Resettlement Plan of Duerbenxin Dyke Core Subproject

SONGHUA RIVER FLOOD MANAGEMENT SECTOR PROJECT DUERBENXIN DIKE RESETTLEMENT PLAN

RESETTLEMENT PLAN OF DUERBENXIN DYKE CORE SUBPROJECT

November 2001

THIS IS NOT A BOARD APPROVED DOCUMENT. SONGHUA RIVER FLOOD MANAGEMENT SECTOR PROJECT DUERBENXIN DIKE RESETTLEMENT PLAN

CONTENTS

1 GENERAL SITUATION OF THE PROJECT...... 1 1.1 Brief Description of the Project...... 1 1.2 Benefited and Affected Area...... 1 1.3 Measures for Reducing Impacts of the Project ...... 2 1.4 Design Process ...... 2 1.5 Ownership and Institutional Framework of the Project ...... 3 2 PROJECT IMPACTS ...... 4 2.1 Permanent Land Acquisition ...... 4 2.2 Temporary Land Use ...... 4 2.3 Affected Households and Persons ...... 5 3 SOCIOECONOMIC SURVEY...... 6 3.1 Socioeconomic Background Survey for Affected Area ...... 6 3.2 Sampling Survey of the Affected Households...... 7 4 LEGAL FRAMEWORK ...... 10 4.1 Legal Rationale...... 10 4.2 Acquisition Authority and Compensation Nature ...... 11 4.3 Legal and Administrative Procedure...... 12 4.4 Regulations on Compensation...... 12 4.5 Legal Liabilities of Institutions ...... 13 4.6 ADB's Resettlement Policy...... 14 5 COMPENSATION POLICIES, STANDARDS AND ENTITLEMENT....15 5.1 Compensation Standard ...... 15 5.2 The Eligibilities and Entitlement of the APs ...... 15 5.3 Entitlement Matrixes ...... 16 6 RESETTLEMENT MEASURES ...... 17 6.1 Income Restoration for Permanent Land Acquisition...... 17 6.2 Restoration of Temporary Land Use ...... 18 7 BUDGET ...... 20 7.1 Cost...... 20 7.2 Plan of Investment by Year ...... 20 7.3 Source of Funds...... 21 8 SCHEDULE OF RESETTLEMENT ACTIVITIES...... 22 8.1 Linkage of Resettlement Schedule with Construction Schedule ...... 22 8.2 Principle of Schedule Establishment...... 23 8.3 Overall Schedule of Land Acquisition and Resettlement Activities23 SONGHUA RIVER FLOOD MANAGEMENT SECTOR PROJECT DUERBENXIN DIKE RESETTLEMENT PLAN

9 INSTITUTION ...... 25 9.1 Resettlement Institutions...... 25 9.2 Profile and Responsibilities of Institutions ...... 25 9.3 Institutional Framework Chart...... 27 9.4 Institutional Qualification, Experience and Personnel ...... 29 9.5 Measures for Improving the Institutional Capability...... 30 10 PARTICIPATION, CONSULTATION AND DISCLOSURE...... 32 10.1 Public Participation Strategy ...... 32 10.2 Disclosure...... 33 10.3 Vulnerable Households...... 33 10.4 Survey of Public Opinions...... 34 11 GRIEVANCE AND APPEAL PROCEDURE ...... 36 12 MONITORING ...... 37 12.1 Internal Monitoring and Examination...... 37 12.2 Independent Monitoring (IM) ...... 38 APPENDIX 1. OUTLINE OF INDEPENDENT MONITORING AND EVALUATION . 41

SONGHUA RIVER FLOOD MANAGEMENT SECTOR PROJECT DUERBENXIN DIKE RESETTLEMENT PLAN

ABBREVIATION

APs - Affected Persons DVC - Duerbenxin Villagers' Committee EVC - Erjiazi Villagers' Committee IM - Independent Monitoring IMA - Independent Monitoring Agency IMPLG - Inner Mongolia ADB Project Leading Group LAR - Land Acquisition and Resettlement M&E - Monitoring and Evaluation MWR - Ministry of Water Resources NIDRI - Northeast Investigation Design and Research Institute NRCR - National Research Center for Resettlement of Hohai University NTG - Nuwenmuren Township Government RP - Resettlement Plan RRS - Resettlement and Removal Section under the jurisdiction of HPO XLPLG - Xin'an League ADB Project Leading Group ZBLAB - Zalaite Banner Land Administration Bureau ZBPLG - Zalaite Banner ADB Project Leading Group ZBPMO - Zalaite Banner ADB Project Management Office

SONGHUA RIVER FLOOD MANAGEMENT SECTOR PROJECT ANNEX B: DUERBENXIN DIKE RESETTLEMENT PLAN

1 GENERAL SITUATION OF THE PROJECT

1.1 Brief Description of the Project

Duerbenxin Dyke is one of the important core subprojects of the Nen River flood control system. The dyke to be constructed will directly protect 14,000 population and 53,000 ha of farmland in Duerbenxin, Zalaite Banner, Inner Mongolia. The Duerbenxin is located in the junction among Yalu River, Zuoer River and Nen River, with the ground elevation of 139.5~ 144.5m, being threatened by floods all long time.

Duerbenxin dyke has a total length of 19.975 km including 6.3 km of Sanjiazi section, 19.212 km of Erjiazi section and 4.463 km of Muye section. The flood control standard will be up to 35 year after the construction of Duerbenxin dyke including upgrade and strengthening. The main contents of the core subproject include earthwork, protective slop, sluices, and management facilities. The major work quantities include earth of 769,000m3, concrete of 39,000 m3 and rock of 1,200 m3. It is planned to start in 2002 and finish in 2004.

At present, the existing Duerbenxin dyke is not closed with low flood control standard and weak flood control capacity, which had severely threatened the security of lives and properties of people and enterprises and restricted local economic development. The implementation of the dyke construction project will effectively solve the flood control problem in Duerbenxin.

1.2 Benefited and Affected Area

Duerbenxin dyke is located on the right bank of the Nen River, the north bank of the Zuoer River, and the south bank of the Yalu River. The flood control standard will be increased to 35 year after completion of Duerbenxin dyke, and it is expected to further increased to 50 year after completion of the Nierji Reservoir in upper reaches of Nen River. so as to improve the stability development in this area.

The directed protected area of this subproject includes Baojuyuan Village, Sanjiazi Village, Duerbenxin village in Inner Mongolia, and Suitian Village in Heilongjiang Province. The total amount of protected area is 118.3 m2 including 73.3 km2 in Inner Mongolia and 45 km2 in Heilongjiang Province.

The construction of Duerbenxin dike will affected 2 villages including Erjiazi Village

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and Duerbenxin Village in Nuwenmuren Township. A total of 83.2 ha of village land will be acquired permanently including 58.8 ha of farmland and 24.4 ha of wasteland. Meanwhile, during construction, a total of 28.3 ha of land will be used temporarily including 6.3 ha of farmland and 22 ha of wasteland. However, no houses and attachments demolition will occur in the project.

1.3 Measures for Reducing Impacts of the Project

In the feasible study and design of the Project, according to the Land Administration Law of PRC, the Regulations about Land Acquisition and Resettlement (LAR) for Large and Middle Hydraulic and Hydroelectric Engineering, Provincial Land Administration Regulations, and policies and regulations of local governments, some engineering measures are considered to reduce the resettlement impacts induced by the project described as follows.

1.3.1 Minimizing Land Acquisition by Optimized Design

The dike will be upgraded and strengthened based on the original existing dike, the new dike will be constructed by using the local civil dike in order to minimize the land acquisition.

1.3.2 Optimization of Temporary Land Acquisition Layout

The layout of the temporary land use will be taken consideration of avoiding large quantity of farmland acquisition. Base on the spot survey, the design institute formulate the specific location for temporary land use so that most land for temporary use are wasteland.

1.4 Design Process

In November 1999, Northeast Investigation Design and Research Institute (NIDRI) began to formulate the Feasibility Study on Dike Project along Nen River in Inner Mongolia, and completed in February 2000.

In June 2001, the MWR gave an initial checkup and conducted commends to revise the feasibility report..

The Feasibility Study Report gave a clear description and regulation to the importance,

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environmental impacts, economic evaluation, dyke line's location, constructing scale and construction components of the Duerbenxin dyke works.

1.5 Ownership and Institutional Framework of the Project

Zalaite Banner Project Management Office (ZBPMO) was founded by composing of Zalaite Banner Water Resource Bureau (ZBWRB), Banner Land Administration Bureau (ZBLAB) and other related departments in Zalaite Banner. The main responsibilities of the ZBPMO include land acquisition, resettlement, coordination, policy formulation and inner monitoring.

During the construction, the ZBPMO will be located at ZBWRB and ZBWRB will be charge of construction of the dike. After accomplishment, the dike will be handed over to Zalaite Banner Dyke Administration Station with the responsibilities of the daily management and maintenance of the dyke.

The total investment in Duerbenxin dyke project is 62.29 million yuan, in which, 26.78 million yuan will be loaned from ADB accounting for 43% and the rest 57% will be the counterpart financed by local government.

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2 PROJECT IMPACTS

Based on project design, a resettlement impact survey was carried out in October 2001, in according to the accuracy required by the feasibility study report. Zalaite Banner Water Resource Bureau conducted the survey with the participation of local township government. The detail results are following:

The construction of Duerbenxin dike will affect 2 villages including Erjiazi Village and Duerbenxin Village in Nuwenmuren Township. A total of 83.2 ha of village land will be acquired permanently including 58.8 ha of farmland and 24.4 ha of wasteland. Meanwhile, during construction, a total of 28.3 ha of land will be used temporarily including 6.3 ha of farmland and 22 ha of wasteland. Through the project impacts survey, the land acquisition will directly affect 81 households, 308 persons. In terms of numbers of persons need economic rehabilitation, only 49 persons need to be economic rehabilitated. The land acquisition for the project will not cause any house demolition and relocation.

2.1 Permanent Land Acquisition

The construction of Duerbenxin dike will affected 2 villages including Erjiazi Village and Duerbenxin Village in Nuwenmuren Township. A total of 83.2 ha of village land will be acquired permanently including 58.8 ha of farmland and 24.4 ha of wasteland. the acquired farmland accounts for 71% of the total acquired land, and the rest for 29%. Details see table 2.1.

TABLE 2.1 Permanent Land Acquisition Unit: ha Nuwenmuren Town Land Total Erjiazi Village Duerbenxin Village Dry farmland 16.8 42 58.8 Wasteland 11.2 13.2 24.4 Total 28 55.2 83.2

2.2 Temporary Land Use

During construction, a total of 28.3 ha of land will be used temporarily including 6.3 ha

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of farmland and 22 ha of wasteland, the acquired farmland accounts for 22% of the total temporary used land, and the wasteland for 78%. Details see table 2.2.

TABLE 2.2 Temporary Land Use Unit: ha Nuwenmuren Town Land Total Erjiazi Village Duerbenxin Village Dry farmland 6.3 6.3 Wasteland 11 11 22 Total 11 17.3 28.3

2.3 Affected Households and Persons

Through the project impacts survey, the land acquisition will directly affect 81 households, 308 persons. However, for most of affected households, land acquisition impacts are relatively small. The average amount of farmland loss per affected person is 0.19 ha, which accounts for only about 15.8 % of farmland holding per capita.

In terms of numbers of persons need economic rehabilitation, following Land Administration Law, the persons need economic rehabilitation is equal to amount of land acquisition divided by land area per capita in the affected village. Through calculation, only 49 persons need to be economic rehabilitated, accounting for 2.76 % of total population in these 2 villages. Details see table 2.3.

TABLE 2.3 Affected Households and Persons by the Project

Erjiazi Village Duerbenxin Village Total Affection Type Househ Househol Person Househ Person Persons olds ds s olds s Direct Impacts by land 34 131 47 177 81 308 acquisition Persons need economic 15 34 49 rehabilitation

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3 SOCIOECONOMIC SURVEY

3.1 Socioeconomic Background Survey for Affected Area

The proposed Duerbenxin Dyke is planned to be located in Duerbenxin Village and Erjiazi Villages, Nuwenmuren Township, Zalaite Banner, Inner Mongolia. In order to understand the socioeconomic background of project area, along with impact survey, a great deal of social economic data was collected by ZBWRB, which will provide an overview of socioeconomic background of the project region at different levels of banner, township and villages.

3.1.1 Basic Conditions of Zalaite Banner

Zalaite Banner is located in the east of Xin’an League, Inner Mongolia at 46°04' N~ 47°21'N and 121°7' E~ 123 º 38’ E. The east neighbor is Longjiang County, Heilongjiang Province, and the south neighbor is Tailai County in Heilongjiang Province and Zhenlai County in Jilin Province. The total land area is 11,055 km2, and it is located in temperate monsoon zone.

Zailaite Banner is a multiracial zone. Except the Mongolia and Han nationalities, there are other 18 minorities in the Banner including Hui, Zhuang, Mang, Korea and etc. By the end of 2000, there were totally 388,400 persons in the Banner including 329,500 of agriculture population, in which amount of 84,300 are rural labors. There were 21 townships, 195 villages and 704 groups in the Banner.

The economic structure of Zalaite Banner is mainly based on agriculture, accessorial with stock raising, fishery and etc. The main crops include corn, bean, paddy and wheat. In 2000, the total yield was 518 million kilogram, the gross agriculture product value was 1,511 million yuan and the gross industrial product value was 229 million yuan. In 2000, the net rural income per capita was 1908 yuan in the Banner.

3.1.2 Basic Conditions of Nuwenmuren Township

Nuwenmuren Township seat is located to the south of Duerbenxin dike. There are 9 villagers, 2,356 households with 9,961 persons in Numwenmuren Township. In 2000, the total planting area was 6,946 ha including 5,928 ha of dry land and 1,018 ha of paddy field. The yield of grain crops was 25,932 tons, in which the yield of dry land

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was 21,000 t and paddy field 4,932 t. The amount of big livestock was 2,818 and the small one was 6,373. In 2000, the net rural income per capita was 1904 yuan in the township.

3.1.3 Basic Situation of Affected Villages

The permanent land acquisition and temporary land use will affect 2 villages including Duerbenxin and Erjiazi Villages in Nuwenmuren Township. Table 3.1 provides some basic information of 2 villages. According to the Table, there are 1,771 populations including 649 labors in these 2 villages, with 2120 ha of farmland, averaging 1.20 ha farmland per person. In 2000, the income per capita was 1891 yuan in affected villages.

Table 3.1 Basic information of the affected villages Villages Population Labors Farmland Per Capita Per Capita (ha.) Farmland Income (yuan/pp) Duerbenxin 794 304 993 1.25 1860 Erjiazi 977 345 1127 1.15 1917 Total 1771 649 2120 1.20 1891

3.2 Sampling Survey of the Affected Households

In order to have a better understanding about the livelihood condition for the affected persons, in October 2001, following ADB policy requirements, a social economic survey was carried in affected villages, which was based on a sample survey of 23 households in 2 affected villages. The survey was conducted by ZBWRB and related township governments. The survey collects information like demographic profile, economic conditions, source of income, living conditions, as well as public opinions on the Project.

According to the scope of resettlement impacts among affected villages, the scope and surveyed households number are determined and the questionnaires suitable for local conditions are worked out. The sample was randomly drawn and the sampled households were interviewed at their homes. The survey teams visited each sample household, inquired the interviewees about each index, and filled in the questionnaires. The results of the survey were entered into the computer, and the basic analysis is presented in the following:

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. 3.2.1 Household Population

There were 23 sample households with 87 persons randomly drawn out of 2 villages. In the surveyed population, 87persons (100%) belonged to agricultural population, 33 (38%) were female, 61 (70%) were labors, 1 (1.1%) were elderly or disabled, 25 (28.7%) were students.

3.2.2 Age Structure

Of the surveyed 87 persons in 23 households, 7 persons (8%) were less than 7 years old, 23 (26.4%) were 8~ 18years old, 56 (64.4%) were 19~ 60years old, and 1 (1.2%) were above 61 years old.

3.2.3 Education Levels

Of the surveyed 87 persons in 23 households, 8 persons (9.2%) were illiterates, 22 (25.3%) finished primary schools, 48 (55.2%) finished middle schools, and 9 (10.3%) were pre-school children.

3.2.4 Household Production

Of the surveyed 23 households, the total contracted lands were 121.53 ha, all of them are grains land. In addition, the 23 households raised 26 pigs, 134 cows and 15 horses.

3.2.5 House Condition

Of the surveyed 23 households, the area of homestead was 1,500 m 2 and the housing area was 1,200 m2, in which brick-wood houses were 900 m2 (75%), and the simple houses 300 m2 (25%). The average house area per household is 52.2 m2.

3.2.6 Household Annual Incomes and expenditure

Of the surveyed 23 households, the total annual household incomes were 351,750.8 yuan, and the average annual household income was 15,293.5 yuan/hh, in which the annual income of planting was 12,858.7 yuan/hh or 84%, income from sideline activities was 2,434.8 yuan or 16%.

Of the surveyed 23 households, the total annual household expenditures were

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13,0851.3 yuan, and the average annual household expenditure was 5689.2 yuan/hh, in which the taxes and other charges including agricultural tax, collective reserve and others were 2,544.8 yuan (45 % of the total annual household expenditures), the expense for buying seeds was 820.3 yuan (14%), pesticide and fertilizer 435.2 yuan (8%), electricity fee was 82.2 yuan (1%), machine working cost was 878.3 yuan (15%), Children's tuition was 380.4 yuan (7%), medical fee was 104.3 yuan (2%), fuels 43.5 yuan (1%), living non-stable food 278.3 yuan (5%), and other costs were 121.7yuan (2%).

According to analysis of the survey results, the average per capita net income was 2784.5 yuan. The total annual household gross incomes were 351,750.8 yuan, in which 84 percent of income from farming, 16 percent from sideline activities. The proportion of farm production income is relatively high in the total households incomes, this shows that the dependence on the lands of the villagers in the affected villages is also very high.

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4 LEGAL FRAMEWORK

4.1 Legal Rationale

4.1.1 National Laws

l Land Administration Law of the People's Republic of China, starting implementation since January 1, 1991 l Implementation Regulations for the Land Administration Law of the PRC l Regulations about Land Acquisition and Resettlement for Large and Middle Hydraulic and Hydroelectric Engineering, Order by the State Council of the PRC Circular 74, in February 15, 1991

4.1.2 Trade Regulations

l Transmitting ' A Notice about Some Questions on Land Use of the Construction Projects Financed from Added Government Bonds ' issued by the Ministration of Territory Resources and the State Planning Commission, [1999] 599, issued by the Ministry of Water Resources l A Notice about Some Questions on Land Use of the Construction Projects Financed from Added Government Bonds, [1999] No.347. l A Letter of Soliciting Opinions on the 'Regulations of Land Acquisition and Resettlement of Medium-Sized Water Conservancy and Hydropower Project' [2000]37, issued by the general office of the Ministry of Water Resources and the general office of the State Commission of Economy and Trade l A Notice about Issuing Some Charged Components and Standards of Land Administration System, [1992] 597, issued by the State Administration of Commodity Prices and the Ministry of Finance

4.1.3 Autonomous Region Documentations and Regulations

l Land Administration Regulations of Inner Mongolia Autonomous Region, Oct. 15, 2000 l A Notice about levying items and rates for land administration system [1996] 16th, issued by the Regional Price Bureau and Land Administration Bureau l A Notice about Charging and Management Methods on Land Reclaiming Fee and Unused Fee. [1998] 16 issued by the Xin’an League Finance Bureau, Price Bureau and Land Administration Bureau,

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4.1.4 Policies of Asian Development Bank

l Resettlement Brochure of ADB (1998) l Involuntary Resettlement Policy of ADB (1998)

4.2 Acquisition Authority and Compensation Nature

Land Administration Law of the People's Republic of China (1991)

Article 44: In case the construction land acquisition involves transforming agricultural land to construction land, the agricultural land transformation procedures should be transacted for approval. In case the land acquisition of the roads, pipelines and large-size infrastructure construction projects approved by the governments of the provinces and municipalities directly under the central authority and the projects approved by the State Council involves transforming agricultural land to construction land, the transformation should be approved by the State Council. In case agricultural land must be transformed to construction land for the purpose of implementing the general planning of land utility within the construction scopes of cities, villages and market towns regulated by the general planning, the transformation should be approved in batches by the authorities, which originally approved the general planning, conforming to the yearly plan of land utility. Within the scope of land with approval for transformation, the specific land acquisition can be approved by the governments of cities and counties.

Article 45: It should be authorized by the State Council to acquire following lands: ? )basic farmland, ? ) cultivated land exceeding 34ha except the basic farmland, ? ) other land exceeding 70ha. … …

Article 58: In case of any following case, ? )land will be used for public benefit, ? )land will be relocated to rebuild old cities for the purpose of implementing city planning. … … the land administration authorities of relative governments should report it to the governments approving the land acquisition originally or the governments having approving authority for approve, then the tenure of state-owned land can be drawn back.

Article 47: In case land acquisition shall take place, compensation shall be in accordance with the original usage.… …

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4.3 Legal and Administrative Procedure

Land Administration Law of PRC

Article 46: In case the State will acquire land, the land acquisition should be publicized by bulletin and organized to execute by the governments above county-level. The owner or the user of the acquired land should go to the land administration authorities of local government for the registration of the land acquisition compensation holding the land title certificate within the allotted time in the bulletin.

Land Administration Regulations of Inner Mongolia Autonomous Region

Article 29: According to Land Administration Law of PRC. It shall be approved by Region Government or State Council in case the concrete construction projects will acquire land. Approval result of the land acquisition should be publicized by bulletin after approval.

4.4 Regulations on Compensation

Land Administration Law of PRC

Article 47: 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 green seeding. The compensation fee for the acquired cultivated land is 6-10 times of the average annual yield of the land in the previous 3 years before land acquisition. The number of agricultural population to be resettled is determined with the acquired land area divided by the average prior-to-acquisition per capita cultivated land holding in the unit subject to acquisition. The compensation fee for resettlement for each of the agricultural population is 4-6 times of the average annual yield of the land in the previous 3 years. However, the resettlement subsidies for every hectare of acquired cultivated land shall not exceed 15 times of the average annual yield of the land in the previous 3 years.

In case the living standards of the peasantries needing resettlement can not be restored to the original conditions after the land compensation fee and the

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resettlement subsidies have been paid according to the previous regulations on cultivated land acquisition, the resettlement subsidies can be increased with the approval of the governments of the provinces and municipalities directly under the central authority. However, the sum of the land compensation fee and the resettlement subsidies should not exceed thirty times of the average annual yield of the land in previous 3 years before land acquisition.

Land Administration Regulations of Inner Mongolia Autonomous Region

Article 30: In case of basic cultivated land acquisition, land compensation should be 8 to 10 times of the average annual yield of the land in the previous 3 years before land acquisition. And 6 to 8 times of the average annual yield of the land in the previous 3 years before land acquisition for other cultivated land.

Article 31: Resettlement subsidy for each affected farmer is 4-6 times of the average annual yield of the land in the previous 3 years before land acquisition. However, the resettlement subsidies for every hectare of acquired cultivated land shall not exceed 15 times of the average annual yield of the land in the previous 3 years.

4.5 Legal Liabilities of Institutions

Land Administration Law of PRC

Article 66: The land administration authorities above county-level shall be responsible for supervising and inspecting the activities against land administration laws and regulations. The land administration supervision and inspection personnel should be familiar with the land administration laws and regulations and should be devoted to their duties and handle affairs according to the law.

Article 70: In case the land administration authorities above county level find out the illegal activities of some national functionaries in the supervision and inspection, treatment should be legally given to those who ought to be dealt with administrative sanction. In case the authorities have not been authorized to deal with the matters, they should submit a proposal of administrative sanction to the administrative supervision department of the governments of same or superior level and the relative administrative supervision department should deal with the matters legally.

Article79: In case any one embezzles or diverts the compensation costs or other

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relative costs and constitutes guilty, he/she will be legally prosecuted for his/her criminal responsibility; in case not constituting guilty, he/she will be dealt with administrative sanction legally.

4.6 ADB's Resettlement Policy l Involuntary resettlement should be avoided where feasible. l Where population displacement is unavoidable, it should be minimized by exploring all viable project options. l People unavoidably displaced should be compensated and assisted, so that their economic and social future would be generally as favorable as it would have been in the absence of the project. l People affected should be informed fully and consulted on resettlement and compensation options. l Existing social and cultural institutions of resettlers and their hosts should be supported and used to the greatest extent possible, and resettlers should be integrated economically and socially into host communities. l The absence of a formal legal title to land by some affected groups should not be a bar to compensation; particular attention should be paid to households headed by women and other vulnerable groups, such as indigenous peoples and ethnic minorities, and appropriate assistance provided to help them improve their status. l As far as possible, involuntary resettlement should be conceived and executed as a part of the project. l The full costs of resettlement and compensation should be included in the presentation of project costs and benefits. l Costs of resettlement and compensation may be considered for inclusion in Bank loan financing for the project.

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5 COMPENSATION POLICIES, STANDARDS AND ENTITLEMENT

The resettlement policies of the Project are formulated by following the laws and regulations on resettlement established by the People's Republic of China, Inner Mongolia Autonomous Region Government and Asian Development Bank. In order to ensure the policies to be consistent with the objectives of resettlement, the following compensation policies and compensation standards have been established especially for Duerbenxin Dyke Project.

5.1 Compensation Standard

5.1.1 Compensation for Permanent Land Acquisition

TABLE 5. 1 Compensation Standard for Permanent Collectively Owned Land Acquisition Unit: Yuan/ha Times of Times of Land Times of Average Standing Crops Item Compensation Resettlement Standard Yield Compensation Fee Subsidies Fee Dry farmland 4500.00 6.00 4.00 1.00 49500.00

Wasteland 4500.00 1.00 4500.00

5.1.2 Compensation Standard for Temporary Land Use

TABLE 5.2 Compensation Standard for Temporary Collectively Owned Land Use Unit: Yuan/ha Times of Standing Item Average Yield Crops Compensation Standard Fee Dry farmland 4500.00 2.00 9000.00 Wasteland Rehabilitation Cost 15000.00 Farmland Reclaim Cost 45000.00

5.2 The Eligibilities and Entitlement of the APs

5.2.1 Permanent Land Acquisition

Land compensation fee and Resettlement subsidy will be delivered to village committees in accordance with table 5. 1. The village committees will allot reserved land to affected

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households. Meanwhile, the land compensation and resettlement subsidy could be used

for public facilities such as road, irrigation system and etc under the permission by two

third of villagers, so as to improve the production condition and livelihood circumstance.

5.2.2 Temporary Land use

Crops Compensation fees for temporary land use will be paid directly to affected

households in accordance with table 5.2. The wasteland rehabilitation cost and farmland

reclaim cost will be paid to village committees through Banner Land Administration

Bureau. And village committees should be in charge of land rehabilitation activities.

5.3 Entitlement Matrixes

See table 5.3. Table 5.3 Entitlement Matrixes Impact Type Impacts Entitlements Standards l Get land compensation Land compensation: and resettlement subsidy Dry Farmland: 27000yuan/ha; l The land compensation Wasteland: 4500 yuan/ha Collective Villages are used to help the APs Land restore their income Resettlement Subsidy: Acquisition l Allot the reserved land to Dry Farmland: 18000yuan/ha; affected households Affected l Get crop compensation Crop Compensation: Households l Get the land from village Dry Farmland: 4500yuan/ha; Crops Compensation: Affected l Get crops compensation Dry Farmland: 9000 yuan/ha Households Temporary l Villages get rehabilitation Reclamation Expense: land use cost and take Dry Farmland: 45000yuan/ha; Villages responsibility for Wasteland: 15000 yuan/ha reclamation of land

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6 RESETTLEMENT MEASURES

6.1 Income Restoration for Permanent Land Acquisition

The construction of Duerbenxin dike will affect 2 villages including Erjiazi Village and Duerbenxin Village in Nuwenmuren Township. A total of 83.2 ha of village land will be acquired permanently in which 58.8 ha are farmland. Base on the survey, a total of 81 households, 308 persons will be affected directly by permanent land acquisition. However, through calculation, only 49 persons need to be economic rehabilitated, accounting for 2.76 % of total population in these 2 villages. The Analysis results of impacts by permanent land acquisition are shown in Table 6.1.

TABLE 6.1 Impact Analysis of Permanent Land Acquisition Unit: ha, person

Item Erjiazi Village Duerbenxin Total Village Total area of cultivated land 1127 993 2120 Status Total population 977 794 1771 Land to be occupied 16.8 42 58.8 Population directly affected Impacts of the 131 177 308 Project by land acquisition Population need economic 15 34 49 rehabilitation Cultivated land 1.5% 4.2% Affecting degree Directed Affected Persons 13.4% 22.3% Persons need economic 1.5% 4.3% rehabilitation Per capita Before land acquisition 1.15 1.25 cultivated land After land acquisition 1.14 1.20

It can be seen from Table 6.1 that loss of farmland for two villages are relatively small, with 1.5% for Ejiazi and 4.2% for Duerbenxin Village. After land acquisition, the per capita cultivated land can still be 1.14ha and 1.20ha in these two villages. In terms of number of persons affected, they are 13.4% for Ejiazi village and 22.3% for Duerbenxin village. The reason that more people are affected is because the land acquisition will take place in a linear strip. In fact, for each affected person, the amount of farmland loss will be quite limited, averaging 0.19 ha per person, which accounts for only 15.8% of total land holding per person. In terms of numbers of persons need

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economic rehabilitation, following Land Administration Law, the persons need economic rehabilitation is equal to amount of land acquisition divided by land area per capita. Through calculation, only 49 persons need to be economic rehabilitated, accounting for 2.8 % of total population in these 2 villages.

In addition, the lands acquired from 2 villages are mainly poor quality land near the river, which are vulnerable for flood. Generally, the cultivated lands of the villages were divided into three classes. The lands of Class 1 are located far from the river with better soil and are not easy to be submerged by floods, so the yields of the lands are much higher. The lands of Class 3 are located near the river with poor soil and are often submerged by floods, so the yields of the lands are rather low. When the lands were contracted to all villagers, each household had got equal amount for three classes of lands. The lands acquired by the Duerbenxin dyke project basically belong to the lands of Class 3 due to its layout along river. Therefore, after land acquisition, the impacts by land acquisition are slightly.

In spite of such limited impacts from land acquisition, two specific income restoration alternatives have been provided for the affected villages. The first one is to deliver land compensation and resettlement subsidy to village committees. The affected villages will allocate same amount replacement farmland from village reserves to affected households. While the land compensation and resettlement subsidy will be used for improving village farming facilities such as road and irrigation systems in order to enhance production and livelihood conditions for the villagers. The second option is that instead of obtaining replacement farmland, the affected households will be paid all land compensation and resettlement subsidy based on their impacts, which will allow them to improve their farming conditions. After consultation with two villages, the first option is adopted. Base on the survey, both two villages have a total of 113.4 ha reserved farmland, which are more than sufficient to provide replacement farmland to the affected households.

6.2 Restoration of Temporary Land Use

During construction, a total of 28.3 ha of land will be used temporarily including 6.3 ha of farmland and 22 ha of wasteland. The lands to be used temporarily are mostly located on flood flowing plain. 22% of the lands are farmlands that often have no yield for being near to the river. The affecting period for the temporarily acquired lands is one year and compensation fee will be paid by two times of the average yield of the land during the acquisition period. The temporarily acquired lands will be rehabilitated

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soon after construction by use of rehabilitation cost and subsequently the impacts will disappear.

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7 BUDGET

7.1 Cost

The costs of land acquisition and resettlement will be included into the total budgets of the Project. Based on the price of August 2001, the total resettlement cost is 4.66 million yuan. The detailed budget for the RP of Duerbenxin dyke project is presented in Table 7.1.

TABLE 7.1 Budget for Resettlement Plan of the Project Item Unit Compensation Amount Cost Standards (104yuan) 1. Land compensation fee and resettlement subsidies 302.04 (1) Dry farmland yuan/ha 49500.00 58.80 291.06 (2) Wasteland yuan/ha 4500.00 24.40 10.98 2. Compensation fee for temporary land use 67.02 (1) Dry farmland AOV compensation yuan/ha 9000.00 6.30 5.67 (2) Rehabilitation cost for farmland yuan/ha 45000.00 6.30 28.35 (3) Restoration cost for wasteland yuan/ha 15000.00 22.00 33.00 Subtotal of 1~ 2 369.06 3. Other costs 96.87 (1) Implementation management cost % 2.00 369.06 7.38 (2) Survey and Design cost, and M&E cost % 2.00 369.06 7.38 (3) Land survey cost yuan/ha 3100.00 111.50 34.57 (4) Land acquisition management cost % 3.00 11.07 (5) Land administration cost yuan 36.47 Total Costs 465.93

7.2 Plan of Investment by Year

According to the implementation schedule of the Project, the construction period is two years, so most of the funds will be paid before the construction of the project. The resettlement investment by year is presented in Table 7.2.

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TABLE 7.2 Plan of Resettlement Investment by Year

Year 2002 2003 Subtotal Investment (104yuan) 369.06 96.87 465.93 Proportion (% ) 79 21 100

7.3 Source of Funds

According to the schedule arrangement, all of the funds come from financial allocation.

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8 SCHEDULE OF RESETTLEMENT ACTIVITIES

8.1 Linkage of Resettlement Schedule with Construction Schedule

8.1.1 Construction Period of Duerbenxin Dyke Project

The construction duration of Duerbenxin dyke project is planned to two years. The major task in the first year is earth filling, to finish the dyke body filling and dyke foot works, and the major tasks in the second year include structures, slope revetment and road surface works. The earth works should be done in low flow periods before or after floods. Before the summer flood comes, the dyke sections which are being in progress must be constructed up to 1-in-10 year water level of the Nen River with necessary protection to avoid the flood flowing over dyke, scouring or destroying the already built works. According to the present schedule, the Project is planned to start in April 2002 and end in April 2004. The resettlement schedule is worked out based on and corresponded to the overall construction schedule of the Project.

8.1.2 Linkage of the Resettlement Schedule and the Construction Schedule

The principles to arrange the resettlement activities and the construction schedule are described as l The schedule of LAR should be linked with that of the construction of the Project. l The schedule of land occupation will be determined in accordance with the starting time of the project construction. l The land acquisition in the Resettlement Plan should be finished one month before the Project begins to use land. The beginning time will be determined in accordance with the demand of LAR.

The linked schedule of construction and land acquisition is presented in Table 8.1.

TABLE 8.1 Linked Schedule of Land Acquisition and Construction

Item Time Start 2002.4 Dike Construction End 2004.4 Start 2001.12 Land Acquisition End 2002.3

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8.2 Principle of Schedule Establishment

The implementation of the LAR will start after the Project passes the evaluation of ADB, and the schedule will be established in accordance with the following principles

l The scope of land acquisition will be determined in accordance with the design drawings of each component of the dyke works before starting material measurement and calculation needed by land acquisition. l The material measurement and calculation needed by land acquisition should be done by ZBPMO together with the owners of property in accordance with the red line map before signing the compensation and resettlement agreement. l ZBPMO will organize a conference of all affected communities, households, and work units to publicize the policies on land acquisition compensation. The conference will be held before the compensation and resettlement agreement is signed. After the conference, an announcement about land acquisition will be issued. l The agreement on compensation and resettlement should be signed between the Project and affected communities after the material measurement and calculation and after issuance of the announcement about land acquisition. l The compensation fee for loss of yield should be paid for the temporary land occupation and payment should be made before construction. l The payment should be carried out after the compensation agreement between the two parts is signed or before the implementation of land acquisition.

8.3 Overall Schedule of Land Acquisition and Resettlement Activities

According to the schedules of the preparation and the implementation of the LAR, the overall schedule of the LAR activities of the Project is studied out as Chart 8.1.

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Chart 8.1 Schedule of Resettlement Activities

2001 2002 2003 No Task 1 2 3 4 5 6 7 8 9 10 11 12 1 2 3 4 5 6 7 8 9 10 11 12 1 2 3 4 5 6 7 8 9 10 11 Preparation Work 1 4-10 Project Office collect related personnel 2 4-10 4-25 Determination of impact scope 3 4-26 5-23 Project impacts survey 4 5-24 7-4 Socioeconomic survey 5 7-5 7-25 Consultation on resettlemnt policy 6 7-26 8-8 Formulation of RP 7 7-5 12-5 Disclosure 8 12-6 12-19 Compensation 9 1-15 Detailed Measurement Survey 10 1-15 1-31 Replacement land preparation 11 1-15 2-15 Compensation Delivering 12 2-15 2-28 allotment of new land to APs 13 2-1 2-28 Beginning of Project Construction 14 4-1 Monitoring and Evaluation 15 1-1 Selection of M&E institue 16 1-1 1-15 Implementation of M&E 17 1-16 2-28

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9 INSTITUTION

9.1 Resettlement Institutions

In the implementation of the Project, the agencies responsible for the planning, administration, implementation and monitoring of the resettlement include

l Inner Mongolia ADB Project Leading Group (IMPLG) l Xin’an League ADB Project Leading Group (XLPLG) l Zalaite Banner ADB Project Leading Group (ZBPLG) l Zalaite Banner ADB Project Management Office (ZBPMO) l Zalaite Banner Land Administration Bureau (ZBLAB) l Nuwenmuren Township Government (NTG) l Duerbenxin Villagers' Committee (DVC) l Erjiazi Villagers' Committee (EVC) l Northeast Investigation Design and Research Institute (NIDRI) l National Research Center for Resettlement of Hohai University (NRCR)

9.2 Profile and Responsibilities of Institutions

Inner Mongolia ADB Project Leading Group (IMPLG): It is a leading group established with Zhou Dehai, the administrative vice governor of Inner Mongolia Autonomous Region as the chief group leader, Fu Shouzheng, the vice governor of Inner Mongolia Autonomous Region as the vice group leader, Chang Jiang from Region Finance Bureau, Zhao Wenyuan from Region Water Resource Bureau, and a vice director of Region Planning Committee as the group members. The IMPLG will be responsible for the leading, organization, coordination, policies establishment, approval of the RP and implementation of internal monitoring on the Region level.

Xin’an League ADB Project Leading Group (XLPLG): It is a leading group established with Zhang Youcai, the vice mayor of Xin’an League as the chief group leader, the vice group leaders include Luo Conglong, the League secretary-general, Liu Fu, Director of League Finance Bureau, the group members include Hu baoquan, the director of League Water Resource Bureau, Liu Chunyuan, the vice director of Finance Bureau, and Huang Baoping, the vice director of League Water Resource Bureau. The XLPLG will be responsible for the leading, organization, coordination, policies establishment, approval of the RP and implementation of internal monitoring on the League level.

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Zalaite Banner ADB Project Leading Group (ZBPLG): It is a leading group established with Wang Sengling, the vice head of Zalaite Banner as the chief group leader, the vice group leaders include Tu Buxing, the director of Banner Government Office, Liu Fu, Director of Banner Finance Bureau, the group members include personnel from Banner Water Resource Bureau. The ZBPLG will be responsible for the leading, organization, coordination, policies establishment, approval of the RP and implementation of internal monitoring on the Banner level.

Zalaite Banner ADB Project Office (ZBPMO): Be set up in and leaded by the Zalaite Banner Water Resource Bureau (ZBWRB) with the participation of Zalaite Banner Land Administrative Bureau, be responsible for the daily coordination, organization and information synthesis of the project construction, in which the ZBWRB will be responsible for the dyke construction and the ZBPMO and ZBLAB will be responsible for land acquisition, preparation of the RP and the implementation and administration of land acquisition.

Zalaite Banner Land Administrative Bureau (ZBLAB): Be responsible for the formulation of the land compensation policies, assist to transact the procedures of land acquisition and temporary occupation, and be responsible for supervising and managing the implementation of the land acquisition and compensation for the Project.

Nuwenmuren Township Government (NTG): Assist the ZBPMO and ZBLAB to coordinate issues relating to the land acquisition and removal.

Duerbenxin and Erjiazi Villagers' Committees (DVC and EVC): Assist the ZBPMO and ZBLAB to accomplish tasks related to the land acquisition, allotment of new land to affected households.

Northeast Investigation Design and Research Institute (NIDRI): Be responsible for the project design and the scope determination for the land acquisition.

National Research Center for Resettlement of Hohai University (NRCR): Be responsible for the external monitoring and evaluation of LAR.

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9.3 Institutional Framework Chart

IMPLG

XLPLG

ZBPLG

ZBLAB Survey ZBPMO Monitoring and and Design Evaluation Agency Agency

(NIDRI) (NRCR) NTG

DVC EVC

Affected Affected Households Households

ABBREVIATION : IMPLG - Inner Mongolia ADB Project Leading Group XLPLG - Xin’an League ADB Project Leading Group ZBPLG - Zalaite Banner ADB Project Leading Group ZBPMO - Zalaite Banner ADB Project Management Office ZBLAB - Zalaite Banner Land Administration Bureau NTG - Nuwenmuren Township Government

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DVC - Duerbenxin Villagers' Committee EVC - Erjiazi Villagers' Committee NIDRI - Northeast Investigation Design and Research Institute NRCR - National Research Center for Resettlement of Hohai University

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9.4 Institutional Qualification, Experience and Personnel

Each rank of ADB Project Leading Group is composed of a vice director as the chief group leader and the leaders of the relative administration authorities. The Groups have accumulated abundant experiences on land acquisition and resettlement in a great many projects before. Because of coming from government departments or various administration authorities, they can play well their roles of organization and coordination in land acquisition and resettlement. The other institutions participating the implementation are all composed of personnel owning abundant experiences on project management.

The resettlement implementing agencies are all well manned with high-quality staff with full-time personnel of 45 persons and 116 persons at rush time. The staff has wide range of technical background and rich experiences on land acquisition and resettlement implementation. They played and will play important roles on the formulation and implementation of the RP. And the other agencies undertaking survey and design, independent external monitoring and evaluation have advanced computer assistant instruments, technology and rich experiences in land acquisition and resettlement.

The personnel manned in the resettlement institutions are presented in Table 9.1. TABLE 9.1 Personnel and Qualification of the Resettlement Institutions Personnel Full-time Starting Implementing in Rush Personnel Qualifications of Personnel working Agencies Hours (persons) since (persons) Sept, IMPLG 2 6 Official, graduate or above 2000 Official, technical personnel, Nov, XLPLG 3 12 graduate or above 2000 Jan, ZBPLG 2 6 Official, junior collage or above 2001 June, ZBPMO 2 4 Official, junior collage or above 2001 June, ZBLAB 2 4 Official, junior collage or above 2001 Oct, NTG 10 30 Official 2001 Oct, DVC &EVC 15 40 Village cadre 2001 Engineering technical Sep, NIDRI 5 10 personnel, graduate or above 2000 Professor, associate Dec, NRCR 4 4 professor, master's degree or 2001

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Personnel Full-time Starting Implementing in Rush Personnel Qualifications of Personnel working Agencies Hours (persons) since (persons) above Total 45 116

9.5 Measures for Improving the Institutional Capability

The ZBPMO organized a training in May 2001 for the staff engaged in LAR in respects of the resettlement policies of ADB, laws about land acquisition, theories and methods of socio-economic survey etc.

The ZBPMO will adopt the following measures to improve the capacities of the implementing agencies.

9.5.1 Training the Staff

Continue to organize trainings for the staff engaged in LAR in respects of the resettlement policies of ADB, laws about land acquisition, cases analysis and simulation training, costs control and resources allocation to improve their professional quality and policy dealing skills.

9.5.2 Investigating ADB Projects

The ZBPMO will organize the personnel who are engaged in the specific resettlement activities to go to investigate other projects financed from ADB to find out and study the resettlement policies and the specific implementation methods of the projects.

9.5.3 Setting up Rational Stimulation Mechanism

Provide full guarantee in respects of funds and equipment to increase working efficiency, divide labors and work rationally, and set up and perfect a system of awards and penalizations for the personnel engaged in LAR to mobilize their initiatives.

9.5.4 Establishing Management Information System (MIS)

Set up a MIS of LAR, manage the data concerned using computers, enhance information feedback, and ensure information be transmitted smoothly from the top down and the bottom up to letting the ZBPLG make decisions on major issues.

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9.5.5 Reinforcing Internal and External Monitoring

Enhance the report system and internal monitoring and solve the problems, if any, in time. In addition, the independent monitoring and evaluation should be enhanced and the independent monitoring and evaluation agency should point out the existing problems to the relevant authorities in time with the resolution proposals.

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10 PARTICIPATION, CONSULTATION AND DISCLOSURE

10.1 Public Participation Strategy

In order to establish relative policies, work out a good RP, minimize complaints and disputes, and accomplish the appropriate resettlement, a great deal of efforts have been made on increase participation and consultation by the APs during stages of preparation and implementation of the RP.

10.1.1 Public Participation in Project Preparation

In the stage of project preparation the feasibility study, time after time, ZBPMO had asked Zalaite Banner Government, relative experts, and township governments and the representative villagers affected by the land acquisition for their suggestions, proposals and opinions on the schemes of construction, compensation and resettlement of the Project.

10.1.2 Public Participation in Socio-Economic Survey

During impacts investigation and socio-economic survey, the affected villages officials and villagers had participated in the survey process, by discussing with survey team, confirming the survey results, and providing ideas and suggestions on compensation policies and rehabilitation approaches.

In September 2001, ZBPMO organized a survey about public opinions and suggestions involving 2 villages and 23 households affected by the Project. The survey results are presented in Table 10.1.

10.1.3 Plan for Public Participation

In the subsequent resettlement activities, the public participation and consultation will be encouraged through following procedures and measures.

1) Consultation Meetings

In three months previous land acquisition, symposiums will be held with the participations of rural residents, village cadres and female representatives to collect their opinions and suggestions.

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2) Public Meetings

In a month previous land acquisition, before the implementation of RP, public meetings should be held to explain relative policies, laws, compensation standards and resettlement schemes to the affected people so that they can make knowledge and arrangement early.

5) Participation of Village Cadres and Resettlers Representatives in Land Acquisition and Resettlement

In the implementation, the village cadres and the resetter representatives will participate in on site investigation and final determination of the quantity of land acquisition and in the consultation about compensation standards and resettlement scheme together with ZBPMO and other relative authorities. Through democratic consultation, the villagers' committees will determine the land readjustment scheme, the compensation fee usage scheme, the land compensation fee investment and benefit distribution scheme and so on.

10.2 Disclosure

1) Publicize the policies about land acquisition and removal through the mass media including newspaper, radio and television. 2) Issue Bulletin about Land Acquisition The major contents of the bulletin include the brief description of the Project, the scope of land acquisition, the resettlement policies (involving compensation standards), the responsible institutions, the schedule of land acquisition, the rights and duties of resettlers, grievance and appeal, monitoring and evaluation etc. 3) The RP and the Resettlement Information Manual will be prepared completely and be issued and published before Dec. 6, 2001. the RP in Chinese will be sent to Nuwenmuren Township Government, and the Resettlement Information Manual in Chinese will be sent to APs. and

4). Meantime, the RP in Chinese and English will be prepared and sent to ADB RMC in Beijing as well as ADB in Philippines.

10.3 Vulnerable Households

Through Survey, the vulnerable households have not been found among affected households. If the vulnerable households are found during implementation, the

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project will establish a special fund to subsidize the vulnerable group in order to improve their living standard on a certain extent. The fund will be managed by village committees, and it will be used specifically on vulnerable group.

10.4 Survey of Public Opinions

In Oct. 2001, ZBPMO carried out a survey about public opinions and suggestions. There were 2 villages with 23 affected households involved in the survey. The survey results show that, among the surveyed 23 households, l 78% knew the Project was to be constructed, 4% didn't know, and 18% were not clear about it. l 87% approved of the Project, 13% were indifferent. l 69% thought the Project would benefit the State, 78% thought the Project would benefit the village, and 78% to individuals. l The people had profound knowledge on the impacts and harms to be caused by floods. 100% thought floods could "cause houses and properties Lost", 100% "affect agricultural production", 91%" damage infrastructure ", 78% "affect people's health", and 43% "affect investment conditions". l When asked what degree did floods affect their living and production, 78% of the respondents said "very severe", 22% said "severe", no one said "not severe" or "no impact". l 100% thought the Project would protect the securities of people and production, 96% thought it would increase agricultural production levels, 87% thought it would improve living environment, and 26% thought it would provide more opportunities of employment. l As for the negative impacts of the Project, 35% of the surveyed households thought their incomes were likely to be reduced because of the land acquisition, 35% thought construction would affect production and living, and 56% thought that the Project had no unfavorable impact. l When asked if they knew about the policies on resettlement and compensation for land acquisition and removal, 22% of the respondents said "Yes", 52% said knew "a little", and 26% said "No". l 78% of the surveyed households knew to appeal if their legal rights were aggrieved in the land acquisition and removal. The survey results about the public knowledge, attitudes and suggestions are presented in Table 10.1.

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TABLE 10.1 A Questionnaire of Public Knowledge and Attitudes towards the Project Conclusion (%) No Question Response (1) (2) (3) (4) (5) 1 Do you know the (1) Yes( 2) Not clear Duerbenxin dyke is to ( 3) No 78 4 12 be constructed? 2 Approve of the (1) Yes( 2) No 87 13 Project? ( 3) Indifferent 3 Who do you think will a) State( 1) Yes( 2) No 69 benefit from the b) Collectivity( 1) Yes( 2) No 78 Project? (Multiple c) Individuals( 1) Yes( 2) No choices) 100 4 What harm do you ( 1)Cause houses and properties know is caused by lost floods? (Multiple ( 2) Affect agricultural production 100 100 91 78 43 choices) ( 3) Damage infrastructure

( 4) Affect people's health ( 5) Affect investment conditions 5 What degree did ( 1) No impact floods affect your living ( 2) Not severe 22 78 and production? ( 3) Severe ( 4) Very severe 6 What benefits do you ( 1) Protect securities of people think you can get from and production the Project? ( 2) Increase agricultural production levels 100 96 87 26 ( 3) Improve living environment ( 4)Provide more opportunities of employment 7 What negative impacts ( 1) No unfavorable impact do you think the Project ( 2) Construction will affect will bring to you? production and living ( 3)Removal will cause economic 56 35 35 lost ( 4) Economic incomes are likely to be reduced because of the land acquisition 8 Do you know about the ( 1) Yes policies on ( 2) A little resettlement and ( 3) No 22 52 26 compensation for land acquisition and removal? 9 Do you know to appeal ( 1) Yes if you are aggrieved in ( 2) No 78 17 the land acquisition and removal? Note: Number of cases=23 households

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11 GRIEVANCE AND APPEAL PROCEDURE

The participation of the APs are always thought much of during establishment and implementation of the RP. The contents of the RP and the Resettlement Information Manual will be disclosed before Dec. 6, 2001. Meanwhile, an open and effective procedure of grievance and appeal as follows will be established to avoid the occurrence of major grievances.

Stage 1 If any relocatee does not agree with compensation rate or rehabilitation measure, he/she can lodge a written or oral complain to NTG. In case an oral complaint is made, it will be recorded on paper and resolved by ZBLAB within 2 weeks.

Stage 2 If the relocatee is dissatisfied with the resolution of Stage 1, he/she can appeal to ZBPMO or ZBLAB after receiving the decision. A reply should be made by ZBPMO to the appeal within 2 weeks.

Stage 3 In case the relocatee is still not satisfied with the revolution of Stage 2, he/she can appeal to XLPLG asking for administrative arbitration after receiving the decision of ZBPMO or ZBLAB. The arbitration institutions should make arbitral decision within 3 weeks.

Stage 4 In case the relocatee is still not satisfied with the arbitral decision, he/she can appeal to the People Court in accordance with the Civil Procedure Act after receiving the administrative arbitration. The relocatee can appeal any aspect of the resettlement including compensation.

The APs will be informed about the above grievance and appeal procedure through holding meetings or other approaches to understand that they have the rights of grievance and appeal.

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12 MONITORING

In order to ensure the successful implementation of the RP and accomplish the objectives to achieve appropriate resettlement, monitoring and evaluation should be carried out for the implementation of LAR in accordance with the requirement of the Resettlement Handbook of ADB. The monitoring is divided into two parts, the internal monitoring undertaken by the resettlement implementing agencies and the independent external monitoring by an independent monitoring agency (IMA).

The internal monitoring is undertaken by XLPLG, ZBPMO, ZBLAB and NTG with the objectives to ensure all responsible entities to execute LAR conforming to the principal and schedule of the RP and to keep super performance in the implementation.

The independent monitoring and evaluation is done by an independent monitoring agency (IMA) that will carry out regular monitoring and evaluation to the activities of LAR. The NRCR of Hohai University is planned to undertake the independent monitoring (IM) of the Project in respects of ? operation efficiency of the resettlement institution, ? implementation schedule of LAR, ? compensation and restoration for the permanent and temporary land acquisition, and ? tracking investigation and analysis to the standards of production and livings of the APs. An agency undertakes the IM, being independent of the project, to inspect the whole implementation from an overall and long-term point of view. The IMA will track the resettlement activities of the Project to evaluate whether the implementation of LAR ? obeys the national laws related to LAR, ? conforms to the Involuntary Resettlement Policy of ADB, and ? makes the standards of production and livings of the APs to be restored or increased. The IMA will put forward proposals to ZBPMO in time so that the problems taking place in the implementation of the LAR can be solved as soon as possible.

12.1 Internal Monitoring and Examination

The ZBPMO will set up an internal monitoring operation mechanism to examine the resettlement activities. All APs will be monitored, and an internal monitoring and examination will be carried out to the overall procedure of LAR, using the resettlement action plan and a basic database about LAR established by ZBPMO.

12.1.1 Implementation Procedure

During implementation period, ZBPMO will collect and record the information about

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resettlement and restoration of the APs affected by land acquisition, the villagers affected by temporary land acquisition, transfer the action records with the implementation schedules to XLPLG in time to keep the continuity of the monitoring activities.

In the above-mentioned monitoring procedure, information tables in an assigned format will be made out and submitted so that XLPLG, ZBPLG, ZBPMO, ZBLAB and NTG, as important components of the internal monitoring system, can make regular examination and verification.

12.1.2 Monitoring Contents

l Land compensation fee paid to the affected villages l Compensation and restoration for temporary land acquisition l Schedule of above activities l Implementation of the policies formulated by the RAs l APs' participation and consultation in the implementation l Personnel, training, working timetable and working efficiency of the resettlement implementing agencies

12.1.3 Personnel

The personnel of the resettlement implementing agencies in charge of monitoring and data treatment are shown in Table 12.1.

TABLE 12.1 Personnel Engaged in Monitoring Unit: persons Persons in Rush No Agency Full-time Personnel Hours 1 IMPLG 1 2 2 XLPLG 1 2 3 ZBPMO 2 4 4 ZBLAB 1 2

12.2 Independent Monitoring (IM)

The independent monitoring agency (IMA) will carry out monitoring based on the surveyed data used by the resettlement implementing agencies.

12.2.1 Independent Monitoring Agency (IMA)

The ZBPMO will engage the National Resettlement Center for Resettlement (NRCR)

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of Hohai University as the IMA of the Project. The NRCR is the earliest national special research institution in the field of resettlement, having rich experiences in resettlement policy, plan, design, implementation, monitoring, evaluation and management, and having undertaken a great many subprojects about resettlement and independent monitoring in the projects financed from the World Bank and ADB. The monitoring group is composed of four persons involving professor, doctor and master with abundant experiences of engineering resettlement and sociology. The outline of independent monitoring and evaluation is presented in Appendix 1.

12.2.2 Responsibilities

The IMA will carry out tracking monitoring and evaluation to the implementation of the RP and put forward consultative opinions for decision making.

The IMA will do spot investigation, and provide technological consultation and direction on the formulation of the RP and on the supplemented survey of socio-economic data. The IMA will develop some activities as follows

1) Base Investigation

The IMA will make base investigation, which is need by the independent monitoring and evaluation, towards the villages, APs affected by land acquisition of the Project, through which the base information about production and living standards of the monitored APs can be obtained. The investigation of production and living standards will be made once a year to track the variation of the standards of production and living of the APs. The necessary data can be acquired be means of tracking the representative samples those are randomly drawn previously, making informal interview and observing in situ. Statistical analysis can be done based on the above data, and the evaluation can be worked out.

2) Regular Monitoring and Evaluation

The IMA will make regular tracking monitoring twice a year during the implementation period of the RA. Through in-situ observation, sample tracking investigation and informal interview, the IMA will monitor l Payment and amount of land compensation fee l Compensation for land temporary use l Standards of production and living of the APs

39 SONGHUA RIVER FLOOD MANAGEMENT SECTOR PROJECT ANNEX B: DUERBENXIN DIKE RESETTLEMENT PLAN

l Implementation schedule of resettlement l Institutional arrangement for resettlement

3) Public Consultation

The IMA will participate in the public consultations held during the preparation and implementation of the RP, consequently to evaluate the effect of public participation.

4) Complaints

The IMA will interview some institutions during monitoring, will go deep into ZBPMO and other implementing agencies which can resolve complaints to enquire the transaction of complaints, and will meet the APs who have complaints. Aiming at the existing issues, the IMA will put forward measures and suggestions to make the implementation of resettlement more effectively.

12.2.3 Procedure

1) Compile the general outline of monitoring and evaluation 2) Compile investigation outline and questionnaires 3) Design the sample investigation program and determine representative APs households 4) Base investigation 5) Establish monitoring and evaluation information system 6) Monitoring and investigation Regional socio-economic survey Resettlement implementing agencies Representative APs households 8) Put the monitoring data in order and establish database 9) Compare and analyze 10) Compile monitoring and evaluation report

40 SONGHUA RIVER FLOOD MANAGEMENT SECTOR PROJECT ANNEX B: DUERBENXIN DIKE RESETTLEMENT PLAN

APPENDIX 1. OUTLINE OF INDEPENDENT MONITORING AND EVALUATION

1. Brief Description of the Project

2. Objectives of Monitoring and Evaluation

According to the requirement of the Resettlement Handbook of ADB, the independent monitoring and evaluation should be worked out for the resettlement of the Duerbenxin dyke project. The tracking monitoring and evaluation of the implementation of LAR will be carried out, through examining the schedule, funds, administration of LAR, analyzing and comparing the variation of the production and living standards of the APs affected by land acquisition, analyzing and comparing the compensations. When reports are submitted to ADB, ZBPMO and other relative authorities regularly twice a year, information and proposals should also be provided to them for reference. Through the independent monitoring and evaluation, ADB and

41 SONGHUA RIVER FLOOD MANAGEMENT SECTOR PROJECT ANNEX B: DUERBENXIN DIKE RESETTLEMENT PLAN

the authorities in charge of the Project can sufficiently understand whether the objectives of the LAR has been accomplished on time with the expected quality, point out the existing problems, if any, and put forward proposals to improve the performance of implementation.

3. Contents of Monitoring and Evaluation

( 1) Socio-economic survey: to survey the socio-economic profile of affected districts and representative villages ( 2) Representative APs losing lands: payment of compensation fee for APs and standing crops, employment relocation, income restoration and resettlement quality ( 3) Resettlement implementing agencies: capability and efficiency of the agencies ( 4) Public participation: APs' participation in the preparation and implementation of the RP, participation effect ( 5) Grievance: operation mechanism and efficiency of grievance

4. Institutional Framework of Monitoring and Evaluation

( 1) ZBPMO will commission NRCR to take charge of the detail investigation, data collection, calculation and analysis, and will examine its performance. ( 2) The NRCR of Hohai University will organize a monitoring and evaluation group for Duerbenxin dyke project. Under the direction of the officials of ADB, the group will be responsible for the monitoring and evaluation of resettlement, the compilation of the outline of monitoring and evaluation, the setup of monitoring spots, the in-situ survey and interior analysis work, and the compilation of the report of monitoring and evaluation. ( 3) ZBPMO will provide supports to the group in respects of personnel and communication etc. when the in situ monitoring and investigation are in progress.

5. Methods of Monitoring and Evaluation

( 1) Methods including in situ investigation, calculation and analysis and experts' comprehensive evaluation will be adopted for monitoring and evaluation. ( 2) The investigation will be done by linking work at selected spots with that in

42 SONGHUA RIVER FLOOD MANAGEMENT SECTOR PROJECT ANNEX B: DUERBENXIN DIKE RESETTLEMENT PLAN

entire areas, in respects of the schedule, funds, institutions and administration of the implementation. Sample investigation will be adapted to the APs. ( 3) The samples are randomly drawn from different classes with different proportions, 10% for the residential households affected by land acquisition, and 10% for temporary land use. ( 4) Carry out the comprehensive investigation by questionnaire, informal discussion or through looking up files and records. ( 5) Pay attention to collecting pictures, audio and visual data, and material objects data besides written data.

6. Technological Routines of Monitoring and Evaluation

OM&E

SQR

DSIS

MIS

Socioeconomic Executive Sampled APs Sampled APs survey agencies by land acquisition by land use

DBS

ECA

RM&E

Finish Yes or Not

End

ILLUSTRATION

43 SONGHUA RIVER FLOOD MANAGEMENT SECTOR PROJECT ANNEX B: DUERBENXIN DIKE RESETTLEMENT PLAN

PE - Project establishment OM&E - Work out the outline of monitoring and evaluation (M&E) SQR Work out summary, questionnaire, recording cards of - representative APs and entities DSIS - Design of sample investigation scheme BI - Base investigation MIS - Establish management information system (MIS) of M&E MI - Monitoring investigation DBS - Put monitoring data in order and establish database ECA - Evaluation by comparison and analysis RM&E - Compile report of M&E

7. Planned Schedule of Monitoring and Evaluation

l Establish independent monitoring and evaluation group and compile detailed outline of monitoring and evaluation in November 2001. l Make preparation for the independent monitoring and evaluation in December 2001, including compiling questionnaire, establishing monitoring system, determining missions and ascertain monitoring spots. l Carry out the first phase of monitoring activities in January 2002, in respects of the base investigation and the preparation of resettlement, and submit the first phase of monitoring and evaluation report in February 2002. l Carry out the second monitoring in July 2002, in respects of the implementation of resettlement, the schedule and quality of resettlement and the compensation payment, and submit the second phase of report in August 2002. l Carry out the third monitoring in January 2003, in respects of the income restoration of the representative APs, the production restoration of the APs, and submit the third phase of report in February 2003.