita capita capita capita Food 376263 840 123700 400 110300 394 588 26 % Clothes 127753 285 41630 135 55550 198 217 10 % Housing 224383 501 166700 593 198300 708 568 25 % Education 92855 207 64460 209 132730 474 280 13 % Healthcare 132463 296 75940 246 65800 235 264 12 % Traffic cost 44524 99 27741 90 18270 65 87 4 % Others 141360 316 47780 155 48470 173 229 10 % Total 1139601 2544 547951 1774 629420 2247 2233 100 % Source: Calculated based on household survey data, 2004.
3.4.6 Railway Related Issues
3.4.6.1 Knowledge of and Attitude to the Proposed Railway
By the time the socio-economic survey was undertaken, only a small proportion of households (12 %) did not know of the proposed Dali-Lijiang Railway. The information has been widely diffused in the related regions through meetings of the local officials at various levels, local newspapers and the TV stations, and field survey conducted by SSDI.
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About 80 % of the surveyed households recognized that the Dali-Lijiang Railway Project is necessary. Amongst the beneficiaries, either in Lijiang City or the project influence area, the Project traversed collectives together with individuals will generally benefit from the project. The construction of the railway will accelerate the flow of people, material and information as well as bring tremendous economic and social benefits. Of those surveyed, only 10 % worried that they would lose land or properties; nearly 68 % thought that the Project would create some negative impacts but that they would be minor compared with the benefits generated, and around 22 % thought they would be purely beneficiary.
3.4.6.2 Resettlement Information Needs
The surveyed households were asked to rank their information needs in respect of the land acquisition and house demolition process. They were asked to choose only one out of nine options. Table 12 provides the results of their preferences mentioned.
Table 12 - Resettlement Information Needs County Total Information Needs Dali Heqing Gucheng Households % 1. Compensation rates 47 41 44 132 61 % 2. Timing of land acquisition 20 8 3 31 14 % 3. Process of land acquisition 5 5 2 % 4. Timing of compensation payment 9 3 4 16 7 % 5. House relocation help 9 4 3 16 7 % 6. Income restitution help 3 1 3 7 3 % 7. Irrigation systems rehabilitation 5 1 6 3 % 8. Temporary land occupation 1 1 0 % 9. Other 1 4 2 % Total 93 65 60 218 100 %
By far the highest needs for APs was knowledge about the compensation rates specifically applicable to them: 61 % households mentioned this as the most important need. The only other item mentioned by more than 10 % of the respondents as their most important requirement was information on the timing of land acquisition. The timing of compensation payments and the house relocation help were equally 7 % of all respondents.
3.4.6.3 Preferences regarding Compensation, Relocation and Income Restoration Measures
Individual households were also asked about their preferences for action that would mitigate the effects of losing productive land and or housing. Table 13 summarises the responses of those households. In short, their responses were:
• 31 % of sample households preferred that the land compensation fee be distributed directly to those households who lose land that they are now farming under user rights contracts. 50 % preferred over general land redistribution among all members of the land owning group, whereby the loss is equitably shared. Around 19 % of respondents intended to have new land reclaimed. • If compensation were to be paid directly to those losing land or property, excluding those who would necessarily use at least part of the funds for building/rebuilding their houses
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following its demolition, most potential APs prefer to invest in small businesses, e.g. retail trade, shops and transportation as well as improving agricultural production conditions. A small proportion (3 %) said that they would use the money to pay for miscellaneous items, e.g., living costs in the costal area during the period before they find a new job or during technical training.
Table 13 - Sampled AP Preferences for Mitigation Measures Item Dali Heqing Gucheng Total % AP preferred Strategy to Mitigate Loss of user Right a. Land compensation fee to be distributed direct to Aps 37 26 5 68 31 % b. Land redistribution within Group 34 35 39 108 50 % c. New land reclamation 22 4 16 42 19 % Preferred Use of Compensation Paid Directly to APs* a. Improve housing condition 33 25 6 64 29 % b. Improve housing conditions + business 16 10 27 53 24 % c. Establish small-scale businesses 37 4 14 55 25 % e. Improve production conditions 3 25 12 20 28 % f. Miscellaneous items 4 1 1 6 3 % Source: Social Economic Survey, 2004.
Village leaders, during village survey, were asked about the redistribution of remaining land as the primary response by the land owning group to land acquisition for the Railway. Village leaders gave a mixed response, which varied between favouring land distribution and direct payment of the compensation fee to the APs who lose farming land. Compared with the farmers themselves, there tends to be a greater preference for land redistribution. This was reinforced in discussions with county officials. Further meetings were held in January 2004 to discuss these topics with village leaders from selected villages. This is to ensure that local government officials and village leaders look at strengths and weakness, and past experience and then select strategies that build on opportunities and minimise risks.
3.4.7 Land Availability
Any land for land compensation strategy depends on the availability of more land for cultivation and on the feasibility of redistributing the existing land amongst all members of the land-owning groups. Discussions and field observations clearly indicate that, in most cases, particularly in Dali City, there is little available cultivatable land that has not already been distributed to individual households. Seven villages surveyed had reserve land (15-350mu) totalling 680 mu. However, in many villages in Heqing County and Gucheng District, the per capita arable land area is higher than 1.5 mu, which leaves rooms for land redistribution. As planning guidelines, it was decided that land distribution would be feasible only when (i) no more than 20 % of arable land was redistributed with any single village or as agreed by villagers and (ii) the average land per capita after redistribution should at least ensure their subsistence.
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3.5 VULNERABLE GROUPS
3.5.1 The Poor
Heqing County is a poor county; however the segment of this county traversed by the Railway is the county’s most prosperous belt along Heqing Valley. The result is that per capita incomes in the alignment section of Heqing County are considerably higher that in the rest of the county. For more details, please refer to poverty analysis of the Project PPTA Report.
Table 14 summarises selected socio-economic indicators by income group. While the analysis is restricted by the low sample of poor households, certain characteristics do emerge. Poor households are not bigger households, nor do they have significantly higher dependency rations. On the other hand, poor households own less land, are more likely to be found in Dali city, and are less likely to derive income from off-farm activities. None of the poor households are totally landless.
Table 14 - Indicators of Poor Households Household Category Indicator Unit Poor Non-Poor ALL Income Yuan/capita/year Under Y 900 Over Y 900 Sample No. 24 194 218 Location % in Dali City 50 % 41.8 % 42.7 % Household size No. 4.42 4.77 4.76 % households with non-land % with member 18.8 % 18.0 % 18.1 % holders not holding land Cultivated land Mu per capita 0.66 0.97 0.94 Income source structure Income from cropping % 32 % 29 % 29.6 % Income from livestock % 30 % 20 % 20.0 % Income from off-farm activity % 38 % 51 % 50.4 % Ethnic groups: No. of household 24 194 218 Bai No. of household 20 144 164 Naxi No. of household 2 24 26 Han No. of household 2 26 28 Source: calculated based on Household Survey, 2003.
Around 1/3rd of the poor households fall into the category of “indigent poor”, meaning that they or key income-earning members of their household suffer from some permanent disability (be it physical, mental or social). Indeed, when asking officials what characterises poor families, the response most often given is that they are ‘weak’ and cannot, for whatever reason, provide the labor to effectively cultivate their land. The other reason given for poverty is the lack of technical know-how.
Indigent households are the responsibility of the township Office of Civil Affairs who ensures that they receive the ‘5 guarantees’ of livelihood (wubao) - food, housing, clothing, heating and funeral expenses.
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3.5.2 Minorities
The Social Assessment of this project demonstrates a clear correlation between poverty and topographic features of locations rather than minority nationality in the wider project area. Along the alignment, the correlation between poverty and minority nationalities is not so recognisable. It is commonly found that minority households are involved in inter-marriage with the Han. In recent times, there has been a trickling of some minority people back to their original cultural roots; but in reality, while remaining minorities in name, many of them in the Dali-Lijiang corridor are becoming increasingly assimilated with the Han culture.
In order to accelerate the social and economic development of minority nationality regions, the central government has provided them with a series of favorable policies, which have been thoroughly carried out by the local governments. Though language, culture and customs there bear distinctive features, there is little difference in social and economical status between Hans and minority people in the affected villages.
Fortunately, the incidence of poverty is low amongst the affected households. The majority of poor households are either poor through indigence or lack of technical knowledge rather than poor productive conditions or infrastructure. Although there are many minority households along the proposed alignment, those are more integrated and better off than their brethren in the remoter, hillier areas. Consequently, there is no need to adopt a different compensation/income restoration strategy for ethnic minority groups. Instead, some preferential assistance to the vulnerable and low-income families will be justified.
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4. LEGAL FRAMEWORK AND RESETTLEMENT POLICY
4.1 GENERAL
The legal framework and resettlement policies for the Dali-Lijiang Railway, which form the basis for this RP are based on two sets of sources: Chinese Laws /Regulations and local by- laws, and ADB policy requirements. The most relevant provisions of these are summarised in the following sections.
4.2 LEGAL FRAMEWORK - OVERVIEW NATIONAL/LOCAL BY-LAWS
In the PRC, compensation for land and resettlement for project-affected people is governed by the 1999 Land Administration Law (LA Law), which stipulates the ownership and the land use rights, utilization and protection of land and the compensation costs, resettlement subsidies, and the proper measures of resettlement for those affected. According to the LA Law (article 8), land in the urban districts are state-owned while land in rural and suburban areas (house plots, farm land, hills) shall be owned by collectives of the peasantry. The collective and its members (by two-thirds majority) can re-distribute or re-allocate land (article 14) or make adjustments to arable or reclaimed land (article 31). The LA Law further stipulates (article 47) that in case land acquisition shall take place, compensation shall be made in accordance with the original usage of the acquired land, which shall include land compensation fee, resettlement subsidies and compensation fee for the attachments on the land and standing crops.
The compensation fee for the acquired cultivated land will be a multiple (based on local standards as per the law) of the average annual output value (AAOV) of the land in the previous 3 years before land acquisition. Similarly, the compensation fee for resettlement for each of the agricultural population will be multiple of the AAOV of the land in the previous three years. The provinces or municipalities directly under the central authority determine the standards of compensation for the attachments on the land and standing crops. Articles 48 and 49 require consultation and disclosure of compensation rates and the flow of funds to the land-owning collectives. All compensation monies are typically paid to the land owning unit/collectives.
Specific implementation guidelines define eligibility, cut-off date, timing and procedure of information dissemination, resettlement action plan and monitoring. The following laws and regulations will be utilized for this project:
• The Land Administration Law of the People’s Republic of China, effective as of January 1, 1999).
• The Forest Law of the People’s Republic of China, Revised in 1998. • Implementation Regulations for Land Administration Law of the People’s Republic of China, effective January 1999.
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• Measures of Information Publicizing for Land Acquisition, No. 10 Order, Ministry of Land and Resources, effective on January 1, 2002. • Implementation Measures for the Land Administration Law of PRC in Yunnan Province, effective as of April 2000. (Annex 3 provides the document in Chinese version).
The Yunnan Provincial Government in association with the Ministry of Railways will issue a decree to stipulate the compensation rates to be used for the Dali-Lijiang railway project.
4.2.1 Similarities and Differences between PRC and ADB Policy and Solutions
Similarities between PRC and ADB policies
1. The General Policies and Goals Set Out by the ADB
The major principles advocated by the ADB on population resettlement can be summarized as follows. First, to minimize land acquisition and resettlement impacts in order to reduce the number of people to be adversely affected by comparing alternatives, appraising and adjusting the Project design. Second, to try as much as possible to handle the resettlement of the affected population if land acquisition and housing demolition is inevitable, and at least to ensure the affected population a living standard not lower than that before the land acquisition. Furthermore, the resettlement should enable them to enjoy a better living standard by benefiting from the project.
Such principles of the ADB can be specified as follows: • All the alternative plans should be taken into consideration for the purpose of avoiding or minimizing land acquisition, housing demolition and the number of affected population. • If population displacement is inevitable, resettlement action plans should be prepared at the initial stage of project preparation. • The affected population should receive the full compensation sufficient enough to make up for their loss before their actual removal. • Compensations for the lost properties, in accordance with the standards that are equivalent to their replacement prices, should be paid to the affected units and the individuals in full scale without any deduction of salvage materials.
• It is not deniable that those who have no legal qualification or certificates to run business have the right to get compensations or to choose other resettlement options.
• The affected population should get help during the removal and transitional period.
• The affected population should have means of life and chances of getting better-off. There should be resettlement policies and plans whereby the production and livelihood of the resettlers can be rehabilitated. • The affected population should be encouraged to take an active part in the whole process of resettlement planning and implementation. Appropriate forms of mass participation and the conduit for grievance redress should be established.
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• The immigrants should become identical economically and socially with the residents of the host community. • Special attention should be paid to the vulnerable group by providing more assistance to them.
2. High compatibility between China’s Policies and the ADB Requirements
• China’s legal framework and policies 2 regarding population displacement caused by development projects are in line with the ADB’s goal for involuntary resettlement. The ADB requires that all the alternative plans should be taken into consideration for the purpose of avoiding or minimizing land acquisition, housing demolition and the number of affected population, the owner unit of this project and the other units involved in the project have to make great effort to reduce the amount of land acquisition and to decrease the impact on the local residents caused by the land acquisition. • According to the reality of the local conditions, the range of the compensation standards applied to all categories of land are clearly defined in the Yunnan Provincial Implementation Methods for the ‘Land Administration Law of China”. The basis of the policy is to ensure the affected population a living standard not lower than that before the land acquisition. And further the resettlement should enable them to secure a better living standard by benefiting from the project. • In order to reduce and to avoid the risk of resettlement, the government encourages the affected villages to resort to the resettlement measure of reallocating land to the affected individuals3. In case that land is too limited and it is impossible to resettle the affected by means of reallocating land within the village, the standards of compensations should be raised and the affected individuals should be well resettled by various means.
3. In cases where there are controversial aspects between the ADB policies and the local regulations, and clear regulations are absent in the RP, it should be ensured that communication channels between the two parties be open and consultations be held in time to solve the problems. This is to ensure that the resettlement can be carried out smoothly and to be responsible for the resettlers.
Differences between PRC and ADB policy and solutions
Replacement Value - local regulations have set standards for land compensation which may be adequate in general cases but may not always reflect replacement value. Solution: Preference will be given to replace land for land rather than cash compensation, so the AP is not adversely affected. At the village level, compensation should be adequate to enable land to be redistributed without adversely affecting other villagers. The amount of compensation
2 E.g. The Land Administration Law of the People’s Republic of China (1999); and the Circular on Implementing the Land Use Quotas for Highway and Railway Construction (June 20, 2000) issued by The Ministry of Land and Resources, Ministry of Communications and Ministry of Railways.
3 This is a widely adopted effective practice by local government based on the Land Administration Law of the P.R.China, particularly for those APs who lack of technical skills.
Resettlement Plan 28 paid to village collectives and the investment of these funds will be closely monitored to ensure full replacement of losses. In towns, land for land is not so easy and may not reflect the wishes of APs. In such cases, cash compensation may be provided but the affected household should have a clearly defined plan for investing the funds to restore income potential. These households will also be monitored closely.
Consultation and Disclosure - The PRC Land Law has provision for consultation but the regulations and procedures are not as specific as ADB requirements. Solution: MOR provided Resettlement information booklets (RIBs) to the local governments before June 15, 2004 to distribute to the affected villages, and to fully disclose the approved RP to all relevant local government offices. A second round of disclosure will be necessary to inform affected people of compensation rates and RP budget. Also, once the final alignment is approved, all APs will be informed accordingly.
Grievance Procedures - The PRC Land Law has provision for grievance process but experience has shown that documentation of grievances is incomplete. Solution: Local government will ensure that APs have opportunity to express that grievances at appropriate levels and will instruct local officials to find solutions and implement measures quickly. The process will be documented and reviewed by an external monitor.
4.3 PROJECT RESETTLEMENT POLICY
4.3.1 General Objectives and Principles
Policies regarding compensation and resettlement for the APs in the project are based on a combination of the PRC laws and regulations and ADB’s policy and requirements. The primary objective of the RP is to restore and improve the income and living standards of the APs in post-resettlement period as quickly as possible and with as little disruption as possible in their own economic and social environment. The RP has been prepared and will be implemented to meet this objective. Particular attention has been paid to needs of the poorest, ethnic minorities and vulnerable groups to be resettled. Further, the need for involuntary resettlement has already been considered through alignment optimization by SSDI.
The resettlement principles adopted in the project reflect the legal and policy requirements of PRC and ADB. The principles are summarized in Table 15. The adopted principles with regard to compensation, resettlement and income restoration are flexible enough, allowing for considerable variability from village to village (e.g., between land redistribution and cash payments on the one hand, and community-based and individually organized income restoration options on the other). The key is to ensure that all APs receive adequate compensation and assistance to restore and improve their incomes, living conditions and general livelihood in post-resettlement period.
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Table 15 - Resettlement Principles - Summary No. Principles 1 That compensation and entitlements provided to APs are adequate to at least maintain their “without project” standard of living. 2 APs are taken into account for compensation and resettlement assistance. 3 Land redistribution will ensure per capita minimum holding in post-resettlement period to maintain livelihood standards. 4 Where land acquisition per capita is not sufficient to maintain livelihood, compensation in cash or kind for replacement land for other income-generating activities will be provided for. 5 All APs will be adequately informed on eligibility, compensation rates and standards, livelihood and income restoration plans, project timing, and will be involved in RP implementation. 6 No land acquisition will take place unless replacement land or sufficient compensation are given to APs. 7 The EA and independent/third party will monitor compensation and resettlement operations. 8 Vulnerable groups should receive special assistance or treatment to ensure they are better off. 9 Resettlement affected people should have opportunities to benefit from the project. 10 Resettlement plan should be combined with the overall county/city/district or township planning.
4.3.2 Land Redistribution
Households losing their farmlands will be given “land-for-land” through redistribution of land generally available within the villagers’ groups. If such redistribution fails to provide the households enough area of farmland, the redistribution of the land within villages and even townships shall be conducted. Cash compensation will be paid to those who chose so in lieu and/or lack of replacement land for redistribution. The compensation rate shall be decided according to actual condition and based on the agreement reached between the county government and the affected villages and people after consultation.
4.3.3 Compensation Eligibility and Cut-off Date
All APs and organizations (whether public or private) losing land, buildings/houses, crops or sources of income will be compensated or rehabilitated according to the types and amount of their losses (permanent and temporary) as long as they are included in the final Detailed Measurement Survey (DMS) to be conducted by SSDI and Dali-Lijiang Railway Company, or are identified as affected by temporary impacts during construction.
Usually the local governments will issue an order that there should be no new construction along the proposed railway. However, since the alignment has not been staked, for unclear/disputed cases, the cut-off date for compensation eligibility will be set whenever the DMS is concluded. APs’ cultivating land, constructing buildings or settling in project affected areas after the cut-off date will not be eligible to compensation or subsidies. Compensation will also not be paid for any structures erected, or crops and trees planted purely for the purposes of gaining additional compensation.
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4.3.4 Compensation Standards
The following paragraphs describe the compensation rates to be adopted for this RP.
4.3.4.1 Compensation for Loss of Cultivated Land
Land compensation fee: permanent cultivated land loss will be compensated in cash to the affected villages at a rate equivalent to a multiplier of average annual output value (AAOV) of the previous three years (same below). Yunnan Province has stipulated the following compensation details: • 8-10 times for paddy land; • 7-9 times for irrigated (non-paddy) land, orchard and lotus pond;
• 6-8 times for rainfed land and non-irrigated land (dry land4); • 6 times for rotation land; and • 3-5 times for rangeland and fish pond.
Individuals, groups or entities with user rights on the affected plots will be compensated in terms of “land for land” mechanisms through redistribution of land within the village territory or other comparable compensation in lieu of land.
Resettlement subsidy due to land loss: these will be paid to the individuals, groups or entities with user rights on the basis of a multiplier to the AAOV calculated as above. In Yunnan Province, generally 4 times for the cultivated land if the per capita land is greater than one mu; however, when the per capita cultivated land below one mu, the multiplier will increase one times at the base if the per capita land is decreasing every 50 m2, but should not excess 15 times.
Arable land reclamation fee: Permanent arable land loss will be subject to a reclamation fee agreed with Land and Resources Department of Yunnan Province; however, MOR and Yunnan Province will jointly apply for the waiver of this fee.
Temporary cultivated land losses will be directly compensated in cash to the APs equivalent to one times the AAOV per mu for each year that the land is not available for cultivation. The entity requiring temporary land use will restore the land to its original condition after use, or make comparable payment to the AP.
4.3.4.2 Forestry Land
Permanent forestry land losses will be compensated to the affected Forest Bureaus based on the area taken. The Forestry Bureaus will be responsible for reforestation of a similar amount of forestland.
4 The compensation for non-contracted dry land (usually slope land) will also be compensated, but the amount is low since the AAOV is low.
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4.3.4.3 Residential Land, Houses/buildings and Fixtures
Residential land, houses/buildings and fixtures losses will be directly and fully compensated at replacement cost, free of demolition expenses and salvaged materials. Compensation for residential land will be paid to the affected village who will then, in consultation with the village committee and the APs, make available replacement plots within the community at no cost to the affected household. If this is not feasible, the township government will assume the responsibility. Houses, other buildings and apartments and related fixtures will be compensated in cash at replacement cost with monies paid directly to the APs. Land transfer fees and related costs, if not waived, will be compensated by the project owner.
Renters of affected houses/buildings will be guaranteed of a rent contract with the same terms of the rent as before. They will receive two months notice to vacate.
4.3.4.4 Crops Losses
All APs, including tenants and APs without land use rights contracts, will directly receive full compensation in cash for their crop losses at 1 times the output value.
4.3.4.5 Resettlement Allowances for Homeowners
In addition to the compensation for houses and land, relocation allowances will be paid. These relocation allowances cover resettlement/ relocation costs, including unexpected losses or expenses related to house demolition and new house construction (relocation transition allowance), and the cost of moving all household items and any salvageable materials to the new house, or from the rented house to new house (moving/transport allowance). These allowances will be payable as a lump sum to AP households. In most cases, affected people will construct their own houses and will live with relatives during transition. For the houses which need to be dismantled before the new house start to build, allowance at 150 Yuan per household per month for a maximum of 6 months will be given for those APs.
4.3.4.6 Compensation for Loss of Business/Employment
In the proposed railway alignment, there is only a Xiahe Village Brick Field (at Ck9+913), which is related to business/employment. But only a 283 m2 house affected, which will not affect the operation. The lump sum compensation will be given after an evaluation of lost or damaged assets, loss of operating income, and forgone wages. The evaluation will be conducted by an independent and certified appraiser.
4.3.4.7 Relocation of Public Buildings
All the public buildings affected will be replaced in the same scale and quality. Schools will be re-constructed before the old one is demolished. If the public buildings are to be expanded, the project will be required to match the confirmed local funding (up to 100 % of the compensation value).
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4.3.4.8 Training Programmes
Training Programmes will be available to APs. Some funds will also be made available to arrange special training in the project area. The training can be organized after land acquisition and relocation for skill training such as training for being construction workers or for mastering technical know-how on other agricultural or non-agricultural technologies. Basically farmers can rehabilitate their income levels relying on fair compensation of land loss; however, the training after resettlement can safeguard some land-loss farmers from impoverishment.
4.3.4.9 Vulnerable Households
Vulnerable groups are defined as those who, due to various reasons, lack income, political and social opportunities and are thus socially disadvantaged. A vulnerable group is not a homogeneous group but a general form for those members who are socially disadvantaged. In this project, the vulnerable groups are defined as those already experiencing hardship (e.g. particularly those who live below the poverty line5, aged, widows, Wubao households, the seriously disabled and mentally ill. Special attention will be paid to these vulnerable groups in order to ensure that resettlement is no more difficult or inconvenient for these vulnerable groups as it is for the rest of the AP community.The TROs will assess the needs of vulnerable groups and provide assistance during their relocation period, and attend to their grievances in order to solve them in time or forward to county level resettlement offices. Some vulnerable ethnic groups, such as the Yi, may require special attention for their needs, especially if they are poor. If necessary, such groups will be provided with preferential treatment as per this resettlement plan.
4.3.5 Flow of Funds and Compensation Options
The basic principle is that compensation funds are disbursed to organizations and individuals who will take responsibility for the reinstatement of the facilities and or the restoration of their incomes. In accordance with the compensation policies and rates given above, MOR will sign compensation agreements with Yunnan Province, and in turn Yunnan Province will designate local Land Acquisition Bureaus/ Resettlement Offices, supporting units, enterprises and public infrastructure agencies detailing the compensation payments which will be made. Payment of funds will be made in accordance with: (i) these agreements and (ii) the time schedule specified in these agreements.
There is however substantial variation in the way that different elements of the overall compensation are disbursed. In many cases, this is clear-cut. Agencies responsible for reinstating public utilities will receive the compensation directly as will householders, businesses and public organizations losing property. Compensation for crops is payable to the farmer and forest bureau for designated forestland. All transitional and moving allowances and
5 Currently the poverty line for rural people in Yunnan Province is the same as defined by national government—the annual net income CNY625 per capita. People with net incomes below this standard are called “absolute poor”. Those with the average net income CNY865 are called “poverty population”. The ADB poverty line for rural people in the project area is defined as <900 Yuan.
Resettlement Plan 33 compensation for temporary land loss will be directly paid to those affected. Land reclamation fees for cultivated land are payable to the government agency responsible for land development.
Land compensation fees and resettlement subsidies for cultivated land are initially paid to the village collective/land owning groups. The legislation provides substantial flexibility in the ways that the land-owning groups can use the compensation monies. Essentially, they can either use the compensation to generate additional economic activity (agricultural or non- agricultural) in the village, improve public facilities or infrastructure, institute training courses, or transfer payments directly to those affected. The legislation defines the village assembly meeting as the organization responsible for making these decisions, which are then subject to approval of the township authorities.
Disbursement of Land Compensation Fees: where land redistribution occurs, these fees will be used by the land-owning group/ village committee for the purpose of developing productive capacity and rehabilitating the economic level of affected persons, including those host farmers losing land as a result of the reallocation procedure. Where there is no land redistribution or collective investment, the land compensation fee is paid to the farmers losing land to the project.
Disbursement of Resettlement Subsidies: these are paid to the agency that is responsible for resettling the affected agricultural population, almost always the Village Committees and land owning groups. The onus is then on these organizations to provide appropriate income restoration measures for the AP households. If no such measures are provided, or the AP household prefers to look after themselves, the resettlement subsidy will be paid directly to that household, and there will be no requirement for an income restoration strategy as such. However, individual households should be able to demonstrate that they have a plan and the means to utilize the subsidy for income restoration. Such APs will be included in the sample of households to evaluate resettlement success. • The RP reinforces this approach by re-affirming the right of land-owning groups to determine how they use the compensation funds that will be at their disposal. In particular, properly constituted village meetings will be held in all affected villages to decide on the following matters: whether land reallocation should be undertaken and the extent of this re-allocation, the proportion of compensation which should be payable directly to the APs,
• the uses to which compensation funds retained by the land-owning group will be put, and • whether and where replacement sites are provided for displaced households and establishments.
The requirement for the approval of such schemes by the township and county governments, allied to the proposed external and internal monitoring, will ensure that decisions taken by each village are: transparent, acceptable to the majority of the population, and target those households losing land and/or property, whether directly or through land redistribution. Implications and risks on vulnerable groups must also be identified and resolved.
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Figure 2 provides a simplified description of the overall process of flow of funds.
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Figure 2 - Flow of Funds for Compensation
MOR and Yunnan Provincial Government
Resettlement Division of Dali-Lijiang Railway Construction Command
Prefecture/County Railway Resettlement Office Land Administration Bureau
Private & Public Infrastructure AP Households Land Owning Group Forest Bureaux Establishment Agencies Loss of property Loss of land and Loss of Land Loss of cables, Temp. land, buildings + (compensation fee Loss of forest land pipelines, etc. allowances allowances and subsidies)
Labour Bureau/ AP Households Land Owning Groups Township Development of Training programmes Cash Compensation agricultural and non- and other income agricultural activity
4.3.6 The Entitlement Matrix
The entitlement matrix for this project is set out in Table16. The matrix covers eligibility and compensation for all kinds of losses (e.g., land, housing, businesses, other income sources, temporary loss of income, displacement, and moving cost). It provides a summary of the measures, provisions and standards described in the earlier part of this section.
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Table 16 - Entitlement Matrix of Compensation and Resettlement Policy NO. No. of entitled Entitled person/ Type of loss Application persons Compensation policy Compensation Entitlement Implementation issues group /groups 1 Permanent loss of Arable land located in a) Land-owning a) land owning Land compensation and resettlement Full compensation for railway Village meetings to be responsible for arable land the right-of-way of groups groups in 56 subsidies respectively*; traversed land-owning groups deciding on the allocation of funds, the railway and inter- villages Replacement land and/or cash and land loss households, the redistribution of land and investment in connector roads. b) Farmers who payments and/or income restoration share between land owning income generating activities such as use the land b) Households measures sufficient to ensure at least group and households will be improved cultivation techniques/ Land adjacent to ROW who lose land maintenance of existing economic determined by villagers’ irrigation/ small business development/ for construction and social conditions meeting. training. purposes Cash compensation for any trees (based on type, age, and diameter) Higher level authorities to approve and and standing crops (average monitor village level proposals and, if production value of last 2 years) required to facilitate training programs
2 Temporary loss of Farmers who use (to be identified Cash compensation based on AAOV Who lose crops will receive full Village Committee/farm owners must be arable land the land during for each year land is not available + compensation according to notified in advance and paid accordingly construction) reinstatement to pre-construction compensation standard. condition
3 Forest land Forest land within ROW Local forest (To be identified) Cash compensation to forest bureau To be taken care by the forest bureau bureau / Forestry according to standards and regulation Farm of Yunnan provincial by-laws
4 Loss of residential Residential land a) Collective Households and Cash compensation for land if AP Pay compensation for owner of Sub-villages and APs to decide on land/ property located in or affected losses Sub- collectives who requires new plot the house location of new residential plots. by ROW villages, other lose house plots Cash compensation for land (if units rebuilding on existing site possible) or Affected households + b) Private losses local accommodation and housing collective losses Owner of the plot provision (if rebuilding on existing building or houses site impossible) After currency compensation at replacement rates for all buildings, the affected households can choose the house purchase method. In accordance with the construction plan, within the regulated resettlement transition time, temporary housing allowance according to the advance time period (CNY150 per household per month for a maximum of 6 months) can be paid for the households that will be removed in advance.
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NO. No. of entitled Entitled person/ Type of loss Application persons Compensation policy Compensation Entitlement Implementation issues group /groups 5 Non-cultivated land Non-cultivated land Land-owning (to be identified) Cash compensation. All affected villagers’ groups The rate must be negotiated with the land loss within ROW groups owners/groups.
6 Loss of non- Establishments sited in a) Legal owner of One school and Replacement in the same scale and Full compensation based on Assistance in finding new site if relocation residential or affected by ROW the establishment one Brick Field quality compensation standards of establishment is unavoidable. establishments Construction of common property (e.g., common b) Employees units by local government in The evaluation will be conducted by an property units etc.) c) Residents consultation with beneficiary groups independent and certified appraiser. d) Beneficiaries of the common Compensation based on the Schools will be reconstructed before the property units evaluation of the assets by an old one is demolished independent and certified appraiser. After appraisal, the enterprise will be If the public buildings are to be responsible for the re-employment of expanded, the project will be required to workers and compensation of wages match the confirmed local funding (up to during transition. 100 % of the compensation value).
7 Crops losses Affected people All owners who • Crops losses will be compensated Full payment direct pay to the / Trees loss trees at a rate equal to the market value tree owners of the harvested crops • Trees will be compensated based on project standards
8 Vulnerable groups Those who live below individuals • The township resettlement offices Special attention will be paid to the small the poverty line, Wubao will assess the needs of vulnerable ethnic groups in the national minority households aged, groups and provide assistance area. widows, orphans, and during their relocation period, and disabled and mentality attend to their grievances in order ill. to solve them in time or forward to county level resettlement offices. Arable land reclamation fee is also payable but this does not affect APs. Likewise compensation for public utilities is not shown on this matrix. Source:
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STAKEHOLDER PARTICIPATION AND CONSULTATION
4.4 IDENTIFICATION OF PROJECT STAKEHOLDERS
Primary stakeholders are identified as those directly adversely affected and those who purely benefit from the project, it mainly includes: (1) people directly affected by land and property losses; (2) social and public institutions affected by land acquisition and resettlement; (3) all villager groups and villages as well as 13 townships traversed by the railway alignment; (4) all institutions and companies directly involved in the railway construction and operation, such as construction contractors, passengers.
The secondary stakeholders include the indirectly beneficiaries such as the construction material suppliers, government organization involving in the project processing as well as those who are interested and in the project and participated in the project related activities.
The purpose of identifying the project stakeholders is to ensure extensive public participation of and consultation to APs particularly those adversely affected in order to ensure the smooth implementation of the proposed project without affect APs livelihood. The following paragraphs describe what has been done and what has to be done in the process of achieving this goal.
4.5 CONSULTATION DURING PROJECT PREPARATION
4.5.1 Public Consultation
The public consultation process for the Project began in 2002 with a series of surveys by SSDI. This was followed by further surveys and consultations carried out by the consultants in 2003-2004. These included the first transect survey by the Design Team and an initial socio-economic survey conducted by Southwest Jiaotong University, and a in-depth socio- economic survey conducted by local survey teams supervised by the Consultants. The transect survey served principally to alert villages along the proposed alignment (and possible alternatives) that the Dali-Lijiang Railway was being planned. This survey also served to make the design team aware of local conditions and of farmers' concerns including the needs to adequate crossing points and the importance attached to ensuring that irrigation systems were maintained. The majority of the affected population become aware of the project at that time.
The socio-economic survey revealed a high degree of support for the scheme. Major concerns raised by the villagers relate to (i) fair compensation; (ii) adequate land allocation, and (iii) assistance for livelihoods. Public consultation was also a major focus of the PPTA feasibility study, undertaken during January 2004. Six major consultation meetings (four at the district/county level and two at the township level) were held in the project area. Among others, local officials/APs attended the meetings from district/county and township governments (including the Land and Resources Bureau), and the PPTA consultants. A summary of the key consultations/meetings and issues discussed is contained in Table 17.
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Table 16 - Stakeholder Participation and Consultation Record No. of Agency Date Participants Purpose Responses/Main issues discussed/concerns People The Second Railway Sep. Farmers, 170 Prepare for the • Conduct consultation meetings with local government and related sectors (about 80 officials Design Institute 2002 village leaders, engineering feasibility attended the meeting). Introduce the alignment orientation, major technical standards and local govt. study, basic information justification of the railway, and design issues and planned implementation schedule, etc.. officials collection and Local government has reported the consultation meeting via TV, Radio, news paper to local consultation with local masses in order to inform local people on this project. officials • During the alignment selection, if possible, the village/building has been avoided in order to minimize resettlement. • During the field survey, the villages/buildings to be traversed were surveyed in detail, and discussions with local government institutions have been conducted in order to select the alignment through comprehensive consideration among alignment orientation engineering feasibility and resettlement reduction. • The cultivated land in the project area is relatively scare resource; thus during the alignment selection, cultivated land/farmland occupation were avoided as much as possible. The Second Railway Nov. Farmers, 50 Review of field survey, • Considering the city planning, long-term city development and minimizing the land acquisition Design Institute 2002 village leaders, check alignment and resettlement impact, local government suggested build a bridge at the location of 1km local govt. consistency with local before the Hognshan Station. After detailed calculation of cost increment and comprehensive officials urban and transport comparision, SSDI agreed this request. planning • In some sections, the SSDI design plan partly conflicted with local ongoing planning; coordinated by the local government, SSDI and local planning institute discussed closely, and the conflicts had South- west Jiaotong April Farmers, 630 SE survey for Draft RP • Local people support this project, provided assistance for surveys. Univ. 2003 villagers, local preparation (phase I) • Local people expressed their attitude to the project govt. officials • Conducted household interviews at 16 sites along the alignment • Consulted with APs included farmer household, township village interviews. • Collected social economic information of affected communities. EA, IA, PPTA consul- Dec. Farmers, Preparation for RP SE • Participants included village and villager group representatives. tants, draft RP report 2003 villagers, local 200 survey, RP plan and • EA and local governors preside the meetings. Technical suggestions and assistance had author govt. officials income restoration plans been provided by LAB, EA and other governmental institutions as well as PPTA consultants. • Advantages and disadvantages of compensation options and land redistribution had been discussed. • The consultation meetings were participatory and transparent; villagers participated in the meeting had expressed their preference and attitudes towards compensation options against land redistribution. • The Draft RP report and Summary EIA in Chinese will be provided to local affected county
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No. of Agency Date Participants Purpose Responses/Main issues discussed/concerns People level units for reference in order to reinforce the information disclosure and collect comments from interested units/individuals during preliminary design stage. • A summary on resettlement/social issue will be prepared in the information booklet, and will be distributed to all APs and public masses. • All the participants expressed that they support this project. • Local governmental officials explained the view on their economic development after the project implementation. • Reasonable compensation will be adopted in order to ensure APs can restore their livelihoods. Local govt. local Jan. Farmers, 290 SE survey during PPTA • Know the attitude of local APs survey teams 2004 villagers, local (Phase II) • Complete the questionnaires containing multiple choice questions on resettlement and govt. officials environmental issues. • Conducted group interviews at 20 sites along the alignment. • Conducted households interviews in 20 villages. • Water/soil conservation, compensation and resettlement issues were discussed with APs. Local govt. PPTA Jan. Farmers, 40 Preparation for • Participants included farmer representatives from villages and villager groups. consul- tant 2004 township and compensation and • Alignment, timing and preferred compensation options collected from SE survey were county officials income restoration presented. • Implications, advantages and disadvantages of compensation options/land redistribution were discussed. • The consultation meetings were participatory and transparent; villagers participated in the meeting had expressed their preference and attitudes towards compensation options against land redistribution. • A summary on resettlement/social issue will be prepared in the information booklet, and will be distributed to all APs and public masses. • These meetings revealed overwhelming support for this project • Local governmental officials explained the view on their economic development after the project implementation. And call the participants to seize the opportunity for improving their living standard, meanwhile, reasonable compensation will be adopted in order to ensure APs can restore their livelihoods. • Farmer representatives presented their preferred income restoration strategies. Arable land reclamation fee is also payable but this does not affect APs. Likewise compensation for public utilities is not shown on this matrix. Source:
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The policies and entitlement matrix contained in this RP have been heavily influenced by the results of these meetings and surveys. This applies particularly to the derivation of the compensation rates and the formulation of an income restoration strategy based around land redistribution, cash compensation, and livelihood/training programs.
4.5.2 Public Participation and Consultation Plan
Notwithstanding the amount of public consultation already carried out, the MOR and local government fully accept that additional consultative meetings will be required after PPTA mission and during the implementation of the resettlement and land acquisition process. The principal activities to be undertaken are: • Publication and dissemination of a Resettlement Booklet, in standard Chinese, summarising the policies, entitlements, compensation standards and rates, grievance procedures and resettlement/ land acquisition program. • Formal village meetings to ratify the options relating to land re-distribution and compensation disbursement. • Detailed Measurement Survey in the field to measure and agree the final requirements for land, property and other acquisition, from each affected household/enterprise.
Table 18 contains a schedule and activity of the consultation plan.
Table 17 - Public Consultation Plan Purpose of Implementing Task Timing Participants Remarks Event Agencies 1.1 Disclosure Distribution of 14 Jun MOR/WYRC/CDRC/ Local Complete Stage 1: Booklets 2004 CROs government Distribution of at prefecture resettlement and counties information booklets 1.2 Disclosure Disclosure of 31 Aug MOR/WYRC/CDRC/ AF villages Stage 2: booklets 2004 CROs Disclosure of resettlement information booklets 2. RP circulation 6 Sept MOR/WYRC 3 counties to local offices 2004 and 13 townships
3. Publish 20 Dec CROs 3 counties compensation 2004 standards
4. Conduct Face to face Dec. 2004- EA, IA, Resettlement All APs (i) inventory of all assets and Detailed meetings with Jan. 31, Offices at land holdings; (ii) Creation of Measurement APs 2005 district/county and definitive list of APs; (iii) Survey (DMS); Townships levels and Prepare basis for household Disclosure of township officials compensation contracts.
Resettlement Plan 42 updated RP 5. Village level Village Dec. 2004 District/County and All APs (i) Identification and allocation RP finalization meetings onward, Township level of new housing sites; (ii) and (involving Resettlement Offices Finalization of land implementation several and village leaders redistribution and meeting to compensation disbursement deal with all options in each village; and (iii) RP issues) Discussion of and decisions on how to invest/use compensation funds not distributed to individual APs 6. Establishment Posters and Dec. 2004 IA, District/County All APs (i) Provide procedure for APs of mechanisms leaflets and Township to air their grievances; (ii) for addressing Resettlement Offices, Provide system for grievance grievances and local officials resolution; and (iii) Publicize in information affected villages. publicizing
4.6 DISCLOSURE OF THE RP
Resettlement is a critical social activity. The information dissemination work will be performed well in advance to ensure that all people concerned understand the purpose of the project and the policies and procedures regarding land acquisition, resettlement, compensation, payment, and provision of grievance redress and appeal procedures. The EA will distribute a RP Information Booklet (see Annex 1) by June 15. The RP will be disclosed to all affected villages by Aug 2004.
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5. RELOCATION AND RECONSTRUCTION PLANS
All planned relocation of buildings, including housing, in the project is “on-site relocation” as defined by ADB. In many cases, new house sites will be provided in the APs current village. In several cases caused by peculiar problems of the alignment or by the construction of stations, portions of a village will be relocated, usually within the land of the existing village. Some “self-relocation” may occur at the option of APs. No cases are anticipated in the form of “relocation to site selected by MOR”.
These plans are formulated based on the following factors: • The capacity of community absorbing readjusted land. The Project alignment is mainly sited on the mountain foot, which is most economical in terms of cultivated land acquisition than that the railway would have been constructed in the open country. If all the villagers share the land loss, each person will lose only a tiny piece (0.03 mu or 2 m2) of cultivated land. Therefore, generally to say, there is no problem for the local communities to readjust cultivated land; • The absorptive capacity of village communities with regard to new dwellings. With total 680 households affected by house relocation in total 56 villages, averagely around 12 households in each village need new housing plots. And according to the overall land use plans in each village, there are certain reserved housing sites (non-cultivated land). Considering the real situation of the alignment, there will be only several sites with household clusters to be resettled, such as those located near the designed railway stations. The rest households to be reallocated are sparsely scattered and there will not be a problem in site selection; • AP’s options on new housing site selection. Although most of the APs affected by house demolition will easily find a proper site near their existing farmland, their preferential options will also be well respected, i.e., the relocation plan should be more flexible regarding the scattered against concentrated dwelling. Often the concentrated dwelling is designed under the overall plan of community or urban development with more business opportunities in order to absorb more affected households. In any case, the AP’s preference on site selection will be consulted during village meetings.
5.1 OPTIONS FOR RELOCATION OF BUILDINGS AND STRUCTURES
Measures of resettlement for the demolished farmhouses and housing for urban residents are described as follows:
• The farmer households are resettled in a scattered way. They will build their own new houses by themselves. As the compensation paid for houses includes both the cost of labor and materials, households choosing to build their own houses are free to (i) better their house by increasing its size and amenities; or (ii) build a similar house and use the additional compensation for other purposes. The locations of the new houses are chosen through consultations between the villagers and the village or group. After compensation
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is given to the village collective, the village assigns the new house plots to the APs and does not charge them for the land. • Resettlement is concentrated around the small township centers. Integrated with the small township planning and development, streets and storefronts are built. There are two approaches. The first is that local government is responsible for constructing streets and infrastructure, while the affected people build the new housing in accordance with a unified plan. The second is that the affected people receive cash compensation instead of housing, if they so wish. The decision as to which approach to take is made by the affected individuals.
The principle to be followed in housing demolition and removal is that the new houses are built before the old ones are demolished. If the old ones are demolished before the new ones are built, subsidy for house rental is given during the transition period. In addition, in all cases the affected people receive moving fees.
In the implementation of housing relocation and resettlement, the following general principles will be followed: • Locations of house sites will be negotiated between the village collectives and the affected households. Households affected tend to prefer putting up their new houses at locations with easy access to traffic, namely, along sides of highways or country roads. Village collectives will try to satisfy their requests to the greatest extent possible and allow APs to make choices among options the village can provide. The chosen sites should meet the government planning regulations for future development. • Reconstruction of a rural residence takes 4 to 5 months. Households affected will typically build their houses themselves. They can have construction materials taken from their old housing for free. No deduction will be made in compensation, however, for materials taken from the old housing. • Compensation for the old housing will be made to people affected prior to their removal. County Resettlement Offices (CRO) or Township Resettlement Offices (TROs) will disburse fees directly to households affected. • In principle, new housing should be built prior to old housing being demolished. If the old house is demolished before the new one is built, transition subsidies will be paid to the affected household so that they can rent a residence for transition. People affected tend to turn to and borrow spare housing from their relatives and friends to live in during transition. Even if this is the case, they are still entitled to receive transition subsidies.
• In case the people affected are resettled in new residences built within the same village, they are still entitled to get moving fees, which will be separated from other fees in the compensation list or included under other compensation items.
• If households affected increase floor space or improve the quality of their new residences being built, they will pay for incremental costs themselves. Such an increase or improvement is at their own option, based on their own financial resources.
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• Throughout housing reconstruction and removal, village councils, township governments and township resettlement offices will take care of households affected. If there are any difficulties, governments at all levels will work together to help in resolving difficulties. • Households headed by women will receive equal treatment, opportunities, and entitlements in housing reconstruction as those headed by men. It is illegal to have any discrimination against households headed by women, to reduce their housing floor space, or to deprive them of their entitlements. • Village councils, township governments, and county CROs will pay particular attention and provide special assistance to households in poverty, the disabled, and the “five guarantees” families when they relocate. If they are unable to restore their housing themselves, governments at all levels will get them removed and resettled. Two measures will be applied: To help them build new residences, or to purchase them housing of the same floor space and quality in the same village. • The first possibility of urban residence displacement is that the people who own their residences themselves will purchase new residences and be compensated at the level of their purchase prices (i.e. compensation based on local current market replacement cost). They will also be compensated for moving expenses. • The second possibility of urban residence displacement is that households have the right to choose cash compensation for self-relocation. • The third possibility of urban residence displacement is that households who after obtaining the land utilization right for their sites in urban areas and built houses themselves, will receive new house sites of equal size and as good location and be given compensation for rebuilding their house as well as moving expenses. • Affected commercial buildings, factories and enterprises, which operate for profit will be compensated based on the evaluation of the assets by an independent and certified appraiser. After appraisal, the enterprise will be responsible for the re-employment of workers and compensation of wages during transition. • Two measures will be taken to relocate infrastructure. First, the project construction unit will take the responsibility for removal and replacement of the roads, telecommunication cables and power lines. The second measure is for the affected units to take charge of the reconstruction after they receive compensation.
• Affected schools will be rebuilt by the construction unit by the same scale and quality at the least. If the schools will be expanded, the township or the village council will contribute the incremental cost.
When a Chinese farmer needs to build a new house on the land owned by his village, he has to file an application. And this application has to be approved by the villagers through the villagers’ meeting and will be reviewed and examined by the village committee and the township government before being submitted to the county government for the final approval. This kind of land allocation for building new houses is free of charge. The applicant only needs to pay a small amount of formality fee. The area of allocated homestead should not exceed the upper limit stipulated in the relevant regulation.
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Nowadays, almost all the farmers along DLR alignment adopt new designs to build new houses. The new design occupies less land while the old design (single-story house) occupies more land. The floor space of all the new houses to be built by the resettlers will be equal to or larger than that of their original houses. The resettlers’ poultry and animal husbandry, as well as aquaculture, will not suffer negative impacts from relocation.
5.1.1 Implementation Methods for Resettlement
The county-level railway resettlement office is responsible for reviewing the resettlement implementation plan for the whole county, for allocation of the resettlement funds, and for preparation, monitoring and management of resettlement. It also undertakes the role of consultation and coordination with MOR. The township level railway support office, as the agency that implements resettlement, consults with the representatives of villagers and farmers’ committee to formulate a suitable resettlement plan for each village. This village level resettlement plan will be implemented by the township level railway support office and the farmers’ committee, after its approval by the county level railway support office.
The new houses will be built by the households themselves after compensation is received. By doing so, participation of affected people is promoted, and households can control costs and maximize benefits by receiving help from relatives and friends, reusing materials from the demolished house, and using local free materials. They can also choose the design of their new house.
5.1.2 Compensation and Transition Methods
Since the material from the demolished house will be used in the construction of most new houses, the new house will not be built until the old house is demolished. Based on the survey results, two ways of accommodation are normally adopted during the transition period of 3 to 5 months: (1) Staying at the houses of relatives and friends; (2) Living in a tent erected at the new house site. Since the new house is built after the dismantling of the original house, all counties will pay the household’s compensation for the transitional period.
Compensation will be paid to the households to be resettled before the dismantling of their original houses. All the attachments to the house, such as enclosures, toilets, pigsties, courtyard dams, water wells, electric wire, fruit trees, other trees and plants belonging to the household, will also be compensated. This is aimed at safeguarding the interests of the resettled farmers.
Special attention will be paid to the impoverished households and vulnerable families such as disabled households, households headed by women, and households of old people. Should they meet with difficulties in the process of transfer, relocation, and rebuilding, both the village committee and the township government will offer help. Help may be in the form of giving guidance, supplying materials, or in cash. These measures are geared to insure a smooth resettlement of the households and guarantee that the housing condition of the resettled households is better than before the resettlement.
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The small number of households to be resettled will receive supplementary compensation should the standard compensation not cover all the costs for replacement. The majority of these houses are the newly built brick and concrete houses concentrated in the suburbs of cities and towns. The final compensation should be accepted by all of the households to be resettled so that the transfer and relocation can be carried out smoothly.
5.2 ASSISTANCE FOR TRANSFER AND RESETTLEMENT TO NEW SITE
Relocation allowances will be paid to cover the expense of moving. Relocation allowances are provided in all cases where buildings are demolished to enable the occupant of the building to move his/her belongings to the new building.
5.3 OPTIONS FOR DEVELOPING RELOCATION SITES
No situations are anticipated where entire villages will need to be relocated. Households will be relocated within their existing communities using "on site relocation." No relocation sites will be developed. There are, however, several cases where a cluster of households within a village will be resettled.
The majority of the households to be resettled are stand-alone households or clusters of households scattered along the DLR alignment. However, at certain points, there exists the necessity of concentrated resettlement of dozens of connected households (though there is no such point where the number of concentrated households is more than 100). The concentrated resettlement is caused either by land acquisition for a station or by land acquisition for the right-of-way (ROW).
5.4 RELOCATION AND RESETTLEMENT FOR NON-RESIDENTIAL BUILDING
The overall policy is that the amount of compensation and the timing of its disbursement should be adequate to enable the relocation and reconstruction of all non-residential establishments to take place prior to their demolition for the clearance of the ROW. This is particularly important where schools are affected.
No large scale factories and enterprises will be relocated. Some township enterprises of small scale such as repair shops, small brick kilns and brickyards, small knitting mills, small rare earth material processing plants, and small limestone quarries may be affected. Some of these enterprises belong to the local township governments, some to the villages and still some to individuals.
The relocation of these enterprises entails compensation of three parts:
• Compensation for workshops and other factory buildings; • Equipment moving costs; and, • Compensation for the shutdown period.
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These compensation fees will be paid to the owners of the enterprises. The standard for the first type of compensation (for workshops and factory buildings) is similar to the one used for housing compensation. The standards for the second and third types of compensation are negotiated between the railway and the affected parties.
Townships and villages will help the affected enterprises to choose relocation sites and to rebuild and re-establish their businesses. The relocation sites for the enterprises owned by townships or villages should still be within the boundaries of their original townships or villages, while the private enterprises can rent a new patch of collective land either in their original village or somewhere else to re-establish their businesses after getting their compensation.
5.5 REINSTATEMENT OF INFRASTRUCTURE/PUBLIC UTILITIES
Affected infrastructure refers to such facilities as water conservation facilities (including both drinking water and irrigation facilities), power lines, telecommunication lines, and roads. Most of those facilities are public infrastructure, some of which belong to the state, some to the local governments and some belong to villages (such as the irrigation channels and country roads).
The three major types of measures for the recovery of the infrastructure affected by DLR are as follows: • Some will be recovered directly by the railway construction unit in the process of construction, such as irrigation channels and township and village roads; • Some infrastructure, such as telecommunication lines and power lines, will be rebuilt by the specialized organizations or WYRC at the expense of WYRC; • Some basic public facilities, such as water towers and power transmission lines, will be rebuilt by the affected parties or WYRC at the expense of WYRC.
Negative impacts to irrigation facilities due to the passage of DLR or its construction will arouse great concerns from the local farmers. There are two remedies to such problems: the railway construction unit will rebuild the irrigation facilities during the railway construction period or the affected local people will rebuild the irrigation facilities with funds provided by the related railway authority. Principles for the recovery of irrigation facilities are as follows: • Complete recovery of all the functions of the irrigation facilities; • All the recovery cost should be borne by the related railway authority; • Quick recovery, the irrigation facilities should be rebuilt as soon as possible so that the agricultural production in that area will not be negatively affected.
The specific measures for the recovery of infrastructure will be determined through negotiation with the affected parties.
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5.6 MEASURES FOR SAFEGUARDING INCOME AND LIVELIHOODS
In cases where a farm household loses a small part of its land and reallocation of land within the village takes place, the compensation for loss of land will be used by the village to increase the productivity of the remaining land, by, for example, installing improved irrigation systems. Thus, through increased investment, the village can achieve the same, or better productivity, from a smaller amount of land.
In cases where commercial or industrial buildings are demolished, and the enterprise is profitable, compensation will be given to allow for replacement of the buildings so that the enterprise can continue to function at the same or an improved level.
In cases where most, or all, of a farm household’s land is lost and not replaced, compensation will be made to the household for investment in small business, training and education, or migration to elsewhere where employment or land is available.
Income and livelihood can only be safeguarded through these means if adequate auditing and monitoring systems are in place to assure that the requirements of PRC Law and ADB are carried out, and that the compensation reaches those who are affected. External auditing and reporting procedures incorporated into the RP assures that safeguards will be met.
5.7 MANAGEMENT OF ENVIRONMENTAL RISKS
If environmental problems occur during resettlement, management of these problems will be the responsibility of local authorities who are charged with implementing resettlement. Local authorities have their own environmental agencies. Monitoring of any environmental problems that occur during resettlement will be assigned to the agency responsible for monitoring environmental compliance for the Project as a whole. The Project’s Environmental Impact Assessment report includes further details on environmental risks, impact mitigation measures, and monitoring mechanisms for the Project.
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6. INCOME RESTORATION PLANS
The overall objective of income restoration is to ensure that all APs losing their means of livelihood (in this case their land) to the project are able to at least maintain their pre-project levels of income and living standards.
Resettlement of the rural population will be carried out in five different ways. The content and implementation conditions are as follows: • Resettlement within the agriculture sector. When discussed at the village meeting or agreed by more than two thirds of the village representatives, reported to and approved by the township government and the department in charge of agriculture administration under the county government, land reallocation will be conducted and the resettlement subsidies will be disbursed to the individuals according to the laws. • Resettlement by enterprises. Resettlement subsidies due to land loss will be managed by the rural economic collectives and be utilized in developing business, setting up village enterprises and resettling the affected farmers. If any enterprise or institution will accept farmers to be resettled and the farmers are willing to join in the working units, the resettlement subsidies can be paid to the units and then in turn the individuals will be resettled/reemployed by these units. • Resettlement with direct cash compensation. Plans can be made by the rural economic collectives, once the plans are approved by the township and county (district) land administration bureaus. Resettlement subsidies can be paid directly to the affected individual farmers themselves so that they can get find jobs by themselves. For example, they can use the compensation to establish a shop, repair store, or handicrafts shops, etc. • Buy insurance. With the permission of the affected people to be settled, the resettlement subsidies due to land loss are used as payment for the individuals’ insurance premium. This approach usually is used in combination with other ways or for households with elderly members only. • Resettlement by means of land development. If a village has land resource reserve, under the premise of no ecological destruction, the village (group) can use the land compensation fee for land development to resettle the affected people.
The five different resettlement ways are commonly used in accordance with the specific conditions of the villages affected by railway stations.
The construction of the Dali-Lijiang Railway will result in around 3,705 people losing total of their arable land, and hence part of their income. The results of the socio-economic survey indicate that, over 50 % of households derive some of their income from off-farm activities, and the income share from cropping only accounted for around 26.7 % of their gross incomes, and even less in terms of net incomes. The loss of land will thus not seriously affect the livelihood of most APs.
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The compensation for this project stipulates that the land compensation will be paid directly to the land-owning groups, whereas compensation for standing crops and trees (equivalent to their market value) will be paid directly to the affected farmers in case the young crops are damaged.
Current laws and regulations provide a substantial amount of flexibility as to how land-owning groups use this money, with the condition that, directly or indirectly, it benefits the affected farmers. Subject to ratification by the township governments, properly constituted meetings of the members or representatives of the affected groups can either decide to re-allocate land amongst their members to enable land-losing households to provide a replacement land to APs and use the compensation for the good of the community, or can decide to pay the money directly to the APs or do a combination of both of these.
6.1 FORMULATION OF INCOME RESTORATION STRATEGY
Any income restoration strategy should respect, as far as possible, the preferences of APs as to how this should be achieved. Formulation of an income restoration strategy is also dependent on the way the compensation monies are divided between the community and the individuals. In this context, the results of the socio-economic survey (including both individual households and village leaders) revealed preferences for both land redistribution and direct cash compensation.
In order to provide a more robust basis for the formulation of an income restoration strategy, two meetings were held with representatives from the affected villages at Dali City and Heqing County during January 2004. These meetings were attended by representatives of the local government, the Consultants, and local officials. In total, over 40 village leaders from around 20 villages attended the meetings. The attendance of county and township officials ensured that they understood the purpose of these meetings and would be supportive of the eventual outcomes. The principal findings are: • over 70 % of villages would prefer to redistribute land to enable all APs to continue farming; • there was little support for either transfer to urban status or all compensation being used by the village - further confirmation will be made by holding villagers’ meetings.
Based on the above findings, the income restoration strategy will be flexible, democratically based, and self-administered in accordance with the decisions of individual villages. The preferences arising from the meetings already held will be ratified or amended by properly constituted meetings in the affected villages. The income restoration strategy will result in the great majority of APs continuing in agriculture, even though they may lose some or all of their current land. The strategy will have the following main elements:
• land redistribution (implemented with assistance from local administration bureaus (LABs) • investment of compensation by the community, primarily for the benefit of all those involved in the land redistribution • investment of subsidy by individual APs
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• training • employment on project-related activities.
Specific proposals are presented in Section 7.3.
6.2 INCOME RESTORATION: USE OF COMPENSATION FUNDS
6.2.1 Community Based Income Restoration Measures
Irrespective of land redistribution, agricultural production in the affected groups will decrease in the short-term. Compensation funds accruing to the villages will therefore be based primarily around improving agricultural productivity and, in particular, on the following: • the improvement of irrigation facilities and their extension to currently non-irrigated areas • the creation of new cultivable land, either through terracing or reclamation along the existing suitable area
• the development of orchards and other cash crops • improving animal husbandry • the development of agro-processing.
Villages may also decide to allocate some of the funds to social and physical infrastructure projects such as improved schools, access roads or water supply networks. Detailed proposals will be developed by each village/ land-holding group following the detailed compensation decision and prior to the disbursement of the compensation.
6.2.2 Use of Compensation Fund by Individuals
The payment of a substantial portion of compensation funds to individuals will place a considerable responsibility for income restoration on APs themselves. This will not be a problem because there are a lot of private people with initiative and others with a strong wish to invest into productive activities in the project area. Their past initiatives have demonstrated their capacity to handle cash compensation. Indeed, the cash crops and service sectors in the project area have expanded rapidly in recent years.
Individuals questioned during the socio-economic survey showed a marked preference for investing in off-farm activities (see Table 13), e.g. small businesses. However the PPTA consultation also revealed that for those who are 40 years and above, they would expand agricultural, livestock production and aquaculture, e.g. by introducing new animal breeds or improving the irrigation to their fields based on the fund available from their resettlement subsidies and in some cases, part of the land acquisition compensation. Additionally, some households are likely to use funds to provide their offspring with a better education indicating a more far-sighted view of the future wellbeing of their household.
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6.3 TRAINING PROGRAMS
Notwithstanding the fact that affected communities and APs will be primarily responsible for income restoration, an extensive series of training programs will be implemented, including some or all of the following training programs:
• Animal husbandry/Fish raising; • Economic crop planting; • Training program to women on sewing and knitting skills; • Skills on motorcycle, vehicle, tractor and farm machinery repair; • Product marketing.
6.4 EMPLOYMENT IN THE PROJECT ACTIVITIES
The construction of the Dali-Lijiang Railway will create temporary construction jobs. Farmers welcome the construction-related job opportunities as providing an additional source of cash income that will assist them in restoring their livelihood. Most of these employees with a salary amounting to 15-20 Yuan per day shall come from the local village people.
Poor people from the impacted households will have priority in employment during the DLR’s construction. The railway support offices from the counties and townships will work with the construction and engineering corporations and/or their subordinate construction teams to implement these preferences.
6.5 GENDER ISSUES
In China, women’s rights and interests are protected through the “Protection Law for Women and Children of the People’s Republic of China”. Whether they live in rural areas or in urban areas, women have the same rights with men, i.e., there should not be any discrimination to women, and their rights and interests shall not be deprived. The China Women’s Federation has its branches over all the townships and most of the administrative villages. Amongst others, one of its principle objectives is to reduce discrimination towards women. Women play a very active role in the economy of the project area as well as being responsible for many household tasks. Women will be eligible, on an equal basis, for access to information, compensation payments, training programmes and other assistance being proposed. Detailed supporting measures are as follows:
1. in combination with the rural industrial structure adjustment, using the existing “women’s quality project” as the carrier, to reinforce women’s training on using scientific technologies;
2. to further implement “women’s poverty alleviation project” in order to help women in the poverty area to raise their income;
3. to actively work in the training for women leaders and related recommendation tasks in association with local agencies;
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4. to implement “Mother’s Water Cellar” project;
5. to organize propaganda campaign on “P.R.China Marriage Law” and “Protection Law for Women and Children of the People’s Republic of China”;
6. to further implement “revolving fund” and “micro-credit” projects initiated by the Women’s Federation;
7. to fully implement “Female Healthcare Project” in order to improve women’s health.
6.6 VULNERABLE HOUSEHOLDS
Members of vulnerable households will benefit from the proposed training programs and, if able-bodied, will be given priority in gaining railway-related employment.
In Yunnan, the principles guiding resettlement include: (i) smooth relocation and resettlement, (ii) stable conditions after relocation, (iii) better living conditions than before resettlement, and (iv) higher production levels after resettlement than before.
Preferential treatment will include the following:
1. the labourers of local vulnerable groups will be hired first as the unskilled workers of railway construction;
2. priority will be given to vulnerable groups in the distribution of shops along the street in the station area;
3. the local government will help vulnerable households build houses;
4. for resettlement households, they have the priority to choose housing plots; and for households affected by land loss, they will be firstly considered for land reallocation;
5. provide technical training for women-headed households, and encourage them to improve their income through micro-credit;
6. provide necessary living safeguards for the aged widows/widowers.
7. Special attention should be paid to the small ethnic groups in the national minority area.
6.7 ECONOMIC REHABILITATION PLANS FOR SERIOUSLY AFFECTED VILLAGES
6.7.1 Impact Assessment
The Dali-Lijiang Railway Project involves construction of about 166 km rail line and 18 stations. The alignment of the railway passes mainly through rural areas; and the tunnels and
Resettlement Plan 55 bridges account for 43.7 % and 10 % respectively in total alignment length. Thus land acquisition and resettlement are relatively less compared to a railway going through open country. Generally the economic situations for the affected villages can be restored with fair compensation. However, the land acquisition and resettlement in the railway station area and land scarce area would be significant and the impact assessment and resettlement planning site visits have focused on these areas.
Generally, the land situation in Dali can be categorized as two types - those near Dali City area with limited cultivated land per capita (e.g., those in Haidong and Wase townships) against those in the mountainous area with low income such as Dabaguan village in Shangguan Township. In Heqing county, as the former provincial poverty county, the land area is relatively large, but the income is low due to various reasons. Compared with the land situation in Dali Prefecture, the per capita land area in Gucheng District of Lijiang City is quite large; no village has the per capita land area less than one mu.
For those villages with land acquisition for intermediate stations, the adverse impact will be far more offset by the positive impact created by new off-farm activities such as transportation services, catering industry and cargo storage service. In order to identify the seriously affected villages, the following comprehensive standards have been used for the village screening: • The per capita land area is low and lack of off-farming opportunities; • The per capita income is low, and the land acquisition would exacerbate the poverty situation; • Villages have land loss and cannot benefit from the construction of passing stations; • Villages with concentrated relocation clusters of households.
Based on the impact assessment standards, two railway station sites (Lijiang Station and Heqing Station) and six seriously affected villages by land acquisition and relocation have been identified for the development of economic rehabilitation plans. These villages are: Wenbi Village in Haidong Township, Guangyi Village in Wase Township, Changyu Village in Shuanglang Township, Qinhe Village in Xi’yi Township, Baowo Village in Songgui Township and Beixi Village in Jindun Township. Table 19 listed the detailed situations of the railway stations and affected villages.
Table 18 - Situations of Railway Stations and related Affected Villages Land House Land House Name of Name of acquisition relocation Name of Name of acquisition relocation Stations Villages Stations Villages (mu) (m2) (mu) (m2) Dali North Fengming 200 0 Qinhe Qinhe 50 0 Hongshan Hongshan 50 0 Xiyi Xiyi 50 0 Haidong Xiangyang 50 5621 Xinwo Xinwo 50 6445 Wenbi Wenbi 50 0 Jindun Jindun 50 0 Wase Guangyi 50 0 Heqing Xiaoshuimei 200 6029 Shuanglang Shuanglang 50 0 Xintun Lianyi 50 103 Shangcun Haichaohe 100 15 Renhe Qihe 50 318
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Qinghuaping Qinghuaping 50 2259 Lijiang Guifeng 180 1931 South Huanglanqing Huanglanqing 50 0 Lijiang Xintuan 350 6794
Source: SSDI, 2004.
6.7.2 Planning Process and Results
During the village rehabilitation planning, consultants and county officials briefed the village leaders, and a SWOT analysis approach was used. Subsequently, the participants used a “stock-taking” method to count the resources in their own villages. The next step was to outline the strength, weakness, opportunity and threat. Based on this analysis, strategies and possible measures were identified for their economic rehabilitation. This planning process really reflects the way for the affected villagers to formulate their own village rehabilitation plan. Village representatives very much appreciated this approach of mobilizing their own efforts to do their own planning based on the policy framework, over which participants have a strong feeling of the ownership for the village plans.
The planning is still undergoing with wide scope discussion among villagers. MOR and local government will facilitate villagers to refine and finalize their plans up to DMS survey result and marking of ROW. Currently the economic rehabilitation plans for the two station sites and six seriously affected villages due to land acquisition and relocation are basically strategies and summarized as follows.
1. Lijiang Railway Station
BASIC SITUATION: Lijiang Railway Station will be located in Xintuan Village, with relatively large amount of land acquisition and house relocation. There are 19 villager groups in Xintuan Village, with 1,032 households and 4,569 persons, of which half are women and half men. There are 2,300 labourers. The total cultivated land area is 6,100 mu, of which the average land area per capita is 0.8 mu for valley plot, and 1.5 mu for semi-mountainous and mountainous land. In addition, there is a large amount of undeveloped mountainous land and forest land. The north and south ends of Xintuan Village are mountainous, and three villager’s group are totally located within the mountainous area, covering less than 100 households, with low income (net income CNY 500 per capita) resulted from high elevation (2600m above sea level) and lack of water. The valley area of this village is 7 km far from downtown Lijiang City, and more farmers in the valley area find a job in the urban area. The jobs include construction work (there are five construction teams in this village), taxi and transportation services. In addition, animal husbandry and vegetable cropping are popular in this village. The average annual net income in the valley area is CNY 1,200 per capita. However, since the valley and the mountainous area are well balanced, the total average annual income per capita in this village is CNY 800. There are 50 households who suffer from poverty, disabled or mentally illness members. In terms of ethnic composition, Bai nationality accounts for 60 %, Naxi 30 %, and the rest are Han, Miao, Tibet and Yi, etc.
Lijiang cargo station will be established in Guifeng Village, with a relative large amount of land acquisition and resettlement impacts. There are five villagers’ groups, 501 households and
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2,011 persons in this village (labor force nearly 1000 persons). Of the total population, the Naxi people account for 99 %. The distance between this village and downtown Lijiang City is 13 km. The average cultivated land area is a little less than 2 mu per person, but more than 3 mu per capita in the mountainous area. Thus Guifeng Village has abundant land resources; however, the water resource is the constraint in terms of the cropping seasons—at the end of a 27 km-canal constructed by the township government. Under this situation, the crop harvest cannot be secured. The major income sources are cropping and animal husbandry. In addition, some labor find jobs outside of the village. In this village, there are several brickfields, factories and private enterprises engaged in passenger traffic and cargo transportation services. The average annual net income in this village is a little more than CNY 600 per capita, with one end in the valley area CNY 1,000, and another end in the mountainous area CNY 500. The village has full access to drinking water, electricity, roads and telephone service, but the roads between any two villagers’ groups are earth roads. The average floor space per capita in this village is 40m2, of which, a large part is used for grain storage since the grain is harvested during the raining season. Generally, three to five households share a draft animal (cattle), which is fed in turn among these households. Firewood is the common energy source for each household, and usually there is very little amount of savings besides self-subsistence. There are 70 households in difficulty including those Wubao households, disabled, orphan, women/widow headed households.
IMPACT: The construction of Lijiang passenger station, cargo station will create significant impacts on the production and living situations of local people. In some villages, the conventional livelihood of farmers will be changed, and more people will face an employment problem if they loose their cultivated land. In order to tackle these problems, more economic rehabilitation measures have been planned by the Railway Agencies and local Resettlement Offices.
REHABILITATION PLAN: (1) Xintuan Village plans to build a large marketplace, hotels and parking areas after the completion of the Lijiang passenger station in order to develop the collective economy using land compensation fee and local government matching funds, while resettling the affected households. Guifeng Village plans to build a marketplace for agricultural produce trading and parking areas, and to establish a porter team to resettle the APs. (2) They will construct a railway station square with a large amount of shops around the square in order to encourage employment of the APs. (3) The Village plans to establish a service center and a storage center in order to employ part of the local farmers whilst the village gets profit, with the employment priority to AP’s. (4) Conduct training for APs, firstly to change APs’ concept, i.e., to let the APs well-understand that there are other ways of earning a living besides cropping. Meanwhile, practical technological training will also be conducted for APs, particularly for women and those with low educational level, with the focus of assisting them in obtaining more living means. (5) Local government will organize migrant-out labor service.
2. Heqing Railway Station
BASIC SITUATION: Heqing Railway Station will be constructed in Xiaoshuimei Village of Caohai Township. There are 567 households and 2,441 persons in this village, of which, male 1,289 persons, female 1,152 persons. Total labor 1,250 persons, of which male labor 608
Resettlement Plan 58 person and female labor 642 persons. Of the total population, Bai 2,295 persons, Han 135 persons, Tibetan 9 persons, Yi 1 person and Bai 1 person. There are 2,351 mu cultivated land, of which, paddy land 1,220mu and irrigated land 1,131 mu. The average annual net income is CNY 822 per capita.
IMPACT: The construction of Heqing Railway Station will create significant impacts on the production and living situations of local people. In some villages, the conventional livelihood of farmers will be changed, and more people will face an employment problem if they loose their cultivated land. In order to tackle these problems, more economic rehabilitation measures have been planned by the Railway Agencies and local Resettlement Offices.
REHABILITATION PLAN: (1) Xiaoshuimei Village planned to build a large marketplace, hotels and parking areas after the completion of the Lijaing passenger station in order to develop the collective economy using land compensation fee and local government matching funds, meanwhile to resettle the affected households. (2) Construct a railway station square with a large amount of shops around the square in order to take the priority to employ the APs. (3) The Village planned to establish a service center and a storage center in order to employ part of the local farmers whilst the village get profit, with the employment priority to AP’s. (4) Conduct training for APs, firstly is to change APs’ concept, i.e., to let the APs well-understand the living means besides the cropping. Meanwhile, practical technological training will also be conducted for APs, particularly for women and those with low education level, with the focus of assisting them in obtaining more living means. (5) Local government organize migrant-out labor service.
3. Wenbi Village
BASIC SITUATION: Wenbi Village of Haidong Township in Dali City, comprises 4 villager groups and 205 households, with a total population 936 persons, of which there are 463 males and 473 females. Total labor is 495 persons, with male 240 persons and female 255 persons. The cultivated land, 709mu, is all dry land. The average annual net income is CNY 1,350 per capita. In recent years, the economic situation is worsening due to the following reasons: (1) previously each household had a fishing boat, but currently fishing is not allowed (for the Erhai Lake Protection purpose) thus the major income source of this village has disappeared; (2) another former income source was quarry operation, but currently the mountain stone excavation has been banned by the local government; (3) all the land in this village is on slope dry land, and with the national “slope land conversion to forest” policy, cultivated land in this village is decreasing more and more . Therefore, the farmers’ livelihood is confronted with pressure and difficulties.
IMPACT: A railway station will be constructed in this village, which will create both positive and negative impacts on this village. On the one hand, the station construction will benefit the village economic development; on the other hand, it will also result in land loss and employment pressure. In order to tackle these problems, more economic rehabilitation measures have been planned by the Railway Agencies and local Resettlement Offices.
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REHABILITATION PLAN: (1) To conduct training for APs, firstly to change APs’ concept, i.e., to let the APs well-understand the living means besides cropping. Meanwhile, practical technological training will also be conducted for APs, particularly for women and those with low education level, with the focus of assisting them in obtaining more living means; (2) to organize aged farmers to buy endowment insurance in order to remove their worries about living difficulties; (3) to conduct agricultural production structure adjustment. Based on the real situation of this village, large areas of economic forest can be planted and fruits production can be conducted in order to increase the income of local farmers; (4) to develop tertiary industry leaded by transportation services and tourism; and (5) local government to organize migrant-out job service for the local redundant labor.
4. Guangyi Village
BASIC SITUATION: Belonging to Wase Township of Dali City, Guangyi Village has 975 households and 4,015 persons, including Bai nationality population 3994 persons. The total cultivated land area in this village is 1,675 mu, of which paddy land is 988 mu and dry land 687 mu. The per capita cultivated land is 0.42 mu in this village. The per capita net income in this village was 3,190 Yuan in 2002 with a major income from off-farm activities. Around 12 % of households had income from migrants labor wages. This village has a tradition to produce spring onions and garlic; however, the traders buying vegetables only on the roadside along the vegetable field, there is no fixed marketplace for the vegetable selling.
IMPACT: Approximately 44 households will loose part of their fertile cultivated land in this village, which will not seriously affect the income of the whole village but some of the farmers will lose their income source from cash cropping, such as spring onions and other vegetable production.
REHABILITATION PLAN: Based on the real situation of this village, the most earnest need of this village is to established a marketplace for the wholesale of vegetables produced in this village and nearby villages.
This village has planned to select a suitable area combined with the engineering cutting works to build a wholesale market with a area about 30 mu (2 hectare). The fund would come from the following three sources: part of the land compensation fee, local government subsidies and farmers’ self-raised fund. With the construction of the wholesale market, the per capita income in this village can be expected to rise to 200 Yuan within three years and with a long- term prosperous development vision. The importance of this activity are: (1) to increase off- farm activities such as transportation and porter jobs for the directly affected labor, and (2) the land losers as well as other farmers can develop their less-fertile land into fertile land, and conduct production structure adjustment towards cash-cropping based on the drive force created by the wholesale market.
5. Changyu Village
BASIC SITUATION: Belonging to Shuanglang Township, Changyu village has 674 households and 2,926 persons. Of which, 670 households with 2,900 persons belongs to Bai
Resettlement Plan 60 nationality. This village has a total cultivated land 771 mu, of which, paddy land area is 344 mu and dry land is 427 mu. The per capita cultivated land is 0.27 mu. In addition, there are 630 mu orchard. The per capita net income in this village was 905 Yuan in 2002 with a major income generated from animal husbandry (dairy production). Around 60 % households had income from migrants labor wages. Cash crops produced in this village are garlic and tobacco but with limited income share.
IMPACT: Approximately 74 households will loose part of their fertile cultivated land in this village, which will not seriously affect the income of the whole village but some of the farmers will lose their income source and even farming opportunities due to the limited land area available.
REHABILITATION PLAN: Currently there is a poverty alleviation project in this village a via micro-credit programme. The Shuanglang Township has planned a rehabilitation plan with village leaders which includes the following measures: • To further implement the micro-credit project in order to solve the problem caused by lack of funds for development activities; • To introduce advanced management techniques for dairy production; • To adjust cropping production structure with the focus on cash cropping;
6. Qinhe Village
BASIC SITUATION: Belonging to Xiyi Township of Heqing County, Qinhe Village has 341 households and 1,529 persons; of which 28 household with 123 persons belong to Lisu nationality. The total cultivated land is 1,637 mu, including 1,398 mu paddy land 239 mu dry land. The per capita cultivated land is 1.08 mu. The per capita net income in this village was only 700 Yuan in 2002 with a major income source from grain production. Around 20 % households had income from migrants labor wages.
IMPACT: A reserved passing station will be constructed in Qinhe Village. Only 5 households will lose part of their dry land and one household will need relocation since the alignment is located in the mountain slopes.
REHABILITATION PLAN: Qinhe Village is located in the deep valley of high mountains. The construction of the railway project will provide both short- and long-term development opportunities for this village. In order to seize this opportunity for development, the village has made an economic development plan.
• Develop ”catering service” during the Lali-Lijiang Railway construction period. Since this village is sited in the “isolated” in the buffering area from Dali City to Heqing county. The food provision can serve the construction teams along the alignment in around 20 km length, therefore a significant income increase is expected. • Organize unskilled labor for local earth and stone works during the construction period. • Combining the cutting and filling works of the railway construction, improve the road and irrigation systems of the village.
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7. Baowo Village
BASIC SITUATION: Belonging to Songgui Township of Heqing County, Baowo Village has 409 households and 1,892 persons with the majority of Bai nationality 1,882 persons. There are paddy land 1,103 mu and dry land 927 mu. The annual average net income of farmers was 849 Yuan/person in 2002. The major income source was grain production; and only 10 % households had income from migrant labor wages. Cash crop like tobacco has been planted, but with a small area.
IMPACT: Around 50 households will loose part of their dry land and the village will loose some forest. It is estimated that around 20 households will need relocation.
REHABILITATION PLAN: The main measure for the village economic rehabilitation is the planned introduction of more cash crops and improvement in the quality and yield of tobacco. This can be achieved by local farmer-centered technical training. Another plan is to establish a village animal farm based on the natural resource endowment, e.g., grassland, for raising cattle and goats where labour who lost land will be employed and their livelihood can be secured.
8. Beixi Village
BASIC SITUATION: Belonging to Jindun Township of Heqing County, Beixi Village has 530 households and 2227 persons including 1,212 persons of Bai Nationality. There are paddy land 1,472 mu and dry land 1,512 mu. The annual average net income of farmers was 1,341 Yuan/person in 2002. The major income source was grain production; and only 10 % of households had income from migrant labor wages. Sericulture is a supplementary income source in this village.
IMPACTS: The Project will traverse 9 of the total 10 villagers’ groups in this village. In terms of length, the total village is around 10 km and there would be 8 km railway alignment in this village. Around 90 % of the land to be acquired is mulberry tree forest, and another 10 % is dry land. About 150 households would be involved in land acquisition and 7 households be involved in house relocation.
REHABILITATION PLAN: Based on the real situation of this village - 80 % of the mulberry tree forest has been contracted to farmer households, and the village owns the remaining 20 %, the village plans to adopt the following measures to rehabilitate their income.
• Conduct business during the railway construction period, such as operation of shops and restaurants, organize transportation services for the railway civil works;
• Use the land compensation fee being paid to the village to improve irrigation systems, and convert more dry land into irrigated land and further plant more vegetable crops to increase income share from cash cropping. • Combining the construction roads system to improve the transportation conditions of this village in order to reduce transportation cost.
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7. IMPLEMENTATION ARRANGEMENT
7.1 INSTITUTIONAL FRAMEWORK
In order to accomplish the land acquisition, building demolition, and resettlement tasks for the Project, a resettlement network has been set up. Horizontally, the network includes two parties, MOR and its contractors and subsidiaries, and local government authorities. These organizations include the land acquisition and resettlement working offices/groups of each contractor, and under each level of the local government. In addition, the land administration bureaus of local governments will participate in the implementation of land acquisition for the Project.
7.2 RESETTLEMENT ORGANISATION
Conventionally, all the land acquisition and resettlement tasks for railway construction will be entrusted to local governments for implementation. The project EA will coordinate, supervise the resettlement implementation and redress the grievance appeal raised by APs. Based on the features of the project and though extensive discussions with MOR and local government, the LAR organization with detailed tasks will be established as shown in Figure 3.
A land acquisition and resettlement (LAR) unit will be established in WYRC with 5 staff. At prefecture level there will be a LAR working office in each affected prefecture. Further, LAR Office will be established in each affected district/county. Each affected township shall nominate persons to LAR Office. The person so nominated will be responsible for all resettlement-related work and carry out economic rehabilitation plan together with the township government and villager committee.
7.3 ACCOUNTABILITY
7.3.1 High Level Coordination
Construction Bureau, Planning Bureau, and Foreign Capital and technology Center of MOR, and the NDRC and Land Resources of YPG will be the high level coordination agencies in charge of the resettlement related affairs during the preparatory period of this project, and of the resettlement monitoring and evaluation work during and after the implementation period of the project. A full time staff will be designated to be specifically responsible for the land acquisition and resettlement assignment.
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Figure 3 - Project Land Acquisitions and Resettlement Organisation
Land acquisition and DLR Construction Leading resettlement coordinator Group in Yunnan Province under MOR
West Yunnan Railway Yunnan Provincial Land Administration Department
Corporation (WYRC) Monitor External
WYRC-LAR Unit Prefecture-level Land Administration Bureaus, LAR Offices
Land acquisition and County-level Land resettlement staff under Administration Bureaus, and construction contractors LAR Offices
Land acquisition and resettlement groups under each township
Land acquisition and resettlement groups under each village
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DLR Construction Command will perform the duty of the project owner on behalf of WYRC and have close contact and cooperate with the Yunnan Provincial Land Administration Department and Dali and Lijiang prefectures. They will instruct their subordinate units that are responsible for land acquisition, housing demolition and relocation to deal with the affaires of land acquisition, housing demolition and relocation as well as resettlement in close cooperation with the LAR offices at all levels.
An important task for the higher-level coordination parties is to make close contact with Yunnan provincial government and Dali and Lijiang prefectures to formulate reasonable compensation standards for land acquisition and resettlement.
7.3.2 Role of WYRC-LAR Unit
The LAR Division within the DLRCC will take the following responsibilities: • To organize and coordinate, following the decision made by the EA, the land acquisition and resettlement work and compensation payment, and sign resettlement agreements with LAR working offices at local level. • To investigate and study the resettlement assignment, and consult the comments from affect agencies and individuals, deal with various grievance and appeal, and make a quick responses. • To supervise and inspect the payments and utilization of resettlement fund. • To provide guidance to the prefecture, districts/counties, townships and villages on the preparation of rehabilitation plans.
7.3.3 Responsibility of Prefecture/County Level LAR Office
The Prefecture/County level LAR Office (CRO) is primarily responsible for RP implementation and supervision. Principal tasks of the LAR Office include: • Checking, based on the assignment and requirement set by the DLRCC, the volume and number of affected land, houses, infrastructure and special purpose facilities, etc.
• Appraising the value of the land and houses to be acquired and demolished and making compensation rates.
• Signing land acquisition and resettlement agreements with affected enterprises and individuals.
• Payment of compensation to affected families/units. • Carrying out the specific implementation of land acquisition and resettlement and ensuring timely construction of new houses and timely resettlement progress. • Supervision and inspection of the payment and utilization of resettlement fund.
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• Monitoring execution of RP in township and villages. • Reporting to the LAR Division of the DLRCC on resettlement situation periodically, and submit statistics/data as required.
7.3.4 Responsibility of Township Resettlement Office
Township Resettlement Offices (TROs) have the following responsibilities: • Survey, monitor and record all resettlement activity within its jurisdiction; • Supervise acquisition of land, houses, other buildings and structures, public utility infrastructure and enterprises as well as the relocation and reconstruction of houses and non-residential buildings; • Supervise the employment and training of the APs in township enterprises. • Payment of compensation to affected families/units • Assess the needs of vulnerable groups and provide assistance during their relocation period, and attend to their grievances in order to solve them in time or forward to county level resettlement offices.
7.3.5 Responsibility of Village Committee
Village Administration Committee and Villagers’ Groups have the following responsibilities: • To report on: – Quantity of land acquired; – Ownership and use rights of land and property; – The Land-Labour ratio. • Participate in surveys; • Hold properly constituted meetings to decide on land redistribution and the allocation of compensation between the community and individual APs and how to use compensation not handed directly to APs;
• Select resettlement sites and undertake land redistribution; • Address grievance issues;
• Report on the progress of resettlement.
7.4 GRIEVANCES AND REDRESS
During the actual implementation of the land acquisition and the resettlement of displaced population, if the affected population have any problems, grievances and discontent regarding land acquisition, housing demolition, compensation payment and resettlement, they may appeal to either (1) the project owner, (2) the external independent monitoring institution, (3)
Resettlement Plan 66 the township and the county land administration department, (4) the county government or (5) take legal action.
1) Appealing to the Project Owner Unit
The project owner is the eventual user of the land acquired, and has the duty to resolve problems arising from land acquisition, housing demolition and resettlement. The project owner of this project is WYRC functioning in its capacity during the project engineering, and the West Yunnan railway company execute the managerial duty after the project engineering is completed. Therefore, appeals to the project owner should go to WYRC.
2) Appealing to the External Monitor
The external monitor conducts chasing-up investigation on the production of affected villages several times in the year during the monitoring period, evaluates the resettlement consequences and submits its M&E reports to the project owner, the local institutions conducting land acquisition and housing demolition and the ADB. The affected persons, therefore, may express their discontent and grievances to the external monitoring institution, which is obligated to listen to and find out the dissentient and grievances.
3) Appealing to the Township and the County Land Administration Department
According to the administrative procedure of the local government, the discontent and grievances rising from acquisition and resettlement should first be handled by the land administration department. This should be facilitated by township leaders in the purpose of assisting vulnerable groups and dealing with AP’s grievances. In case the land administration department is unable to resolve the grievances, the appealer may turn to other conduits. These are the conduits of the land administration departments the appealer may go to: • the municipal land administration bureau; • the county land administration bureau; and • the township land administration bureau.
4) Appealing to the County Government
If the discontent can not be resolved by n the land administration department, it can be appealed to the “correspondence and visitation department” of the local governments, set up by various levels of government organs to handle letters and visits from the masses. The appealer may express his discontent orally or in writing to the correspondence and visitation departments, which may coordinate departments concerned to have the matter resolved. If again the discontent cannot be resolved in this way, the correspondence and visitation departments will report the matter to the leaders of the local government.
5) Legal Action
If discontent and grievances can not be resolved through the above 4 conduits, the appealer may resort to legal action by bringing the case to the court.
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7.5 CAPACITY BUILDING AND STAFF TRAINING
A variety of measures will be taken to support capacity building and ensure effective implementation and control of the RP. These include:
1. Vertical linking agencies will set up reporting system, to report once a month.
2. Horizontal linking agencies will hold coordinating meetings quarterly to enhance information exchange.
3. Issues put forward by the APs will be reported and disseminated through the resettlement offices at each level.
4. Issues which occur during construction will be reported by the resident engineer, first to his/her organizational level and then, if necessary, upwards through each of the hierarchical levels;
5. Issues of the APs and contractors will be forwarded to the Village Committee, local construction coordination groups at township-county-prefecture levels, and, if serious, also to WYRC and to the Railways Construction Leading Group of Yunnan Province.
6. Both the WYRC and the local governments will appoint persons experienced in land acquisition and resettlement with managerial skills and dada processing skills to train the resettlement institutions of all levels. These persons should be stable along the whole construction period.
7. At the preparation stage, both WYRC and the local governments should invite the consulting units to train their major staff members engaged in land acquisition and resettlement and to help them to learn and have a good grasp of China’s resettlement policies, the Bank’s requirements and the successful cases of other administrative sectors in China and learn to master the skills of collecting and processing data.
8. Internal monitoring, evaluation and problems solving skills will be reinforced when judged to be weak.
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8. COST ESTIMATE AND BUDGET In accordance with the provincial-ministry agreement signed between MOR and Yunnan Provincial Government, compensation will be carried out at a comprehensive unit price of 18,000yuan RMB/mu. The total estimated budget is 141 million yuan RMB.
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Table 19 Cost Estimate of Land Acquisition and Resettlement Total price Compensation Losses Type Amount Unit Unit Price (Yuan RMB) 1. Land acquisition 49,718,111 Irrigated 568.33mu 12,960 7,365,556 Cultivated land Dry land 3,018.85 mu 7,092 21,409,684 1.1 Permanent land Fish pond 4.80 mu 17,500 84,000 acquisition Vegetable 572.50 mu 17,500 10,018,750 Fruit orchard 116.50 mu 17,500 2,038,750 Shrubbery 1,036.67 mu 1,039 1,077,100 Waste land 447.14mu 300 134,142 Housing land 78.60 mu 12,960 1,018,656 State- Land owned acquired for land the railway 69.55 mu 8,000 556,400 1.1 Temporary land acquisition 1,599.95 mu 2,000 3,199,900 1.2 Standing crops 2,065,173 1.3 Forest 30,000.00 tree 25 750,000 2. Buildings and structures for dismantling 36,144,990 Square 2.1 Housing plot 12,0907.75 meter 31,855,665 1) Brick-concrete Square structures 84,103.00 meter 300 25,230,900 2) Simple Square structures 36,804.25 meter 180 6,624,765 2.2 Brick fence wall 6262.70 m 150 939,405 2.3 Earth fence wall 1,112.00 m 35 38,920 2.4 Tomb 6,290.00 Unit 200 1,258,000 2.5 Well for drinking 24.00 Unit 200 4,800 2.6 Underground pipes 4,940.00 m 30 148,200 2.7 Attachment of removing and moving 1,250,000 2.8 Miscellaneous 650,000 Sub-total 1~2 85,863,101 3. Cost for infrastructure restoration 26,320,732 3.1 Road re-routing 20.43 Km 464,592 9,491,618 3.2 Relocation of communication lines 43.98 Km 95,000 4,178,114 3.3 Relocation of power lines 79.00 Km 149,000 11,771,000
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3.4 Relocation of irrigation canals 230,000 3.5 Other 650,000 Sub-total(1~3) 112,183,833 4. Other 25,069,923 4.1 RP planning (0.1% of sub-total) 112,184 4.2 Organization capacity construction/staff training (0.1% of sub-total) 112,184 4.3 Land acquisition management (2% of sub-total) 2,243,677 4.4 Internal inspection and supervision (0.3% of sub-total) 336,552 4.5 Other fees regulated (cultivation cost, etc) 20,710,399 Sub-total 1~4 137,253,756 5.Contingency (2%) 2,801,097 Total1~5 140,054,853
For other types of land, the compensation standards (see Table 21) were calculated as follows: (1) Irrigrated land autumn grain mainly paddy 600kg/mu*0.8yuan/kg = 480yuan/mu summer grain mainly wheat 400kg/mu*0.75yuan/kg = 300yuan/mu attaching outcome 1.5 times of main outcome1500kg/mu*0.20yuan/kg = 300yuan/mu annual production 1080yuan/mu land compensation1080yuan/mu*8 times=8640yuan/mu resettlement compensation1080yuan/mu*4times=4320yuan/mu total compensation12960yuan/mu (2) dry land autumn grain mainly corn 420kg/mu*0.6yuan/kg=252yuan/mu summer grain mainly wheat 320kg/mu*0.75yuan/kg=240yuan/mu attaching outcome 1086kg/mu*0.20yuan/kg=217.2yuan/mu annual production 709.2yuan/mu land compensation709.2yuan/mu*6times=4255.2yuan/mu resettlement compensation 709.2yuan/mu*4times=2836.8yuan/mu total compensation 7092yuan/mu (3) Vegetable vegetable land total of three seasons 1591kg/mu*1.00yuan/kg=1591yuan/mu annual production 1591yuan/mu land compensation 1591yuan/mu*7times=11137yuan/mu resettlement compensation 1591yuan/mu*4times=6363yuan/mu total compensation 17500yuan/mu (4) Waste land The compensation standard of 400yuan/mu is popularly applied in construction projects. (5) Housing plot 12960yuan/mu was adopted as the same as paddy land acquisition, it does not mean that any housing plot (e.g., barren land) is worth of this price, but it focuses on the point that in case APs would like to get a housing site in a paddy land of other farmers, they can easily exchange or buy that land with sufficient payment. As the housing site to be
Resettlement Plan 71 acquired by the Project is not a big amount (only 78.6 mu), EA has agreed on this arrangement.
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9. IMPLEMENTATION SCHEDULE
The time-bound implementation programme for resettlement and land acquisition resulting from the construction of the Dali-Lijiang Railway is shown in Table 21 and summarised in Figure 4. The programme takes account of milestones in the project approval, ADB procedures, the completion of final designs and a projected start of construction in December 2004. The schedule has been based on the MOU from the Fact Finding Mission and discussions with MOR in January 2004. The prime objective in formulating this programme was to ensure that compensation for house acquisition is disbursed in time to enable affected households to construct a habitable dwelling before demolition commences - a minimum of 3 months and a maximum of 5 months will be available.
The programme also makes provision for a series of activities before construction to ensure AP participation and consultation, namely: • the distribution of the resettlement handbook; • the publicisation, via leaflets, of the detailed timetable for resettlement and land acquisition activities; • the DMS provides an opportunity for negotiation between APs and the resettlement officers in terms of detailed acquisition boundaries and the type and measurement of structures and land parcels; • the holding of village meetings to decide upon the location of new house sites, compensation arrangements and income restoration measures. These meetings will also be used to discuss and resolve farmers' concerns relating to design details such as the location of bridges and culverts.
The timing of these activities is such as to allow the executing agency time to respond to practical and useful suggestions made by APs and to respond to, and resolve, grievances.
The baseline socio-economic survey will be undertaken as soon as possible after the completion of the Detailed Measurement Survey (DMS) using the census of APs as the sampling base. The first monitoring survey will be carried out some 6 months later and should be timed to take place when the Row has been cleared.
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TABLE 20: RESETTLEMENT SUPERVISION MILESTONES (as of 25 August 2004) Responsible Completion No. Resettlement Tasks Target Agency Date Status 1. Disclosure 1.1 - Stage 1: Distribution of resettlement Local government MOR/WYRC 14 Jun 2004 Complete information booklets at prefecture and CDRC/CROs counties 1.2 - Stage II: Disclosure of resettlement 56 villages MOR/WYRC information booklets CDRC/CROs 31 Aug 2004 1.3 - Notification to AP of removal 1st Contract WYRC 20 Dec 2004* 1.4 - RP circulation to local offices 3 counties and 13 MOR/ WYRC 6 Sept 2004 Subject to townships item 3.1
2. Resettlement Plan & Budget 2.1 - Completion of re-staking survey 166 km SSDI 31 Dec 2004 2.2 - Approval of RP & budget CNY 141 million MOR/YPG 14 Jul 2004 Complete 2.3 - Publish compensation standards 3 counties CROs 20 Dec 2004 2.4 - Detailed Budget by county 3 counties WYRC 20 Dec 2004 3. Compensation Agreements 3.1 - Provincial agreement with MOR MOR 14 July 2004 Complete 3.2 - Village agreements for land transfer 56 villages CROs 30 Nov 2004 3.3 - Household agreements* 950 AF TROs 31 Dec 2004 4. Detailed Measurement Surveys WYRC, TROs Dec 2004 – Jan 2004 5. Waiver of Land Taxes MOR & YPG 6. Resettlement Implementation Plans 6.1 - Village Rehabilitation Plans 8 villages CROs 31 Jan 2005 preliminary plans 6.2 - Plan for Vulnerable Groups To be determined WYRC, PGOs 31 Jan 2005 After DMS 6.3 - Technical training plan for AF TBD WYRC, PGOs, CROs 31 Jan 2005 7. Implementation Capacity 7.1 - Training for staff of WYRC 5 staff WYRC, Yunnan LAB 31 Aug 2004 7.2 - Training for staff of PGOs, CROs and TROs 45 staff: WYRC, Yunnan LAB 15 Dec 2004 (5/county=6; 2/township=35; Dali prefecture=4) 8. Monitoring & Evaluation 8.1 - Baseline survey 200 AF** External monitor Feb 2005 8.2 - Set-up internal supervision As per RP MOR/WYRC 31 Dec 2004 8.3 - Contract external monitor As per RP MOR Jan 2005 8.4 - Internal monitoring reports Quarterly MOR/WYRC Jan 2005 1st Report due 8.5 - External monitoring Semi-annual External monitor July 2005 1st Report due 8.6 - Evaluation investigations Annual External monitor Jan 2006 1st Report due 8.7 - Resettlement Completion Report Once MOR/WYRC 2008 9. Documentation of Consultation As per RP WYRC/CROs In progress 10. Documentation of Grievances As required WYRC/CRO/TROs To be recorded 11. Flow of Funds / Compensation Initial funds MOR Dec 2004 12. Commence Land Acquisition*** 12.1 Clearance of ROW WYRC, Contractors Jan-Mar 2005 Target date 12.2 Demolition of houses WYRC, Contractors May-Sep 2005 Target date AF=affected families; CRO=County Resettlement Office; MOR=Ministry of Railways; PGO=prefecture-level government offices (Dali and Lijiang); RP=resettlement plan; SSDI=Second Survey & Design Institute; TBD=To be determined; TRO=Township Resettlement Office; VC=Village Committee; WYRC = West Yunnan Railway Company; Yunnan LAB=Yunnan Land Acquisition Bureau; and YPG=Yunnan Provincial Government. * - For the first contract. **200 AF or according to ADB requirements (10% AFs and 20% seriously AFs). *** Start date.
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MONITORING, EVALUATION AND REPORTING SYSTEM
In order to ensure that the implementation of the land acquisition and resettlement plan is in accordance with requirements, monitoring of implementation, both “internal” and “external”, will be carried out during and after the implementation of the Project.
The “internal” and “external” elements will be combined to provide an assessment of both the process of RP implementation (eg. disbursement of funds, settlement of grievances, progress on house relocation and land redistribution and the extent to which the primary objective of the RP, i.e. the maintenance or enhancement of the current social and economic conditions of all APs, are achieved in the years following the acquisition of their land or property.
9.1 INTERNAL MONITORING
The overall objective of internal monitoring or supervision is to ensure that resettlement implementation is in accordance with the approved RP. Specific objectives are to: (i) check the achievement of milestones in the acquisition and resettlement process, including preparatory phases, against the planned time schedule and budget; (ii) ensure that the channels of communication and consultation between the administrators and affected persons have been established and operated; (iii) ensure that compensation payments due to affected persons are paid in full and in a timely manner; (iv) verify that the processing of grievances has taken place within the set time limits; and (v) closely watch the adherence to lawful, approved allocation of acquisition and resettlement money so as to ensure the absence of corruption.
Internal monitoring/supervision will be the overall responsibility of the resettlement implementation agency. It will be undertaken by the Resettlement Officers at village, township, county, and prefecture level.
Because prompt action reduces escalation of problems, and in the longer run saves money, the emphasis will be on promptly resolving issues at local level with interventions by higher level officers only when absolutely necessary. Village and township level reports will be prepared on a monthly basis so that prompt action can be taken, if necessary, by higher-level officials without adversely affecting the resettlement execution. County Resettlement Officers will provide quarterly reports to the internal monitoring section of the Provincial Resettlement Division under DLRCC, who, in turn, will report to their leadership and the DLR Construction Directorate. Copies of these reports will be submitted to ADB. These reports should include: name of reporting agency, date of reporting, details on the implementation of the resettlement programs scheduled for that year, reasons for any delays, problems encountered, corrective actions and their results, and problems that need to be resolved at a higher level.
In addition to the above arrangements, the traditional financial watchdog - the Audit Bureau - will at each level of Government be monitoring and auditing the fund use in the compensation program.
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9.2 EXTERNAL MONITORING AND EVALUATION
The objectives of the external monitoring and evaluation are to: (a) assess the quality of resettlement implementation and verify the internal reporting by the EA; and (ii) evaluate whether resettlement has met the objectives of the RP (e.g., restoration of income and living standards). The main tasks include: (i) monitor the process in implementing resettlement plan; (ii) highlight the major problems that are encountered in implementing RP and propose solutions; (iii) verify project expenditure and adequacy of budget; (iv) establish whether, after the land acquisition and resettlement activity is completed, the welfare levels of those affected were restored and sustained; (v) if not, identify why not; (vi) assess the overall efficiency, effectiveness, impact (including behavioural responses) and sustainability of the policy and practice of land acquisition and resettlement on this project; and (vii) deduce lessons for future railway projects in Yunnan.
Methodology and Content
The general methodology will involve a mix of one-on-one questionnaires administered to households, and participatory rapid appraisal techniques (PRA) repeated on a six-monthly or yearly basis during the resettlement and construction activities associated with the project.
The household surveys will concentrate on the changes in economic activity, incomes and other social conditions of individual households. Key indicators will include: household composition, ethnicity, education and skill levels, experience in positions of influence, pre- acquisition rights over land, size and condition of house, accumulated assets, annual income, relative mix of productive activities, marketing channels, access to utilities and services (including social services and irrigation systems), and nature and frequency of major social and cultural activities. This survey will provide a series of socio-economic indicators which can subsequently be monitored in order to evaluate the success of the resettlement and income restoration process.
In addition, the baseline survey, undertaken as soon as possible after the DMS will ask questions on:
• household plans to do when confronted with the impending loss of land and/or housing, • the extent and effectiveness of the dissemination of information on compensation standards and options, acquisition processes and restitution measures.
The baseline survey will also ask an open-ended question about the farmers' anticipations and apprehensions regarding the impending land acquisition and resettlement process. The baseline survey should give the complete socioeconomic profile of the sampled APs with gender-disaggregated data and details of losses.
The PRA surveys will be conducted at the village level and will include similar indicators to those described above but focussing on the village as a whole. The objective is to provide a wider assessment of the effectiveness of the resettlement process than is possible from the
Resettlement Plan 76 surveys of individual households. These surveys will involve focus group discussions and key informant interviews. Experience shows that these surveys can provide a greater understanding of changes in socio-economic conditions than can be obtained from household interviews. In contrast, the household interviews are more suitable for providing a set of quantifiable indicators which can be compared over time.
Subsequent surveys will use the same format but with greater emphasis given to the changes that have occurred since the baseline survey was undertaken, the actual timing of compensation related activities (signature of contracts, disbursement of funds, identification of new housing sites, construction of new buildings, effectiveness of grievance procedures, and on general levels of satisfaction/ dissatisfaction with the resettlement process. Both household and PRA surveys will be designed to distinguish between changes that are attributable to involuntary resettlement and loss of land and those that result from external factors, e.g. a slump in vegetable prices, the opening of a new factory, etc.
The surveys will be completed by interviews with owners or directors of the non-residential establishments affected, eg. schools, enterprises.
Sampling
As required by the ADB, the baseline survey for launching monitoring and evaluation (M&E) activities should cover 10 percent of the APs. The baseline survey should give the socioeconomic profile of the sampled APs with gender-disaggregated data and details of losses. By the time the ROW is marked and the DMS commences the exact identity of the APs and the extent of their individual losses and the losses of the land owning groups will be known. At this stage, it is anticipated that around 2,000 households will be affected giving a total sample size of around 200.
A two-stage stratified random sample should be used. The first stage sampling will involve the selection of 20 of the affected villages (approximately 1/3rd). The initial selection of villages should involve those losing which will be most affected by land and property losses. This selection can be modified if it is considered that it omits any villages with particular characteristics that are significantly different from those originally selected: e.g. higher proportions of ethnic minorities, poor people, different cropping patterns or non-agricultural activity.
Around 10 households should be sampled in each selected village. The sample will be chosen randomly from the schedule of affected households obtained during the DMS.
In order to improve comparability, households selected for the baseline survey will be interviewed in all subsequent surveys.
Survey Timing
Figure 3 provides an indicative schedule of the external M&E surveys to be undertaken. The schedule has been designed to provide, as required, six investigations throughout the implementation of the project (one baseline survey, two yearly evaluation surveys, two semi-
Resettlement Plan 77 annual monitoring surveys and a post-construction evaluation survey). The household surveys would be repeated every year starting with the baseline survey implemented as soon as possible after the DMS. The PRA-type surveys would be repeated every 6 months within two year after the start of the land acquisition and resettlement. All selected villages would be visited at this time and annually when the household surveys are being carried out.
The baseline survey will establish the pre-resettlement socio-economic conditions of APs and the affected villages against which subsequent changes can be evaluated.
The monitoring survey during the land acquisition and resettlement implementation will concentrate on the extent to which the procedures laid down in the RP have been followed, the effectiveness of these processes and the level of satisfaction/ dissatisfaction of APs with these processes.
Subsequent, yearly evaluation surveys will provide a quantification of the changes in the social and economic conditions of APs together with a more qualitative assessment of these changes and the reasons for them.
Subsequent monitoring survey will provide interim assessments of the changes taking place in the villages most affected by loss of land and/or property. Village level indicators will be collected but the emphasis will be on qualitative information.
The final post railway construction survey should take place approximately one year after the construction is completed. Its main objective is to assess whether the objectives of the RP were achieved, i.e. whether the restoration of income and welfare has been efficiently and adequately restored, and whether the land acquisition and resettlement process has been effective. This survey will also probe sample households and key informants on how the whole process might be better done next time.
Schedule of the Independent Monitoring Organization
An institute or organisation totally independent of the both parties of EA, and independent of the local governments along the alignment, to be contracted as the lead agency to carry out the external monitoring and evaluation work under this RP. A preferred candidate for this task is the Southwest Jiaotong University (SWJU) in Chengdu which already has experience in monitoring work for international agencies.
The SWJU would be the lead agency in conducting M&E however they should be supported by SSDI in the field. SSDI is familiar with the total length of the alignment and has already been involved with field surveys in many of the villages affected by the railway. SDDI can also serve as a conduit to ensure full co-operation of relevant local government agencies in the conduct of the surveys.
Prior to their participation, both SWJU and SSDI must obtain the requisite authority and permissions required by government regulations that permitting them to undertake fieldwork of this type.
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Reporting and Distribution
Semi-annual progress reports on the implementation of the resettlement plan shall be sent to ADB. When resettlement implementation is completed, the monitor will conduct annual investigations to evaluate whether resettlement has been completed successfully. This often requires two annual investigations, but additional investigations and follow-up may be required is a significant number of affected households have not been fully restored.
The results of the M&E survey shall be reported to the MOR and Yunnan Provincial Government, the counties, townships and the ADB on an annual basis. Copies sent to the ADB should be in English.
The baseline survey should be reported in full. Subsequent reports should provide summaries of principal findings, tabulations of key indicators, qualitative and quantitative descriptions of main changes in socio- economic changes of APs and affected villages and conclusions and implications, if any, for additional action/ assistance. A format for internal and external monitoring report accepted by ADB is attached in Annex 2.
The report on the post-construction survey will constitute a final assessment report on the resettlement process and detail the extent to which the compensation paid and other measures have enabled APs to maintain or enhance their pre-project social and economic living conditions.
Resettlement Plan Annex 1 - Resettlement Information Booklet
1. OBJECTIVES OF RP BOOKLET
The primary objective of the RP Booklet is to provide a brief about the project, particularly the compensation principles and resettlement benefits, and how and when the compensation and other payments will be paid to the project-affected persons/collectives. This is part of the information dissemination work aimed at disclosure of the project policies and procedures regarding land acquisition, resettlement, compensation, payment, and provision of grievance redress and appeal procedures. The EA will distribute the Information Booklet to the APs prior to the detailed measurements survey. Copies of the Booklet would be available at LAR Offices in each District/County, Township and Village Committees.
2. PROJECT DESCRIPTION AND IMPACTS
The Project will involve the construction of Dali-Lijiang railway, with a total length of the around 166 km including a connection link from Hongshan station to Dali station. The total estimated budget for the project investment is CNY4.51billion.
The Project will traverse three district/counties: Dali City, Heqing County and Gucheng District. The project will pass through 56 villages and 13 townships. The project impact data show that 9,214 land (including 2,626 mu temporary land occupation) and 137,373 m2 building/houses would be dismantled. In all, 7,955 persons would be affected by the project construction.
3. COMPENSATION POLICY AND RATES
Policies regarding compensation and resettlement for the APs in the project are based on a combination of the PRC laws and regulations and ADB’s policy on involuntary resettlement. The primary objective of the RP is to restore the income and living standards of the APs in post-resettlement period and with as little disruption as possible in their own economic and social environment. Particular attention has been paid to needs of the poorest and vulnerable groups to be resettled. The RP has been prepared with this as the guiding principles. The principles are summarized in Table 1.
Table 1 - Resettlement Principles Principles 1 That compensation and entitlements provided to APs are adequate to at least maintain their “without project” standard of living. 2 APs are taken into account for compensation and resettlement assistance. 3 Land redistribution will ensure per capita minimum holding in post-resettlement period to maintain livelihood standards. 4 Where land acquisition per capita is not sufficient to maintain livelihood, compensation in cash or kind for replacement land for other income-generating activities will be provided for. 5 All APs will be adequately informed on eligibility, compensation rates and standards, livelihood and
Annex 1 1 Annex 1 - Resettlement Information Booklet
Principles income restoration plans, project timing, and will be involved in RP implementation. 6 No land acquisition will take place unless replacement land or sufficient compensation are given to APs. 7 The EA and independent/third party will monitor compensation and resettlement operations. 8 Vulnerable groups should receive special assistance or treatment to ensure they are better off. 9 Resettlement affected people should have opportunities to benefit from the project. 10 Resettlement plan should be combined with the overall county/city/district or township planning.
In this project, compensation rates have not been fixed yet, and once these have been fixed, it will be informed to the Aps accordingly.
Annex 1 2 Annex 1 - Resettlement Information Booklet
4. PAYMENTS OF COMPENSATION
Compensation for affected land and public infrastructure belongs to farming collectives and will therefore be paid directly to the Villager Committees for the utilization of developing the production, rehabilitating the economic level for affected persons. Where adequate land is not available, cash compensation will be paid to individuals/families affected by loss of cultivable land.
Compensation subsidy due to land loss will be paid to the agency that is responsible for resettling the agriculture population while resettlement subsidy will normally be paid to the Villager Committees/Groups that are affected or redistributed. If they do not receive redistributed land and want to resettle by themselves, it will be paid to affected individuals.
5. THE COMPENSATION FOR HOUSES, SPECIAL PURPOSE FACILITIES, AUXILIARY FACILITIES AND CROPS NOT MATURED WILL BE DIRECTLY PAID TO THE OWNERS. COMPENSATION FOR AFFECTED ENTERPRISES WILL BE PAID DIRECTLY TO THE RESPECTIVE ENTERPRISES. PARTICIPATION IN RP PLANNING & IMPLEMENTATION
The EA already consulted with affected local government at various levels and the representatives of affected persons and enterprises through meeting at the design stage and initial preparation stages. During the survey and design stage, AP will be involved in the following activities: (i) alternative alignment to further minimize impact; (ii) classification and measurement of affected land, houses, enterprises; (iii) survey and inspection of trees, water wells, walled enclosures, graves etc; and (v) survey and reconfirmation of hydrology, electrical supply, communication and other infrastructures.
At the implementation stage, APs will be involved in carrying out the following tasks: (i) determine the scope of compensation and compensation rates; (ii) agreements on compensation; (iii) selection of new resettlement areas; (iv) redistribution of land; (v) utilization of compensation funds at village level; (vi) decision of grievance appeals; and (vii) RP monitoring and investigation.
6. GRIEVANCE PROCEDURES
During the actual implementation of the land acquisition and the resettlement of displaced population, if the affected population have any problems, grievances and discontent regarding land acquisition, housing demolition, compensation payment and resettlement, they may appeal to either (1) the project owner, (2) the external independent monitoring institution, (3) the township and the county land administration department, (4) the county government or (5) legal action.
Annex 1 3 Annex 1 - Resettlement Information Booklet
(1) Appealing to the Project Owner Unit
The project owner is the eventual user of the land acquired, and has the duty to resolve problems rising from land acquisition, housing demolition and resettlement. The project owner of this project is Guangda Railway Company, executing the project construction and managerial duty after the project engineering is completed. Therefore, appeals to the project owner may go to: • Guangda Railways Company (2) Appealing to the External Monitoring Institution.The external monitoring institution conducts chasing-up investigation on the production of affected villages several times in the year during the monitoring period, and evaluates the resettlement consequences and submits its M&E reports to the project owner, the local institutions conducting land acquisition and housing demolition and the ADB. The affected persons, therefore, may express their discontent and grievances to the external monitoring institution, which is obligated to listen to and find out the dissentient and grievances.
(3) Appealing to the Township and the County Land Administration Department
According to the administrative procedure of the local government, the discontent and grievances rising from acquisition and resettlement should first be handled by the land administration department. In case the land administration department is unable to resolve the grievances, the appealer may turn to other conduits. These are the conduits of the land administration departments the appealer may go: • the municipal land administration bureau; • the county land administration bureau; and • the township land administration bureau.
Annex 1 4 Annex 1 - Resettlement Information Booklet
(4) Appealing to the County Government
If the discontent can not be resolved by the land administration department, it can be appealed to the “correspondence and visitation department” of the local governments, set up by various levels of government organs to handle letters and visits from the masses. The appealer may express his discontent orally or in written form to the correspondence and visitation departments, which may coordinate departments concerned to have the matter resolved. If again the discontent can not be resolved in this way, the correspondence and visitation departments will report the matter to the leaders of the local government.
(5) Legal Action
If discontent and grievances can not be resolved through the above 4 conduits, the appealer may resort to legal action by bringing the case to the court.
Annex 1 5 EXTERNAL MONITORING & EVALUATION REPORT
TABLE OF CONTENTS Page
1. GENERAL ...... 1 1.1 PROJECT PROGRESS ...... 3 1.2 RESETTLEMENT PROGRESS ...... 3 1.3 KEY EVENTS TAKING PLACE SINCE LAST MONITORING REPORT (THE END OF LAST YEAR) ...... 3 1.4 INTRODUCE MITIGATION MEASURES ADOPTED FOLLOWING THE BANK MISSION ...... 3
2. REVIEW OF MONITORING WORKS IN THE PAST YEAR ...... 4 2.1 SCOPE OF PLANNED MONITORING EFFORTS...... 4 2.2 ACTUAL MONITORING WORKS ...... 4 2.3 METHODS AND CONTENT OF MONITORING EFFORTS ...... 4
3. RESETTLEMENT IMPLEMENTATION SCOPE...... 4 3.1 DETERMINATION OF LAND ACQUISITION AND RESETTLEMENT SCOPE...... 4 3.2 SCOPE OF ACTUAL RESETTLEMENT IMPACTS AND DIFFERENCES FROM THE RP...... 4
4. COMPENSATION RATES AND PAYMENT DELIVERY...... 6 4.1 COMPENSATION PRINCIPLES...... 6 4.2 COMPENSATION RATES ADOPTED...... 6 4.3 PAYMENT DELIVERY ...... 7
5. IMPLEMENTATION OF RELOCATION AND REHABILITATION MEASURES ...... 8 5.1 ECONOMIC REHABILITATION ...... 8 5.2 HOUSING RECONSTRUCTION AND RELOCATION...... 9 5.3 RESTORATION OF INFRASTRUCTURE FACILITIES ...... 9
6. PUBLIC CONSULTATION AND GRIEVANCE PROCEDURES ...... 10 6.1 DISCLOSURE OF RESETTLEMENT INFORMATION ...... 10 6.2 CONSULTATION PRACTICE IN RESETTLEMENT PREPARATION AND IMPLEMENTATION...... 10 6.3 GRIEVANCE PROCEDURES...... 10
7. INSTITUTIONAL ARRANGEMENT AND PERFORMANCES...... 10 7.1 LIST OF KEY ORGANISATIONS...... 10 7.2 PERFORMANCES OF KEY ORGANISATIONS...... 10 Annex 2 - External Monitoring & Evaluation Report
8. SURVEY AND ANALYSIS ON PAP PRODUCTION AND LIVELIHOOD ...... 10 8.1 GENERAL WORK PROGRAM AND METHOD OF SAMPLE SURVEY ...... 11 8.2 SURVEY OUTCOMES AND INTERPRETATION...... 11 8.3 ANALYSIS AND INTERPRETATION...... 12
9. OBJECTIVE AND ADB COMPLIANCE...... 12
10. OPINIONS ON RESETTLEMENT PROGRESS ...... 13
11. CONCLUSION AND SUGGESTIONS ...... 13
Annex 2 2 Annex 2 - External Monitoring & Evaluation Report
1. GENERAL
1.1 PROJECT PROGRESS
Briefly Introducing schedules for different project components, including key milestones for each component, such as project approval date, construction period beginning and construction completion dates, and current status. These information should be provided by IA and included in internal monitoring reports.
Planning Approval Construction Date of Put into Components Current Status Date Period Operation Component 1 Component 2 Component 3
1.2 RESETTLEMENT PROGRESS
Briefly introducing resettlement implementation progress for different project components, including original schedule and current status.
Percent Components Original Implementation Schedule Actual Progress Completed Component 1 Jan. 2003 – Jan. 2004 May. 2003 - 30% Component 2 Component 3
1.3 KEY EVENTS TAKING PLACE SINCE LAST MONITORING REPORT (THE END OF LAST YEAR)
Briefly introduce activities such as resettlement workshop, consultation meetings, and Bank missions since the end of last year, including time, place, participants, and key outcomes of such activities, particularly highlight agreed actions or recommendations by the Bank mission.
1.4 INTRODUCE MITIGATION MEASURES ADOPTED FOLLOWING THE BANK MISSION
Annex 2 3 Annex 2 - External Monitoring & Evaluation Report
2. REVIEW OF MONITORING WORKS IN THE PAST YEAR
2.1 SCOPE OF PLANNED MONITORING EFFORTS
Indicating which component will be covered by the monitoring efforts, including those to be completed for baseline survey and those to be conducted follow up surveys.
Components Monitoring and evaluation work plan for 2003 Component 1 Establish baseline data and carry out first year survey Component 2 Carry out second year follow-up survey Component 3 Carry out post resettlement survey
2.2 ACTUAL MONITORING WORKS
Briefly introducing field visits and surveys conducted during the period, including number of staff, actual time spent in the field, number of villages visited, number of sample households interviewed, and number of meeting held with different levels of local governments and project implementation agencies,
2.3 METHODS AND CONTENT OF MONITORING EFFORTS
Briefly introduce key methods used during monitoring efforts, such as questionnaires, focus group discussions, interview with key informants, etc. List key content and monitoring indicators to be covered in the monitoring report.
3. RESETTLEMENT IMPLEMENTATION SCOPE
Note: Most of information regarding resettlement scope, implementation progress, compensation rates adopted, and resettlement budget spent should be provided by IA and included in the internal monitoring reports.
3.1 DETERMINATION OF LAND ACQUISITION AND RESETTLEMENT SCOPE
Briefly explaining how the actual resettlement scope was determined.
3.2 SCOPE OF ACTUAL RESETTLEMENT IMPACTS AND DIFFERENCES FROM THE RP
Including both summary table for all components and detailed table for different types of impacts under each component.
Annex 2 4 Annex 2 - External Monitoring & Evaluation Report
Table 1 - Implementation of Land Acquisition for the Project (Month, Year) Temporary Permanent Of which No. of affected Dry land land County Township Village Acquired Irrigated Land household (mu) occupation (mu) (mu) (h.h.) (mu) County 1 A Village 1 (or compo- Village 2 nent1) subtotal B Village 1 Village 2 Subtotal Subtotal County 2 A Village 1 Village 2 Subtotal B Village 1 Village 2 Subtotal Subtotal Total
Table 2 - Implementation of House Demolition for the Project (Month Year) Total Number of Total Non- Number of residential Concrete relocated residential affected County Township Village structure brick household structures enterprise Removed house (m2) (persons) removed (m2) (employee) (m2) County 1 Township 1 Village 1 Village 2 subtotal Township 2 Village 1 Village 2 Subtotal Subtotal County 2 Township 1 Village 1 Village 2 Subtotal Township 2 Village 1 Village 2 Subtotal Subtotal Total
The summary table should include key resettlement impacts for all project components, such as land area acquired, amount of houses removed, number of households to be relocated, and number of people to be provided with economic rehabilitation. For each component, comparison should be made between actual impact and those in the RP, which is followed by explanation for such difference.
Annex 2 5 Annex 2 - External Monitoring & Evaluation Report
4. COMPENSATION RATES AND PAYMENT DELIVERY
4.1 COMPENSATION PRINCIPLES
Stating the bases for adopted compensation rates and rehabilitation measures to be in consistency with the RP.
4.2 COMPENSATION RATES ADOPTED
A. Compensation for Land
Table 3 - Compensation Rates on Land Acquisition for the Project (RMB) Temporary To individuals Irrigated Economic To Dry land land (Yes/no) or Land Trees villages (RMB/mu) occupation percent of (RMB/mu) (RMB/mu) (Yes/No) (RMB/mu) total) 1. Standing crops 2. Land compensation 3. Resettlement subsidy Subtotal Amount to individuals Note: If compensation is different for each county for subcomponent, list all those counties or subcomponents in the table.
These compensation rates should be compared with those in the RP and if they are different for that in the RP, explanation should be provided to justify such differences.
B. Compensation for Buildings and Allowance for Relocation
Table 4 - Compensation Rates on Building Demolition for the Project Concrete Brick Site levelling Simple Moving Transition (well, pigsty, brick wood and on site House Allowance assistance trees, etc.) house house 2 infrastructure (Y/m ) (Y/HH) Attachments (Y/m2) (Y/m2) (Y/HH) (Y/HH) County 1 County 2 County 3 Total (Average)
Indicating whether the adopted compensations for different houses are the same or different from that in the RP, including compensation or provisions for new housing plot (land area, on- site infrastructure, cost for application and approval, etc.)
Annex 2 6 Annex 2 - External Monitoring & Evaluation Report
C. Compensation for other attachments
Indicating whether the adopted compensations for various attachments are the same or different from that in the RP.
4.3 PAYMENT DELIVERY
Indicating how compensations were delivered from EA, through local IAs to affected village groups and individuals, and basic instalments for delivering such compensations for land, housing and other attachments.
Table 5 - Implementation of Land Compensation for Project (RMB, Month, Year) Payment for Of which Payment for Standing Permanent Irrigated Dry land Economic Temporary County Township Village crops Land Acq. Land (RMB) Trees (RMB) land use (RMB) (RMB) (RMB) (RMB) County Township 1 Village 1 1 Village 2
subtotal Township 2 Village 1 Village 2 Subtotal Subtotal County Township 1 Village 1 2 Village 2 Subtotal Township 2 Village 1 Village 2 Subtotal Subtotal Total Note: 1) Please indicate that among total payment for permanent land acquisition, how much were directly paid to individuals, and how much were kept in villages or village groups. 2) The sub-total figures in Table 5 should be the total land acquisition payment in each county to be delivered to affected people and villages. The total cost for land acquisition in each county should add some other items, such as taxes and fees, and compensation for other attachments and public facilities.
Annex 2 7 Annex 2 - External Monitoring & Evaluation Report
Table 6 - Implementation of House Compensation for Project (RMB, Month, Year)
Total 4 Payment on 1 2 3 Payment on House Payment for Including Moving payment on Non- Demolition residential Allowance attach-ments residential and structures Concrete (RMB) structure Relocation (RMB) brick (RMB) (RMB) (RMB) (RMB) County 1 Township 1 Village 1 Village 2 subtotal Township 2 Village 1 Village 2 Subtotal Subtotal County 2 Township 1 Village 1 Village 2 Subtotal Township 2 Village 1 Village 2 Subtotal Subtotal Total Note: Total payment on house demolition and relocation includes compensation for houses, non-residential structures, moving allowance, attachments, as well as other related costs. It does not include compensation for other public facilities.
5. IMPLEMENTATION OF RELOCATION AND REHABILITATION MEASURES
5.1 ECONOMIC REHABILITATION
Introducing implementation progress for economic rehabilitation among different project components. For example, how many villages carried out land readjustment as planned, that is per capita land holding before and after land readjustment; that is progress made in developing new farmland, upgrading existing low yield farmland, installing irrigation facilities, and other land based or non-land based income generation activities.
List all affected villages and identify those villages with serious resettlement impacts. For those seriously affected villages, specific survey should be conducted in order to understand how economic rehabilitation is carried out in these villages, and assess whether they are adequate to restore production and income for those affected villagers.
Annex 2 8 Annex 2 - External Monitoring & Evaluation Report
Table 7 - Implementation of Economic Rehabilitation (RMB, Month, Year) Specific measures Payment Of which Amount Land re- for received amount distributed Per capita Township adjustment production County Village Perma- kept in to farmland and nent Land village individuals (yes or no, after (mu) creating Acq. (RMB) (RMB) (RMB) date) non-farm jobs County Township 1 Village 1 1 Village 2
subtotal Township 2 Village 1 Village 2 Subtotal Subtotal County Township 1 Village 1 2 Village 2 Subtotal Township 2 Village 1 Village 2 Subtotal Subtotal Total Note: 1) Please indicate that among total payment for permanent land acquisition, how much were directly paid to individuals, and how much were kept in villages or village groups. 2) For economic rehabilitation, please provide details on economic rehabilitation measures for those severely affected villages, including proposed cash crops, animal husbandry and other income generation activities.
5.2 HOUSING RECONSTRUCTION AND RELOCATION
Introducing implementation progress for housing reconstruction and relocation among different project components, such as how many households were provided new housing plots; how many households completed new housing construction; and how many households have demolished old houses and moved to new places. If there is non-residential work unit affected, their implementation progress should also be introduced.
Among all affected villages and work units, Identify those villages with large number of households to be relocated, and those non-residential units which require complete relocation, and conduct additional survey of these villages and work units to confirm whether relocation and rehabilitation have been implemented smoothly.
5.3 RESTORATION OF INFRASTRUCTURE FACILITIES
Introducing rehabilitation measures taken for restoring affected infrastructure facilities; and identifying where restoration of affected infrastructure have not yet been completed.
Annex 2 9 Annex 2 - External Monitoring & Evaluation Report
6. PUBLIC CONSULTATION AND GRIEVANCE PROCEDURES
6.1 DISCLOSURE OF RESETTLEMENT INFORMATION
Introducing how RP document was disclosed in accordance to the Bank requirements (place, time and means of notification); particularly how key information in the RP was disseminated among affected people. For example, when resettlement booklet was distributed, when public meetings were held, and when people were informed about relocation, and how many months were provided for them to make choices and build new houses before demolition of old houses. Such information should be collected for each subproject or project county.
6.2 CONSULTATION PRACTICE IN RESETTLEMENT PREPARATION AND IMPLEMENTATION
Briefly introducing measures taken during resettlement preparation and implementation so that affected people were consulted, and their suggestion and recommendations were included into decision making process.
6.3 GRIEVANCE PROCEDURES
Introducing both the grievance mechanism adopted for the project and actual cases where affected people’s complaints were brought to the attention of the project, and proper actions were made.
7. INSTITUTIONAL ARRANGEMENT AND PERFORMANCES
7.1 LIST OF KEY ORGANISATIONS
Introducing key organisations involved in the resettlement implementation, including their main responsibilities, staffing and office equipment.
7.2 PERFORMANCES OF KEY ORGANISATIONS
Describing the main efforts made by different organisations, and assessing the effectiveness of their efforts in the resettlement implementation.
8. SURVEY AND ANALYSIS ON PAP PRODUCTION AND LIVELIHOOD
If the above sections are mainly devoted for monitoring resettlement progresses, then this section will be focused on evaluation of resettlement outcomes by conducting sample
Annex 2 10 Annex 2 - External Monitoring & Evaluation Report household surveys among different project components. It is through such systematic survey throughout the resettlement process, one might be able to conclude whether proposed resettlement programs were able to restore or even improve livelihood for the affected people.
8.1 GENERAL WORK PROGRAM AND METHOD OF SAMPLE SURVEY
Briefly introducing the work plan for the current monitoring effort, including sample selection and representation among different types of affected people, different villages and different components, and different methods used in collecting relevant information, both first hand information and secondary information.
8.2 SURVEY OUTCOMES AND INTERPRETATION
The evaluation of restoration of economic production and livelihood should be carried out among key types of affected people, such as rural households, versus urban households; relocated households versus households required economic rehabilitation. If the project includes a number of different components, such assessment should be carried for each component, particularly in detail for those components with seriously affected population.
A set of independent evaluation tables should be presented based sample household survey among different components. The tables will provide aggregate information for all sample households, with subtotals for each affected county, or each project component. For sample village survey, aggregate information for all sample villages should be provided. The key information from sample household survey will include number of family members, land holding before and after resettlement, size and quality housing before and after resettlement, income level, sources of income and employment conditions, as well as other social development indicators before and after resettlement. Different years monitoring results could then be used to track the income changes among project affected people. (Table 8)
Table 8 - Summary of Independent Evaluation for the Project After land acquisition Items Unit Before land acquisition 1st year 2nd Year 3rd Year 1. Basic Condition Number of households Total persons person Labours person Total Land holdings Mu Per capita farmland mu Total grain output Ton Grain per capita Kg Housing areas M2 Housing area per capita M2 Durable items piece (1) bike piece (2) sewing machine piece
Annex 2 11 Annex 2 - External Monitoring & Evaluation Report
After land acquisition Items Unit Before land acquisition 1st year 2nd Year 3rd Year (3) TV set piece (4) Washing machine piece (5) motor bike piece (6) refrigerator piece 2. Annual Total Income Yuan (1) planting Yuan (2) animal husbandry Yuan (3) industry Yuan (4) services Yuan (5) other Yuan 3. Annual Total Expenditure Yuan (1) planting Yuan (2) animal husbandry Yuan (3) industry Yuan (4) services Yuan (5) living consumption Yuan 4. Net Income per capita Yuan 5. Degress of satisfaction
8.3 ANALYSIS AND INTERPRETATION
Based on these numerical results, analysis and interpretation should be made as key element of the monitoring report. In doing so, selected interviews could be presented to highlight key findings. Such interpretation and interview records will facilitate understanding of restoration process among affected people, and pointed to areas where further improvements could be made with regard to resettlement implementation.
9. OBJECTIVE AND ADB COMPLIANCE
Based on above detailed analysis of resettlement performance, the monitoring team needs to assess whether the objective of resettlement program have been achieved and whether the resettlement implementation for the project in conform with ADB requirements. The overall objective of resettlement program could be divided into a couple of items, such as levels of compensation rates, delivery of compensations, and assistance for relocation and transfer, and adequacy of rehabilitation, etc.
Annex 2 12 Annex 2 - External Monitoring & Evaluation Report
10. OPINIONS ON RESETTLEMENT PROGRESS (i) From the Project owner; (ii) From local resettlement offices; (iii) From other key informants/agencies/NGOs, (iv) From village leaders and (v) affected families.
11. CONCLUSION AND SUGGESTIONS
Summarise the key findings on monitoring and evaluation, including issues concerned for (1) resettlement scope, (2) compensation rates; (3) compensation payment delivery, (4) resettlement Implementation performances, (5) consultation and grievance procedures, (6) institutional performance, and (7) evaluation of livelihood and incomes among affected people. Identify problems or issues need to be addressed by EA or IA and provide necessary mitigation measures and recommendations.
Annex 2 13
Annex 2 - Internal Monitoring & Evaluation Report
1. PHYSICAL PROGRESS
1.1 ENGINEERING PROGRESS
1.2 LAND ACQUISITION &HOUSING DEMOLITION PROGRESS
Table 1.1 - The Situation of Land Acquisition Item RAP（mu） Actual（mu） County
Table 1.2 - The Situation of Housing Demolition Item RAP（m2 ） Actual（m2 ） County
1.3 ABOVE-GROUND ATTACHMENT AND OTHERS PROGRESS：
Table 1.3 - The Situation of Above-ground Attachment
Item Enclo Pig
Fruit Cave/ 2 Tomb Well/ Kinds Bush sure shell/ 2 EW M M trees
trees 2 shell/ /one one
Roots Cutting
Digging /M M County Chicken
Annex 2 1
Annex 2 - Internal Monitoring & Evaluation Report
2. COMPENSATION STANDARDS AND FEES
2.1 COMPENSATION STANDARDS
Table 2.1 - The Situation of the Compensation Standards for Land Acquisition (Yuan/mu) Irrigated Vegetable Fruit Wood House Dry Desert County Kinds land land garden land ground land land RAP
Actual
Table 2.2 - The Situation of the Compensation Standards for Housing Demolition Standards RAP Compensation standards (yuan/m2 ) Actual Compensation standards (yuan/m2 ) Earth and Earth and Brick and Brick and wood Brick and Brick and wood concreted wood concreted wood County structure structure
Table 2.3 - The Situation of the Compensation Standards for Economic Trees RAP (Yuan/one) Actual (Yuan/one) Items Apple plum pear Pomegranat Apple plum Pomegranat e jujube pear e jujube persimmon Grape Grape Kinds Chinese persimmon Chinese peach prickly ash peach prickly ash
Nursery Young plant Young trees With a
Few fruit With middle
fruit With a lot of
fruit
Annex 2 2
Annex 2 - Internal Monitoring & Evaluation Report
Table 2.4 - Situation of the Compensation Standards for Above-ground Attachment Items RAP Actual Kinds Unit Remarks (Yuan) (Yuan) County Brick enclosure M2 Earth enclosure M2 Brick toilet M2 Earth toilet M2 Brick bed One Earth stove One Brick stove One Yuzhong Tomb One
county Water cave One Vegetable cave M2 Brick and One concreted door Earth and wood One door Winter warm shell M2 Plastic shell M2 Brick pig shell M2
2.2 COMPENSATION FEES
All the compensation fees are paid to the affected collective and individual in time and in full without any deduction and for other using.
Please refer table 2.4 for detail information.
Table 2.4 - Situation of Compensation Fees for Land Acquisition & Housing Demolition Land acquisition fees Housing demolition fees Items (10,000 Yuan) (10,000 Yuan) Sub-total
(10,000 Yuan) Units Advance Paid Surplus Advance Paid Surplus payment fees fees payment fees fees
Annex 2 3
Annex 2 - Internal Monitoring & Evaluation Report
3. RESETTLEMENT ORGANIZATION
3.1 THE RESETTLEMENT ORGANIZATION WITHIN THE RAILWAY
3.2 THE RESETTLEMENT ORGANIZATION OUT OF THE RAILWAY
4. MONITORING ON THE SITUATION OF RESETTLEMENT
4.1 THE SITUATION OF LAND ACQUISITION RESETTLEMENT
4.2 THE SITUATION OF HOUSING DEMOLITION
4.3 POSITIVE EFFECTS ON THE LOCAL AREA BY THE RAILWAY CONSTRUCTION
5. PROBLEMS AND THE FUTURE WORK PLAN
5.1 PROBLEMS
5.2 FUGURE WORK PLAN
.
Annex 2 4
Annex 2 - Internal Monitoring & Evaluation Report
INTERNAL MONITORING & EVALUATION REPORT
TABLE OF CONTENTS Page
1. PHYSICAL PROGRESS ...... 1 1.1 ENGINEERING PROGRESS...... 1 1.2 LAND ACQUISITION &HOUSING DEMOLITION PROGRESS...... 1 1.3 ABOVE-GROUND ATTACHMENT AND OTHERS PROGRESS：...... 1
2. COMPENSATION STANDARDS AND FEES...... 2 2.1 COMPENSATION STANDARDS ...... 2 2.2 COMPHENSATION FEES ...... 3
3. RESETTLEMENT ORGANIZATION ...... 4 3.1 THE RESETTLEMENT ORGANIZATION WITHIN THE RAILWAY ...... 4 3.2 THE RESETTLEMENT ORGANIZATION OUT OF THE RAILWAY ...... 4
4. MONITORING ON THE SITUATION OF RESETTLEMENT...... 4 4.1 THE SITUATION OF LAND ACQUISITION RESETTLEMENT ...... 4 4.2 THE SITUATION OF HOUSING DEMOLITION...... 4 4.3 POSITIVE EFFECTS ON THE LOCAL AREA BY THE RAILWAY CONSTRUCTION ...... 4
5. PROBLEMS AND THE FUTURE WORK PLAN...... 4 5.1 PROBLEMS ...... 4 5.2 FUGURE WORK PLAN...... 4
Annex 2 ,C:O ,j.\o\in",,_," Annex 3 -Yunnan RegulatiO,ns on Land Administration
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Annex 4 - Impacts of Land Acquisition and Resettlement Table 1 - Detailed Land Acquisition Impacts by Village Permanent Land Acquisition (mu) Temporary County Township Village House Land Use City Total Irri. Land Dry Land Orchard Forest Other Plot (mu) Dali Prefecture Dali Fengyi Fengming 300 18 236 20 12 12 2 65 Shilong 60 1 28 20 1 9 1 40 Eco. Devept. Manjiang 50 0 20 10 8 8 4 38 Zone Haidong Shanghe 50 1 29 9 5 5 1 35 Nancun 50 0 40 1 3 3 3 30 Xiangyang 100 2 72 10 2 10 4 60 Wenbi 100 0 0 20 6 6 68 60 Wase Haiyin 50 0 0 10 9 9 22 35 Wase 50 0 10 10 8 8 14 30 Guangyi 100 1 30 10 13 13 33 32 Dacheng 50 0 10 10 12 12 6 45 Kanglang 50 0 10 10 2 2 26 31 Shuanglang Changyu 50 0 10 10 2 2 26 29 Qingshan 50 0 10 10 1 1 28 38 Dajian 50 0 30 10 1 1 8 26 Shuanglang 50 1 30 10 1 1 7 36 Jiangwei Haichaohe 50 0 20 10 1 10 9 44 Machang 50 0 30 10 2 2 6 35 Qingsuo 50 0 30 10 3 3 4 40 Dabaguan 150 1 100 10 4 4 31 50 Majiayi 50 0 20 10 5 5 10 32 Sub-Total of Dali County 1,560 25 765 230 101 126 313 831 Annex 4 1 Annex 4 - Impacts of Land Acquisition and Resettlement Permanent Land Acquisition (mu) Temporary County Township Village House Land Use City Total Irri. Land Dry Land Orchard Forest Other Plot (mu) Heqing Xiyi Xiyuan 100 0 20 10 9 9 52 50 Beiya 100 0 20 10 11 11 48 45 Qinhe 150 1 20 10 15 15 89 34 Luping 100 0 20 10 7 7 56 33 Xiyi 150 1 20 10 3 3 113 60 Xiangshuihe 105 0 20 10 14 14 47 32 Qiping 120 0 20 10 10 10 70 30 Songgui Xinwo 180 10 36 50 24 20 40 65 Baoluo 120 10 21 40 13 25 11 53 Boluo 120 1 20 30 11 22 36 35 Changtou 120 2 35 30 9 34 10 36 Shanzhuang 120 2 30 40 10 21 17 30 Wenxing 120 1 43 28 15 31 2 42 Jindun Yinhe 120 2 30 20 19 38 11 43 Jindun 180 8 70 60 12 29 1 46 Jianyi 120 5 44 30 14 22 5 30 Kangfu 120 6 50 30 11 20 3 38 Jinsuo 120 1 50 30 9 24 6 29 Beixi 120 1 30 30 18 26 15 35 Caohai Xiaoshuimei 300 18 56 140 19 21 46 53 Shiduohe 150 2 50 35 15 15 33 65 Liulvhe 150 1 65 22 16 17 29 34 Zintun Lianyi 200 1 80 20 13 33 53 32 Ruyi 150 1 55 20 16 24 34 48 Nanhe 120 1 50 20 16 28 5 35 Sub-Total of Heqing County 3,455 75 955 745 329 519 832 1,033 Total Dali Prefecture 5,015 100 1,720 975 430 645 1,145 1,864 Annex 4 2 Annex 4 - Impacts of Land Acquisition and Resettlement Permanent Land Acquisition (mu) Temporary County Township Village House Land Use City Total Irri. Land Dry Land Orchard Forest Other Plot (mu) Lijiang Prefecture Gucheng Qihe Gonghe 100 1 51 23 12 11 2 50 Qihe 150 5 80 32 14 2 17 52 Sanyi 100 1 50 12 10 3 24 55 Wufeng 100 1 50 24 3 2 20 40 Jinshan Xintuan 500 50 300 20 1 2 127 200 Guifeng 250 12 150 12 15 34 27 140 Jinshan 100 0 50 6 14 18 2 60 Dongwu 100 0 50 8 12 22 8 60 Liangmei 93 0 50 9 11 14 9 52 Yangxi 80 0 50 4 2 24 0 53 Total Lijiang City 1,573 70 881 150 94 142 236 762 TOTAL of the WHOLE 6,588 170 2,601 1,125 524 787 1,381 2,626 ALIGNMENT Annex 4 3 Annex 4 - Impacts of Land Acquisition and Resettlement Table 2 - Resettlement Impact by Railway Stations House relocation by structure（m2） Attachments Affected Interval/ Households Affected City, Enclosur Station Brick Brick Power (household) People County Total Simple Tomb e Tree Field Concrete Wood Pole (persons) Wall Dali City Interval 29,964 5,210 12,567 12,187 150 1,318 2 12 126 505 Stations 36,137 6,218 15,486 14,433 120 224 2 34 214 836 Sub-total 66,101 11,428 28,053 26,620 270 1,542 4 46 340 1341 Heqing Interval 24,626 5,438 8,530 10,658 140 2,543 1 230 116 421 Stations 12,577 2,524 3,208 6,845 279 1,415 5 225 85 332 Sub-total 37,203 7,962 11,738 17,503 419 3,958 6 455 200 753 Lijiang Interval 25,026 4,582 2,120 18,324 126 3,528 3 150 98 780 Stations 9,043 1,220 268 7,555 110 210 4 120 52 447 Sub-total 34,069 5,802 2,388 25,879 236 3,738 7 270 140 1,207 Total 137,373 25,192 42,179 70,002 925 9,238 17 771 680 3,300 Annex 4 4 Annex 4 - Impacts of Land Acquisition and Resettlement Table 3 - Basic Information of Affected Villages Permanent Total Total Land Land Lost Total population Degree of County City Township Village Cultivated Households No. of Aps Acquisition (%) (Persons) Impact (%) Land (mu) (h.h.) (mu) Dali Fengyi Fengming 300 3,172 9% 1,608 6,061 66 1% Shilong 60 4,896 1% 1,906 8,044 67 1% Economic Devel. Zone Manjiang 50 3,786 1% 2,412 8,752 69 1% Haidong Shanghe 50 2,423 2% 912 3,688 40 1% Nancun 50 2,584 2% 766 3,298 43 1% Xiangyang 100 2,058 5% 849 3,811 65 2% Wenbi 100 709 14% 205 936 67 7% Wase Haiyin 50 1,652 3% 398 1,771 42 2% Wase 50 1,654 3% 356 1,443 39 3% Guangyi 100 2,359 4% 937 3,931 68 2% Dacheng 50 3,628 1% 1,436 5,888 44 1% Kanglang 50 1,540 3% 676 2,972 66 2% Shuanglang Changyu 50 1,326 4% 655 2,762 65 2% Qingshan 50 1,482 3% 520 2,119 63 3% Dajian 50 565 9% 401 1,512 61 4% 50 5% Shuanglang 1,017 804 3,459 103 3% Jiangwei Haichaohe 50 1,218 4% 552 2,287 91 4% Machang 50 1,976 3% 957 3,836 52 1% Qingsuo 50 2,771 2% 748 3,128 43 1% Dabaguan 150 2,119 7% 358 1,664 83 5% Majiayi 50 1,927 3% 541 2,189 34 2% 1,560 44,862 3% 17,997 73,551 1,271 2% Heqing Xiyi Xiyuan 100 1,672 6% 254 1,191 81 7% Beiya 100 1,699 6% 483 2,068 65 3% Qinhe 150 2,200 7% 341 1,520 73 5% Luping 100 2,040 5% 336 1,529 62 4% Xiyi 150 3,208 5% 362 1,506 83 6% 105 4% Xiangshuihe 2,635 299 1,249 45 4% Qiping 120 2,269 5% 271 1,233 56 5% Songgui Xinwo 180 4,735 4% 621 2,852 86 3% Baoluo 120 2,093 6% 434 1,892 76 4% Boluo 120 3,146 4% 555 2,313 65 3% Changtou 120 1,265 9% 620 2,554 34 1% 5% Shanzhuang 120 2,313 589 2,769 43 2% Wenxing 120 1,506 8% 354 1,601 34 2% Jindun Yinhe 120 2,215 5% 449 1,575 54 3% Jindun 180 2,398 8% 506 1,709 86 5% Jianyi 120 21,467 1% 408 1,632 25 2% Kangfu 120 3,393 4% 748 3,167 56 2% Jinsuo 120 3,527 3% 729 2,809 45 2% Beixi 120 2,715 4% 497 2,029 67 3% Caohai 13% Xiaoshuimei 300 2,351 567 2,441 234 10% Shiduohe 150 2,060 7% 783 3,099 86 3% Liulvhe 150 1,738 9% 426 1,914 67 4% Zintun Lianyi 200 3,499 6% 665 2,863 68 2% Ruyi 150 3,313 5% 492 2,050 87 4% Nanhe 120 3,680 3% 846 3,587 55 2% Sub-Total of Heqing County 3,455 83,137 4% 12,635 53,152 1,733 3% Total Dali Prefecture 5,015 127,999 4% 30,632 126,703 3,004 2% GuchengQihe Gonghe 100 6,800 1% 920 4,100 52 1% Qihe 150 3,200 5% 426 2,046 72 4% Sanyi 100 4,200 2% 732 3,022 75 2% W ufeng 100 2,300 4% 447 1,957 55 3% Jinshan Xintuan 500 6,100 8% 1,032 4,569 206 5% Guifeng 250 4,001 6% 501 2,011 116 6% Jinshan 100 3,210 3% 574 2,381 34 1% Dongwu 100 6,102 2% 910 4,110 44 1% Liangmei 93 3,800 2% 549 2,285 25 1% Yangxi 80 9,300 1% 820 3,400 22 1% Annex 4 5 Annex 5 - TOR for External Monitoring and Evaluation TOR FOR EXTERNAL MONITORING AND EVALUATION The objectives of the external monitoring and evaluation are to: i) verify the internal monitoring process and reporting by executing agency (EA) ii) monitor the different stages of the project with a specific and need-based framework. These stages include resettlement and rehabilitation. iii) monitor the process in implementing resettlement plan and develop a framework for process monitoring. iv) highlight the major problems that are encountered in implementing RP and propose solutions. v) develop a profile of the new resettlement site as background information for monitoring the site's absorptive capacity. vi) verify project expenditure and the adequacy of budget. vii) establish whether, after the land acquisition and resettlement activity is completed, the welfare levels of those affected were restored and sustained; viii) if not, identify why not; ix) assess the overall efficiency, effectiveness, impact (including behavioural responses) and sustainability of the policy and practice of land acquisition and resettlement on this project; and x) deduce lessons for future railway projects in Yunnan. Methodology and Content The general methodology will involve a mix of one-on-one questionnaires administered to households, and participatory rapid appraisal techniques (PRA) repeated on a six-monthly or yearly basis during the resettlement and construction activities associated with the project. The household surveys will concentrate on the changes in economic activity, incomes and other social conditions of individual households. Key indicators will include: household composition, ethnicity, education and skill levels, experience in positions of influence, pre- acquisition rights over land, size and condition of house, accumulated assets, annual income, relative mix of productive activities, marketing channels, access to utilities and services (including social services and irrigation systems), and nature and frequency of major social and cultural activities. This survey will provide a series of socio-economic indicators which can subsequently be monitored in order to evaluate the success of the resettlement and income restoration process. Annex 5 1 Annex 5 - TOR for External Monitoring and Evaluation In addition, the baseline survey, undertaken as soon as possible after the DMS should give the complete socioeconomic profile of sampled affected persons (APs) with gender- disaggregated data and details of losses. The baseline survey will ask questions on: • household plans to do when confronted with the impending loss of land and/or housing, • the extent and effectiveness of the dissemination of information on compensation standards and options, acquisition processes and restitution measures. The baseline survey will also ask an open-ended question about the farmers' anticipations and apprehensions regarding the impending land acquisition and resettlement process. The PRA surveys will be conducted at the village level and will include similar indicators to those described above but focussing on the village as a whole. The objective is to provide a wider assessment of the effectiveness of the resettlement process than is possible from the surveys of individual households. These surveys will involve focus group discussions and key informant interviews. Experience shows that these surveys can provide a greater understanding of changes in socio-economic conditions than can be obtained from household interviews. In contrast, the household interviews are more suitable for providing a set of quantifiable indicators which can be compared over time. Subsequent surveys will use the same format but with greater emphasis given to the changes that have occurred since the baseline survey was undertaken, the actual timing of compensation related activities (signature of contracts, disbursement of funds, identification of new housing sites, construction of new buildings, effectiveness of grievance procedures, and on general levels of satisfaction/ dissatisfaction with the resettlement process. Both household and PRA surveys will be designed to distinguish between changes that are attributable to involuntary resettlement and loss of land and those that result from external factors, e.g. a slump in vegetable prices, the opening of a new factory, etc. The surveys will be completed by interviews with owners or directors of the non-residential establishments affected, eg. schools, enterprises. Sampling As required by the ADB, the baseline survey for launching monitoring and evaluation (M&E) activities should cover 10 percent of the APs. By the time the ROW is marked and the DMS commences the exact identity of the APs and the extent of their individual losses and the losses of the land owning groups will be known. At this stage, it is anticipated that around 2,000 households will be affected giving a total sample size of around 200. A two-stage stratified random sample should be used. The first stage sampling will involve the selection of 20 of the affected villages (approximately 1/3rd). The initial selection of villages should involve those losing which will be most affected by land and property losses. This selection can be modified if it is considered that it omits any villages with particular characteristics that are significantly different from those originally selected: e.g. higher proportions of ethnic minorities, poor people, different cropping patterns or non-agricultural activity. Annex 5 2 Annex 5 - TOR for External Monitoring and Evaluation Around 10 households should be sampled in each selected village. The sample will be chosen randomly from the schedule of affected households obtained during the DMS. In order to improve comparability, households selected for the baseline survey will be interviewed in all subsequent surveys. Survey Timing Figure 4 in the RP provides an indicative schedule of the external M&E surveys to be undertaken. The schedule has been designed to provide, as required, six investigations throughout the implementation of the project (one baseline survey, two yearly evaluation surveys, two semi-annual monitoring surveys and a post-construction evaluation survey). The household surveys would be repeated every year starting with the baseline survey implemented as soon as possible after the DMS. The PRA-type surveys would be repeated every 6 months within two year after the start of the land acquisition and resettlement. All selected villages would be visited at this time and annually when the household surveys are being carried out. The baseline survey will establish the pre-resettlement socio-economic conditions of APs and the affected villages against which subsequent changes can be evaluated. Again, the baseline survey should give the complete socioeconomic profile of sampled affected persons (APs) with gender-disaggregated data and details of losses. The monitoring survey during the land acquisition and resettlement implementation will concentrate on the extent to which the procedures laid down in the RP have been followed, the effectiveness of these processes and the level of satisfaction/ dissatisfaction of APs with these processes. Subsequent, yearly evaluation surveys will provide a quantification of the changes in the social and economic conditions of APs together with a more qualitative assessment of these changes and the reasons for them. Subsequent monitoring survey will provide interim assessments of the changes taking place in the villages most affected by loss of land and/or property. Village level indicators will be collected but the emphasis will be on qualitative information. The final post railway construction survey should take place approximately one year after the construction is completed. Its main objective is to assess whether the objectives of the RP were achieved, i.e. whether the restoration of income and welfare has been efficiently and adequately restored, and whether the land acquisition and resettlement process has been effective. This survey will also probe sample households and key informants on how the whole process might be better done next time. Reporting and Distribution Annex 5 3 Annex 5 - TOR for External Monitoring and Evaluation The results of the M&E survey shall be reported to the MOR and Yunnan Pronvincial Government, the counties, townships and the ADB on an annual basis. Copies sent to the ADB should be in English. The baseline survey should be reported in full. Subsequent reports should provide summaries of principal findings, tabulations of key indicators, qualitative and quantitative descriptions of main changes in socio- economic changes of APs and affected villages and conclusions and implications, if any, for additional action/ assistance. Semi-annual and annual progress reports on the implementation of the resettlement plan should be sent to ADB (in English) and EA (Chinese). A format for internal and external monitoring report accepted by ADB is attached in Annex 2. The report on the post-construction survey will constitute a final assessment report on the resettlement process and detail the extent to which the compensation paid and other measures have enabled APs to maintain or enhance their pre-project social and economic living conditions. Annex 5 4