RP895 V3 Public Disclosure Authorized

World Bank Financed Zhaotong Central City Environmental Construction Project

Public Disclosure Authorized Social Assessment Report

Public Disclosure Authorized

China Cross-Cultural Consulting Center at Sun Yat-sen University November 21, 2009

Public Disclosure Authorized

I Abstract

Entrusted by the Yunnan Provincial Management Office and Zhaoyang District Management Office of the World Bank Financed Yunnan Urban Environment Project, the social assessment (SA) experts from the China Cross-Cultural Consulting Center at Sun Yat-sen University (CCCC at SYU) went to Zhaoyang District, Zhaotong Municipality for a field SA investigation of the three subprojects under the World Bank Financed Zhaotong Central City Environmental Construction Project (hereinafter referred to as the “Project”) from September 17 to November 12, 2009, and completed the SA report of the Project on November 21, 2009 on schedule. The Project consists of three subprojects, which are the central city river management project, the northern area water supply and pipeline project and the central city sewage treatment and intercepting sewer project. The Project involves 3 sub-districts and 4 Townships of Zhaoyang District, which are Longquan Sub-district, Taiping Sub-district, Fenghuang Sub-district, Beizha Town, Xiaolongdong Xiang, Yongfeng Xiang and Shouwang Xiang, benefiting a total population of 318,192, including an urban beneficiary population of 110,158, accounting for 34.62% of total beneficiary population, a rural beneficiary population of 169,288, accounting for 53.20%, and a temporary beneficiary population of 38,746, accounting for 12.18%. The affected place is a state-level poor county/district. The Project will benefit 33 poor communities/villages and a poor population of 16,300, accounting for 5.82% of total beneficiary population, including a poor rural population of 12,600. In addition, the affected areas involve an ethnic minority population of 85,311, accounting for 21.47% of the population of the affected areas. At the preparatory stage of SA, the SA experts of the World Bank identified the key social factors affecting the fulfillment of project objectives: The possible key social influencing factors of the river management project include the behavior of the affected groups, community participation, institutional arrangements, poverty, willingness and ability to pay, etc.; The possible key social influencing factors of the northern area water supply and pipeline project and the central city sewage treatment and intercepting sewer project include land acquisition and house demolition, the lifestyle of the affected groups, poverty, willingness and ability to pay, etc.; Ethnic minorities: The social factors of concern include the policies applicable to ethnic minorities, demographic, social and cultural characteristics of ethnic minorities, learning specific requirements of ethnic minorities through consultation,

I acquiring support of ethnic minority communities for the Project through consultation, and proposing measures to avoid or reduce negative impacts on ethnic minority communities adapted to ethnic minority cultures. Around the above social factors that may affect the fulfillment of the objectives of the Project, this report focuses on the following on the basis of SA fieldwork information: 1. The ethnic minorities in the affected areas, and the impacts of the Project on ethnic minorities, so as to determine if it is necessary to develop a separate ethnic minority development plan for the ethnic minorities in the affected areas. The SA team has analyze the cultural characteristics of the ethnic minorities in the affected areas, the impacts of the Project on ethnic minorities and how to ensure that ethnic minorities are equally benefited in line with the World Bank policy OP4.10. 2. The poor population in the affected areas, and the impacts of the Project on the poor population. The Project will benefit a rural poor population of 12,600 and an urban poor population of 3,700, where poor population accounts for 5.82% of the total population benefited by the Project. All the three subprojects involve land acquisition or house demolition. Relatively poor communities and population are often disadvantaged in resettlement using compensation fees, benefiting from the Project and making forward adaptation. In some projects that involve the relocation of urban residents, the affected poor population may suffer from reduced income sources (e.g., rent income) and damage to existing interpersonal relations. In addition, after the Project is completed, increased sewage and waste treatment charges may increase the burden on urban poor households. However, the project design covers both rural and urban poor population. From the following perspectives, the existing project plan and design will not marginalize the poor population or create more poor population: First, the Project will improve the living environment and conditions, and improve the health level of the poor population; second, the Project will also provide job opportunities to the poor population and increase their income; third, after the Project is completed, the preferential charging policies for the poor population will alleviate the burden on the poor population effectively; and fourth, the Resettlement Action Plan (RAP) focused on the cultural and development needs of the poor population will help the poor population restore livelihoods and offer development opportunities. 3. Involuntary resettlement arising from the Project: Land acquisition and house demolition will lead to changes in livelihoods and reduced income of involuntarily

II displaced persons, and may also result in a series of potential and long-term social, cultural and mental adjustments. 4. Progress of payment, willingness and ability to pay of the affected areas: A preferential policy is in place on the payment of charges by the poor population in Zhaoyang District. Certified five-guarantee families, some disabled people (unsecured subsistence, and holding a Level 2 or above disability certificate) and other groups with living difficulties are exempt from water charges (including sewage treatment charges) for 3 m3 per month-household. The SA team has found through door-to-door interview and FGD that both rural and urban residents can afford the prevailing water rates, and are willing to pay the costs for the supporting facilities (water meter, etc.) to be purchased for the Project. 1. Behavior of the affected residents and environmental protection: This report pays particular attention to how the environmental protection awareness and lifestyle of the affected groups are suited to the objectives of the Project, and thinks that the environmental issues arising in the affected areas are closely associated with the lifestyle of the affected groups in the affected areas. 2. Involvement of the primary stakeholders in the Project: In the fieldwork, the SA team conducted free, prior and informed consultation with the primary stakeholders by means of FGD, interview, drawing and ranking, and made an analysis of development issues, needs for the Project, impacts of the Project and suggestions for the Project together with them. On this basis, the SA team has developed the participation outline for the primary stakeholders. The SA team thinks the social benefits of the Project are embodied mainly in the following: 1. The Project is an integral part of Zhaotong Municipality’s effort to improve the environmental quality of key river basins and urban areas, drive the urbanization of Zhaotong Central City and implement a sustainable development strategy, and a priority action for the state, Yunnan Province and Zhaotong Municipality to drive industry restructuring through urban improvement. All subprojects are urgent in the local socioeconomic development process today. The implementation of these projects will play an active role in improving basin and regional environmental quality, urban environment and living conditions, expanding spaces of urban development, improving urban image and investment environment, and promoting urbanization. 2. The promotional effects of the Project to urban economic development will be shown over a long term. These effects mainly include: (1) improving urban environment; (2) improving urban infrastructure; (3) laying a foundation for the development of Zhaoyang District’s tourism, agriculture, service and other related

III industries; (4) providing job opportunities to related industries during and after the construction period; and (5) providing a guarantee for further urbanization. 3. The Project will also drive the institutional capacity building of the environmental protection bureau and other related departments in the affected areas. Applying the advanced project management philosophy and approaches of the World Bank to establish an advanced office management system can help train a number of management personnel for environmental and World Bank projects, deepen these departments’ understanding of the project team and international cooperative projects, and expand the Project’s social influence and benefits. In addition, the Project will also foster and enhance the environmental protection awareness of the affected residents. 4. The Project covers both rural and urban poor population, and will improve the living environment and conditions, and improve the health level of the poor population. The Project will also provide job opportunities to the poor population and increase their income. The potential risks of the Project identified by the SA team include: 1. Resettlement risks: Both the river management project and the northern area water supply and pipeline project involve land acquisition and house demolition, which are the main potential social risks of the Project. 2. Risk of low ability to pay of the urban poor population: After the Project is completed, some environmental charges will be added, which may increase the financial burden on the urban poor population. 3. Risk of secondary pollution: During the treatment of urban sewage and river silt, pollutants may pose negative impacts in respect of air, water and soil pollution to the local residents due to their own characteristics. 4. Risk of fulfillment of project objectives and continuation of residents’ lifestyle: Some urban and rural residents have not realized that they are also a pollution source to rivers, nor have they realized that they must behave themselves to purify rivers and control pollution. This might be adverse to the fulfillment and continuation of the objectives of the Project. 5. Risk of residents’ environmental awareness and environmental protection: The primary stakeholders have neither realized the impact of their own behavior on the ambient environment, nor have they realized that they are one of the subjects of environmental management. This will be adverse to the involvement of the primary stakeholders in the Project during the whole project lifecycle.

IV 6. Risk of subsequent project management: Subsequent project management is a key to the continuation of the effects of the Project after the end of the implementation period, and also an important indicator of the Project’s sustainability. 7. Risk of institutional capacity building: Ensuring institutional capacity building can adapt to the continuation of the nature of different projects, and is an objective need to relieve environmental issues and an important guarantee of successful project implementation. 8. Conflict between residents and construction: The construction process will bring conveniences to the residents’ life, and may cause local public security issues. If such negative impacts cannot be avoided or alleviated effectively, there is likely to be conflict between the residents and the implementing agencies, thereby affecting the progress of construction. 9. Risk of compensation for land acquisition: The Project involves an extensive area of land acquisition and a complex mix of land types. The affected areas have been subject to land acquisition many times. Since the compensation rates for land acquisition of different Xiangs, towns and sub-districts in the affected areas vary, and the title to part of the acquired land has been changed repeatedly, there is a certain risk in solving the problem of compensation for land acquisition in different areas in the Project. 10. Risk of protection of cultural relics: The Project involves the conservation of temples near rivers and water sources. In the northern area water supply and pipeline project, the Dalongdong water source is very close to the Dalongdong Taoist Temple, and the surrounding area has been planned for an urban park. Ensuring the conservation of historical and cultural relics after the water source conserve has been delimited is an important prerequisite to avoiding the risk of cultural relic destruction arising from the Project. Aiming at the above possible social risks, the SA team has proposed the following suggestions: 1. Optimizing the design: The employer and feasibility study agency of the Project are advised to minimize the size of land acquisition and house demolition involved in the Project, and employ advanced environmental protection measures to avoid the possible secondary pollution issue. For the sources of pollution near the site of the northern area water supply and pipeline project, it is advised to integrate project planning and construction with the management of the surrounding environment. 2. Conducting participatory activities, and involving the primary stakeholders in the design, implementation, management and supervision of the Project. The

V employer, the project management office (PMO) and the SA team should develop the participation outline of beneficiaries, and conduct monitoring and evaluation of participatory activities to ensure that the primary stakeholders are involved during the whole project lifecycle from preparation, design and implementation to monitoring and evaluation, and build up a sense of subject for environmental protection. For the Dalongdong water source, the Dalongdong Water Source Administration led by the district government and involving the Dalongdong Taoist Temple Management Committee, the waterworks, the municipal forestry bureau, Dalongdong Travel Agency and local residents to coordinate and strengthen the management of the Dalongdong water source. 3. Giving education and training on environmental knowledge and public health: It is advised that the competent department of the government should give training on state and local environmental indicators, and environmental protection regulations, and training on water conservation, civil treatment of sewage and waste, non-point pollution control, waterborne disease prevention and waste recycling to the whole public in conjunction with the publicity department, the education bureau, the environmental protection bureau, the broadcast and television bureau, newspapers, sub-districts, Townships, towns and neighborhood committees/villages, so that the affected residents can realize which lifestyles may affect the ambient environment. 4. Developing a rational RAP: The PMO, the resettlement plan preparation team and the employer are advised to ensure that the standard of living of the displaced persons is at least not reduced due to the Project in light with the applicable policies and on the basis of consultation with the affected people, taking into account any negative impact on the traditional cultures of ethnic minorities due to the impact on their land and natural resources; further resettlement effort should be paid to minor- ethnic-minority displaced persons and their communities, and relatively poor displaced persons. 5. Providing job opportunities: The PMO, the employer and the construction agency are advised to provide job opportunities to the displaced persons, urban and rural poor people, women and ethnic minorities in conjunction with the civil affairs bureau and the labor and social security bureau, so that they can be involved in project construction. 6. Enacting and enforcing preferential charging policies for the poor population: The PMO, the employer and the price bureau are suggested to enact charging policies suitable for the local poor population on the basis of public hearing. 7. Formulating rational compensation rates for land acquisition: The PMO, the employer and the departments concerned are advised to listen extensively to the

VI requirements of different groups for compensation for land acquisition, and formulate feasible compensation rates and supplementary implementation procedures for the whole district with the assistance of SA and involuntary resettlement experts. 8. Maintenance of safety and convenience during construction: The employer and the construction agency are advised to arrange the construction schedule taking the objective production and living needs and habits of the local residents into full consideration during the construction period. 9. Institutional capacity building: It is advised to define the rights and obligations of the construction, management and maintenance agencies in the central city sewage treatment and intercepting sewer project, and how proceeds and costs should be shared; in the river management project, it is advised to set up an environmental management agency to solve the problem of overlapping river management, strengthen the monitoring and evaluation of the surrounding areas and environment, and strengthen law-enforcement capacity. 10. Subsequent project management mechanism: It is advised to involve the affected residents in subsequent project management, set up a community subsequent project management team on the basis of the community project management team during the construction period, such as a “water users association”. Members of such team should be elected by villagers, and must include women’s representatives of not less than 30% of the headcount and ethnic minority representatives from the community. Environmental authorities are advised to strengthen legislation and law enforcement on environmental protection, and the environmental education for the affected residents in order to realize sustainable effects of the Project. On the basis of an overall analysis of the social impacts of the Project, the SA team has proposed specific actions required for each subproject in order to minimize the negative impacts of the Project and ensure that the primary stakeholders are equally benefited. The SA team thinks all the three subprojects should take specific actions in the following aspects: (1) conducting community participation activities to learn the primary stakeholders’ needs and suggestions; (2) developing a RAP for projects involving land acquisition and house demolition to assist the displaced persons in restoring production and livelihoods and (3) designing a rational construction schedule, and providing job opportunities to the affected groups, especially vulnerable groups.

VII Foreword

From September 17 to November 14, 2009, the SA experts from the CCCC at SYU went to Zhaoyang District, Zhaotong Municipality, Yunnan to make a field SA investigation of the three subprojects under the Project. The main objectives of this SA include: to learn the basic situation of socioeconomic development of the affected areas, and analyze key social factors affecting the fulfillment of project objectives; to identify the primary stakeholders, carry out project activities that involve the primary stakeholders, and analyze their needs and the impacts on them; to assess the potential positive and negative impacts of the Project, and analyze the possible social risks of the Project; to incorporate social factors related to the fulfillment of project objectives into the project design, and propose measures to avoid or alleviate negative impacts; and to determine if it is necessary to develop an ethnic minority development for the ethnic minorities in the affected areas in light of World Bank OP4.10. In two rounds of fieldwork lasting 8 and 4 days respectively, the SA team collected all information required for the SA comprehensively by means of FGD with stakeholders, questionnaire survey, in-depth interview and participatory rural assessment (PRA), etc. around the above objectives. On September 25 and November 14, 2009, we analyzed and compiled the collected information, and completed the first draft of this report on November 21, 2009. At the end of November 2009, the SA team supplemented relevant information and completed the revision of this report based on the inputs of World Bank officials, experts of the international consulting agency and the provincial/prefecture/municipal PMOs. This SA was conducted with the great support from officials of the Yunnan Provincial PMO, especially Ms. Guo Ping and Mr. Li Jiangping, the Zhaoyang District Government, the district PMO and the employers, and the active cooperation of the villagers/residents at the survey sites, and the relevant Xiang/town/sub-district authorities. During the SA and the preparation of this report, World Bank expert Ms. Zhou Meixiang gave valuable comments and inputs. We’d like to express our

VIII heartfelt thanks to the leaders who has worked hard and those assisting with the survey!

IX Contents

Abstract I

Foreword VIII

1 Background of the Project

N P

D P

E P

2 Socioeconomic Profile of the Affected Areas

3 Overview of Ethnic Minorities and Relevant Policies

C C W B

4. Baseline of Ethnic Minorities Development and Impacts of the Project on Ethnic

Minorities

I P

5 Stakeholder Analysis

1 P P

6 Project Impact Analysis

S R P S

P P N I A

7 Willingness and Ability to Pay

8. Involuntary Resettlement in the Affected Areas

S P

I P

9. Identification and Control of Social Risks

9.2 Control of social risks

10 Community Participation Strategy

11 Conclusion, Suggestions and Actions

Appendix I

Appendix II

Appendix III

Annex IV

2 Background of the Project

1.1 Need for the Project Yunnan Province is located by the southwest frontier of China, borders on Guizhou Province and Guangxi Zhuang Autonomous Region in the east, Sichuan Province in the north, Tibet Autonomous Region in the northwest, Myanmar, Laos and Vietnam in the west and south. The province has a territory of 394,000 km2, including an upland area of 94%. At the end of 2005, the province’s urbanization rate attained 29.5%. During the 11th 5-year Plan, the province plans to reach an urbanization rate of 35%, a gross GDP of 522.5 billion yuan, a per capita GDP of 11,360 yuan and an annual GDP growth of 8.5% by 2010. However, the rapid development of urbanization and tourism has gone beyond the bearing capacity of the existing urban infrastructure, bringing great challenges to the overall urban living conditions. Deterioration of urban environment, such as water degradation in urban rivers, resulting in inland inundation, and a general lack of urban infrastructure that supports the urbanization process have emerged, which is especially true in small towns. Although great effort has been paid to pollution prevention and control in recent years, pollution remains serious in the surface water and main lakes near the cities in the province. For many years, the Yunnan Provincial CPC Committee and the provincial government have been attaching great importance to environmental infrastructure construction and protection, and committed to strengthening pollution control and ecological construction. During the 9th and 10th 5-year plans, the Yunnan Environment Project with focus on the control of Dianchi Lake pollution was implemented using World Bank lending by constructing a range of sewage and waste treatment facilities, playing an active role in promoting the integrated regulation of Dianchi Lake pollution and the environment improvement of key cities. In order to further promote the integrated regulation of key river basins in the province, and accelerate the urbanization process of key cities, the provincial government has sought for World Bank lending actively, and selected 32 projects in Kunming, Dali, Lijiang and Zhaotong Cities/Prefectures from nearly 100 candidate projects in 10 cities and prefectures, which constitute the Yunnan Urban Environmental Project (Phase 1), in light of local development plans and the priorities supported by the World Bank. Since 14 subprojects, including the environmental protection and regulation of Erhai Lake in Dali Prefecture, and environmental infrastructure construction in Wenshan, Malipo and Maguan Counties, Wenshan Prefecture, are located in the

3 basins of the upper-reach branches of the cross-border Lancang-Mekong River and Red River, the subprojects concerning cross-border rivers have been withdrawn from the proposed Yunnan Urban Environmental Project, and are not implemented for the moment in light of the applicable provisions of the World Bank, and the consultations between the Ministry of Finance and the World Bank. Therefore, according to the scope of the Project identified in the assessment and the final willingness of the Employer, the World Bank Financed Yunnan Urban Environmental Project (Phase 1) consists of 18 subprojects, with an estimated gross investment of 1.22326 billion yuan, in which a World Bank loan of US$90 million (equivalent to 612.16 million yuan, the ratio of the US dollar to the RMB being 1:6.8) is under application, accounting for 50% of gross investment, and local counterpart funds will be 611.1 million yuan. Since the credit line of the World Bank for the Yunnan Urban Environmental Project is US$150 million, a World Bank loan of US$90 million is under application for the 18 subprojects of Phase 1, with US$60 million remaining. The Zhaotong municipality plans to apply for part of this loan for the construction of the Zhaotong Central City Environmental Construction Project (hereinafter referred to the “Project”). Zhaotong Municipality is located on northeastern Yunnan, in the lower Jinsha River, and at the junction of Yunnan, Sichuan and Guizhou Provinces, bordering Liangshan Prefecture and Yibin City, Sichuan in the north and west, Bijie Region in Guizhou in the east, and Qujing, Yunnan in the south. The city has a territory of 23,021 km2, and is located within east longitude 102°52 -105°19 and north latitude 26°3-28°40 , with a maximum span of 241 km from east to west and 234 km from south to north. The construction sites of the Project are located mainly in Zhaoyang District, Zhaotong, Yunnan, 381 km away from the capital city Kunming of Yunnan, and about 500 km away from the other 3 southwestern central cities Chongqing, Chengdu and Guiyang by highway. The central city sewage treatment and intercepting sewer project is located mainly in the northern new area of the city. The Project consists of 3 components: northern area water supply and pipeline project, central city sewage treatment and intercepting sewer project and central city river management project. See Table 1-1 for the scope of the Project.

4 Table 1-1 Scope of the Project Project Subproject Scope Employer (1) Construction of a 23km delivery pipeline (DN1400) from Yudong Reservoir to Taiping Water Treatment Plant; (2) Construction of Taiping Water Treatment Plant with a near-term treatment capacity of 50,000 m3/d Zhaotong Water

Z Northern area and a long-term capacity of 100,000 m3/d;

h Supply and

a water supply and (3) Construction of Qingmen Water Treatment Plant

o Sewerage

t pipeline project with a near-term treatment capacity of 10,000 m3/d o Company n and a long-term capacity of 20,000 m3/d; g C C o (4) Construction of the northern area distribution n e s

n network of 113.38km t t r r u

a (5) Structures and supporting facilities for water c l t C

i supply and drainage systems o i n t y (1) Northern area supporting sewer pipelines P E r n o of an old urban area sewage v 61.507km; j

e Central city Zhaotong Water i r c o

t sewage treatment pipeline of 29.451km; Supply and n

m and intercepting (2) Expansion of former Zhaotong Sewage Sewerage e

n sewer project Treatment Plant, with a total floor area of 136.8 mu; Company t a

l expansion to the treatment capacity of 20,000 m3/d in the near future using the oxidation ditch process Zhaotong Urban Bank protection, reinforcement and regulation of River Construction watercourses of 48.162km, including 17.935km for management Investment and the Liji River system, 30.227km for the Tuwei River project Development Co., system. Ltd.

1.2 Development objectives of the Project The overall objectives of the Project are to: reduce the pollution load of central urban river basins, remove water pollutants and retard environmental deterioration; accelerate the construction of urban water supply and drainage, and sewage treatment systems of the affected towns, and solve water supply, sewage discharge and treatment problems for residents of the new northern area and the old urban area; and accelerate urban infrastructure construction, thereby improving the urban environment, and laying a foundation for urban economic and social development.

1.3 Expected social benefits of the Project

The expected social benefits of the Project are to: reduce the pollution load of

rivers, dredge watercourses, solve the urban inland inundation and river pollution

problems, and improve the city’s overall image; improve the living conditions of

urban residents of the northern area and the urban planning area, and improve the

5 living environment; and accelerate urban infrastructure construction, improve the city’s competitiveness, and laying a foundation for urbanization and urban industry restructuring.

The objectives of the subprojects are to:

1.3.1 Central city river management project

Accelerating the construction of urban environmental infrastructure in the basin, and improving the urban environment;

Eliminating point and non-point source pollution, and solving the urban water logging problem;

Dredging watercourses, improving the flow capacity of watercourses, and solving the inland inundation problem;

Improving river water quality, and solving the agricultural water problem of the surrounding areas;

Improving the living environment in the affected areas, and improving the public awareness of environmental protection in the basin; and

Improving the living environment and conditions of the residents around the basin

1.3.2 Central city sewage treatment and intercepting sewer project

Improving the water drainage conditions of the northern area, and meeting the demand of economic development and the improvement of people’s standard of living for drainage facilities;

Disposing of sewage within the urban planning area properly, and realizing the conservation and rational utilization of water resources in conjunction with the river management project;

Accelerating urban infrastructure construction, thereby improving the urban environment, and further promoting urbanization and urban industry restructuring;

Improving the urban environment and the city’s overall image

1.3.3 Central city northern area water supply and pipeline project

Solving the water problem for the residents in the northern area, and meeting people’s most urgent need;

6 Improving water quality, and ensuring healthy water use;

Reducing the usage of water wells, and avoiding the pollution of groundwater and the waste of water resources;

Stimulating the residents’ awareness of environmental protection and conservation of water resources by imposing water rates;

Driving the economic development of the new northern area, and attract more fund inflows; and

Strengthening the infrastructure construction of the new northern area, providing more job opportunities, and accelerating urbanization

1.4 Objectives of social assessment

The main objectives of this social assessment are:

To learn the basic socioeconomic conditions of the affected areas, and analyze the key social factors affecting the fulfillment of project objectives;

To identify the primary stakeholders, carry out project activities that involve them, and analyze their needs and impacts;

To assess the positive and negative impacts of the Project, and analyze the possible social risks of the Project;

To include the social factors related to the fulfillment of the project objectives in the project design, and propose measures to avoid or alleviate negative impacts; and

To determine if it is necessary to develop an ethnic minority development for the ethnic minorities in the affected areas in light of World Bank OP4.10

1.5 Key social factors affecting the fulfillment of project objectives

At the preparatory stage of the social assessment, the social assessment experts of the World Bank identified the key social factors affecting the fulfillment of project objectives:

7 The possible key social factors for the river management project include the behavior of the affected groups, community participation, institutional arrangements, poverty, willingness and ability to pay, etc.

The possible key social factors for the Central city sewage treatment and intercepting sewer project include land acquisition and house demolition, the lifestyle of the affected groups, poverty, willingness and ability to pay, etc.

The possible key social factors for the northern area water supply project include water source conservation, land acquisition and house demolition, the lifestyle of the affected groups, poverty, willingness and ability to pay, etc.

Ethnic minorities: The social factors of concern include the policies applicable to ethnic minorities, demographic, social and cultural characteristics, and lifestyle of ethnic minorities; their specific requirements; the acquisition of the support of ethnic minority communities for the Project; the proposal of measures that adapt to ethnic minority cultures to avoid or alleviate negative impacts on ethnic minority communities.

1.6 Methodology of social assessment

1.6.1 Social survey methods

This social assessment was conducted through a combination of secondhand literature analysis and fieldwork. In the fieldwork, the social assessment (SA) team conducted the following activities:

FGD (FGD): a) The SA team held FGDs with officials of project management offices (PMOs) at all levels, the project employers and the government agencies concerned in Zhaoyang District, Zhaotong; b) Village/community FGDs with officials and the public involving the primary stakeholders were held at each key community surveyed; FGDs with the primary stakeholders involved those directly and indirectly affected by the Project, especially representatives of the poor, ethnic minorities and women. The SA team held 13 FGDs with the primary stakeholders in total.

8 Ranking: At the FGDs with officials and the primary stakeholders, the SA team carried out 9 rankings in respect of needs for, attitude toward, expectations and suggestions for the Project.

In-depth interview: In this assessment, typical groups and individuals were selected from typical communities for survey, and in-depth interview was carried out in the key communities surveyed and the affected areas, involving a certain proportion of women, ethnic minorities, poor people, stores and entities. 81 interview cases were collected and compiled.

Drawing: The SA team drew a community map at every key community surveyed.

Table 1-2 Schedule of fieldwork data of the SA team Longquan Fenghuang Taiping Sub- Total number Beizha Town Sub-district Sub-district district FGD 13 2 2 4 5 Ranking 9 1 2 3 3 In-depth 27 81 9 18 27 interview Drawing 8 1 2 2 3

1.6.2 Selection of survey sites

The survey sites for this social assessment were selected based on the following criteria: covering both beneficiary and adverse affected populations, including the poor, women and other vulnerable groups; paying attention to core areas adverse affected by the Project, especially those affected by land acquisition and house demolition; covering the main ethnic minorities in the affected areas; selecting survey sites of different levels of economic development; and covering the protected cultural relics involves in the Project.

9 Table 1-3 Schedule of Survey Sites and Reasons for Selection Subproject Survey site Reason for selecting this site The community with the most extensive runoff Guanba Community (Longquan area of the Liji River being regulated, site of Sub-district Office) the No.1 sludge drying plant Run through by the Yaowan and Xiushui Fuqiang Community (Taiping Rivers, seriously polluted, inhabited by Hui and Sub-district Office) Han people In the upper Xiushui and Yaowan Rivers, with Shuitangba Community (Taiping serious river silting, site of the No.5 sludge Sub-district Office) drying plant Shizhahe Community (Taiping In the upper Tuwei River, with serious river Sub-district Office) silting River Taoyuan Community (Taiping Site of the No.3 sludge drying plant, temporary management Sub-district Office) land acquisition project In the lower segment of the Dongmen River Yingfeng Community and the upper segment of the Zhonggou River, (Fenghuang Sub-district Office) seriously polluted, inhabited by Hui and Han people Xuezhuang Community In the upper Liji River, run through by the main (Fenghuang Sub-district Office) sewer pipeline At the middle runoff of the Liji River; the Heping Community (Fenghuang Doumuge Taoist Temple on the river bank may Sub-district Office) be involved in the Project. At the upper runoff of the Liji River, rural Dengzi Village (Beizha Town) community Ping’an Community (Fenghuang Site of Qingmen Waterworks, extensive use of Sub-district Office) well water Taoyuan Community (Taiping Site of Taiping Waterworks, moderately Northern area Sub-district Office) developed water supply Water source of Qingmen Waterworks, with Dalongdong Park (Beizha Town) project one ancient Taoist temple being a cultural relic Site of the booster pump station of Qingmen Shuiping Community (Taiping Waterworks, permanent acquisition of 3.3 mu Sub-district Office) of land Central city Fenghuang Community Site of the existing sewage treatment plant, sewage (Fenghuang Sub-district Office) partial use of well water treatment and In the upper Liji River, without use of tap water, intercepting Dengzi Village (Beizha Town) run through by the main interception pipeline sewer project

1.6.3 Data sources

The information collected in this assessment includes:

Firsthand fieldwork data, such as interview information, FGD information,

community resource maps, and videos, etc.;

Background materials and executive summaries from different levels related

to the Project, such as the proposals for project setup, feasibility study reports, urban

plans, etc.;

10 Official statistics, such as statistical yearbooks of the government agencies at all levels, and policy documents promulgated, etc.; and

Local annals, such as Annals of Zhaoyang District and Annals of Zhaotong

Municipality, etc.

When applying the above-mentioned references, the SA team follows three principles strictly: First, the latest statistics are used where possible; second, village/community-level statistics are based on firsthand information collected during the fieldwork where possible to ensure their objectiveness and accuracy; and third, relevant issues are analyzed and discussed in consideration of the opinions of the primary stakeholders, the project management agencies and the project employers in order to provide a comprehensive and objective picture.

1.7 Structure of this report

The main part of this report consists of 8 chapters, Chapter 1 “Background” provides an overview of Yunnan’s urban environmental construction, and describes the objectives, methods and operating process of social assessment.

Chapter 2 “Socioeconomic Profile of the Affected Areas” describes the macroscopic socioeconomic profile of the locations of the 18 subprojects.

Chapter 4 “Baseline of Ethnic Minorities Development and Impacts of the Project on Ethnic Minorities” aims to analyze the development status of the ethnic minorities in the affected areas, identify the impacts of the Project on them, and judge if it is necessary to prepare a separate ethnic minority action plan.

Chapter 4 “Stakeholder Analysis” reveals the process of the SA team identifying the stakeholders and conducting free, prior and informed consultation with the primary stakeholders, and analyzes the needs of the stakeholders.

In Chapter 5 “Project Impact Analysis”, the SA team makes an analysis of the positive and negative impacts of the Project on the primary stakeholders, especially the displaced persons, the poor and other special stakeholders.

11 In Chapter 6 “Willingness and Ability to Pay”, the SA team reviews and sums up the progress of payment of the relevant expenses in the affected areas, and analyzes the willingness and ability to pay of the affected groups.

In Chapter 8 “Involuntary Resettlement in the affected Areas”, the SA team seeks to identify and define the quantity, distribution and composition of involuntary resettlement arising from the Project, and propose the corresponding measures on the basis of reviewing and summarizing the past resettlement policies in the affected areas.

In Chapter 9 “Identification and Control of Social Risks”, the SA team identifies the 8 potential risks of the Project, and drafts risk control measures, and the institutional arrangements and monitoring and evaluation activities intended to implement such measures.

In Chapter 10 “Community Participation Strategy”, the SA team prepares the

Framework for Community Participation in the Project and the Participation Outline of the Primary Stakeholders to ensure that the primary stakeholders are involved in the whole project lifecycle.

In Chapter 11 “Conclusion, Suggestions and Actions”, the social benefits and risks of the Project are summed up, and the corresponding suggestions and actions to avoid such risks are proposed.

12 Socioeconomic Profile of the Affected Areas

2.1 Definition of the affected areas

The Project involves Zhaoyang District, Zhaotong. Zhaoyang District in the

Zhaotong Central City was converted from a municipality into a district in 2001, and

presently governs 3 sub-district offices (Longquan, Taiping, Fenghuang), 3 towns

(Yongfeng, Beizha, Jiupu), 14 Xiangs (Buga, Shouwang, Xiaolongdong, Panhe,

Jing’an, Qinggangling, Sayu, Leju, Sujiayuan, Sujia, Dashanbao, Dazhaizi, Yanshan,

Tianba), 129 village committees and 49 neighborhood committees.

First, the central city river management project includes river management by

taking such measures as dredging, expansion, dyke reinforcement and

reconstruction, and revetment construction depending on the present condition of the

rivers, and removal, modification or expansion of water-blocking structures, such as

bridges and overflow dams that affect river flow capacity. This subproject covers the

trunk stream of the Liji River, and the urban part of the trunk and branch streams of

the Tuwei River, including its branch streams the Dongmen Small River, the Yaowan

River and the Xiushui River. The total managed length of the central city river

management project is 48.162km.

Table 2-1 Scope of river management Length Managed length No. Name Range of management (km) (km) Total 84 48.162 From the junction of the Liji and Zhaolu Liji River water I 27.1 17.935 Rivers to the end of the flood discharge system facility of the Beizha Reservoir Tuwei River II 56.9 30.227 water system Tuwei River From the junction of the Zhaolu and Tuwei 1 28.1 19.638 water system Rivers to the railway station From the junction of the Yaowan and Xiushui 2 Xiushui River 12.4 4.329 Rivers to the airport Yaowan River, a From the junction of the Yaowan and Tuwei 3 branch stream of 13.7 5.06 River to Taiping Commune 9 Tuwei River From Zhaotong Normal College to the Dongmen Small 4 2.7 1.2 junction of the Dongmen Small River and the River trunk stream of the Tuwei River

13 The Liji River has a full length of 27.1km and a managed length of 17.9km, ranging from the junction of the Liji and Zhaolu Rivers to the end of the flood discharge facility of the Beizha Reservoir.

The truck stream of the Tuwei River has a full length of 28.1km and a managed length of 19.6km, ranging from the junction of the Zhaolu and Tuwei Rivers to the railway station.

The Xiushui River has a full length of 12.4km and a managed length of

4.33km, ranging from the junction of the Yaowan and Xiushui Rivers to the airport.

The Yaowan River, a branch stream of the Tuwei River, has a full length of

13.7km and a managed length of 5.06km, ranging from the junction of the Yaowan and Tuwei River to Taiping Commune 9.

The Dongmen Small River has a full length of 2.7km and a managed length of

1.2km, ranging from Zhaotong Normal College to the junction of the Dongmen Small

River and the trunk stream of the Tuwei River.

Managed river length is 56.504km, including 18km in the Liji River water system,

29.864km in the Tuwei River water system and 8.64km for the Dahuashu flood diversion channel.

Second, the northern area water supply and pipeline project includes construction of a 23km delivery pipeline (DN1400) from Yudong Reservoir to Taiping

Water Treatment Plant, construction of Taiping Water Treatment Plant with a near- term treatment capacity of 50,000 m3/d and a long-term capacity of 100,000 m3/d; construction of Qingmen Water Treatment Plant with a near-term treatment capacity of 10,000 m3/d and a long-term capacity of 20,000 m3/d; construction of the northern area drainage network of 107.9km; and construction of structures and supporting facilities for water supply and drainage systems. The aim is to attain an additional water supply capacity of 60,000 tons/day, and provide domestic and drinking water to all residents in the northern area of Zhaotong Central City.

Third, in the central city sewage treatment and intercepting sewer project, a sewage pipeline of 74.1km, an old urban area sewage pipeline of 20.9km and an along-river intercepting sewer pipeline of 64.35km will be built, former Zhaotong

14 Sewage Treatment Plant will be expanded to a total floor area of 136.8 mu, and treatment capacity will be expanded to 20,000 m3/d in the near future using the oxidation ditch process. This project will serve an urban population of 486,200 in the near term (2020) and692,500 in the long term (2030).

15 Table 2-1 Schedule of affected areas (2008) Is it an Is it a Number of ethnic Urban Rural poor Xiangs/ Total beneficiary Temporary Subproject City/district minority Xiangs/ towns/ sub-districts beneficiary beneficiary city/ towns/ sub- population population city/ population population district? districts district? Longquan Sub-district, Taiping River Sub-district, Fenghuang Sub- Zhaoyang management Yes No 7 district, Beizha Town, 318,192 110,158 169,288 38,746 District, Zhaotong project Xiaolongdong Xiang, Yongfeng Xiang, Shouwang Xiang Longquan Sub-district, Taiping Northern area Sub-district, Beizha Town, Zhaoyang water supply Yes No 7 Fenghuang Sub-district, 303,821 109,848 155,227 38,746 District, Zhaotong project Xiaolongdong Xiang, Yongfeng Xiang, Shouwang Xiang Central city Fenghuang Sub-district, Taiping sewage Sub-district, Longquan Sub- Zhaoyang treatment and Yes No 7 district, Beizha Town, Yongfeng 318,192 110,158 169,288 38,746 District, Zhaotong intercepting Town, Xiaolongdong Xiang, sewer project Shouwang Xiang

Figure 2-1 Distribution of the affected areas

2.2 Socioeconomic conditions of the affected areas

Zhaoyang District, Zhaotong was changed from a prefecture to a municipality

2001, and governs 3 sub-district offices (Longquan, Taiping, Fenghuang), 3 towns

(Yongfeng, Beizha, Jiupu), 14 Xiangs (Buga, Shouwang, Xiaolongdong, Panhe,

Jing’an, Qinggangling, Sayu, Leju, Sujiayuan, Sujia, Dashanbao, Dazhaizi, Yanshan and Tianba), 129 village committees and 49 neighborhood committees. In 2008, the district’s total population was 805,400, including an agricultural population of 680,500 and an ethnic minority population of 131,800, with a natural population growth rate of

9.0‰. The population of the urban district as the seat of the municipal government is

230,000. The district’s GDP was 8.847 billion yuan, up 10.5% year on year, and per

capita GDP 11,100 yuan, up 11.4%. The district’s local general fiscal budgetary

revenue 300.96 million yuan, up 35.78%, and general budgetary expenditure 1.11959

billion yuan, up 39.48%. The per capita disposable income of urban residents was

10,449 yuan, up 12.56%; and the per capita net income of farmers 2,496 yuan, up

23.76%.

2.3 Distribution of population and ethnic groups in the affected areas

2.3.1 Distribution of population in the affected areas

Zhaotong Central City is the seat of the Zhaotong CPC Committee and Municipal

Government, and the political, economic and cultural center of the municipality. The

district has a total area of 2,167km2, in which mountain areas account for 64%, dam

areas 33.6% and river valleys 2.1%, with altitude ranging from 3,364m to 494m. The

district governs 20 Xiang/town offices, 9,129 village committees and 49

neighborhood committees. By the end of 2008, the district’s total population was

805,441, including an ethnic minority population of 131,793, accounting for 16.46% of

the district’s total population. The district’s gross grain output was 23.8928 trillion kg,

per capita grain possession 296kg, per capita net income 2,495 yuan, up 23.76%.

Table 2-3 Population distribution in the affected areas (2008) Ethnic Total Agricultural Percentage of Percentage of Sub-district office / minority population population agricultural ethnic minority town population (10,000) (10,000) population, % population, % (10,000) Longquan Sub-district 7.13 2.61 37 0.56 7.0 Office Fenghuang Sub- 9.59 3.83 40 1.20 12.0 district Office Beizha Town 5.11 4.90 95 0.17 3.3 Taiping Sub-district 6.35 5.68 89 0.36 6.5 Office Shouwang Xiang 4.37 4.24 97 3.12 71.3 Xiaolongdong Xiang 3.27 3.18 97 2.68 81.9 Yongfeng Town 4.15 4.15 100 0.61 14.7

2.4 Poverty in the affected areas

In this report, rural poor population refers to the population whose annual per capita net income is lower than the rural minimum living standard line of the affected areas/counties and urban poor population refers to the population whose per capita monthly income is lower than the local urban minimum living standard line.

Urban poverty: The urban minimum living standard line in the affected areas is 130 yuan.

Rural poverty: The rural minimum living standard line in the affected areas is

693 yuan for annual per capita net income .

There are 17 poverty-stricken Townships and 79 poverty-stricken villages in

Zhaoyang District, Zhaotong Municipality which belongs to state-level poverty- stricken counties/districts. However, in general, three sub-districts and four

Townships in the project implementation site and the affected areas are located in the city proper or Townships around the city proper, so they are not specially poverty- stricken areas and even some areas are the ones with the best economic situation in the whole Zhaoyang District. In terms of horizontal comparison for project sites, there is a big gap between the rich and poor in the same neighborhood or Townships, in particular to the development of northern areas of Zhaoyang District, which causes some farmers from the three sub-districts and four Townships to lose their land, thus becoming land-expropriated farmers or peasant-change-resident group, who are at a disadvantage in the whole Project. Along with the further development of northern areas of Zhaoyang District, more and more farmers in the three sub-districts and four

Townships are to be urban residents because their land are to be expropriated and thus become the potential vulnerable group in the city. In the three sub-districts and four Townships, the economic development of Townships is worse than that of neighborhoods and the poverty status in descending order is Xiaolongdong Xiang,

Beizha Town, Yongfeng Xiang, Shouwang Xiang, Taiping Sub-district, Longquan

Sub-district and Fenghuang Sub-district. Although there are some land-expropriated farmers or peasant-change-resident farmers in the three sub-districts, they are able to obtain the rent of their self-built houses or income dividend from village-run and

neighborhood-run enterprises as their land has been expropriated for urban land. On account of the rural residents who are losing their land at the present stage,

Zhaoyang District People’s Government makes great efforts to solve the housing and living problems of land-expropriated farmers by integrating the construction of resettlement allocation districts with the planning of the matching commerce facilities.

The poor population of 16,300 in the whole District which accounts for 5.82% of the total beneficiaries of the Project will benefit from the Project, of which, the rural poor population who benefits from the Project amounts to 12,600. In the Taiping Sub- district, the rural population who benefits from the Project is 3,740, the urban population is 1,113 and the poor population who benefits from the Project accounts for 6.41% of the total beneficiaries in the Taiping Sub-district; In the Longquan Sub- district, the rural population who benefits from the Project is 2,703, the urban population is 901 and the poor population who benefits from the Project accounts for

3.04% of the total beneficiaries in the Longquan Sub-district; In the Fenghuang Sub- district, the rural population who benefits from the Project is 3,105, the urban population is 1,179 and the poor population who benefits from the Project accounts for 3.62% of the total beneficiaries in the Longquan Sub-district; In Beizha Town, the rural population who benefits from the Project is 1,665, the urban population is 493 and the poor population who benefits from the Project accounts for 8.63% of the total beneficiaries in Beizha Town; In Yongfeng Xiang, the rural population who benefits from the Project is 247 and the poor population who benefits from the Project accounts for 9.20% of the total beneficiaries in Yongfeng Xiang; In Xiaolongdong

Xiang, the rural population who benefits from the Project is 493 and the poor population who benefits from the Project accounts for 8.77% of the total beneficiaries in Longquan Sub-district; In Shouwang Xiang, the rural population who benefits from the Project is 634 and the poor population who benefits from the Project accounts for

4.07% of the total beneficiaries in the Longquan Sub-district. The situation about the poor population in the affected areas who benefits from the Project refers to Table 2-

Table 2-4 Schedule for the situation about the poor population in the affected

areas who benefits from the Project (2008)

Population under Number of Rural poor the coverage of Rural poverty poor villages population in Ratio of poor Location the subsistence line in the the affected beneficiaries (%) allowance in the (yuan/year) affected areas affected areas areas Taiping 1,113 3,740 7 6.41 Sub-district Longquan 901 2,703 11 3.04 Sub-district Fenghuang 1,179 3,105 6 3.62 Sub-district Beizha 493 1,665 4 8.63 Town 6931 Yongfeng 0 247 1 9.20 Xiang Xiaolongdo 0 493 1 8.77 ng Xiang Shouwang 0 634 3 4.07 Xiang Total 3,686 12,587 33 5.82

1 Source: Zhaoyang District Bureau of Statistics

3 Overview of Ethnic Minorities and Relevant Policies

3.1 Overview of ethnic minorities in the affected areas

3.1.1 Overview of distribution of ethnic minorities in Zhaoyang District

Yunnan Province which is situated in Southwest China is bordered by Guizhou

Province and Guangxi Zhuang Autonomous Region to the east, Sichuan Province to the north, Tibetan Autonomous Region to the northwest, Burma, Laos and Vietnam to the west and the south. In the whole province, there are 16 prefectures and cities, and 129 counties, cities and districts, of which, there are 29 ethnic minority autonomous counties. At the end of 2005, the province had the total population of

44.15 million, of which, 11.639 million for urban population and 32.117 million for villagers. Yunnan Province is the province characterized by the most ethnic minorities and most widely distributed ethnic minorities: 25 ethnic minorities are out of above 5,000 people and the population of ethnic minorities accounts for 33.4% of the total population in Yunnan Province.

There are 20 sub-district offices in Zhaoyang District, Zhaotong Municipality, of which, there are four ethnic Townships: Buga Hui Xiang, Shouwang Hui Xiang,

Xiaolongdong Hui and Yi Xiang and Qinggangling Hui and Yi Xiang, and there are 22 ethnic villages including 17 ones in ethnic Townships and 5 in non- ethnic

Townships. The District mainly consists of the Hui, Yi and Miao ethnic minorities with the total population of 805,400, of which, there are 131,793for the population of ethnic minorities: 103,134 for the Hui people, 20,028 for the Yi people and 6,884 for the Miao people and there are 1,493 for the population of other ethnic groups, which accounts for 16.36% of total population in the District. Ethnic minorities are distributed in 20 sub-district offices, but they mainly live in 42 village committees and

242 unincorporated villages (settlements). 10% of ethnic minorities live in dam areas,

2.1% live beside river valleys and 87.9% live in semi-mountain areas and highly cold

Liangshan areas, mixing with the Han people, which take on the pattern of more dispersion and less concentration.

Table 3-1 Distribution of ethnic minorities in Zhaoyang District (2008) Hui Miao Zhuang Buyi Bai District Total Yi people Others people people people people people Longquan 5,569 3,965 969 279 33 15 118 190 Fenghuang 8,966 6,674 1,496 292 43 31 176 254 Taiping 4,136 2,601 1,215 80 18 6 53 163 Beizha 2,540 1,050 1,459 10 0 0 12 9 Jiupu 1,925 141 1,701 24 7 3 12 37 Yongfeng 6,102 4,703 1,332 37 6 0 1 23 Shouwang 31,150 31,088 43 3 0 0 1 15 Xiaolongdong 26,848 25,036 1,310 480 0 0 0 22 Leju 385 11 362 2 0 0 2 8 Sujiayuan 965 11 839 86 12 1 3 13 Sayu 2,291 15 1,852 380 22 0 2 20 Jing’an 6,201 3,773 1,775 626 1 3 3 20 Qinggangling 8,206 5,749 2,295 155 0 1 0 5 Buga 18,598 18,305 55 223 1 0 0 14 Panhe 3,117 9 366 2,734 3 0 1 4 Sujia 1,315 0 888 421 1 0 0 5 Dazhaizi 1,164 0 1,105 37 0 2 1 19 Dashanbao 1,519 0 707 786 0 0 1 25 Yanshan 485 1 421 16 32 1 3 11 Tianba 312 2 92 213 1 0 0 4 Source: Zhaoyang District Bureau of Statistics

3.1.2 Distribution for the population of ethnic minorities in the affected areas

The total population of main ethnic minorities in the affected areas is 85,311,

accounting for 21.47% of total population in the affected areas. In addition, the Hui

people with the population of 75,117 account for the most in the ethnic minorities and

second, Yi people, Miao people and Bai people in order.

Distribution and composition for the population of ethnic minorities in the affected

areas refer to the following table:

Table 3-2 Distribution for the population of ethnic minorities in the affected areas (2008)

Unit: Person Ethnic Group Longquan Sub- Taiping Sub- Fenghuang Sub- Beizha Town Yongfeng Xiang Xiaolongdong Shouwang Xiang district district district Xiang Total 71,361 63,516 95,908 48,638 41,515 32,762 43,704 population at the end of the year Population of 5,569 4,136 8,966 2,540 6,102 26,848 31,150 ethnic minorities Hui people 3,965 2,601 6,674 1,050 4,703 25,036 31,088 Yi people 969 1,215 1,496 1,459 1,332 1,310 43 Miao people 279 80 292 10 37 480 3 Bai people 118 53 176 12 1 0 1 Zhuang people 33 18 43 0 6 0 0 Buyi people 15 6 31 0 0 0 0 Others 190 163 254 9 23 22 15 Source: Zhaoyang District Bureau of Statistics

3.2 Profile of ethnic minorities

3.2.1 Ethnic minorities which conform to OP4.10 policies

The World Bank has always attached great importance to maintain rights & interests of residents affected by the Project, in particular to ethnic minorities and other vulnerable groups and thus specially formulated Operational Policy of the

World Bank OP4.10 (ethnic minority). Based on the complexity of the situation about

“ethnic minority” in different countries and the difference about the definition of

“ethnic minority” in different countries, a clear and uniform definition of “ethnic minority” isn’t given in the OP4.10. However, it is mentioned in the OP4.10: in this policy, the word of “ethnic minority” refers to the unique and vulnerable culture groups when it is used as a general meaning and boasts the following characteristics on different degree:

(1) Self- identified to be one of a particular ethnic minority and the identification is also identified by others;

(2) Collectively leeching on to the inhabited areas with unique geographical features or dominions handed down from their ancestors in the affected areas and the natural resources in these inhabited areas and dominions;

(3) Having a traditional cultural, economic, social or political system differing from mainstream society and culture;

(4) Having a minority language differing from the native language or official language in the district.

As mentioned above, “ethnic minority” addressed by the Operational Policy of the World Bank is endowed with the key characteristics in three aspects: subjective identification, namely, “ethnic minority” must have the ethnic consciousness differing themselves from the main ethnic group and other people/ ethnic groups in their countries/places also identify the division; objective distinction, namely, “ethnic minority” must have traditional culture, economy, social or political system differing from mainstream society and culture as well as unofficial unique language; “ethnic minority” must collectively leech on to an inhabited area with unique geographical features or dominion handed down from their ancestors

and the endowment of natural resources which are the base for them to maintain their traditional culture, economy, social or political system; Otherwise, ethnic minorities will lose the groundwork for maintaining their uniqueness.

In accordance with the above-mentioned standards, the SA team identifies the situation about ethnic minorities in the affected areas. Hui, Yi, Miao, Zhuang and Buyi people in the affected areas of central city river management project, northern area water supply and pipeline project, and central city sewage treatment intercepting sewer project are ethnic minorities living in scattered areas of cities and have harmonious cultural characteristics with the main ethnic group in the affected areas; in addition, Han people can be spoken in the affected areas, so the SA team believe that OP4.10 policies about ethnic minority shall be not applicable in the above- mentioned affected areas. Each subproject has been identified whether they are fit for the ethnic minority policies in Table 3-1 based on ethnic minority policies and standards of the World Bank.

Table 3-1 Profile of ethnic minorities in the affected areas Ethnic minority habitats in the affected areas Ethnic minorities Does Cultural Subproject involved in the Number Number of Language Inhabitation OP4.10 feature Project of towns/ Name poor apply? Xiangs villages 25 ethnic Largely A small number of Hui Beizha Town, Longquan Sub-district, Central city minorities, identical with people inhabit Fenghuang Fenghuang Sub-district, Taiping Sub- river including Hui, Yi, the Sub-district, Taiping Sub- 7 district, Yongfeng Town, Shouwang 33 Chinese No management Miao, Zhuang, dominant district, Shouwang Xiang, Xiang, Xiaolongdong Xiang project Buyi, Naxi and ethnic group Xiaolongdong Xiang and Scattered in urban and rural areas Lisu Han Yongfeng Town 25 ethnic Largely Beizha Town, Longquan Sub-district, minorities, identical with Northern area Taiping Sub-district, Fenghuang Sub- A small number of Hui including Hui, Yi, the water supply 7 district, Yongfeng Town, Shouwang 28 Chinese people inhabit Taiping No Miao, Zhuang, dominant project Xiang, Xiaolongdong Xiang Sub-district Buyi, Naxi and ethnic group Scattered in urban and rural areas Lisu Han 25 ethnic Largely A small number of Hui Central city Beizha Town, Longquan Sub-district, minorities, identical with people inhabit Fenghuang sewage Fenghuang Sub-district, Taiping Sub- including Hui, Yi, the Sub-district, Taiping Sub- treatment and 7 district, Yongfeng Town, Shouwang 33 Chinese No Miao, Zhuang, dominant district, Shouwang Xiang, intercepting Xiang, Xiaolongdong Xiang Buyi, Naxi and ethnic group Xiaolongdong Xiang and sewer project Scattered in urban areas Lisu Han Yongfeng Town Source: fieldwork of the SA team

3.2.2 Cultural characteristics of the main ethnic minorities in the affected areas

Zhaoyang District belongs to the scattered living area of ethnic minorities. Less

population of ethnic minorities in the affected areas is affected and only some

resident groups in Fuqiang Community and Yingfeng Community belong to the

settlement community of Hui; Yi, Hui and Miao people in other affected areas

account for less number and keep the close intermarriage relation with other ethnic

groups with similar living mode and endowment of resources, so they are not much

different from other Han residents. In the settlement community of Hui people, they

still maintain their own customs and cultural traditions and good relations with Han

people and other ethnic groups without conflicts and have no discrepancy with other

ethnic groups in resource possession and social and economic development level.

Table 3-3 Schedule of traditional cultures of ethnic minorities in the affected

areas

Ethnic No. Traditional Cultural Characteristics of Ethnic Minorities Group History: People entered into Kunming in the Yuan Dynasty and a great more number of people settled here in the Ming and Qing dynasties. Language: Hui people usually speak Chinese language and write Chinese characteristics because their dialect is similar to the Chinese language, but they maintain Arabic and Bosnian words. Religion: The entire population believes in Islam, and mosques can be found in centralized big villages or scattered small villages where Hui people lives in. Hui 1 people Social organization: They usually marry people within the same ethnic group and men or women must believe in Islam if they marry Hui people. Economy: Hui people are adept in engaging in handicraft industry, raising beef cattle and running businesses, etc. Others: They wear the same clothes with Han people: men wear white hat and women wear veil; festivals: Hari Raya, Corban and Shengji Festival of Islam as well as Dragon Boat Festival, Torchlight Festival, Autumn Commences Festival, the Mid- Autumn Festival and Spring Festival. History: Lifetime resident clan, four prefectures and cities are one of areas for Yi people with the earliest reproduction. Ancients of Yi people engaged in businesses along the Jinsha River since the earliest days of the Yin and Shang dynasties. Language: Language of Yi people and Han people can be spoken and the language is attached to the Yi branch, the Tibet-Burmese group of the Sino-Tibetan language family, and belongs to sub-dialect of northeastern Yunnan in dialect. 2 Yi people Religion: Mainly believing in primitive religion, covering animistic nature worship, ghost worship and ancestor worship, in particular to ancestor worship. At the beginning of 20th Century, Christianity was introduced into the area and attracts more and more people. Social organization: They can marry Han people. The families of Yi people are mostly nuclear families and their parents usually live with children. Economy: Yi people specializes in crop farming and is located in mountain area

Ethnic No. Traditional Cultural Characteristics of Ethnic Minorities Group and highly cold mountain area. Others: Although Han Chinese clothing is popular, they usually wear national dresses; traditional festivals: Torch Festival, Spring Festival holidays and Autumn Commences Festival; people who live in dam areas also celebrate Dragon Boat Festival and the Mid-Autumn Festival. Moreover, GanYi people has been in habit of celebrating the Flower-Mountain Festival on May 24, with the form same to Autumn Commences Festival celebrated by Bai Yi people. People who believe in Christianity shall not pray to the ancestors and the gods in the above festivals and they additionally celebrate Easter and Christmas. History: It originated from southern “barbarian” tribe and keeps close relation with “Jiuli”, “Sanmiao” and “barbarian” tribe in the age of teras. After “the Uprising of Qianjia” in the period of Qing Emperor Yongzheng, some Miao people settled in Wenshan Area via Xingyi City and live with various ethnic groups, gradually becoming one of the main ethnic minorities in Wenshan Area. Language: Miao language and Chinese language are popular and Miao language is used within Miao people. In the affected areas, Miao language belongs to Miao branch of the Sino-Tibetan Family and Southern Branch and Miao dialects of Sichuan, Guizhou and Yunnan are commonly used. Miao 3 Religion: Nature worship (respect heaven and earth and believe in ghosts and people gods), ancestor worship, polytheism (Legend of The Mountain, Legend of The Ocean, Cow Devil and Door Access Pig Devil) and Catholicism. Social organization: They mainly marry the people of Miao people and recently the intermarriage through ethnic identity is ever increasing. Nuclear families are popular and patrilineal families are formed through blood relationship. Economy: They engage in agriculture and live in mountain areas or semi- mountainous areas and most of them inhabit in villages or scattered houses. Others: Spring Festival, the Flower-Mountain Festival and Offering a Sacrifice to Dragon.

3.3 Policies and regulations on ethnic minorities in the affected areas

3.3.1 State policies and regulations

The General Rules of the Constitution of the People’s Republic of China

stipulates that regional national autonomy means organs of self-government are

established at national autonomous areas to exercise powers of autonomy under the

unified leadership of the state, which embodies the state policy to respect and protect

the minority nationalities’ rights to mange their internal affairs, and the principle of

equality, unity and co-prosperity among different nationalities.

The Law of the People’s Republic of China on Regional National Autonomy is

the basic law on the implementation of the system of regional national autonomy

stipulated by the Constitution. The articles relating to the scope of the Project are:

Article 10 The organs of self-government of national autonomous areas shall

guarantee the freedom of the nationalities in these areas to use and develop their

own spoken and written languages and their freedom to preserve or reform their own folkways and customs.

Article 11 The organs of self-government of national autonomous areas shall guarantee the freedom of religious belief to citizens of the various nationalities.

Article 12 Autonomous areas may be established where one or more minority nationalities live in concentrated communities, in the light of local conditions such as the relationship among the various nationalities and the level of economic development, and with due consideration for historical background. Within a national autonomous area, appropriate autonomous areas or nationality townships may be established where other minority nationalities live in concentrated communities.

Article 21 While performing its functions, the organ of self-government of a national autonomous area shall, in accordance with the regulations on the exercise of autonomy of the area, use one or several languages commonly used in the locality; where several commonly used languages are used for the performance of such functions, the language of the nationality exercising regional autonomy may be used as the main language.

Article 22 In accordance with the needs of socialist construction, the organs of self-government of national autonomous areas shall take various measures to train large numbers of cadres at different levels and various kinds of specialized personnel, including scientists, technicians and managerial executives, as well as skilled workers from among the local nationalities, giving full play to their roles, and shall pay attention to the training of cadres at various levels and specialized and technical personnel of various kinds from among the women of minority nationalities.

Article 25 Under the guidance of state plans, the organs of self-government of national autonomous areas shall independently arrange for and administer local economic development.

Article 28 In accordance with legal stipulations, the organs of self-government of national autonomous areas shall manage and protect the natural resources of these areas. The organs of self-government of national autonomous areas shall protect and develop grasslands and forests and organize and encourage the planting of trees

and grass. Destruction of grasslands and forests by any organization or individual by whatever means shall be prohibited. In accordance with legal stipulations and unified state plans, the organs of self-government of national autonomous areas may give priority to the rational exploitation and utilization of the natural resources that the local authorities are entitled to develop.

Article 48 The organ of self-government of a national autonomous area shall guarantee equal rights for the various nationalities in the area. The organ of self- government of a national autonomous area shall unite the cadres and masses of the various nationalities and give full play to their initiative in a joint effort to develop the area.

Article 49 The organ of self-government of a national autonomous area shall persuade and encourage cadres of the various nationalities to learn each other’s spoken and written languages of the local minority nationalities. While learning and suing the spoken and written languages of their own nationalities, cadres of minority nationalities should also learn Mandarin and the written Chinese language commonly used throughout the country. Awards should be given to state functionaries in national autonomous areas who can use skillfully two or more spoken or written languages that are commonly used in the locality.

Article 50 The organ of self-government of a national autonomous area shall help other minority nationalities living in concentrated communities in the area establish appropriate autonomous areas or nationality townships.

In addition, the Land Management Law and the Law on Land Contract in Rural

Areas of the People’s Republic of China are also the legal basis and institutional guarantee on ethnic minorities land use rights in the affected areas.

3.3.2 Local policies and regulations

In this province inhabited by multiple ethnic groups, the provincial government and the administrative organs thereunder have formulated a series of policies and regulations for ethnic minorities, such as Some Provisions of Yunnan Province on the

Enforcement of the Law on Regional National Autonomy (Tentative), which stipulates

how to implement the Law on Regional National Autonomy according to the practical situation in Yunnan. The autonomous prefectures and counties have enacted their respective ordinances of autonomy to stipulate the main duties of the autonomous organs.

3.4 Comparison of “ethnic minorities” under Chinese and World Bank policy frameworks

There is one common ground for the identification about ethnic minority in the policies of China and the World Bank: namely, the identity of ethnic minority must firstly be a subjective identification and the subjective identification isn’t the proposition only proposed by the ethnic minority, but is identified by the other members of the society in the meantime. However, there are some significant differences between the two parties:

(1) “Ethnic minority” in the policies of the World Bank has an objective distinctive feature, namely, they are unique culture group and boast traditional culture, economy, social or political system differing from mainstream society and culture; and obviously, the highlighted distinctive feature is the current reality and truth. In

China, ethnic minorities are ethnic minorities because they objectively maintain the cultural features differing from that of Han people on different degrees, such as Yi people and Miao people; in addition, they may ever have unique social culture and those features can be verified by historical documents, cultural relics, oral folk data, etc. but in the current time, those features are unclear and even lost, such as Hui people, ethnic minorities in cities, etc. In brief, “ethnic minority” cared about by the

World Bank is based on reality and highlights its specific circumstances; “ethnic minority” identified by China is based on historical facts and is the identity which is affirmed by national laws and can be inherited throughout generations, having nothing to the actual circumstances of the whole ethnic minority and individuals.

(2) “Ethnic minority” in the policies of the World Bank is highlighted to be endowed with vulnerability. The vulnerability originates from the following aspects that they have less population and economy, social or political system differing from

that of mainstream society; one the one hand, they have difficulty in smoothly sharing opportunities of the mainstream society; on the other hand, they are easy to be assimilated by mainstream society and culture, consequently, they take on vulnerability in the capability of maintaining their own features and obtaining development opportunities. By contraries, ethnic minorities in China have their own delegates in every levels of national political life as per the Constitution and the Law of the Peoples Republic of China on Regional National Autonomy, and autonomy of minority nationalities is commonly carried out in their relatively settled provinces, prefectures (cities), counties (districts) and towns; what’s more, ethnic minorities develop their economy and culture according to their will and obtain policy support from the governments of higher levels and the central government, therefore, ethnic minorities in China are not vulnerable groups whatever in national or local political, economic and social lives.

(3) The policies of the World Bank emphasizes that “ethnic minorities” collectively leech on to an inhabited area with unique geographical features or dominion handed down from their ancestors and the endowment of natural resources; in other words, ethnic minorities settle in an inhabited area with unique geographical features or dominion handed down from their ancestors and rely on natural resources for making a living, living together and thus enable to keep their unique traditional culture, and social, economic or political system. In China, ethnic minorities and Han people have formed the distribution pattern of “more dispersion and less concentration”, moreover, there is less situation that the single ethnic group or communities live singly in the areas of different levels and ranges in provinces, prefectures (cities), counties (districts) and even in the most of villages, and different ethnic groups also live together. In addition, individual property of basic means of production, such as land, has been carried out among the most areas of ethnic minorities in the Qing dynasty in China and only a part of barren hills and slopes, forestry as well as some areas which are forbidden to be developed because they are regarded to be saint mountain and water are possessed by village collective. In the 1950s, state ownership and collective ownership were carried out for territorial

resources. The operational right of the land possessed by the collective was ever dominated by village collective and was transferred to the farmers until 1980s by means of contracting. That is to say, for more than a century, ethnic minorities in

China haven’t had collectively occupied and used natural resources in their inhabited areas based on ethnic group or communities.

(4) It is pointed out in the policies of the World Bank that “ethnic minorities” often have their own minority languages different from country or local official languages, and speaking the unofficial language isn’t the past fact, but the present situation of language. Having complex meanings, the present situation of language not only means that minority languages are the important tool for people of ethnic minorities to communicate with each other, maintain the important link of identification and an important carrier of ethnic group culture, so they are important contents which need ethnic minorities to live together to maintain and inherit traditional culture; but also means that due to depend on the native language, a majority of people or a part of people of ethnic minorities lack opportunities of learning and speaking official language, so they have difficulty in smoothly communicating with mainstream society and maintaining their rights to know and to participate in owing to language barrier; language barrier causes the people of ethnic minorities to enhance their dependency among them and show their vulnerability in facing the outer world, especially mainstream society. In China, although possessing or speaking minority languages different from national or local official language or not is a basis for identifying ethnic minorities, it isn’t a necessary condition and present truth because most of Hui people, Bai people and a part of Zhuang people, Buyi people and Yi people, in particular to scattered ethnic minorities, don’t take minority languages as a basis to identify the ethnic minorities.

This report confirms that the current policy and law framework of China and the related operational policies of the World Bank hold the harmonious principle and objective in promoting the development of society and economy, enhancing the rights and interests of the residents, maintaining the benefits of vulnerable groups and protecting the sustainable development of minority culture. Policies and regulations

of China play an important normalized role in the Project. Informed consent and decision-making participation of residents highlighted in the policies of the World

Bank play an important steering effect in the Project. As policies and regulations of ethnic minorities in China bring into correspondence with the policies of the World

Bank in pursuing the sustainable development, promoting the social equity and harmony and helping ethnic minorities accelerate the development economy and society, the Project centers on abiding by the two above-mentioned policies and regulations, the rights and interests of related stakeholders can be protected and the

Project can be smoothly developed.

4. Baseline of Ethnic Minorities Development and Impacts of the Project on Ethnic Minorities

4.1 Baseline of ethnic minorities development

In this assessment, three sub-districts and four Townships affected by the

Project are identified and the ethnic minorities in the affected areas take on the basic characteristics of “more dispersion and less concentration” in living pattern; relatively concentrated Hui Community have been formed in Fuqiang and Yingfeng communities beside the rive of the Eastern Gate, but all ethnic minorities in other communities are exhibited the characteristic of scattered residence. Livelihood structure and development conditions of sub-districts and Townships are shown as follows:

4.1.1 Longquan Sub-district

Jurisdiction of Longquan Sub-district is located in eastern and western sides of

Liji River and northern earth beam. At the end of 2008, Longquan Sub-district had total population of 71,361, of which, 79,509 Han people in 19,176 households, 3,965

Hui people in 966 households, 969 Yi people in 254 households, 279 Miao people in

68 households, 118 Bai people in 36 households, 33 Zhuang people in 17 households, 15 Buyi people in 7 households and 190 people from other ethnic minorities in 82 households. In 2008, there were 39,043 mu of arable land, 21,242 mu of planting area for grain crops, 6,115 tons of food crops, 6,374 mu of planting area for vegetables and 8,609 mu of planting area for fruit. Apples and vegetables have been the mainstay industry of Longquan Sub-district Office. There were 824 livestock on hand, 14,093 slaughtering pigs, 748 cattle on hand, 23,022 slaughtering poultry and 1,592 tons of total production of meat, and farmers’ per capita net income was 1,672 yuan.

4.1.2 Fenghuang Sub-district

Fenghuang Sub-district covers an area of 32.11 km and Liji River and Zhonggou

River flow into Zhaolu River from north to south through the western border. In 2008,

Fenghuang Sub-district had total population of 95,908, of which, 86,942 Han people in 28,424 households, 6,674 Hui people, 1,496 Yi people in 439 households, 176 Bai people in 100 households, 43 Zhuang people in 11 households, 31 Buyi people in 9 households and 254 people from other ethnic minorities in 70 households. In 2008, there were 26,437 mu of arable land, 17,799 mu of planting area for grain crops,

5,840 tons of food crops, 3,968 mu of planting area for vegetables and 1,179 mu of planting area for fruit. There were 498 livestock on hand, 18,326 slaughtering pigs,

459 cattle on hand, 135,155 slaughtering poultry and 2,126 tons of total production of meat, and farmers’ per capita net income was 1,967 yuan.

4.1.3 Taiping Sub-district

The Beigan Channel of Yudong Reservoir in the border of Taiping Sub-district flows through Taoyuan Community, Taiping Community and Shuitangba Community.

At the end of 2008, Taiping Sub-district had total population of 63,516, of which,

59,380 Han people in 14,793 households, 2,601 Hui people in 622 households,

1,215 Yi people in 223 households, 80 Miao people in 19 households, 53 Bai people in 11 households, 18 Zhuang people in 5 households, 6 Buyi people in 2 households and 163 people from other ethnic minorities in 25 households. In 2008, there were

51,704 mu of arable land, 24,902 mu of planting area for grain crops, 12,356 tons of food crops, 6,307 mu of planting area for vegetables and 2,579 mu of planting area for fruit. In addition, Taiping Sub-district developed into the base with the highest technology content and complete facilities in the industrialized agriculture in

Zhaotong Municipality owing to boast 410 demonstration big-arch shelter planting with over 100,000 tons of annual coal yield. At the end of 2008, there were 1,253 livestock on hand, 19,066 pigs on hand, 989 cattle on hand, 27,941 slaughtering heavy pigs, 116,058 slaughtering poultry and 3,453 tons of total production of meat, and farmers’ per capita net income was 1,920 yuan.

4.1.4 Beizha Town

At the end of 2008, Beizha Town had total population of 48,638 in 13,578 households, of which, 46,098 Han people, 1,050 Hui people, 1,459 Yi people, 10

Miao people, 12 Bai people, and 9 people from other ethnic minorities. In the whole

town, there were 98,118 mu of arable land, 59,500 mu of planting area for grain crops, 20,546 tons of food crops, 11,107 mu of planting area for vegetables and

12,405 mu of planting area for fruit which include 12,529 hectares of apple orchard,

10,051 hectares of pear orchard, 40 hectares of peach orchard and 8 hectares of grape orchard. In 2008, there were 2,732 livestock on hand, 27,468 pigs on hand,

35,549 slaughtering heavy pigs, 85,862 slaughtering poultry and 4,061 tons of total production of meat, and farmers’ per capita net income was 1,992 yuan.

4.1.5 Shouwang Xiang

Shouwang Xiang is located in the upstream of Xiushui River. At the end of 2008,

Shouwang Xiang had total population of 43,704 in 9,062 households, of which,

12,554 Han people in 2,608 households, 31,088 Hui people in 6,419 households, 43

Yi people in 7 households, 3 Miao people in 3 households, 1 Bai person in 1 household and 15 people from other ethnic minorities. In 2008, in the whole Xiang, farmers’ per capita net income was 2,149 yuan and the human resources had 20,945 people. In addition, in the whole Xiang, there were 74,588 mu of arable land, 42,000 tons of food crops, 6,673 mu of planting area for vegetables and 2,400 mu of planting area for fruit. There were 8,272 livestock on hand, 6,789 pigs on hand, 6,800 slaughtering heavy pigs, 77,124 slaughtering poultry and 1,891 tons of total production of meat.

4.1.6 Yongfeng Xiang

There are many ethnic minorities in Yongfeng Xiang, such as Han people, Hui people, Yi people, Miao people, Bai people, Zhuang people, Dai people and

Tibetans, etc. At the end of 2008, Yongfeng Xiang had total population of 41,515 in total 10,935 households, of which, 4,703 Hui people, 37 Miao people, 1,332 Yi people, 1 Bai person, 6 Zhuang peoples and 23 people from other ethnic minorities.

In 2008, the total economic income of the whole town amounted to 75.93 million yuan and farmers’ per capita net income was 1,863 yuan. In the whole town, there were

74,859 mu of arable land, 48,843 mu of planting area for grain crops, 17,896 tons of food crops, 10,144 mu of planting area for vegetables and 12,077 mu of planting area for fruit. In terms of tobacco production, in 2008, the whole town planted the

contract area of 8,237 mu in total, undertook 2,000 mu of municipal-level template and purchased total volume of 2.543 million jin (note: jin is a Chinese unit of weight, 1 jin = 0.5 kg) with the average price of 9.53 yuan/kg. The whole town has developed into the pattern of agricultural development centering on apple and taking vegetable production into consideration.

4.1.7 Xiaolongdong Xiang

There are many ethnic minorities in Xiaolongdong Xiang, such as Hui people,

Han people, Yi people, Miao people and Dai people, etc. At the end of 2006,

Xiaolongdong Xiang had total population of 32,762 in total 7,260 households, of which, 5,914 Han people, 25,036 Hui people, 1,310 Yi people, 480 Miao people and

22 people from other ethnic minorities. In 2009, the gross national product of the whole Xiang is 35.242 million yuan and farmers’ per capita net income is 1,440 yuan.

In the whole town, there were 67,130 mu of arable land, 46,110 mu of planting area for grain crops, 12,382 tons of food crops, 7,800 mu of planting area for vegetables and 11,800 mu of planting area for fruit. In terms of tobacco production, in 2008, the whole town planted the contract area of 8,237 mu in total, undertook 2,000 mu of municipal-level template and purchased total volume of 2.543 million jin with the average price of 9.53 yuan/kg. The contract area of planting tobacco was 7,877 mu and the total purchasing volume was 1.10 million kg with the average price of 8.38 yuan/kg. Xiaolongdong Xiang is a town centering on agricultural production and taking work away from hometown into consideration.

Therefore, it can be seen from the basic situation about the above-mentioned several sub-districts and Townships that livelihood mode can be different due to residential mode. Residents in the rural communities take agricultural production and work away from hometown as the main livelihood mode and except the upstream areas of Liji River, those areas with suitable water and land have preliminarily formed the production mode of crop farming centering on apples and vegetables and other areas center on work away from hometown and take farming at home into consideration. In terms of income level and economical development ability, there aren’t many differences between ethnic minorities and Han people with the per capita

net income of from 1,200 yuan to 2,200 yuan for families. It is discovered in this assessment, possessing the plot for private use or not has been the basis for dividing ethnic minorities of urban communities into ethnic minorities with urban resident identification and ethnic minorities during the process of peasant-change-resident.

The two groups have a certain difference in development opportunity and economic development level. Therefore, an important reason for deciding incomes relies on possessing the plot for private use and benefiting from the land acquisition and leasing done by cities. Therefore, ethnic minorities in urban communities earn income by way of running business and working besides land leasing. However, in view of economic income and development opportunity, household income won’t be affected by ethnic identity. The basic situation concerning household economy of several urban and rural residents known by the SA team during the period of investigation is as follows.

Case 4-1 Interviewee:: Liu ××, female, 47 years old, Hui people, Team 3, Fuqiang Community, Taiping Sub-district Liu is a Muslim who has lived in Fuqiang Community for generations. In the early few years when they were still in possession of land, they could live on agricultural production. However, with the development of urban construction, they gradually lost their land and became land-expropriated farmer since the 1970s. Now, the main livelihood of the family is to sell the bean curd. She and the employed girl get up in 3 o’clock every early morning and begin to make the bean curd. They will work until 11 or 12 o’clock in the morning, and then her husband will go out to sell the bean curd in the afternoon. The whole family, including the couple, 3 school children and the aged, all depend on this. She says that about 100 yuan will be obtained by selling the bean curd and their economic income level may be considered to be medium in the community. Liu presents that the tap water of this community will be priced 3.6 yuan per ton and her family has to pay it in accordance with the price of industrially-used water because they make the bean curd. The water bill will reach about 100 yuan per month. Team 3 of Fuqiang Community is a Muslim one and nearly all the residents are

Muslims, with only several Han families mixing among. There is a mosque in this community. Liu says that her family will go to mosque on the Fast Day in a year but they worship at home at other times. Especially the aged in the family may worship religiously everyday. Simple bath is usually required for worshiping at home while careful bath will be needed for worshiping in the mosque. She also says that, according to the regulations in The Koran, 1.5 kilos of water will be used for simple bath and 3.9 kilos of water will be used for careful bath. Here there are no special rules for the water use of simple and careful bath, which are charged in accordance with the price of domestically-used water. In this community, Akhond usually does home visiting and pays a visit to the families and the believers every month or two months. Akhond will persuade those who take unserious attitude toward religious belief and refuse to chant the scriptures. Akhond is highly-respected in the community and his words will be obeyed by the believers. Now, as an urban village, Fu Qiang community is mostly expropriated. Several families here live on working for others or doing some retail business. Liu says that their land has been expropriated in 1985 and 1986. And there is still rare land, farmed by her father-in-law and mother-in-law.

Case 4-2 Interviewee: Wang ××, female, 38 years old, Hui people, Team 3, Fenghuang Community, Fenghuang Sub-district Wang has two children, one boy and one girl with the educational degree of junior middle school. Their main income depends on doing coolie, carrying mortar for construction site, so does her husband, so they have not much net income with about from 1,000 yuan to 2,000 yuan. And the money mainly is used for eating and clothes, in particular to children. According to her introduction, she is remarried to the man who doesn’t live in her because of working out, so she lives here with her two children. In addition, they have the land less than 1 mu at home, planting corns and yam. As they have less land presently, they don’t raise pigs and buy edible oil and meat for eating. They have spent about 40,000 yuan or 50,000 yuan in building the house with the area of about 90 m2 at that time. As her first husband is a mason, so they engage in building the house by themselves. Their standard of living may be considered to be below average in the village, so it is of great importance for them to earn money. Currently, they drink tap water and their home is far away from rivers and sewage plants.

Case 4-3 Interviewee: Wang ××, male, 35 years old, Han people, Team 3, XuezhuangCommunity, Fenghuang Sub-district There are 4 people including Wang’s wife and 2 sons. The only 0.1 mu land they have is now mainly farmed by Wang’s father. They earn a living by selling vegetables and working for others. Wang has a problem with his legs because of the polio, so the life burden mainly falls upon his wife. She has been selling vegetables for 4 years at the village by bulk every evening. Now their annual income is about 10,000 yuan, so their standard of living may be considered to be below average in the village.

In light of the comparison for above-mentioned cases, whatever in cities or rural areas, there has not much gap between ethnic minorities and Han people; in addition, they have equivalent level in production and life.

4.2 Impacts of the Project on ethnic minorities

4.2.1 Impacts of water supply project on ethnic minorities

The positive impacts of the water supply project on ethnic minorities: prevent local residents from drinking unprocessed and polluted well water and have them drink clean tap water in favor of their health; alleviate residents’ burden of digging wells or transporting water from vicinal water source area and have them drink tap water quickly and easily; avoid the difficulty in drinking water because of dry season when drinking well water; due to the land acquisition of water supply project, ethnic minorities can obtain compensation to use freely.

The negative impacts: ethnic minorities must assume the cost of laying down water supply line and tap water charges, which may increase their economic burden;

the land acquisition for the Project causes local people to lose certain source of livelihood, which may affect their living standards; during the period of project construction, noise and placing of material may affect local people’s normal life; the protection of water source area may affect local residents to entertain in East

Dalongdong which belongs to scenic spot and protected area for water supply.

4.2.2 Impacts of sewage treatment project on ethnic minorities

The positive impacts of the sewage treatment project on ethnic minorities: have ethnic minorities live in a better environment in favor of their physical and psychological health. improve sewage disposal conditions for local residents for disposing of sewage easily. due to the land acquisition for the Project, ethnic minorities can obtain compensation to use freely for improving their life or developing production. Home demolition caused by the Project can make ethnic minorities obtain opportunity of resettlement to live in a more hygienic community with rational planning. during the period of project construction or upon its completion, the

Project has the chance to provide employment opportunities for ethnic minorities, which adds their channels of revenue sources.

Negative impacts: The land acquisition causes local residents to lose land and forfeit a part of the source of livelihood, thus affecting their living standards; cause ethnic minorities to transfer from agricultural population to urban residents, which needs a long-term course of adaptation; sewage treatment project causes local residents to assume certain sewage disposal charges, which may add their life pressure; sewage treatment project may restrict some greatly polluted production and operating activities, such as slaughter house of Hui people beside the river of the

Eastern Gate, which will affect their normal business activities; engineering construction may damage to the public facilities and noise and waste brought by the construction will affect the normal life of local residents; sewage disposal may bring secondary pollution to affect the normal life of local residents.

4.2.3 Impacts of the river management project on ethnic minorities

The positive impacts of river management on ethnic minorities: improve local residents’ living environment to be more beautiful and hygienic in favor of their physical and psychological health. the matching implementation of river management and sewage treatment project can improve urban environment on a whole, enhance urban competitiveness and provide help for promotion investment, thus indirectly offering more employment opportunities for local residents. after

river management, local residents will have more activity places and bring convenience for their entertainment. strengthen the flood control capacity of the river and reduce the degree of flood impacts on local residents. due to temporary land used during the implementation of the Project, local residents can obtain funds to freely use for improving their life.

The negative impacts: the process of river management may damage to bridges and irrigation ditches on the river and affect the normal production life of local residents; river management will affect production operation of ethnic minorities beside the river, for instance, many Hui people conduct business activities in the intersection of river in the Eastern Gate and Zhonggou River, so the river management may affect their businesses; during the process of construction, noise, waste and placing of material and damage to the public facilities may affect the normal life and production of local residents.

4.2.4 Impacts of the Project on the poverty problem of ethnic minorities

In addition to the impacts of above-mentioned projects of different items on ethnic minorities, the SA team also pays attention to the new poverty problem brought to the settlement of ethnic minorities by the Project. Through the survey, the

SA team discovers that those communities which ethnic minorities lives in basically belong to urban communities. As the whole area had been incorporated into the urban scope by means of land acquisition at an early age, its economic development is also integrated with the urban development, and the land lease, house for rent and export of labor services are relatively developed. The SA team believes that the implementation of the Project won’t lead to new poverty problems to ethnic minorities if all measures on risk control, such as displaced person allocation action plan can be guaranteed.

In the affected areas, some ethnic minorities are distributed in villages and their identities won’t affect them to hold resource and obtain development opportunity, similar to the development conditions of peripheral main ethnic group, so the development of the Project won’t lead to poverty problem on them. The

implementation of the Project and improvement of infrastructures will ensure that the

Project won’t deepen the poverty degree of ethnic minorities in these villages.

5 Stakeholder Analysis

5.1 Identification of stakeholders

The World Bank puts forward the concept of “stakeholder” in its assistance

strategy and divides stakeholder. Stakeholder refers to “those people who affect

actions and policies of the World Bank and are affected by the World Bank” (World

Bank 1994:1). Under the premise of determining poverty alleviation as the objective

of the World Bank, stakeholders involving in development project are divided into: 1.

The primary stakeholders refer to target group of development project, especially,

those poor people and marginal groups who are lacking in information and power

and excluded from development process. 2. The borrowing stakeholders refer to

governments of borrowing country. 3. The secondary stakeholders mainly include

non-governmental organizations, commercial organizations and those experts who

have professional skills and directly face the primary stakeholders. According to the

above-mentioned definitions made by the World Bank, the SA team identifies

stakeholders and the primary stakeholders of the three subprojects of Zhaotong

Central City Environmental Construction Project based on fieldwork.

Table 5-1 Schedule of stakeholders of the Project

Subproject Scope Stakeholders and primary stakeholders (1) Affected residents (1) Construction of a 23km delivery (2) The poor pipeline (DN1400) from Yudong (3) Ethnic minorities Reservoir to Taiping Water Treatment (4) Village selected as plant site Plant; and villagers (2) Construction of Taiping Water (5) Employer Treatment Plant with a near-term Northern treatment capacity of 50,000 m3/d and (6) Implementing agencies area water a long-term capacity of 100,000 m3/d; (7) Residents along the sewer supply and (3) Construction of Qingmen Water pipeline network Treatment Plant with a near-term project (8) Employer treatment capacity of 10,000 m3/d and (9) Other government agencies a long-term capacity of 20,000 m3/d; (4) Construction of the northern area concerned distribution network of 113.38km (5) Structures and supporting facilities for water supply and drainage systems

Subproject Scope Stakeholders and primary stakeholders (1) Affected residents (2) Ethnic minorities (1) Northern are supporting sewer (3) The poor (4) Village selected as plant site Central city pipelines of 61.507km; an old and villagers sewage urban area sewage pipeline of treatment (5) Residents along the sewer 29.451km; (2) Expansion of former and network Zhaotong Sewage Treatment Plant, intercepting with a total floor area of 136.8 mu; (6) Employer sewer expansion to the treatment capacity of (7) Implementing agencies project 20,000 m3/d in the near future using (8) Environmental protection the oxidation ditch process bureau (9) Other government agencies concerned (1) Affected residents (2) Displaced persons (3) The poor Carrying out integrated river (4) Ethnic minorities management, attaining urban flood (5) Religious people and nearby Central protection level by bank protection followers city river and reinforcement, protecting banks (6) Relocated households along and land from erosion; Managed river managem length is 48.162km, including 17.935 watercourses ent project km in the Liji River water system, (7) Environmental protection 30.227km in the Tuwei River water bureau system. (8) Employer (9) Implementing agencies (10) Other government agencies concerned Source: fieldwork of the SA team

5.2 Process of stakeholders’ participation in the Project

The SA team develops a series of activities for publicizing the Project in the

affected areas and mobilizes the primary stakeholders to participate in project

decision. The process that stakeholders participate in the Project will be developed in

the three facets:

5.2.1 Official FGD

The SA team holds FGDs attended by officials of PMOs at all levels and related

government departments to ask for and collect: the status quo and assessment of

local approved project implementation; analysis on project risks and discussion

about the countermeasure for reducing risks; suggestions on improving project

effects; problems existed in the approved projects; predicted impacts brought by the implementation of the Project; collect all the related documents and materials and annual report of statistics of municipality, district and village

(community).

5.2.2 Project employers’ FGD

The SA team holds FGDs with subproject employer units to discuss about the following subjects: the background and process of approved project; get to know the status quo and assessment of project implementation; the process of project design; problems existed in the projects; obtain suggestions about improving the project effects and avoiding risks; collect project employers’ documented data concerning the Project; select survey sites.

5.2.3 “Free prior informed consultation” of the primary stakeholders

The SA team develops “free prior informed consultation” among the primary stakeholders of the Project. On the fieldwork of each subproject, the SA team selects different survey sites to cover the primary stakeholders affected by the Project.

The work procedures for free prior informed consultation:

Training the investigators: Before the survey, carry out PRA trainings on the investigators with a view to having them better master PRA methods and know the objective and requirements of project survey.

Collecting the overall data concerning rural communities and urban communities in the affected areas: Before the survey, the relevant the investigators collect and sort out the data related to the population and distribution of ethnic minorities in the affected areas, their ethnic history and culture, their ethnic economic and social development.

Holding villagers/residents FGDs: The survey team convenes the related villagers/residents to attend FGD after entering into the villages/communities for getting to know the situation about elementary production and life of

villagers/residents.

Drawing: The investigators assist villagers/residents in drawing concerning resource distribution, community conditions, seasonal production and life.

Door-to-door interview: After knowing the basic situation about the communities, the investigators go into the residents’ homes to carry out questionnaire survey or depth interview.

Survey summary: The investigators analyze and summarize what it has learned in the survey and write the first draft of survey report on this basis.

Information feedback: The survey team submits the survey results to project

decision-making department and advises the department to take the

corresponding measures to solve potential problems; in the meantime, the survey

team timely feedback the opinions made by decision-making department to the

related village.

The main working methods for free prior informed consultation:

FGD and sequencing

In the villages/communities where the survey is carried out, the SA team convenes villagers/residents from different ethnic groups, sexes, ages, rich or poor families and places of residence to attend FGD for the purpose of letting them know the main contents of project construction. When villagers/residents have comprehensive understanding about the project construction, the investigators collect the relevant information material (such as problem sequencing, plan of resource distribution, seasonal life calendar and farming calendar, etc.) and jointly verify the information material, analyze and summarize problems and seek the solutions to problems with villagers/residents.

Drawing

The investigators assist villagers/residents who are more aware of situations concerning villages/communities to draw plan of resource distribution and community of the village and preliminarily master the relevant information related to local economic and social development overview and status quo of environment. After

that, the survey team discusses about the local environmental aspect, and the

problems existed in the economic and social development of villages with

villagers/residents to know their true thought and suggestions about project

construction.

The investigators respectively assist men and women villagers/residents to fill

and make seasonal production and living arrangements diagrams and get to know

local villagers/residents’ situation about farming activities and daily routines in

different seasons, and the role of different sexes in household production and life and

women’s degree of attentiveness and wish about project activities.

Questionnaire survey and depth interview

In order to learn about production and living conditions of residents who are

affected by land acquisition and home demolition and their understanding and

suggestions on the project construction as much as possible, the SA team works out

Outline of Door-to-Door Interviewing on Social Assessment of World Bank Financed

Zhaotong Central City Environmental Construction Project to have the investigators

to go into doors to collect information about the Project.

For those villagers/residents who have a more understanding about project

construction, we mainly adopt the way of depth interview to learn about their thoughts

and discuss about the problems related to the Project. Through depth interview, the

investigators collect a lot of data valuable to project construction and are more aware

of potential problems existed in project construction so as to ensure

villagers/residents’ depth of participation in project decision-making. Table 5-2 shows

the situation concerning the primary stakeholders participating in the Project:

Table 5-2 Free, prior and informed consultation of primary stakeholders Participatory Subproject Participants Objectives activity

Participatory Subproject Participants Objectives activity Project information sharing Northern Local residents (including FGD Project demand analysis area water the poor, ethnic minorities, Interview Evaluation of project practice/design supply and women and displaced Ranking pipeline Project impact analysis persons) Drawing project Analysis of existing issues Expectations/suggestions Project information sharing Residents near sewage FGD Project demand analysis plant (including the poor, Interview Evaluation of project practice/design ethnic minorities, women Ranking Project impact analysis Central city and displaced persons) Drawing Analysis of existing issues sewage Expectations/suggestions treatment and Project information sharing intercepting Project demand analysis sewer Urban residents (including FGD Evaluation of project practice/design project the poor, ethnic minorities, Interview Project impact analysis women and nearby Ranking Analysis of existing issues residents) Drawing Expectations/suggestions Expression of willingness to pay, analysis of ability to pay Project information sharing Central city Local residents (including FGD Project demand analysis river the poor, ethnic minorities, Interview Evaluation of project practice/design managemen women and displaced Ranking Project impact analysis t project persons) Drawing Analysis of existing issues Expectations/suggestions Source: fieldwork of the SA team

5.3 Demand analysis of stakeholders

Stakeholders involved in the Project vary in their actual needs. It is beneficial to

identify major social activities, mitigate potential social risks and facilitate the smooth

implementation of the Project by making a concrete analysis of different

stakeholders. Social assessment teams of each subproject have communicated fully

with stakeholders of the affected areas by means of questionnaire survey, interview,

informal discussion and observation and so on, learning about the needs of

stakeholders concerned. Table 5-3 below is the analysis and summary on the needs

of primary stakeholders.

Table 5-3 Demand Analysis of Primary stakeholders Involved in the Project Subpro Primary Common Needs Special Needs Remark ject stakeholders

Subpro Primary Common Needs Special Needs Remark ject stakeholders

Solve local community residents’ difficulties in water supply for production and living Poor households: Able to take

N Deal with problems of environmental part in the construction of the o

r pollution caused by neighboring factories

t Project to promote family income h

e around the water plant Special groups: Priority would be r n Develop community economy and given to rural residents disabled at a r

e Residents in increase farmers’ income work or those affected by the Project a Collect reasonable fees for water

w the affected for arranging jobs or offering

a areas supply and installation according to actual subsistence allowances t e

r (including situations Household of land acquisition: To s

u poor Rational compensatory policies for land offer jobs in water plants and p

p households, acquisition, transparent in information and districts in water charge l y ethnic fair in execution a Taoist Temple: Clean the sewage n minorities, d Improve supporting infrastructure for pipe network surround the

p women and water supply and drainage pipe network Dalongdong Taoist Temple to i p

e displaced Ensure smooth second ploughing for guarantee the sewage drainage, l i n person) define the management

e temporary land acquisition

p Guarantee the participation of responsibilities over the water r o source areas; build mechanical j community residents in the construction e

c floodgate at the month of the water

t of the Project Work out water conservation plan and source areas to ease down-draught proposal in detail to protect properly the of lake water in rainy season surrounded Taoist Temple and other cultural treasures and historic sites

C Realize the effective sewage treatment e

n Develop local economy and increase t r a residents’ income l c

i Handle external sewage and construct t y Residents Poor households: Participate in

s local supporting sewage disposal pipes

e neighboring construction on the site amid the w Construct supporting facilities to solve

a the sewage construction with comprehensive

g water supply for production and living

e plants preferential policies on water charge

t Treat sewage in a scientific and safe r p

e (including worked out r a o way to avoid secondary pollution in the t j poor Household of land acquisition: e m community c

e households,

t Minimize land acquisition and house

n Recover successfully the temporary

t ethnic demolition; rational indemnifying i n minorities, acquired land t measures; offer subsistence e Take part in the Project construction r displaced c allowances and; give priorities to job

e Guarantee the community safety amid p persons and arrangement with favorable terms t

i the construction n women, etc.) for development provided g Guarantee safe agricultural production s e

w amid the construction

e Handle major units involved in diffused r and point source pollutions of water body

Subpro Primary Common Needs Special Needs Remark ject stakeholders Urban Protect urban environment and improve residents community living environment Poor households: Participate in (including Regularize major units and pollution construction on the site amid the poor sources causing environmental pollution construction with comprehensive households, preferential policies on water charge Adjust comprehensive water charge ethnic worked out Build sewage disposal pipes in related minorities, Residents near by the pipe communities residents near network: Guarantee convenient by the pipeline Work out rational compensation fees traveling amid the construction and network and for temporary land acquisition their participation in the Project women, etc.) Try to avoid construction at night Develop village and community economy and increase economic income Focus on the treatment of diffused and point source pollutions (Ham plants, cattle slaughter house and cement plants) along the river C Poor households: Offer job

e Protect the living environment of urban n opportunities to them, esp. those t and rural communities to prevent them r a with land acquired l from flood disaster c

i Displaced person: Minimize the t Improve infrastructure conditions of y

c villages and communities, such as the number of displaced person; carry

o Residents of m the affected smooth road conditions out compensation measures p according to actual needs with r No impacts expected to have on e areas

h houses provided or economic

e (including residents’ daily production and living

n compensation involved; the original

s poor Rational compensatory policies for land i

v living means of urban residents for

e households, acquisition, transparent in information and store operation would be maintained r

i ethnic fair in execution v

e after resettlement minorities, r Help solve domestic refuse treatment

t Ethnic minorities: Guarantee r women and

e for residents along the river a displaced multi-ethnic inhabitation and t (1) Guarantee second ploughing of the m person) convenient collection of means of e rural communities for temporary land

n livelihood to solve problems

t acquisition

p concerning farmer's markets of r o Build roads along the river to ensure cattle and horse slaughter houses j e the access of refuse trucks c and community farmer's market of t Combination of river treatment and the Hui nationality toilet upgrading for surrounding urban residents Strengthen efforts to promote awareness of environmental protection. Available long-term river treatment system

Subpro Primary Common Needs Special Needs Remark ject stakeholders The incense burner built on the riverbank can be removed during construction and is required to set Avoid house demolition to protect back upon completion cultural relics and historic sites and The For house demolition of the Taoist geomancy Doumuge Religionists Temple, the costs on its remolding Treat comprehensively the environment Taoist and believers and emplacement would be treated of and around the Taoist Temple Temple (No. of Taoist upon demolition Guarantee the operation of daily 5 Temple in the “Geomancy” would be taken into religious activities of believers amid the Community affected areas account when selecting the site for construction of Taiping reconstruction Guarantee the operation of traditional Community) Guarantee the operation of festivals related to religions beliefs necessary “ritual ceremonies” amid the house demolition and resettlement Source: Fieldwork of the SA team

The distribution of ethnic minorities in Zhaotong Municipality, similar to that of

other regions in Yunnan Province, is featured by “mixed large and small settlements”.

Zhaoyang District is mainly comprised of Han and Hui people. Therefore, local

Taoism for and Islamism are popular among the believers. And Taoism would be

involved in the Project: one is the “Dalongdong Taoist Temple” in the water source

area of Dalongdong Cave for central city water supply project, and the other

concerns the Doumuge Taoist Temple for comprehensive river treatment project. By

conducting field survey and FGDs and interviews with related religious personnel and

ordinary believers, the SA team believes that it is of great importance to learn about

the impacts on and special needs of stakeholders and to guarantee the

implementation of the Project by taking the inevitability to be affected by the Project

for such a featured and widely accepted tangible and intangible cultural heritage with

higher value for tourism development. It is hereby proposed two cases for references

of decision-making and implementation of the Project.

Case 5-1 Dalongdong Taoist Temple is located at Dalongdong Natural Reserve in Beizha Town, Zhaotong Municipality, which is 12km away from downtown area. It was

founded in 1765 AD (The 30th year at Emperor Qianlong’s reign). Wooden pedestal can be seen at the back of temple gate, and the backyard is made up of the main hall and two verandas. Covering an area of 6,500m2, it owns penthouses on both sides of the main hall and stone railings for protection in front of the hall. Honoring the statues of Great Priest, Taoist God Zhenwu, Lu Tung-pin, Qiuzu, the King of Medicine and Erguan, the temple is surrounded by mountains and water with pine and cypress trees, creating dense shade and beautiful scenery. The outlet of the water source of Dalongdong Cave is right located at the side of worship statues, which is now separated with fences for protection. The water pond in the water source area can form the lovely scene called “March of the Vauclusian Spring”, one of the well-known “Eight Scenic Spots in Zhaoyang District”. The building of the temple here has something to do with the concept of “geomancy” in Taoism. Local residents always attend the “Dragon Play Temple Fair” held on the 8th day of the 2nd lunar month, lasting 3-5 days and attracting a large number of people. Besides, there’re also the “Fair for the Goddess of Mercy” on the 19th day of the 2nd lunar month, the 19th day of the 6th lunar month and the 19th day of the 9th lunar month and the “Fair for the Jade Emperor” on the first month of the lunar new year, to name just a few. The SA team has learned by interviewing the Abbot Mr. Geng of the Taoist Temple that the temple is of great importance for the protecting the water source area of Dalongdong Cave. First of all, the public, affected by the religious ideas, begin to pay homage towards the water source, which has protected the water source area and guaranteed the water quality objectively. According to the Abbot, the insiders of the Temple are always willing to prevent consciously the water source from being polluted. And more attention has been paid to the prevention of such a special and exploitable cultural and tourist resource involving in all sorts of historical and cultural factors from being polluted and destroyed during the economic development. As a result, it has emerged an important component part of local people’s culture life, which is closely associated with their traditional festivals. There’re for sure many problems nowadays, which are the causes that leading to the special needs likely to emerge in the Project. First, it concerns with the drainage of domestic sewage produced by the Temple itself and the service facilities surrounded, which have been failed to be handled well; this is more severe during the temple fair, for it is more likely to increase the pollution of the water source area with the growth of visitor’s flow rate. Second, it is related to the flood drainage of the sluice ponds in front of the Temple. As the three sluice ponds lead directly to the Northern Water gate Reservoir, the drainage between the former and the latter is

blocked by the increasing cumulated sludge around the year. What’s worse, as the traditional water gate for drainage is rather difficult to handle in rainy seasons, large amount of accumulated water can flow in all directions, drowning the temples located at lower places, which can not only pollute the water source, but also pose great threat to the ancient buildings involved. The local officials of the temples and the communities express their understanding of and support to the Project during the FGDs and interviews, considering it a meritorious deed with their own needs and willingness shared. Try to avoid the house demolition and other damages to the ancient buildings to protect the cultural relics and historic sites and geomancy, for all these cannot be recovered once being knocked down due to the symbiotic relationship between the water source area and the temples. Treat the surrounding environment and improve the facilities for water supply and drainage and prevent the water source area from being polluted. This would be done by placing special blow-off lines for the temples and units concerned and replacing the old Water gates between the sluice ponds and Northern Water gate Reservoir with mechanical floodgates for the sake of drainage and flood discharge during rainy seasons. Define the responsibility for management over and protection of the water source area. And special administrative committee can be established on demand, which can be composed of the temples and units concerned. Guarantee the operation of religious activities and traditional festivals related to local religious beliefs amid the implementation of the Project.

The case above serves as the instruction for the needs of Dalongdong Taoist

Temple involved in the Project. And the case below would demonstrate the needs of the comprehensive river treatment project—the Doumuge Taoist Temple on the

Project in detail.

Case 5-2 Located along Liji River for sacrificing the mother the Gods—“Doumu”, Doumuge Taoist Temple serves as one of the branches of Quanzhen Junta, Taoism which is developed on the basis of a small temple in the 1990s. It employs 500-600 disciples ranging from 17-year-old to 70-year-old.The Zhaoyang District owns nowadays 11 regular Taoist temples, among which six are under application, with the land use right

owned by the temples concerned. There’re the “Fair for the Goddess of Mercy” on the 19th day of the 2nd lunar month, the 19th day of the 6th lunar month and the 19th day of the 9th lunar month and the “Fair for the Jade Emperor” on the first month of the lunar new year, to name just a few. In addition, believers go to the temples for practicing abstinence on the first and 15th days of each lunar month, there’re even those from Dashanbao Nature Reserve. Always there’re three to four disciples stay in the temple. Covering an area of more than 100m2, it is built in two floors; the sculptures placed in the center are made by masters from Sichuan Province, with a number of 12-13, large and small in size, costing more than 10,000 yuan for purchasing materials (3,000-4,000 yuan for each on average), with the funds from both the believers and the government. As the Temple is relatively in size, it is rather crowded when practicing abstinence. However, it is also difficult to expand it, for it is too close to the river. As it is a quiet holy place with frequent activities, costs can be saved for both the government and the Temple by avoiding relocation. This may be solved by building it over the river, or relocation can be involved if a larger location can be provided by the government, with the geomancy taken into account, for it is the most powerful among its peers. Moreover, the location should be determined prior to the relocation to guarantee the operation of religious activities, and realize the promise toward the patriarch meanwhile. And 5-9 days would be taken for religious rites and the ceremonies for starting construction and welcoming the golden statues would be ensured. In addition, it is urgent to treat sewage discharge and dirty water produced by residents on the other side of the river, which is of great impact on the geomancy of the Temple (The data above is contributed by Mr. Wei of the Temple). And we’ve also learned by interviews with the believers that they’re generally willing to support the Project, with their own needs and willingness expressed in the meanwhile. Avoid house demolition and affecting the geomancy. Deal with the river environment along the Temple and improve the facilities for water supply and drainage of neighboring communities. Guarantee the operation of religious activities and traditional festivals related to local religious beliefs amid the implementation of the Project. Consider the reconstruction, remodeling and replacement of the Gods on demand upon house demolition. Take geomancy, convenient traffic conditions into account when selecting the new site to facilitate the activities involved.

Guarantee the operation of necessary religious rites during the house demolition and resettlement.

The needs of other stakeholders are as follows:

(1) Employers and implementing agencies: Employers and implementing agencies of subprojects are looking forward to kicking off as early as possible to reduce the costs on construction and operation, making efforts to guarantee the profits of the Project.

According to Zhaoyang Municipal Urban Construction & Development Tender

Co., Ltd., technicians are required for guidance and support due to its lack of experience in river treatment project, or else it may become harder to carry out the preliminary work; meanwhile, it hopes that the budget of the Project should be accurate and other supporting funds, excepting that of the World Bank, should be available and; more data for comprehensive river treatment projects are expected.

Water supply and drainage companies believe that it is rather difficult to collect corresponding funds and more supports are required as the funds for initial capital are far from enough.

(2) Related government agencies: The needs of related government agencies, such as Urban Development & Reform Bureau, Urban Construction & Development

Management Commission, Environmental Protection Agency, Water Resources

Bureau, Bureau of Ethnic and Religious Affairs, Tourist Administration and four sub- district offices in Zhaoyang District, etc., concern to evade as far as possible the negative social impacts and risks caused by the Project, to guarantee particularly the implementation and execution of government policies concerning land acquisition and house demolition, and to look forward the smooth project development, so as to improve the urban environment, promote people’s living standards and quality, speed up the development of enterprises and institutions in the affected areas and improve the image of the government.

6 Project Impact Analysis

6.1 Survey Result of the Project Support

The survey indicates that all levels of government, people and ethnic minority in

the affected area support the Project. After acquiring the information, the related

agencies quickly established the foreign investment office of Zhaoyang District,

Zhaotong Municipality, which takes full responsibility of the Project related work by

attaching to the district office. A leading group is established as well, led by the

district mayor with persons in charge of the District Environmental Protection Agency,

the District Development and Reform Committee, the District Water Resources

Bureau, the District Water Supply Company, the District Urban Construction Bureau

and the District Public Finance, etc., as members of the group.

The editorial team communicates with the related agencies and residents using

limitless prior informed consultation, enabling the residents in the affected area to

understand the Project deeply. The findings reveal that either urban population or

rural population, either land acquisition villagers or replaced households, show highly

acknowledgement and wide support to the Project. Even the ethnic minority and

religious population are all willing to cooperate actively in the Project construction

and hope the implementation of the Project can solve the problems of “hard to drink

water, hard to blow down and smelly river” during the city development.

The following shows the Project support ranking of the residents in the affected

area, which is carried out by the assessment team during the survey period:

Table 6-1 Affected Population’s Support Will Ranking in the Affect Area

(Central city river management project) Will To lower the To improve the To increase To facilitate To reduce burden of flood living the farmer’s the disputes prevention environment of income transportation between the the residents to have waste villages on both sides truck driven Community into the community Fuqiang ∗∗∗∗∗ ∗∗∗∗∗ ∗∗∗∗ ∗∗∗∗ ∗

Guanba ∗∗∗ ∗∗∗∗∗ ∗∗∗∗ ∗∗ ∗∗∗

Yingfeng ∗∗∗∗∗ ∗∗∗∗∗ ∗∗∗ ∗∗∗∗ ∗

Shuitangba ∗∗∗ ∗∗∗∗∗ ∗∗ ∗ ∗∗∗

Shizhahe ∗∗∗ ∗∗∗∗∗ ∗∗ ∗ ∗∗∗

Taoyuan ∗∗ ∗∗∗∗∗ ∗ ∗ ∗∗∗

Xuezhuang ∗∗ ∗∗∗∗∗ ∗∗ ∗∗∗ ∗∗∗

Dengzi ∗∗ ∗∗∗∗∗ ∗ ∗∗ ∗∗∗

Heping ∗∗∗ ∗∗∗∗∗ ∗∗ ∗∗∗∗ ∗∗∗

Table 6-2 Affected Population’s Support Will Ranking in the Affect Area

(Central city sewage treatment intercepting sewer project) Will To improve the To utilize the To eliminate the To improve living water resources health risks brought sewage treatment environment reasonably by disorderly sewage capacity Community discharge Fenghuang ∗∗∗∗∗ ∗∗∗∗ ∗∗∗∗ ∗

Dengzi ∗∗∗∗∗ ∗∗∗∗∗ ∗∗ ∗

Table 6-3 Affected Population’s Support Will Ranking in the Affect Area

(Central city northern part water supply and waterline project) Will To improve the To save water To solve To remove To improve living resources drinking water water body water supply Community environment problem pollution capacity Ping’an ∗∗∗∗∗ ∗∗∗ ∗∗∗∗∗ ∗∗∗ ∗

Taoyuan ∗∗∗∗∗ ∗∗∗ ∗∗∗∗∗ ∗∗∗∗ ∗

Shuiping ∗∗∗∗∗ ∗∗∗ ∗∗∗∗ ∗∗ ∗

6.2 Project Positive and Negative Impact Analysis

The Project implementation will bring different impact on different stakeholders

and organizations, which can be divided into positive ones and negative ones.

Analysis towards the positive and negative impact on the primary stakeholders can

effectively identify, control and avoid the social risks of the Project construction. The

SA team, by limitless prior informed consultation among the primary stakeholders

and combining the analysis of the filed survey materials, makes analysis of the

Project impact on the primary stakeholders, which can be shown as the following

Table 6-4:

Table 6-4 List of the Project Impact on the Primary Stakeholders

Positively Adversely Subproj affected affected Positive impact Negative impact ect population population (people) (people)

N To solve the urban drinking water problem o r

t and promote the urbanization process and h

e the local economy Relating to temporary and r n To improve the resident living permanent land acquisition a r

e environment and infrastructure problem a

w To reduce the local diseases resulted The Project implement may a p from drinking water problem and ensure the t affect the local agricultural r e o r

j drinking water safety productivity activities. e s 318192 446 c u

t To improve the water resources protection Pipeline network laying may p p

l To increase the employment of related have certain effect on the y

a industry during and after the Project resident daily life. n

d construction The collection and increase of p

i To provide possibility for peasant water bills increase the living p

e cost the residents.

l urbanization and non-agriculture i n

e To provide non-agriculture employment chances during the Project construction S

e To improve the current urban sewage w

a situation and enhance the city and g

e community integrated environment

t Relating to temporary and r To improve the perfection of the city and e

a permanent land acquisition

t community infrastructure m problem

e To prevent from repeated pollution of

n The Project implement may t water system i

n affect the local agricultural

t Rain and sewage shunting can avoid e production activities. r

c 318,192 flooding inside the city. 190,228 e Relating to the temporary land p To increase the employment of related t

i acquisition problem and n g industry during and after the Project affecting the resident daily lives s construction e The collection and increase of w To provide possibility for rural urbanization e water bills increase the living r and non-agriculture p cost the residents. r

o To strengthen the environmental j e

c protection consciousness of the local t residents

Positively Adversely Subproj affected affected Positive impact Negative impact ect population population (people) (people)

To improve the urban integrated environment and beatify the urban appearance To attach importance to the resident Relating to temporary and hygiene and strengthened their permanent land acquisition environmental protection consciousness problem To reduce the occurrence of diseases Relating to the surrounding To ensure the drinking water safety of replaced households people and stock lives The Project implement may 318,192 To avoid sewage running into the 5,149 affect the local agricultural farmland and guarantee the agricultural production activities.

R production safety The Project implement may i v

e To improve the urban investment affect the resident daily lives r

m environment and facilitate the local economy The collection or increase of a

n development water bills and the collection of a

g To dredge and broaden the watercourse disposal fees may increase the e

m and prevent from flood and draught resident living cost. e

n disasters t

p To improve the community public order r o along the river j e c

t To improve the surrounding environment of Taoist temples The religious sits along the river may be related to house To strengthen people’s environmental demolition. protection consciousness towards water Affecting in different degree Related head sites Related on normal religious activities and religious To protect the water head sites from religious local celebrations of the local population pollution population residents and To keep the local material culture and the and The demolition and believers non-material culture from destroying and to believers resettlement of the Taoist ensure its continuation temples may result in To protect the tourist resources from corresponding land acquisition damage and to enhance the local tourist problem. development Source: fieldwork and data analysis by the SA team

6.2.1 Relocated households and resettlement

The three subprojects of the Zhaotong Central City Environmental Construction

Project relates, more or less, to land acquisition and house demolition, which is

particularly obvious in the central city river management project and northern area

water supply and pipeline project. The SA team believes that the land acquisition and

resettlement problem resulted from permanent land acquisition or house demolition is

an important negative impact given by the Project.

When people in the affected area are affected by the Project and permanently move from or loss their original land, or completely lose their land, the original production and living environment will be changed, leading to the transformation of the way of life of the affected people.

First, the affected population lost their final life guarantees. Although the land relating to the land acquisition is not the only and most important income resources of the residents, it is their basis life guarantees. The farmers living in city fringe area involved in the Project, being influenced by the urbanization process, whose status is changing from rural residents to urban residents, while at the same time, the land that can be utilized and famed by the farmers are gradually losing in the process.

This point has been proved in the process of investigation and survey by the SA team that using the current land to carry out faming production is not an effective way to improve the villagers’ living standard, as is said that “farming can not support the whole family” and “farming is only a back way for us and the children.” At the same time, the crops on such land are usually the primary feedstuff resources of their household breeding and sideline production, while the income hereby is the important component of their gross earnings, which is particular important for the poor.

Case 6-1 Interviewee: Zhou XX, male, Han people, Guanba Community Longquan Sub- district There are three people in Zhou’s family. Half a year ago, Zhou began to work in the neighborhood committee, who stays at the village while there is something to deal with and does some business like selling fruits while he is free from the committee. His wife does works for others in Zhaotong Municipality. The child is just in his first year at the primary school, so it is no need to hand in the tuition. With little economic burden, Zhou’s is in a good economical state among the villagers. The contracted field under his name is not very much and has already transferred to his relatives in the earlier time. He said that almost all the adults there work outside and that only farming can

not feed the whole family, which can at most provide adequate food and clothes, because the annual grain income is only 2000 yuan or so. There are more than 4300 adults in Guanba Community, among which over 2000 work outside. In other words, almost all the adult males are working outside for others. However, they generally work in Zhaotong Municipality, because it is near for them to go out early and return till late. Motorcycles are the main transportation and almost every household owns at least a motorcycle. Generally speaking, people here do business or work in the city as construction workers. The financial status of this community ranks in the medium among Longquan District, and still one half are still in the poverty. Generally, the more they farm, the poorer they are. According to the standard of Zhaotong, a household with less than 693 yuan annual income belongs to a destitute one, against which there are 100 to 200 destitute households in this community. At present, the government gives 50yuan monthly subsidy to each person in the destitute household. There is also one household enjoying the five guarantees (childless and infirm old persons who are guaranteed food, clothing, medical care, housing and burial expenses). It is now the period of corn harvest. The potatoes and corns here are mainly used for feeding pigs. The ordinary household will feed one or two pigs to feed themselves. No more pigs are fed because of lack of labors (more pigs will need special person to look after) and space.

Second, the affected population lost their employment condition. The household economy of majority of land acquisition affected farmers generally comprises of agriculture and non-agriculture. Many households farming at home have their next generation working outside. Besides the old age, these left-behind farmers master limited production skills or life skills. The land acquisition may get them dispelled by both the agricultural and the non-agricultural labor market. That is to say, they are forced to retreat from the agricultural division because of the land acquisition, while it is hard for them to realize reemployment in the non-agricultural division because of lack of related training.

Case 6-2 Interviewee: Qiu XX, female, 50 years old, Han people, Xuezhuang Community

Fenghuang Sub-district Qiu, married, with no more than an elementary school education, now has 0.3 mu of land, which shows that her land has been acquired a lot. All her three children work outside for others. She said that “the land left can do nothing at all with only 1000 yuan annual income. It can manage with difficulty to feed myself. Now I am old and am hard to find a job outside. Only at the end of each year, I can get some money from my children, while they themselves can not earn enough to feed themselves. In addition, I am ill with hyperosteogeny and rheumatism and have to spend two to three thousand to see a doctor. All the money is scraped together by the children. Now my house is demolished also because a road will be built here. If the land is acquired and I can’t work outside, it will be pretty hard for me to live.”

In addition, the land acquisition of the Project will also cause the loss of large quantity of earning land and other earning capital goods (e.g. commercial stores), thus resulting in the reduction of revenue sources of the affect population.

Case 6-3 Interviewee: Lu XX, male, 55 years old, Han people, Yingfeng Community Fenghuang Sub-district Lu, married, has never been to school. His three children, a son and two daughters, all work outside. He said that the main income of his family is the buffet and sometimes he also go outside to do some part time job, mainly ranging from helping others to stretch the electric wire and plant the poles. The monthly income of such job is about 1500 yuan to 1600 yuan, but such income is not common. As a result, the annual net income is no more than 3000 to 4000 yuan, while the primary expenses are food and clothes as well as the purchases of the buffet. His family living standard is among the medium in the community. Before, people had more land and were honest and frank. Once money was given as supplement, they would have the land acquired. Now such thing happens over and over again and people become more sophisticated. Once land acquisition occurs, they hope to have more money supplemented. His house, nearly 100 square meters, was built in 1986, cost no more than 5000 yuan. But the money at that time was much more valuable than now. He thinks that it is the most important to manage the river, so that the villagers’ living environment will be better and the life will be more convenient and everything will be better bit by bit. At present, every ton of tap water is 2.80 yuan, while it was

1.90 in the previous time. The price is raised along with the building up of the sewage treatment plant. However, the water bills are collected uniformly against the same standard, so people have no disputes. Moreover, the river management can benefit the surrounding, which is supported by all the villagers. For example, if a villager kills his cow upriver, the dirty stuff will flow down along the river. Until three to four o’clock, the blood water will be retained and undermine the atmosphere here. Take our daily life waste for instance, only accumulating a little money from each household can reach 36 yuan a year to have the waste drawn away by an environmental protection worker. But the tenants who rent houses here did not pay the money. Two or three years ago, people all dumped their waste into the river, causing flies flying all over and smelly as well. As a result, it is good to have the river managed, even though there are still some dumping their waste into the river on the sly during the night. Now, all drink tap water rather than well water as before, as the well water is polluted by the river. All kinds of waste water in each household are directly drained into the river. The river was built with stones in the previous years because of the flood. But now there is no land any longer. The villagers can not use the waste water to flush their toilet and then use it as the fertilizer of the land. They have no choice but to drain it into the river. Referring to the World Bank Financed Zhaotong River Management Project, he stated that he knew nothing before today. He believes that if house demolition is needed to have the river managed, it is necessary to discuss and consult with the villagers to have the problem solved. If his house is concerned, he will show his support. However, the commons should not suffer losses and should not profit at the government’s expenses. There is always a way to solve a problem. If his house is demolished, it is better for him to find a new spot besides the road to build a new house, so that he can continue to have his buffet, in case that his family will be poorer after the resettlement. In terms of the resettlement, he would like to stay together with his own group to keep the usual communication. If the Project is started, he would like to work for it and help the Project, as he thinks the Project only lasts for a short period and will have little effect on the villagers’ daily life.

However, even if the proposal for compensation and resettlement exists during the process of land acquisition or house demolition and the money for compensation and resettlement can be obtained, the affected people might not confirm how to

utilize such resources. Especially for the poverty-stricken families, the problem of sustainable livelihood cannot be ignored.

Case 6-4 Interviewee: Xu XX, male, 45 years old, Han Ethic Group, Ping’an Community in Tai’ping Sub-district. Xu, married, with educational level of primary school. There are 3 children in the family. The net income a year is about 1,000 yuan, with 2 mu of land mainly for planting corn and yam. The main expenditure is basic need and a great amount of money will be spent on the sickness of children, such as cold and flu. Two pigs are raised and one between will be sold at the end of the year. The standard of their living is comparatively low in the village. No one in this family goes out for working, moreover, he is told by the doctor not to do the heavy work as his arms were injured during the farm work. So all the farming work depends on his wife. He said that if the land acquisition was required by the river management, he advised, “it’s better not to expropriate the land thus we can have some income. In previous years, 59,000 yuan per mu is offered including young crops fee. Correspondingly, I can only get about 100,000 yuan since I have only 2 mu of land. From this piece of land, we can have food from generation to generation and the future of children should be taken into consideration. If the land is expropriated in future, enough compensation should be offered. So people can adopt it into business or save it if not. However, the best is to arrange a job to ensure the long-term food and clothing, otherwise, to use up the resources in idleness will be dangerous. Factually, before land acquisition, you can make an illustration to the masses and seek the opinions. To tell the truth, if the long- term food and clothing can be solved, it is accepted even without money for the land acquisition. Nowadays, prices of commodities are high in the city and we are also promoted, which is hard to get through. So the income is nothing to speak of. Take grocery shopping for example, we can plant some vegetables when we have enough land in previous years. But now we have to pay the vegetables since we have less land. I have heard that minimum living or endowment insurance will be offered in some districts. I think it is better. But we haven’t any preferential policies in our previous land acquisition. In fact, we are unable to get rich by such little land but only as the minimum living guarantee. To some extent, you come to carry out the development also on purpose of promoting the living standard of local people.”

The change of livelihood methods and the reduction of income are the negative impact directly brought by the permanent land acquisition and house demolition, which will be obvious in a short time. From the experience of involuntary resettlement home and abroad, it shows that land acquisition and house demolition may bring about a series of potential and long-term effect in society, culture and mind with the change of livelihood methods as a blasting fuse, including:

First, land acquisition and resettlement means the end of the original ways of production and life for the affected people. Without land, the living environment of farmers changes, while the original concept and behaviors adjusting to the life in the countryside will also change. For example:

Interpersonal communication may gradually transfer from “acquaintance” society with high homogeneity to the contact between residents of unfamiliar communities; from the tie depending on blood relationship and geographical relationship to the contact maintained by business relationship while the daily communication demonstrates into divergence type and asymmetric type. In the interview, it is widely held by the villagers that: they prefer to live in the original community nearby if in need of house demolition and resettlement. Such kind of willingness is more intense especially in the community of ethnic minority.

Case 6-5 Interviewee: Ma XX, male, 44 years old, Muslim, Yingfeng Community in Fenghuang Sub-district. Ma has two sons and he said, “We absolutely support your project of sewage treatment, as the river pollution is too terrible and boring. We are eager for the treatment. Once it rains here, it will be flooded. In 1999, “7.14” flood had covered nearly 80% of the riverside houses with many houses collapsed. At that moment, the government had subsidized 5,000 yuan to each family and the insufficient part for building houses were collected by themselves. Many people failed to repair it until now. My house had also been flooded but without collapsing. Those earth houses had nearly collapsed. The existing house was repaired 3 years before. I can remember the river was clean in my childhood but polluted afterwards without any

treatment adopted. Gradually, it has been mistreated. The domestic sewage and dirty things are all discharged into the river. The well dug anywhere in the riverside can be used for drinking before, but now the pollution is terrible as more people dwell in. The main income of my family is to make the bean curd. I’m originally a farmer with a small amount of land. At that time, with the urban development, land acquisition was required by some unit, our land was expropriated and we became landless. I think it is impractical to increase the riverbank since the height varies, both of which may affect the outgoing. Even changing here into a underground sewage pipe by redirection cannot solve the problem. The main measures can be taken such as the river is dredged and covered with the cement slabs to prevent littering, and the special sewage pipe is installed. Therefore, the problem can be solved. If house demolition is required, we will move together with others but the new location has to be found and the compensation should be reasonable. Since our Muslims have our own living habit and we have a trade market from which Buying something such as beef is very convenient. So the convenience problem should also be considered, such as a market, if we are moved to other place. So my family can continue our bean curd production. Short distance is welcome and the same community can be still maintained. If some family cannot afford the repair, the government can come to help. But we consider it better to build houses by ourselves by money subsidy because we always feel not so satisfied with the houses compensated by the government.

Diversity of time concept: There is no strict time limit for agricultural life. They work as sun rises and rest as sun sets. The four seasons are alternated and repeated. After the loss of land, to be punctual and value the time are what the livelihood requires.

Diversity of consumption concept: Thrift, simplicity and practicality are advocated in the traditional rural life and many daily necessities can be self-sufficient.

But they have to pay the daily necessities after the loss of land. For example, in the

FGD of Ping’an community because of the requirement of building water plant in the urban water supply project, when the villagers know that the water will be charged after solving the water problem, they remark, “The water should be charged! Water should be free, and it is better to be lower than other places if needed.” In many

communities, the villagers also take the same opinion, which indicates people’s inadaptation of consciousness brought by the change of consumption concept as the living environment changes.

Second, house demolition and resettlement may produce new gap between the rich and poor and may aggravate the gap between the rich and poor as well. House demolition and resettlement actually means a transformation process for the affected groups, from which some affected people may pioneer a new development route by the compensation; someone may live merely on the compensation of land acquisition and house demolition; or some others may fall into a decline because of failure. Such kind of situation is also proved in Xu’s statement of case 6-2 and he shows great concern for this problem.

Besides, as a result of house demolition and resettlement, the problem of mental acknowledgement may be brought to the affected group. It mainly includes their acknowledgement for the city and country, the acknowledgement for their future social identity and role, and the acknowledgement for the government and the degree of satisfaction for the living condition after house demolition and resettlement.

The stakeholders of urban development and improvement of ecological environment can enjoy the fruit of the project or economic benefits, but the land-expropriated farmers and the replaced householders have to suffer the pains of development in economy, society and psychology. Without appropriate treatment, many phenomena may appear such as moral loss, social unfairness, imbalance of profits and conflict between groups.

And there comes the impact on the original social relationship net of the affected group. The house demolition and resettlement will bring about the disintegration and transformation of original social relationship net. For the replaced householders who perform the commercial activity in the demolition place, house demolition means the loss of original business network, which will directly result in the reduction of their economic income. In cases of 6-3 and 6-5, many kinds of concerns of the residents in face of house demolition show the possible existence of such effect.

The problem of temporary land acquisition brings the inconvenience to the daily production and life of the affected group, such as pavement project of sewage pipe, which may affect the outgoing of urban residents and the normal operation of shops, moreover, noise, dust and public security may be caused in the construction. In the rural area, the temporary land acquisition will affect the harvest of that season and destroy the infrastructure necessary for the production and life of farmers, and there may be the problem of second ploughing after the construction.

6.2.2 Poor population

6.2.2.1 Poor population in rural area

According to the survey of the SA team, the food and clothing of the people in the affected areas have nearly been solved, and the poverty is mainly reflected in low income and relative poverty. All the affected areas are at least equipped with some basic transportation, water and electricity. The village and neighboring area are all covered with social facilities such as schools and hospitals. The problem reflected by local residents mainly focus on the deficiency of infrastructure, for example, the further development of local economy is restricted by the problems such as safe water drinking, shortage of production water and inconvenience of transportation.

Poor population exists in each community, and the main causes of relative poverty are illness, education, natural disasters, lack of labor, lack of field and inadequate quality of labor. In general, a household with auxiliary occupation of transportation, migrant working or planting economic crops earns more than those families who merely go for traditional agriculture.

The potential negative impact of the project is: each subproject more or less will involve with land acquisition or house demolition, and the relatively poor community and population are always forced into unfavorable position in face of compensation and resettlement, profits of the project and initiative adjustment and transformation, which might worsen the relative poverty between districts and inner communities.

The SA team thinks, the existing design and safeguard measures of the project will guarantee that the operation of project will neither deepen the degree of poverty

nor produce new poverty. Besides, the poor population can equally benefit from it. It includes as follows:

Improvement of the rural infrastructure may better the health condition of the affected areas and the villagers can obtain the clean water and land. Thus the health level of poor population can be increased and expenditure on illness can be reduced.

The construction of project may produce non-agriculture jobs for the residents living nearby, especially for the poverty-stricken householders.

The project can provide the jobs for the poverty-stricken householders affected by the project and make them benefit from the development and construction of project.

Case 6-6 Sheng XX, male, 29 years old, Han Ethic Group, villager of team 8 in Guanba Community, married, education level of primary school. There are 5 members in his family and his parents live with him. He is currently taking the business of traditional Chinese medicinal materials, and he said, “In the village, the monthly income of a common villager is only several hundreds of yuan, which will be used easily. About 2,000 yuan may be remained in a year. The situation is better for a businessman, and I can have 50,000 or 60,000 a year. Farming is nothing to mention since money cannot be earned. The poor householders are those without other business. There are still about less than 4 mu of land for the four members. We haven’t farmed it but rent it. 200 yuan is priced for each mu of land every year. 800 yuan a year is really small. The drinking water of the village is from the ground water and we dig the well by ourselves. But the well water is bad for the health and quite a lot of people here may get the calculus such as biliary calculus and kidney calculus. You have the project of water supply in your plan and it will be better if it can solve our water problem. Even if the extra charge is required, I dare say the villagers will agree. Because many people get sick and people keep doubt for the water. The water may produce a thick layer of rust and it is a little bitter. The running water smells good and it can be distinguished. We are eager for the solution. Before, the community took some measures but failed. For performing the project, we can also offer our labor so

that we can also earn some money. It is really good. If the land is expropriated, the long-term job can be offered to those poor ones who also do not know other business such as management of watercourse so that they need not worry about their future livelihood.”

According to the resettlement plan regulated by OP4.12 policy of the World

Bank, a series of specified resettlement measures conforming to development need and culture of poor population will be taken to ensure the cultural continuity and livelihood development of poor population after land loss.

The preferential policy of separate charges for the water, electricity and environmental protection between city and country will reduce the life burden of poor population. In the process of FGD and door-to-door interview, most of villagers show their understanding for the charge but they call for separate charge policies in the affected areas so that their income will not be reduced with the increase of charge.

6.2.2.2 The poor population in urban area

According to the survey of SA team, the increase of life cost probably brought by the project accounts only a small part in the whole daily expenditure and less influence is produced. But the influence is greater for those relatively poor urban residents. These poor population lives in groups with limited income origin. Besides, the surrounding health environment is relatively awful.

The negative impact of project for the poverty-stricken householders mainly includes: first, the increase of relevant charge, such as sewage treatment and rubbish treatment, may worsen the burden of poor urban population; second, in the project referring to the resettlement of urban residents, the affected poor people may obtain less income sources (such as house leasing income and business income) and the original relationship net can be damaged.

The SA team thinks that the corresponding design and plan of project have already taken the equal benefit of poor urban population into consideration, which includes as follows:

The project can change the life environment of poor population, such as obtaining the clean water, air and living environment, preventing the occurrence and threat of flood disasters and improving the surrounding public security.

The improvement of environment can reduce the occurrence of the sickness of the residents.

The construction of project and improvement of urban environment can provide job opportunities in the relevant industry for them.

According to the resettlement plan regulated by OP4.12 policy of the World

Bank, on one hand, the income of poor population can be recovered after house demolition; on the other hand, their living condition can be improved.

The preferential policy of reducing the charge of environmental protection of the poor can reduce the burden of the poor.

6.3 Impact analysis of the behavior of the affected groups

The environment problem existing in the affected areas has close relationship with the life style of the affected groups in the affected areas. Meanwhile, the final smooth implementation of project and continuity of project effect may in turn affect the concept and behavior of the affected areas. If the affected groups and the operators of the project have not placed enough emphasis on this problem, the negative impact will be produced to the realization of final target and effect.

According to the information provided by the relevant government department and the actual survey results, the main rivers in Zhaoyang district are Sayu River,

Zhaolu River and its branches-Liji River system and Tuwei River system, which can easily cause flood disaster for the basin area in the history.

According to the record of History Record of Flood and Drought Disasters in

Yunan Province, from Year 20 in Yuanzhi (1285) to Xuantong in Qing dynasty

(1911), in about 600 years, 119 years of flood and drought disasters of Zhaotong

Municipality have been recorded. In the recorded years, the flooding years of

Zhaoyang districts are 58 and the occurrence of disasters accounts for 48.7% of the

recorded years and 9.3% of all the years. From the history materials, the flood is

frequent in Zhaoyang District and the caused loss is also great to people’s lives and

properties. In Report of Flood Control Program of Zhaoyang District, the flood will

come every 2 years from 1911 to 1949. Since the establishment of new China, our

country has been constructing the water conservancy to reduce the flood disasters.

For many reasons, the standard of flood control is not high. Terrifying floods occurred

in 1957, 1965, 1981 and 1999. On July 14, 1999, the flood brought huge damage to

the water conservancy project, besides, 8 people lost their lives, 538 people were

injured, 4,857 houses collapsed, 74 units were flooded, 234,000 mu of land were

disastered and 141,000 mu of land was damaged. The direct economic loss is

528.46 million yuan and the disaster people had reached 439,000. Among which, the

people suffering the heavy disasters reached 151,000 and 10 thousands of people

became homeless. Table 4-2 shows the detailed parameters of Tuwei River and Liji

River.

Table 4-2 River parameters of Tuwei River and Liji River Length of Gradient Basin area River Subsection Remark river (km) (‰) (km2) Tuwei Left branch of River Yaowan River, From source to intersection Xiushui (total secondary between Xiushui River and 12.4 7.49 21.8 River length branch of Yaowan River 28.1km) Tuwei River Intersection between Xiushui River and Yaowan 13.0 8.79 19.5 Primary left River branch of Yaowan From intersection between Tuwei River River Xiushui River and Yaowan (total length rive to intersection between 1.17 3.42 2.72 14.2km) Yaowan River and Tuwei River

From Gengtang Reservoir to Primary right Dongmen intersection between branch of 2.71 6.64 6.46 River Dongmen River and Tuwei Tuwei River River From source to Jingmen 7.09 50.41 33.5 reservoir From Jingmen reservoir to intersection between 12.6 11.45 26.3 Dongmen River and Tuwei River From intersection between Main stream Tuwei Dongmen River and Tuwei (total length River River intersection between 2.05 0.98 3.72 28.06km) Tuwei River and Yaowan River From intersection between Tuwei River and Yaowan River to intersection 6.32 0.63 9.57 between Tuwei River and Zhaolu River From source to Beiza reservoir 7.86 57.48 31.6 Liji River (total length From Beiza Reservoir to intersection 27.1km) 19.2 3.07 80.9 between Liji River and Zhaolu River

With the rapid development of urbanization, the harm for the society caused by

flood disasters becomes more and more serious. Besides, the gradual increases of

living density promote the residents to occupy more pre-reserved riverbank and

narrow the river way. Moreover, a great many of river-across building and water-

retaining building will be built to produce the unsmooth flood discharge in the local

area and worsen the flood control pressure. Meanwhile, the sewage and rubbish

from the residents on both banks and enterprises are directly charged and littered,

which aggravate the river silting. The local river way is narrowed and the flowing

section is reduced. Flowing speed is increased and backwater appears in the local

part and the silting condition is serious, which pollutes the surrounding environment

of life and production and threats the life and property especially in wet seasons.

The pollution condition varies in the whole river and it is rather complicated.

Because sewage system is imperfect, the sewage collection of auxiliary pipe is low, some unauthorized buildings are nearby and pollutant-intercepting pipe is imperfect, which cause the sewage of polluted water into the river and serious pollution of the urban river way and some river section is forced into sewage ditch. Among which, the upper section of Liji river (above 3-hole bridge) is of good water quality and less pollution sources. The farming field and rare residents locate on both banks. The main urban area follows the 3-hole bridge and the rubbish and pollutant are charged into the river, which produce a certain effect to the water quality. But there are no large pollutants on both banks, so the water quality is just a little worse than the upper section. There are mainly farming land on both banks in the downstream section and less impact is brought to the water quality. The water condition in each section of Tuwei River varies, and the upper section is good. But after entering the section of urban area, it is seriously polluted because some residents have bad life habit and limited awareness of environmental protection and throw the rubbish into the river willingly. Moreover, some river way is not dredged in time and narrowed.

In conclusion, the life style of the affected groups in the affected areas is not only the main cause but also the key to control the pollution. The successful implementation of project necessarily influences the original concept and behavior.

For the urban residents, the consciousness of environmental protection and law will be improved. In the survey of SA team, the interviewed objects support the overall renovation of watercourse and positively express their own opinions and ideas. Case 6-7 indicates the trend of environmental protection of residents.

Case 6-7 Interviewee: Wang XX, Male, 60 years old, Han people, Yingfeng Community Wang is a veteran, lives along the middle and lower reaches of Dongmen River, whose house is about 3 m or so from the river. At present, he stays at home after the retirement, and the primary financial income comes from the income of his son and daughter-in-law by working outside for others. The annual household income is about

20,000 yuan and there is no land in his household. After the SA team expressed the reason why they came, he began to talk excitedly. Referring to Dongmen River, he said that the watercourse used to be 3 to 4 meters wide and is only 1 to 2 meters wide now. When he was a little boy, people could bathe, wash clothes and even drink from the river. But now it smells all day long. In addition, many houses are built right along the watercourse to make the channel much narrower. Moreover, the residents along both sides of the river basically dump or drain all the life waste and waste water into the river, so that the volatilized air is really bad-smelling when it is hot. Especially when there is much rain in the summer, the water in the river will overflow into the houses with lower ground along the two sides of the river. The waste along with the waste water will directly flow into the rooms, which may not only affect the residents’ health, but also have a bad impact on the daily life of the residents. He hopes that the government can manage the unauthorized constructions taken the place of the watercourse, and can construct a concentrated community in a specific spot and regulate the new community uniformly with uniformed resettlement. But, it is hoped that the government could put forward such requirement and take out planning map and leave it to the residents themselves, because if the project is done by the construction team, it will cost more. Moreover, the residents worry about that the construction team may do shoddy work and use inferior material. During the construction period, it is hoped that the government could provide accommodation or accommodation allowance for the residents. Or the life will be a problem without a house to live. If the Dongmen River needs rearrangement of the blow-off lines, it is hoped that the government could do a complete job and the diameter of the pipeline should be at least 2 meters with sturdy materials, otherwise the pipeline can not play a role a sewage disposal. Another suggested measure is to clear the river bed and deepen the watercourse and then cover the river with cement slabs. The river management is a good thing as well as a thing related to a plurality of generations, which must be done well. Then the life waste of the residents must be dealt with. Not everyone wants to dispose the waste anywhere. Sometimes, the waste truck is hard to come into the community and there is no uniformed treatment for such stuff in the community. Therefore, it is hoped that this problem can be solve with consultation with the city sanitation departments. At last, he said that provided my house needs demolition, he will manage to persuade his children in spite of their disagreement. Without temporary source of income, he is willing to demolish his house. On one

hand, he believes that the government will resettle the residents properly; on the other hand, the watercourse indeed needs management and people can no longer live under such conditions.

The transformation of concept, in addition to the smooth implementation of the

Project and the government’s propaganda and guide, will greatly improve the daily activities of the residents, enterprises and pubic units along the both sides of the river. For example, people may not dump the waste anywhere again, may not directly drain the waste water and may not take up the watercourse land illegally, etc, thus guaranteeing the long-lasting environment management effect.

In terms of the residents in the countryside communities, along with the implementation of the Project, the local drinking water and production water problem may be solved and the road conditions may be improved. However, with the improvement of the living conditions, various kinds of fee collection is coming as well, which must have impact on the original consuming idea of the countryside residents.

Case 6-8 Interviewee: Zhou XX, Male, 35 years old, Han people, Dengzi Community He told the SA team that the main problem of the village is the drinking water problem. Now they drink well water from other villages. They do not know whether the water quality is good or not. It is ok for them only if the water is clear. It is hoped that the convenient and affordable tap water can be available. They are not afraid of the water bills of the tap water, and even the urban residents will pay when they drink mineral water. The villages would like to pay for the money used for pipeline installation and support the watercourse management, as great pollution do no good to the individuals as well as to the country. After the management, it is clean. The water for livestock is cleaner and the water for crops is better. After the road is built up, the transportation is convenient and it is easy to go outside. If the water is much more than that of nowadays, he would like to open a vehicle cleaning store. After the watercourse is well managed, it is acceptable to collect the waste pickup charges. But the charge collection must be regulated and done orderly and should have regulated units to keep from arbitrary charges. However, it is hoped that the water bill and the waste pickup charges could be cheaper than the urban area, so

that the farmers can accept. If it is 1 yuan for 1 village, they can accept it. The waste in the past can be dealt with by the villager themselves because they had their own land and lots of waste can be used as fertilizer and some can be burnt or buried. The villagers have different opinion on waste compared with the urban inhabitants. Even it is out of use, the villagers can deal with it in their own way. If the waste pickup charge is about 20-30 yuan a year, it is acceptable. The river management is good for everyone. It is convenient for the farmers to farm and is also good for the city habitants. But during the management, it is hoped that the drainage and irrigation channels could not be damaged.

After the Project is implemented, it is expected that the local people will be much more elaborated in terms of life waste treatment. They can identify separately the waste that can be used on spot and the one that must be treated by the sanitation departments, which is beneficial for the protection of the local ecosystem.

Due to the adjustment and collection of the water bills, some life materials that can be used free of charge in the past is available only after the payment. Therefore, the residents of the community will attach more importance to the water resource by saving water in their daily production activities and life and systematically making use of various water resources reasonably, such as different use of surface runoff water resource, shallow layer water well and drinkable water.

In terms of those involved in land acquisition and house demolition, if the

Project implementation can bring them corresponding long-term jobs, their livelihood will be totally different from that of before. The previous agricultural life has no strict time requirement. They went to bed with the lamb, and rose with the lark, which is repeated again and again with the alteration of four seasons. But the new livelihood may require punctuality and shows great importance on the value of time.

7 Willingness and Ability to Pay

7.1 Progress of payment

7.1.1 Water price situation

7.1.1.1 Policies in Yunnan Province

Yunnan Provincial Development and Reform Commission issued the

Implementation Guidelines on Deepening the Reform of Water Prices, Promoting

Water Conservation and Protecting Water Resources in 2005. It put forward the price adjustment rates for water conservancy project and urban water supply and drainage

(including sewage charge) between 2005 and 2007: 2.00-3.50yuan/m³ for demand in households; sewage charge in principle would be collected among cities along plateau lake basins (including Dianchi Lake and Erhai Lake) at county level prior to the end of 2006; priority adjustment shall be given to sewage charge while adjusting water prices in cities involving in charges for sewage treatment; the sewage charge would not below 0.8 yuan/m³ at the end of 2007 and; sewage charge would be collected in other counties and cities prior to the end of 2007.

7.1.1.2 Local policies and safeguards

The adjustment scheme for urban water supply and drainage in Zhaoyang

District has been approved by the Reply of Yunnan Provincial Development and

Reform Commission on Adjusting Urban Water Supply and Drainage Prices in

Zhaoyang District, Zhaotong Municipality. To be specific, the overall average price for urban water supply and drainage in Zhaoyang District would be adjusted to 2.95 yuan/m3 (including 2.13 yuan for water supply and 0.82 yuan for sewage treatment) since May 1, 2009 and; to 3.46 yuan (including 2. 64 yuan for water supply and 0.82 yuan for sewage treatment) since May 1, 2010. The overall water rates prior to

October 2009 are as follows: 2.00 yuan/m³ for domestic water, 2.50 yuan/m³ for industrial and commercial water use and 3.60 yuan/m³ for special industries.

Households enjoying the five guarantees (childless and infirm old persons who are guaranteed food, clothing, medical care, housing and burial expenses) and the

handicapped (with the certificate of disability above Grade-II) and other vulnerable

groups would be exempted from collecting water supply charge (3 yuan/m³ per

household monthly) (including sewage charge). Taking actual situations into account,

0.05 yuan/picul would be charged for zero water application in water stops. The rates

of water supply and drainage companies would employ following the October 2009

please refer to Table 7-1 as follows:

Table 7-1 Comprehensive Water Rates Issued since October 2009 Previous water Unit: Yuan/m³ Latest water rate (Effective date: October 2009) price Total price A. Water B. Sewage Total price (=A+B) supply treatment Weighted 2.95 2.13 0.82 2.10 average Domestic water 2.80 2.00 0.80 1.90 – 2.20 Industrial and 3.40 2.50 0.90 2.40 – 2.60 commercial Special users 4.50 3.60 0.90 3.30

7.1.2 Refuse rates

The current collection rates for urban household refuse forwarding fee in Zhaoyang

District is shown in Table 7-2:

Table 7-2 Collection Rates for Urban Household Refuse Forwarding Fee in

Zhaoyang District

No. Item Unit Rate(Yuan) Remark

Househ 1 Residents 36.00 yuan old/year To run 2 a. 2.00 yuan (50 m ); perishable 2 2 b. 3.00 yuan (>50 m , additional Include maintenance site and 2 stores with m /day 1.00 yuan shall be charged for per workshop, etc. serious 2 50 m ) pollutions Point/da Perishable stores with serious a. 4.00 yuan for fixed stall y pollutions shall be charged according 3 Trade market to Rate 2. Point/da b. 1.00 yuan for scattered stall Those with storefronts shall be y charged according to Rate 5. Excrement 4 ton 24.00 yuan forwarding

Point/da 5 Ordinary stores 0.50 yuan y Scattered Boiler furnace shall be charged at 6 ton 30.00 yuan refuses monthly 15 yuan/ton. a. 11.00 yuan per household Offices including classrooms, monthly; dormitories, small garages and duty b. 5.00 yuan for each office rooms; monthly; Medical institutions are prohibited to c. Hotels and guesthouses shall be mix wastes produced in medical charged at 5.00 yuan per room services and operations with monthly (those with dining halls and Househ domestic refuses, and such wastes canteens shall be charged One-stop old shall be handled in a centralized way 7 according to visitors flow rate); service in units (room)/ according to specific stipulations d. Medical institutions shall be month before being sent to environment charged at 5.00 yuan per room authorities for treatment; monthly (those with sickbeds shall The collection rate for outpatient be charged at 3.00 yuan per bed service please refer to Rate 10; monthly). Dining halls and canteens shall be 50%-150% shall be increased for charged at 2.00 yuan/day per 50 the above services with industrial person and 3.00 yuan/day for 50-100. wastes. Offices including classrooms, a. 8.00 yuan house/month and 5.00 dormitories, small garages and duty yuan room/month per office (those rooms; with dining halls and canteens shall Public medical waste refers to the be charged according to visitors waste which is needed to be specially flow rate); treated by public medical institutions b. For hoard services, 9.00 yuan and sanitation services can’t be household (room)/month for those entered into the state secrecy organ, with loading fee and 6.00 yuan prisons and specially controlled household (room)/month for those military areas; Househ without; Waste bin Public medical institutions old c. 3.00 yuan household/month for 8 purchasing Medical institutions are prohibited to (room) residents transporting refuses to service in units mix wastes produced in medical /month the refuse dump on their own and services and operations with 2.00 room/month for each office; domestic refuses, and such wastes d. Medical institutions shall be shall be handled in a centralized way charged at 5.00 yuan per room according to specific stipulations monthly (those with sickbeds shall before being sent to environment be charged at 3.00 yuan per bed authorities for treatment; monthly). The collection rate for outpatient 50%-150% shall be increased for service please refer to Rate 10; the above services with industrial Dining halls and canteens shall be wastes. charged according to Rate 7. Table/m 9 Eating house 6.00 yuan onth

Large business 2 Include waiting lounge, boarding a. 1.00 yuan (50 m /day); sites including 2 lounge, bath room, swimming pool, 2 b. 2.00 yuan (>50 m , additional 10 dancing hall, m /day parking lot, supermarket, commercial 1.00 yuan shall be charged for per pub and 2 centre, book store, hair salon and 50 m ) teahouse, etc. outpatient clinic, etc. Cost on As for collection towards construction Vehicle/ 11 sanitation 60.00 yuan organizations, cleaning procedures month maintenance of shall be handled according to building

transport engineering cost: two sets for below vehicles 100,000 yuan, five sets for between 10.00 yuan (Cost on card and Set 100,000-500,000 yuan and additional picture frame) three sets for an increase of 500,000 yuan for those above 500,000 yuan Person/ 0.20 yuan for water-flush type and 12 Public toilet time 0.10 yuan for dry latrine

7.2 Analysis of willingness and ability to pay

Residents are required to use the infrastructures by raising expenses upon

completing the three subprojects involved in the Project. Projects to be charged in

the future include urban water supply project (charge on daily drinking water,

including charges for disposing pollutants in sewage treatment plants and those

increased for pipe network application) and comprehensive river treatment project

(charge for waste-freight).

According to the survey conducted by the SA team, as most of the areas

involved in these projects are located at the combination area of cities and country

sides which are either challenged by urban environmental problems, or with no

available running water connecting to the community, thus leaving villagers in a virgin

state for water application, drainage and treatment of domestic and productive

refuses.

For urban residents, esp. those along the river, most of them are applying

running water, and the main problem for river pollution is concerned to difficult refuse

transport caused by limited coverage of blow-off line and impassable roads. These

residents shall be charged mainly for urban refuse-freight.

In order to learn about the willingness to pay of the affected groups, the social

assessment team has conducted surveys on the willingness and ability to pay of the

affected urban groups with varied economic level and professions by means of FGD

and interview. Having held 12 FGDs in four sub-district offices and eight communities

involving almost 110 residents, the SA team has also undertaken in-depth interviews

with nearly 50 households, covering their willingness to pay, family burden,

willingness to support the rising charges and the highest charges and so on.

7.2.1 Willingness to pay

A majority of the interviewees show their willingness to pay the charges on water supply, sewage treatment and handling of solid wastes, as well as on the high-quality drinking water and environmental improvement during the FGDs. Six out of the 50 interviewees are unwilling to pay for poverty and three consider it unnecessary for they believe that they have nothing to do with the environmental pollution.

As shown in the survey of the SA team, urban community residents show the highest willingness to pay, for they’re enjoying the most guaranteed payment rate; while urban people in poverty and residents of the combination area of cities and country sides and rural community residents are relatively unwilling to pay.

Suggestions put forward by the interviewees on the payment are as follows:

Taking income gap into consideration, corresponding standards for collecting charges on sewage treatment and water supply shall be worked out based on different income groups (urban and rural residents).

It is suggested to collect by allocation, namely, to charge by responsibility, lager enterprises, for instance, can be collected more for their large quantity of wastes. And factories, mines and other enterprises can be collected independently, and ordinary people should be charged reasonably.

Work out protective policies for vulnerable groups in collection: For instance, basic protective and preferential policies on exempting the urban people in poverty, low-income groups and rural population below the poverty line from charges for water supply and sewage and refuse treatment.

Work out preferential policies on charging or exempting certain groups from charging for those in the affected areas, with their land acquired or replaced.

Solve the road problems first to make it available for refuse collection vehicles in and out concerning refuse treatment caused by inconvenient traffic.

Reserve adequately the number of wells in rural communities with limited water resources to guarantee the water for agricultural use in dry days

7.2.2 Ability to pay

According to the article entitled The Feasibility Study of Water Economy of

Water Diversion Project from Biliuhe Reservoir to Dalian Funded by Asian

Development Bank, the Journal of Economics of Water Resources (No.2, 1993), the ratio of 3%-5% is always considered the workable index for household income in potable water charge. As it is pointed out in the research report entitled Water

Shortage in Urban and Rural Areas issued by the Ministry of Construction, the impact of water charge on residents and their ability to bear varies when different ratios are involved in household income: little impact at 1%; certain impact at 2% with consideration on water consumption; more attention paid to water conservation at

2.5%; greater impact at 5% and; tremendous impact at 10% with consideration on reuse of water. And prices shall also vary in target and form of water use.

According to The Standard of Water Quantity for City’s Residential Use

(GB/T50331-2002) jointly issued by the Ministry of Construction and the General

Administration of Quality Monitoring, Inspection and Quarantine on November 1,

2002, the standard for domestic water consumption of urban residents in Yunnan

Province is set at 100-140L/person/day. As shown in the data provided by water supply and drainage companies in Zhaotong Municipality, the average water supply, sales and collection of self-provided water sources reached 33,781 m³/day, 25,534 m³/day and 8,220 m³ respectively in 2008. As there’re few industrial enterprises in

Zhaotong Central City, and water for production use are all from self-provided sources, all the above water resources are for domestic use. Nowadays, the population of urban water supply has reached around 270,000 with the per capita comprehensive water consumption amounting to about 125L/person/day. Since urban economy is relatively low and a majority of rural population is included in the

Project, the per capita comprehensive water estimated according to the above data is rather low to the moderate level around the country.

According to the Statistical Bulletin for 2008 National Economy and Social

Development in Zhaotong Municipality, the urban per capita disposable income was

10,005 yuan. The SA team figured out that the annual per capita potable water charge of major local residents accounts for 1.3% of the annual disposable income

according to local actual per capita comprehensive water consumption of

125L/person/day based on the new standards following May 1, 2009. And the cost on refuse treatment occupies an even lower ratio.

For rural communities, their ability to pay is learned mainly by FGD and interviews conducted by the SA team; it is learned by overall comparison that rural community residents don’t use running water are capable of paying 1.5-2.0 yuan/m³; generally considering the installation fee is higher, it is acceptable at around 300 yuan/household. Attached below is the case 7-1 for details.

Case 7-1

Interviewee: Yuan uu, female, Han people, 52 years old, Dengzi Community As introduced by Yuan, “The water for drinking and washing in our village is mainly from the rain and though heavy rain can be ensured among the waterlocks, we would not require any damming for fear that it might shatter the dams. We begin to store water only when the weather is dry. We can only collect water on our own while sowing seeds; the radishes, suffering from drought, stop growing as well. It may matter if the water for production is transferred for building water plants. The water resource is far from enough when residents from surrounded villages pump water from the river with hydro-exhausters. In the past, there were enough rain water and clean water from Dalongdong Cave can flow along the river to guarantee the water supply. However, half of the water resource from Dalongdong Cave has currently employed by Huaxing Cement Plant, thus causing water shortage for our field irrigation and water problems for drinking. Though there’re more than one hundred households in our village, only two are accessible to water supply. As I’m living along the river, my family drilled a well for next-door neighbors to use water; others, always go to other places for collecting, which may take them half a mile. Not long before, the staff from the Station for Water Management announced that the wells would be destroyed. We’re also prohibited to pile grass and fertilizers along the river when authorities come to visit our village. Since our fields are located along the river, the grass and fertilizers are to be applied to the fields in the future. That is to say, if all of us are accessible to water supply in the following days, it may remain a concern of water for productive use. The river is out of care at other times; provincial officials visit the river with the single purpose of salvaging wastes from it. In those early years, as water was rather limited for dry weather, some went to the

Dalongdong Cave to destroy the large steel pipe for water; as a result, they were fined. Even so, villagers have to demand for water supply, for it is unreasonable for preventing them from drinking or using water. Currently, water pipes have been introduced to solve the water supply of urban residents, while we’re still suffering from water shortage, for which some may once again destroy the water pipes. As the population of the urban areas is so large that they may also be concerned for water supply. There are seven in our family and only my sons and husband support the family by doing small jobs with only several dozens yuan gained each day. Even if we have a small store selling living goods, we may only gain more than 1,000 yuan each year. There’re also those poorer than us, unable to afford even 1 yuan for Buying salt. Along with the rising price of commodities, wages gained from doing small jobs are used out for living and consumption, seeing doctors and social relationship, leaving no surplus money. Rivers in the cities are relatively severely polluted by comparison with those in our village, so it is better to treat such rivers by management. Most cost would be involved for installing running water facilities, which may lead to even heavier pressures among those suffer from problem of food and clothing. Take our family as an example; the monthly water charge may even higher after introducing running water for washing and irrigating the fields. This can be solved by separating the charges on water for domestic and productive uses, which can be a little lower than that of in cities, for income in rural areas is generally low. This can be fair. I believe that it is acceptable at 2 yuan/m³, which can be even lower for those with more difficulties. This because that we could grow vegetables for self-use it the past which is unavailable nowadays, thus raising our daily costs. So our income is far from enough. And the cost on installation is acceptable if reduced by half.

As it is only charged at 36 yuan/year for refuse removal, the local residents show their willingness to pay, with the prerequisite for commitment from sanitation departments of providing service involved and handling traffic problems first for those with poorer road conditions. The charges would be collected uniformly by the community neighborhood committees.

8. Involuntary Resettlement in the Affected Areas

8.1 Basic information on land utilization and acquisition impacts in the affected areas

8.1.1 Basic information on land utilization and acquisition impacts in the affected areas of water supply project

The water supply project construction in Zhaoyang District involves the laying of water pipelines and water factory construction. The land in water pipelines are mostly paddy field, with the crops such as corns, vegetables and fruiters etc. Land utilization in the water sources place—Dalongdong are scenic areas and religion places. Qing

Men Water Factory is located in Pingan Community popedom, Taiping sub-district office, the type of land acquisition is state-owned reserve land, on which the villagers is still being planted vegetables at present. Taiping Water Factory is located in Guan

Ba Community popedom, Long Quan sub-district office, the type of land acquisition is belong to the Contractors, on which also is being planted vegetables at present, near there are a Dong Fang Glassware Factory and a Mechanical Plant, close to Bang

Han road and Zhao Yi road.

Qing Men Water Factory Pressure Pump Station is located in Shui Ping

Community, Taiping sub-district office, and now the land type is is belong to the

Contractors, land attachments are crops of corns and vegetables.

Water supply land construction and water pipeline laying not involve land acquisition, mostly use temporary land. Tourists’ sightseeing and the Taoist normal religious activities might be affected during the construction process of water supply land and paddy crops may be damaged during the process of laying the pipes, the waste, which was not well handled when constructing will damage the land and affect soil quality.

Water factory building and Pressure Pump Station involving land acquisition but without house demolition, Qing Men Water Factory with land acquisition of 32 mu,

Taiping Water Factory with land acquisition of 100.2 mu, and the Pressure Pump

Station involving land acquisition of 3.3 mu.

The positive impacts of Land acquisition to local residents mainly include: the local residents obtain a certain number of compensation funds, they can control that freely in a short term. Conduce to get placement opportunities, and access to live in the area with a more reasonable planning and more complete set life.

The negative impacts mainly include: the crops that are planted by local residents on the land will be destroyed. local residents will lose a long-term, have been accustomed livelihood source and have to adapt to another livelihood for a longer period. local residents will lose the role of social security comes from the land.

For the project, the main impacts from land acquisition and temporary land utilization are: whether the land acquisition will be smoothly and efficiently conducted, and whether the local residents will accept the compensation rate of the land acquisition and temporary land utilization and support the project implementation, which are mainly showed in : Compensation rate is too low and compensation resettlement can not meet the local residents’ requirements. Due to the different location of land, the compensation rates of land acquisition may be different, and the residents in a lower standard area will have unsatisfied emotions. During the process of compensation resettlement, either improper management will lead the residents can not receive compensation on time and with certain quantities or the land ownership relations are not clear, so the land acquisition also can not be proceed. Because of personal preference, residents do not want their land be requisitioned. After land requisition, the households did not receive proper resettlement. These types of situation may lead to land acquisition can not be carried out smoothly and to delay schedule.

8.1.2 Basic information on land utilization and acquisition impacts in the affected areas of sewage treatment project

The sewage treatment project in Zhaoyang District Central City includes the

Zhaotong central city northern area intercepting sewer project and the construction of

the sewage treatment plant. Intercepting sewer construction mainly located in Taiping new area and Qingmen area, Taiping sub-district office,

Sewage Treatment Factory is located in Fenghuang sub-district office.

The land in intercepting sewer project implementation area is mainly farmland, now some of them have been as farmland acquisition land and belong to state- owned reserve land, but the land is still planted with crops, mainly as short-term and dry-land crops, mostly are corns and potatoes. Some areas in Zhaoyang city district are mainly residential areas, shops, enterprises and institutions and roads.

Intercepting sewer project not involve land acquisition, mainly on temporary land utilization. The impacts of intercepting sewer project in farmland area including: the destruction of crops on land. When constructing, due to left turn digging of the land, stone sand and other disposable materials from construction led to the destruction of the soil and land may not grow crops for a long-term or soil quality will be declined. In urban areas, impacts including: The road or other public facilities in the region may be damaged by the construction. The normal production and life of households or enterprises & institutions along the road will be affected.

The land required for the sewage treatment plant has been requisitioned by its first construction period for its reserved land. Near the plant, there is a residential area, a road and a river, which belong to Xiuwei River system, the land that the

Sewage Treatment Plant need will have no oversize impact from the land acquisition during the implementing process of this project.

8.1.3 Basic information on land utilization and acquisition impacts in the affected areas of river management

Zhaoyang district central city river management project construction content including Liji River main stream management, Tuwei River main and tributary management in urban area, including its tributaries: the Dongmen Stream, Yaowuan

River, Xiushui River. The overall management length of River management project is

48.162km.

River management with a wide and large range and more complex land utilization situation, Liji River system and Tuwei River system are all flow through rural areas and urban areas, and both their middle parts flow through the urban areas, Tuwei River system has a largest flow scope in urban areas.

In the rural areas, there is farmland, residential areas and country road both on the two sides of Liji River system and Tuwei River system. The more special is that there are two religion activity places along the Liji River. In urban areas, there are residential areas, enterprises and institutions, schools, markets, shops, roads, mostly are residential areas on the two sides of Liji River system and Tuwei River system.

Most of the required land for the main three parts of river management is state- owned land (beach land), and a small amount of land acquisition house demolition work. The land acquisition mainly centralized in South Wenquan Community,

Fenghuang Street, Shizha River Community and Shuitangba Community, Taiping street. As the coastwise watercourses of Xiushui River and Shizha River are terribly damaged, the phenomenon of occupation of watercourse farmland is more prominent, and the more important is the occupation of watercourse has been become the fact, land boundary of farmers’ farmland is clear, in addition to young crops compensation, to obtain this land, a certain number of land acquisition fee should be paid. Whether the project can be advanced smoothly is related with how the government will deal with the land acquisition problems and give appropriate complement to them. The house demolition that has been caused by river management mainly centralized in the urban parts of Liji River and Tuwei River. Then main impacts that brought by the land acquisition and house demolition are same as the sewage treatment project and water supply project, however, here one key problem is the treatment of building right on the two sides along the river bank in urban. For example, the building along the Dongmen Stream and the Zhonggou

River, where the residents have been living for a long time, how the government will deal with their house demolition and resettlement, give them reasonable compensation are related with the project’s effectively implementation.

Temporary land utilization is main part of river management land utilization, its

impacts including: 1) when constructing, the occupation of land will affect the regular

production and life of the local residents and a variety of enterprises and

institutions.2) there are impacts on the security of housing stock near the riverside,

such as the destruction of the foundations of the existing housing stock and so on.3)

in the process of management, the waste, such as silt, sand and various waste

materials are abandoned from construction will give secondary pollution to the land

along the river.

Table 8-1 Table of permanent land acquisition of environmental construction‘s

each subproject Farmland Xiang/town Community Project Paddy filed Dry land (sub-district) (village) Subtotal (mu) (mu) (mu) Zhaotong Central 41.04 13.59 27.45 City River Shizha River 24.44 0 24.44 Management Taiping Shuitangba 42.14 0 42.14 Project Zhaotong Central Longquan Guanba 100.2 0 100.2 City northern area water supply and Taiping Shuiping 6.5 0 6.5 pipeline project ** This table excludes the previously required 36 mu now as state-owned land related to Jingmen Waterworks.

Table 8-2 Table of temporary land acquisition of environmental construction‘s

each subproject Farmland Xiang/town Community Subtota Paddy Project Dry land (sub-district) (village) l field Mu Mu Mu Zhaotong Central Fenghuang Fenghuang 3.65 3.65 City river management Fenghuang Xuezhuang 0.12 0.12 project Fenghuang Hei Ni Di 18 18 South Fenghuang 66.39 56.79 9.6 Wenquan Fenghuang Mulu 19.9 19.9 Fenghuang Taoyuan 10.19 10.19 Taiping Taiping 8.65 8.65 Taiping Taiping 0.7 0.7

Taiping Shizha River 11 11 Taiping Shuitangba 18.69 18.69 Longquan Jizhong 12.84 12.84 Beizha Dengzi 49.62 49.62 Pingan Qingmen 14.2 7.1 7.1 Jiupu Tucheng 32.82 32.82

Beizha Beizha 3.84 3.84

Other 114.39

At present, the expected temporary land utilization of water pipeline in Northern area northern area water supply and pipeline project is 600 mu. As the water supply and pipeline laying toward is not yet clear, the impact range of the temporary pipeline project land utilization can not be determined by now.

Total 985 mu

8.2 Survey of land acquisition and house demolition arising from the Project

The SA team used the ways of informal discussion, door-to-door interview to understand the opinions for the issues of land acquisition and house demolition from government officials, employers and masses in the affected areas.

The Project involves the involuntary resettlement areas, including the Longquan sub-district office, Taiping sub-district office, Fenghuang sub-district office and

Beizha town, the areas that the project involved mostly are rural areas or the areas with finished land acquisition and waiting to be built, except the urban areas in the middle area of Liji River system and Tuwei River system, so the project affected areas are populated by a rural-based, involving part of the urban population.

The livelihood models of rural population are dominated by agriculture; the main livelihood source is mostly by planting corns, potatoes, vegetables, fruit trees and flue-cured tobacco. In proximity areas to urban, mostly rural population plant vegetables as their main livelihood source, in remote rural areas, corns, tobaccos and apples are their main livelihood source and also some of them choose work as their main livelihood mode.

Livelihood models of the residents in urban areas are more diversified; there are government workers, self-employed persons, staff in enterprises and institutions etc.

The vulnerable groups in the affected areas include ethnic minorities, poor people. Ethnic minorities are Hui people, Yi people, Bai people, Miao people, Naxi people, Buyi people, etc. Among them, Hui people and Yi people are the ethnic minority with a larger population in the affected areas, both of their population are distributed in rural and urban areas.

Hui people are a minority should be particularly paid more attention to during the implementation process the project. It has appeared neighborhood area as a unit of group of residents among Hui people. There are many Hui people live in the important areas in river management and sewage treatment projects, where on the two sides of Tuwei River system, some of them live by butchery, which have made terribly pollution to the watercourses, and some others manage their business along the river.

It should be paid attention that how to give them reasonable resettlement.

The poor people standard set down by Zhaoyang District is mainly means that the ones who have a annual capita income less than 693 yuan, including the poor ones in urban and rural, the formation reasons for urban poor mainly are lose jobs, business and price increase and for the rural areas mainly are diseases, less labor, land shortage, more poor labor quality, etc.

Some people in vulnerable groups should be particularly paid attention to, which is the ones transfer to urban residents from rural after the land acquisition. They lost their livelihood source after they have lost their land, and gave up habitual livelihood model, and have to find new models of livelihood source, to get used to the city’s lifestyle. It is an issue that worth to consider in the process of project implementation that how to help them finish their transitional period.

Table 8-3Summary table of involuntary resettlement in the affected areas

Unit: household Communit Community Dengzi Village Village Jingmen Beizha Village Tucheng Total y Community Fenghuang Nanwenquan Nanwenquan Shuangyanzi Community Community Community Community Xuezhuang Community Community Community Community Community Community Community Shuitangba Community Community Shizhahe Yingfeng Yingfeng involve Taoyuan Shuiping Fuqiang Fuqiang Guanba Guanba Jizhong Jizhong Ping’an Taiping Taiping Heping Heping Heinidi Heinidi Hehua Hehua

d Mulu

Type of land acquisition

acquisition of land Type LR without HD 0 0 0 0 0 44 0 0 0 0 5 0 9 63 80 0 0 85 0 0 0 0 286 HD without LR 41 6 21 0 4 3 3 5 4 0 0 0 2 0 2 12 0 0 0 0 0 0 103 Both LR and 4 0 0 0 0 0 1 0 0 0 3 0 0 0 1 0 2 0 2 0 0 30 43 HD Temporary LR 16 0 0 0 10 12 8 0 0 44 41 6 0 63 75 0 79 0 251 0 63 206 874 Requisition of 19 0 0 0 6 6 30 0 5 0 0 40 0 0 0 0 0 0 0 0 0 0 106 woodland only 1,2 Total 80 6 21 0 20 58 42 5 9 44 46 46 11 63 100 12 81 85 253 0 63 236 81 Note: LR = land acquisition; HD = house demolition

8.3 Involuntary resettlement arising from the Project

With the urbanization process, since the last century 90s, there have been continually emerged circumstances of the land acquisition and house demolition and project resettlement, the larger projects are Zhuhai Area Reconstruction project,

Yudong Reservoir project, Zhaoyi Highway project, Zhaoyang North Area

Reconstruction project, Beizha Reservoir Reconstruction project, etc.

Implementations of these projects have provided treatment experiences for involuntary resettlement.

1. The handling of involuntary resettlement should be in accordance with national and local laws and policy basis. Such as "Urban House Demolition

Management Regulations" (State Council Order No. 305), "Urban House Demolition

Administrative Regulations of Yunnan Province" (Provincial Government Order No.

109), " Land Acquisition Compensation and Resettlement Means (Trial) of

Construction Land in Zhaotong Municipality Urban Planning Area "(Zhao Government

Issued ( 2004) No. 39)," Zhaotong Center City House Demolition Compensation and

Resettlement Provisional Measures "and other policies and regulations, etc. are the important basis in the land acquisition and resettlement process.

2. The handling of involuntary resettlement should have special departments or leading groups to give coordination and management, and make the powers and responsibilities of various departments clearly. Composed of leading groups with chief leaders from required land acquisition areas and each main department, then it will be facilitate to united management and can coordinate various issues between the departments.

3. Involuntary resettlement should be handled with careful planning and be coordinated with the city’s overall planning to conduct, so as to avoid a waste in space and time.

4. Unify the resettlement and compensation rates in the affected areas and to avoid producing the intra-regional inequities, or then that will lead the resistance of local residents. At the same time should also pay attention to the coordination of

compensation rates in the different affected areas and try to be fair and make local residents satisfied with that.

5. Set different compensation and resettlement standards by different land utilization and affected objects, such as make a distinction to between state-owned land and collective land and the compensation and resettlement standards for different types of houses, etc. to make the land utilization more reasonably.

6. Pay attention to adjust and control the emotions of involuntary resettlement, and prevent the emergence of some unexpected events.

7. Pay attention to resettlement of the landless residents or the ones have transferred from rural lifestyle to urban, and properly solve their livelihood problems, to help them achieve the transformation.

8. A publicity work should be well done before the land acquisition and house demolition, and let the people know the project situation, make clear the purpose and plan of compensation and resettlement to avoid the misunderstanding existing between government and the people.

Combine with related involuntary resettlement policies and experiences of Zhaotong

Municipality and Zhaoyang District, and the SA team considered that through the establishment of the Resettlement Office to specially charge of the resettlement.

Meanwhile, the resettlement compensation rate and plan should through the consultation of village representatives, local government of urban streets, employers,

District Project Office and related agencies, and then raised by them together and after be carried out a wide publicity, by the third-party intermediaries to supervise the implementation of the plan. Resettlement compensation fee should be financed separately from the project funds and be allocated to the resettlement office by the

District Finance, by which, distribute to towns and sub-district offices.

8.4 Experience in handling involuntary resettlement from past projects

The SA team organized the FGD, door-to-door interview with local residents, and found that the expectations of involuntary resettlement are mainly the following aspects:

1. They hope the livelihood problems can be solved after lost land, many of them expected living in a area there can do the business conveniently, so that can solve their livelihoods easily.

2. General feeling now the prices are rising, which will increase the cost of reconstruction of housing, so they hope that the Government can give the same compensation fee before the house construction

3. Some residents hope the Government can give them resettlement directly by re-construction building, so they can avoid the old ages, no time, no energy or other reasons, which make them can not handle the housing building matters.

4. Some residents want to obtain the land and build their own house by themselves, on one hand, they can build their house with satisfaction, on the other hand, they can have another chance for the compensation of land acquisition and house demolition

5. Residents all hope can move into the buildings with well planning, perfect facilities and clear environmental and to live there.

6. Residents generally hope that the compensation rates can be improved, and get more available discretionary funds.

9. Identification and Control of Social Risks

9.1 Identification of social risks

Surrounding the World Bank, the factors, which have significant impacts on the fulfillment of the project objectives were identified by the experts in the social assessment preparatory stage, according to socio-economic background in the affected areas and its own characteristics of the project, on the basic of the SA team’s field survey and analysis, and the experts identified the main social risks related with project design and may affect the fulfillment of the project objectives.

Identify the main social risks to seek and avoid social risks, and it is facilitate to corresponding agencies to make effective measures of arrangements. The potential social risks that also prone to occur of the project are mainly in the following areas:

1. Resettlement risks. The three subprojects of the Project were all involved

permanent or temporary land acquisition land house demolition problems. Land

acquisition and house demolition may lead the affected groups lose the living

security and employment conditions, and reduce their income sources and

deteriorate their related social welfare and measures. Land acquisition and house

demolition may also bring about a series of potential, long-term social, cultural

and psychological impacts. If can not be well resettled, especially the

resettlement fee can not be timely paid, will result in direct conflict between

displaced persons and the project construction. Three groups’ resettlement risks

are worth noting: a. poor population: the relative poor communities and

population are always in a disadvantageous position such as in the aspects of

using resettlement compensation, obtaining project benefits, and actively

adapting to transformation, etc. b. the ethnic minorities: the negative impacts of

project to ethnic minorities are mainly caused by land acquisition and house

demolition. c. Land-expropriated farmers: the development of the northern area

will lead a large number of land acquisition and house demolition to the farmers

there, and they will become the land-expropriated farmers. Although this part of

the land-expropriated farmers have centrally resettled by the government and will

100

face transformation from rural life to urban in future, for lose of land and lack of

job skills, which will make them become the potential urban poor and further

widen the gap between rich and poor.

2. Low ability to pay risks of the urban poor: Since the urban poor without income

sources or with lower income, the increasing costs have a larger negative impact

on their lives. At present, most affected areas have not promulgated relevant

vulnerable support policies to vulnerable groups, without relief or benefits to the

relevant expenses, may easily lead to the poor unable to pay the relevant

expenses, so can not enjoy the related services.

3. Secondary pollution risks: During field survey, the residents live in project

implementation areas have repeatedly referred to the secondary pollution risks.

Secondary pollution refers to the urban environmental protection project’s

damage and impact on air, water and soil, which caused by its own features of

contamination during the process of dealing with urban sewage, river sludge. The

problems that related with project and may bring “secondary pollution” are: a. the

impact of pollutants leakage to water and soil in the process of sewage treatment;

b. River silt & sludge from Sewage Treatment Plant without effective treatment

and directly filled and covered, which will bring the impacts on soil and water; c.

The impacts on water and soil caused by any flow of sewage when laying

sewage pipes; d. During peak period, the sewage from Sewage Plant without

proper handling, which lead the sewage to flow backward to the surrounding rural

areas; e. Rural waste surrounding watercourse can not be properly collected and

handled, which will bring the secondary pollution to river water; f. Rural living

sewage and feces surrounding the river directly poured into it, which will cause

the secondary pollution.

4. Risks of residents’ lifestyles and achievement & sustainability of project targets:

The SA team investigated and found that residents’ lifestyles have a close

relationship with its surrounding environmental, especially with the pollution of

river’s non-point and point sources. Most of residents haven’t realized that they

are also one of river pollution sources, and the river purification and control

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pollution should start with themselves, and to change some of their daily living

behaviors. Especially the Hui people living Hui people Community near the

Dongmen Stream of city, they slaughter cattle and directly pour into the blood into

the river, which have terribly polluted the water. In addition, it is common that the

residents using pesticides, washing vegetables in the river, littering, and fly-tips of

sewage, etc. inside and outside of the city, which also have caused water

pollution in certain degree.

5. Environmental awareness and protection risks of the residents: The SA team

found that the primary stakeholders are biased to their role in the positioning of

environmental pollution and protection, neither they think that they should

responsible for surrounding environmental pollution, nor think that they are one of

the main bodies for environmental management. Currently, their roles are the

passive recipients of project behavior and policy actions, moreover, not only the

primary stakeholders think that environmental protection is a matter of the

government, but also the project administration agencies and employers take this

view. This situation may result in ill-considered rights and obligations to the

primary stakeholders about the project design, implementation and management.

6. Land acquisition compensation risks: The SA team found that Zhaoyang District

lack of uniform standards and plans for acquisition compensation in recent years,.

The land for Qingmen Water Plant‘s proposed selection site is belong to the

state-owned reserve land, but as still have not carried out the young crops

compensation that existing a potential issue of land compensation dispute. This

situation may result in the discontent of the primary stakeholders and even their

bafflement to project implementation during the process of project

implementation.

7. Subsequent management risks of the project. Urban environmental construction

is not a kind of project that makes economic benefits production as targets and

can see the environmental effects in a short time. Therefore, the subsequent

management is particularly important after finished project. At present, Zhaoyang

District, Zhaotong Municipality’s urban environmental construction project is still

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in its early stage of project preparation, the heart work lies in each unit is the

project’s approbation project administration agencies and employers have not

given any fully considerations to subsequent management of the project.

8. Construction of institutions’ capacity management. During the project of river

comprehensive management, facing with a different situation between the

employers and following managers of the project, which will bring incomplete

docking risks between the targets of project construction and project managers.

At the same time, the existing problems of unclear rights and responsibilities,

multi-management of watercourse environmental and water supply land at this

stage, which may bring a certain risk to effective management after finished the

project. In addition, during the project of river comprehensive management, the

watershed, upstream and downstream surrounding the water system, two sides

along the river are belong to different towns and streets. The horizontal

relationships between the towns and streets are not developed well, couple with

different resources ownership of the upstream and downstream, each sub-

regional development aim is different. The differences of resources determine the

differences of economic level to a certain extent, the problems of resource use,

protection and compensation between areas, as well as cost-sharing issues

between upstream and downstream to the pollution control are all need to give

coordination of the watershed nature.

9. Conflicts between residents and project construction. It will inevitably increase

noise, traffic pressure, meanwhile bring some security hidden danger and

inconvenience to the residents during the project construction process. If these

negative impacts can not be properly circumvented or mitigated during the

construction process, or may cause conflicts between the residents and

implementing agencies, thus affect the construction progress.

10. The risks of water source protection. Among the northern areas water plants, The

source of Qingmen Water Plant is from the Dalongdong Taoist water outlet, which

was built since Qing Dynasty, Qianlong 30th years (in 1765) has been included in

the Protection Units of Provincial Historical Relic, while the temple (woodland)

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surrounding Dalongdong has been listed as Provincial-level Nature Reserves, the

land out of Taoist has been designated to Dalongdong Tourism Development

Companies and managed by them, and existing Multi-management issues.

Surrounding tourism activities could give water pollution to Dalongdong’s water in

a certain extent, at the same time, due to the lack of Taoist’s sewerage systems,

sewage always flows backward the Taoist, which are seriously threatening the

safety of drinking water.

9.2 Control of social risks

In order to help the property population in the affected areas share equitable social benefits from the project; as much as possible to avoid the negative impacts of land acquisition and house demolition to ethnic minorities and the poor; reduce conflicts of environmental awareness and lifestyle between the residents and the project targets, conflicts between residents living and project construction;

Strengthening institutional capacity building and subsequent management of the project to facilitate achievement of project targets and sustainable development, the

SA team carried out active investigation in each affected areas and fully understood all levels of relevant laws, regulations, and policies; fully discussed with relevant government agencies, the employers, implementing agencies, residents in the affected areas and other primary stakeholders etc. On this basis, recommended the following measures and monitoring and evaluation mechanisms to minimize the social risks that may bring by the project.

9.2.1 Control measures of risks

The SA team has put forward following control measures of risks:

1. Optimize the design. To minimize land acquisition and house demolition size, which involved in the project during design, use advanced environmental protection measures to prevent secondary pollution problems may caused by the environmental project. At the same time, aim at the problems of polluting enterprises around the water plant site selection, they can combine the water plant building with pollution

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sources management to avoid the surrounding environmental may bring the secondary pollution problems.

2. Set down participation outline of project beneficiaries (the primary stakeholders). The participation of project beneficiaries to the project should be run through the entire project cycle, including preparation, design, and implementation and monitoring and evaluation stage. In this project, participation outline of the beneficiaries that designed by the SA team is aimed at reducing the project’s negative impact on the primary stakeholders; ensure that the project information are open and with fair benefits; help the primary stakeholders build subject awareness of the project, and to analyze the association between their own lifestyle and the environmental protection; take full advantage of the primary stakeholders involved in the project construction, management and monitoring & evaluation. Participation outline of project beneficiaries referred to the chapter of "10. Communities

Participation Strategy".

3. Draw up a reasonable displaced person action and resettlement plan. The SA team recommends that optimize design to minimize the amount of land acquisition and house demolition. At least, in accordance with the relevant requirements of policies, the displaced person resettlement plan shall to protect the living standards of the displaced person from reducing that caused by the project construction. The process of resettlement operation should be strictly implemented in accordance with the resettlement report, implementing agencies to carry out the resettlement fee on time, and in addition, employ the experts to give an external monitoring and evaluation to resettlement. During the displaced person resettlement action planning and compilation, pay a special attention to: a. During the displaced person resettlement action planning and compilation, establish the policies of income resumption accord with the ethnic minority culture needs. B. carry out training for the poor about how to use the resettlement compensation and income resumption, combine with the local anti-poverty funds, increase the investment of resettlement to the poor population and communities, and to help property displaced person communities to solve some infrastructure difficulties.

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4. Reduce the associated charges for vulnerable groups. When the project finished, that will increase the standard of sewage treatment and water supply fees.

Although the extent will not be increased too much, most urban residents can accept, it will bring a certain burden to the rural and urban poor groups in the affected areas.

In order to alleviate the burden of their lives, to ensure that they can fairly enjoy the social benefits of the project, it is recommended that the original vulnerable groups with associated supporting policies of costs will continue to be implemented such relevant policies in the affected areas. With regard to the sub-project affected areas, where have no such policies at present, suggested that the relevant Government

Departments to carry out support policies as soon as possible for the vulnerable groups, and give relief to their water supply, sewage treatment and solid waste disposal fees.

5. Public environmental and health education training: To ensure that the achievement and continuance of the project objectives, the SA team thought that the whole people’s public environmental and health awareness should be improved, need to educate them with that and suggested that should be organized and carried out by relevant Government Sectors, who should associate with Publicity

Departments, the Education Bureau, EPA, Radio and TV Bureau, Newspaper,

Streets or Towns and Neighborhood Committees, Villages and others, etc., with their assistance to face the whole people to launch publicities such as conserve water, civilized treatment of sewage and waste, prevention of water diseases, waste recycling, national and local relevant environmental indexes and protection laws and regulations, etc.. It is advised to give public environmental and health education to the main pollutants, which refers to the project of comprehensive management of watershed and river.

6. Offer job opportunities. The SA team recommended that each sub-project employer, implementing agencies should cooperate with the local Social Security

Departments, Ethnic Groups Affairs Commission; give priority to the displaced person, the poor in rural and urban, women, and ethnic minority with non-technical jobs in the affected areas, and to help them benefit from the project.

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7. Maintain security and life convenience during the construction period. If the construction sites near residents areas, proposed that the construction agency to install sound-proofing fences, fences (walls) to avoid night construction, and put clear warning signs somewhere existing potential security risks. When construction affects the traffic, the construction agency is advised to install fences, placards on the main road and warning signs on the dangerous places. Install sound-proofing fences near the place of schools and main enterprises and institutes and lower operating time in the peak period during the day and use night time. For the construction project in rural, suggested to try not to carry out operations during the peak time of irrigation, and inform in advance the damages to local irrigation canals, roads, which may caused by the construction, so that the local residents can prepare in advance, and do following work timely and reduce their losses. Finally, suggested to organize the security patrols with local residents to maintain public security during the construction period.

8. Institutional capacity building. Proposed make clear the rights & responsibilities, and benefits & cost assignment of project builders, managers and maintainers during the kind of sewage and solid waste project. Establish trans- regional institutions of environmental management, while enhancing the monitoring and evaluation to environmental and law enforcement capabilities in the comprehensive management project of rivers and lakes.

9. Project subsequent management system building: The SA team proposed that involving the residents in the affected areas in the project subsequent management. Found subsequent management team of project communities on the basis of project management team during the project construction period. Team members of the subsequent management team should be elected by villagers, including representatives of women and ethnic minority. The SA team suggested setting the subsequent management rules and regulations of community project and carrying out subsequent management of environmental protection’s infrastructure with the conduct and coordination from employers and Project Offices in the project of river environmental management. For the sewage treatment project, the SA team

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suggested that subsequent management team of community project focus on the

Committee of Community Environmental Monitoring, and coordinate Environmental

Protection Departments to carry out community-related environmental monitoring.

For the water supply project, the SA team suggested establishing the Water Users

Association by the three parts of residents along the water supply lines, water companies, and local governments to enhance the management of water pipelines along lines and use situation of well water. Meanwhile, aim at the multi-management problems of the Dalongdong water source, establishing the Management Bureau of the Dalongdong Water Source by the leading of Taoist Management Committee of

Dalongdong, including water companies, Urban Forestry Bureau, Dalongdong Travel

Company, local residents, etc to coordinate and enhance the management of

Dalongdong‘s water source, while involving the residents to participate in the project subsequent management, the SA team suggested the Environmental Agencies to increase legislation and law enforcement of environmental protection and enhance the environmental education of residents in the affected areas to achieve sustainable project effect.

9.2.2 Institutional arrangement and monitoring & evaluation

In order to ensure the smoothly implementation of above measures, the PMO of

Yunnan Province will responsible and organize relevant Agencies to implement that, and each subproject employers, the implementing agencies and local relevant government departments should responsible for implementing above measures.

1. Every feasibility study unit will to responsible for selection of project sites, optimization of routes and techniques, and to ensure the scale of reasonable sewage treatment.

2. Employers and construction agencies: Mainly responsible for resettlement and carrying out of related funds; provide jobs for vulnerable groups and pay their salaries timely during the construction and operation of the project; by negotiating with the residents and to gain their understanding and support to the problems of residents traffic, living environment, security and other aspects, etc., which will bring

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by project construction, and give consideration to the measures that may reduce the impacts, such as the installation of sound-proofing fences, fences, widening of road, etc..

3. Health Bureau and Environmental Protection Bureau. Responsible for public health’s education and the publicity of environmental monitoring information, regularly issue the environmental bulletin about the quality of groundwater during construction and operation of the project.

4. Urban Construction Bureau and Water Resources Bureau. Clarify responsibilities and rights, coordinate management, and enhance environment management surrounding urban and suburb watercourses, prevent the indiscriminate disposal of waste and sewage and punish the issues of occupation building along the river road.

5. Labor and Social Security Bureau: Primarily responsible for employment resettlement, jobs training, etc.

6. Poverty alleviation and development offices: Primarily responsible for identifying the rural poor, their employment guidance and policy advice.

7. Ethnic Affairs Committees: Primarily responsible for identifying ethnic minority population, production and life support, policy advice and coordinating with the management of river roads, assort with Taoist protection of surrounding the river roads and water source.

8. Civil Affairs Bureau: Responsible for identifying the ones who will be involved in the minimum living guarantee population, and supervise implementation of costs that associated with support policies for vulnerable groups.

9. Price Bureau and Finance Bureau: Carry out costs that associated with the support policies for vulnerable groups and to supervise the implementation of related policies.

10. Tourism Administration, Forestry Bureau and National Religious Affairs

Bureau: Make the multi-management problems in order, and strengthen Dalongdong

Taoism and the surrounding water source and environment protection against water pollution.

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Table 9-1 lists the social risks of three projects, and the advice to reaction measures to the risks, implementing and supervising agencies.

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Table 9-1 Schedule of Measures Presented by the SA Team for Subprojects in Kunming to Avoid Social Risks

Person in Project Social risks Actions Time Assistant Method Monitoring indicator charge 1. Citizen’s Strengthening training on state and local environmental indicators and lack of Project Arrangement of the Central protection regulations for the whole people Street / towns environmenta The employer Carry out training plan in the City River Giving training on water conservation, civil treatment of waste and sewage, and l awareness whole environmen environmental environmental Managem non-point pollution control, waterborne disease prevention and waste recycling neighborhood & risks in the project tal management management plan of ent Communicating to the public which lifestyles may affect the ambient committee / realization of cycle protection plan environmental Project environment, so that the affected residents can realize their impacts on the villages the Project bureau assessment report ambient environment objective

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Person in Project Social risks Actions Time Assistant Method Monitoring indicator charge

1 The construction agency shall set sound insulation fence and guard rail (fence) where the construction site is near the residential area or the noise is beyond standard. Try to avoid construction at night, and set clear caution sign in the place where there might be risks.

When construction has affected the traffic, the construction agency shall set 1. The number and guard rail and placard on the main road, set caution sign at the dangerous place contents of denizens’ and sound insulation fence at the place near schools or major enterprises and complaints to the institutions where noise is beyond standard, and try to reduce the construction impacts of project 2. at the peak time of pedestrian flow in the day and increase the construction time construction Contradiction During PMO, street / at night. Employer 2. The number of between the towns and Carry out the The construction agency shall organize the patrol to safeguard the security of and locals participating in citizens’ life & project neighborhood above stated society during the construction period. construction the Project work and constructi committee / actions Construction in rural areas shall try to avoid the peak time of irrigation. Inform agency construction, Project on phase villages the locals of the possible impacts on irrigation of agricultural land, ditches or proportion between construction roads brought forward by the construction for them to make advance man and woman, preparations. Get done with the follow-up work and try to reduce losses. proportion of ethnic The construction agency is suggested to recruit denizens near the minority, proportion construction site, especially the poor family, ethnic minorities, and women to of the poor, wages participate in the Project construction. It’s suggested to move the slaughterhouse near the river at the East Gate out of the community, and choose a place near the mosque to establish a new slaughterhouse.

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Person in Project Social risks Actions Time Assistant Method Monitoring indicator charge In accordance with Carry out the monitoring and 3. Risks of Consulting Preparati The Project displaced assessment index settling unit for Prepare the plan for settling displaced persons on of the employer, person presented in displaced displaced project PMO resettlement displaced person persons persons program resettlement program 1. Number and Community contents of the Community environmental village committee’s Zhaoyang District shall arrange the Water Affairs Bureau, Construction Bureau, follow-up monitoring Environment and Environmental Protection Bureau to perform the follow-up management management 4. Follow-up Environmen group and Complaining & according to their own function, notify the locals about the environment quality, Monitor of group, Project management tal environmental Suggestion Table and set the environmental protection channel at the construction site and set up the employer, risks of the Protection protection 2. Complaining environmental protection hotline. Publish the annual environment monitoring project Construction Project Bureau department hotline treatment report, and give out Environment Complaining & Suggestion Table to the Bureau, Water carry out record denizens. Affairs Bureau regular 3. Annual etc. monitoring environment monitoring report

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Person in Project Social risks Actions Time Assistant Method Monitoring indicator charge Establish Sewage preferential Plant, Labor and policy for poor 5. Low ability At the Waste Social Preferential policy for population to pay of the Establish the sewage charge standard aiming at the poor population through completio Disposal Security charges from poor based on the poor urban public price hearing based on the consultation with the affected population. n of the Plant, Bureau, population released consultation population project Bureau of Bureau of after the Project with affected Commodity Civil Affairs poor Price population

1. Citizen’s Propagandize the significance and necessity of project implementation, and Central lack of ask for their opinions and suggestions Arrangement of the City Street / towns environmenta Strengthening training on state and local environmental indicators and The Environmen Carry out training plan in the Sewage and l awareness protection regulations for the whole people whole tal environmental environmental Treatment neighborhood & risks in the Carry out training to civilized treatment to sewage. project Protection management management plan of Interceptin committee / realization of Communicating to the public which lifestyles may affect the ambient cycle Bureau plan environmental g Sewer villages the Project assessment report Project environment, so that the affected residents can realize their impacts on the objective ambient environment Construction The local Environmental Protection Bureau shall monitor the underground The Environmen Bureau, street Optimum Annual environment water quality near the construction site, soil environment and other 2. Secondary whole tal / towns and design, monitoring report, environmental criteria and issue the environment monitoring report each year. pollution risks project Protection neighborhood environment Project feasibility Using advanced treatment and precaution technology to avoid the Project’s cycle Bureau committee / monitoring study report negative impact on the surrounding environment villages

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Person in Project Social risks Actions Time Assistant Method Monitoring indicator charge 1. The number and contents of denizens’

Set clear caution sign at the place where there might be dangers complaints to the impacts of project 3. When construction has affected the traffic, the construction agency is construction Contradiction suggested to set guard rail and placard at the main road and caution sign at the During PMO, 2. The number of between dangerous places. the Owner and government of Carry out the working villagers in citizens’ life & The construction agency shall organize the patrol to safeguard the security of project construction the towns, above stated the village where the work and society during the construction period. constructi agency village actions dump locates, Project The construction agency is suggested to recruit denizens near the on phase committees proportion between construction construction site, especially the poor family, ethnic minorities, and women to man and woman, participate in the Project construction. proportion of ethnic minority, proportion of the poor, wages In accordance with Carry out the monitoring and 4. Risks of Consulting Preparati The Project displaced assessment index settling unit for Prepare the plan for settling displaced persons on of the employer, person presented in displaced displaced project PMO resettlement displaced person persons persons program resettlement program

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Person in Project Social risks Actions Time Assistant Method Monitoring indicator charge Water Supply & Establish Drainage preferential Set preferential policy for charges for disposing pollutants for the poor Company, policy for poor 5. Low ability population. At present, poor urban population can be exempted from charges At the Bureau of Preferential policy for population to pay of the for 3- cubic-meter water (including charges for sewage disposal) each month. completio Commodity Bureau of charges from poor based on the poor urban Following that, hearing of witnesses will be adopted when charges for water and n of the Price, Civil Affairs population released consultation population disposing pollutants are adjusted and charges for disposing pollutants from well project Developme after the Project with affected water users are collected in 2010. nt and poor Reform population Commissio n 1. Number and Environmen Community contents of the Establish the project’s follow-up management group in the village where the tal environmental village committee’s sewage treatment plant locates; assist the Construction Bureau and Protection Community, monitoring Environment Environmental Protection Bureau to carry out the annual village environment Bureau, Project follow- group and Complaint & 6. Follow-up monitoring in which all villagers participate. Set out the hot line for feedback and Monitor of Constructio up environmental Suggestion Table management complaints of environment monitoring in the village where the sewage treatment the n Bureau, management protection 2. Complaining to the Project plant locates; Publish the annual environment monitoring report, and give out project Water group, Project department hotline treatment the Environment Complaint & Suggestion Table to the denizens. Supply & employer carry out record Publish the annual environment monitoring report, and give out the Environment Drainage regular 3. Annual Complaint & Suggestion Table to the denizens. Company monitoring environment monitoring report

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Person in Project Social risks Actions Time Assistant Method Monitoring indicator charge

1. Citizen’s Propagandize the significance and necessity of project implementation, and Environmen Northern lack of ask for their opinions and suggestions tal Arrangement of the Area Street / towns environmenta Strengthening training on state and local environmental indicators and The Protection Carry out training plan in the Water and l awareness protection regulations for the whole people whole Bureau, environmental environmental Supply neighborhood & risks in the Carry out training to civilized water utilization, strengthen the management to project Water management management plan of and committee / realization of utilization of well water, and gradually ban well water for non-agricultural use. cycle Supply & plan environmental Pipeline villages the Project Establish the water users association, and strengthen the management to Drainage assessment report Project objective water conduit Company Administration Bureau of Solve the problem of management to Dalongdong water source by many sides; Dalongdong the management committee of Dalongdong Taoist Temple, Dalongdong Tour Urban water supply Taoist Company, District Bureau of Forestry and the Water Supply and Drainage At the Water Carry out source monitoring 2. Protection Temple, Company shall cooperate to form the Administration Bureau of Dalongdong completio Supply & water source indicator presented of water District Water Source to manage the water source. Meanwhile, the protection to water n of the Drainage management by the water supply source Bureau of source shall be combined with the protection to Taoist Temple, and the religious project Company plan and drainage Forestry, restraining force shall be fully displayed to strengthen the water resource company Dalongdong protection. Tour Company

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Person in Project Social risks Actions Time Assistant Method Monitoring indicator charge 1 Set clear caution sign at the place where there might be dangers

When construction has affected the traffic, the construction agency is 1. The number and suggested to set guard rail and placard at the main road and caution sign at the contents of denizens’ dangerous places. complaints to the The construction agency shall organize the patrol to safeguard the security of impacts of project 3. society during the construction period. construction Contradiction During PMO, The construction agency is suggested to recruit denizens near the 2. The number of between the Owner and government of Carry out the construction site, especially the poor family, ethnic minorities, and women to working villagers in citizens’ life & project construction the towns, above stated participate in the Project construction. the village where the work and constructi agency village actions Construction in rural areas shall try to avoid the peak time of irrigation. Inform dump locates, Project on phase committees the locals of the possible impacts on irrigation of agricultural land, ditches or proportion between construction roads brought forward by the construction for them to make advance man and woman, preparations. Get done with the follow-up work and try to reduce losses. proportion of ethnic Strengthen the management to the enterprises around the location of the minority, proportion of the poor, wages water plant, and combine the construction to water plant with the treatment to the surrounding environment. In accordance with Carry out the monitoring and 4. Risks of Consulting Preparati Project displaced assessment index settling unit for Prepare the plan for settling displaced persons on of the employer, person presented in displaced displaced project PMO resettlement displaced person persons persons program resettlement program

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Person in Project Social risks Actions Time Assistant Method Monitoring indicator charge Water Supply & Establish Drainage preferential Company, Set preferential policy for charges for disposing pollutants for the poor policy for poor 5. Low ability At the Bureau of Preferential policy for population. At present, poor urban population can be exempted from charges population to pay of the completio Commodity Bureau of charges from poor for 3- cubic-meter water (including charges for sewage disposal) each month. based on the poor urban n of the Price, Civil Affairs population released Following that, hearing of witnesses will be adopted when charges for water are consultation population project Developme after the Project adjusted in 2010 and well water for non-agricultural use is banned. with affected nt and poor Reform population Commissio n In accordance with Consulting Carry out the monitoring and 6. Land Encourage community to join in, and establish detailed and reasonable Preparati The Project Unit for uniform land assessment index acquisition permanent and temporary land acquisition compensation rate (including on of the employer, Displaced compensation presented in compensatio compensation for young crops) based on extensive consultation. project PMO Persons, SA rate within the displaced person n risks team district resettlement program

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10 Community Participation Strategy

10.1 Principles and framework for participation

In its participation manual, participation is defined by the World Bank as "a

process, through which corresponding stakeholders can affect and control the

development intervention, development decisions and corresponding resources

related to them". This definition can prevent related stakeholders from being simply

treated as passive assistance receiver, interview target or workforce during the

process of development, and it can make clear that the project implemented by the

World Bank is supposed to be the process that can encourage the group influence of

the stakeholders and control the development action. The realization of this process

needs to consider even wider stakeholders in the nation’s economic and related

departments. Make sure all the benefit-related population and its relationship can be

recognized and considered in all the stages of the project; make sure the poor can

get the resources, especially the financial resources easily; strengthen the

management capacity of primary stakeholders and its organization. Table 10-1 is the

summary of the principle and framework for primary stakeholders to participate in the

project:

Table 10-1 Principles and Framework of Community Participation Project Action of primary Role of the No. Step Role of experts Effects stakeholders government Help the primary Analyze the problems in Issue analysis stakeholders to family, society and Administrative, Help to find out the and analyze the problems, 1 resources, and find out political and financial real problems establishment of and guide them to find the causes for the support precisely the subject out the causes for the problems problems Put forward their own Bring forward technical needs, compare the Study whether the Connect the project feasibility suggestions Content and relationships between the government can content with the to the government and 2 framework of the causes of the problems support the proposal practical needs of primary stakeholders project and their own needs to presented by the the primary based on the issue establish the framework primary stakeholders stakeholders analysis for solving the problems Determine the project’s Examine the Activities shall Make the plan with the activity plan and persons relationship between conform to the primary stakeholders in charge according to the the plan of the primary 3 Project plan together and warn the social economic primary stakeholders stakeholders’ risks of the plan in characteristics like with the national manufacturing advance household workforce, sex, funding season, allocation

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Action of primary Role of the No. Step Role of experts Effects stakeholders government division of labor, season of labor and status and so on of funds Establish the organization system for Beneficiaries are Implementation implementation, elect the Provide conditions for 4 Technical support responsible for of the project persons in charge of the implementation themselves activities to execute the activities Analyze the result of Beneficiaries know Executors of the project Participate in monitoring and about the Monitoring and monitor their own activities 5 monitoring and assessment and report progression of their assessment and organize regular assessment to the government and own activities in assessment primary stakeholders time Participate in the Assess the final benefit of assessment and Participate in the The beneficiaries Final self investment and investigate the assessment and assess whether 6 assessment of external support benefits of the investigate the benefits they can benefit the project investment government’s of technical investment from it investment Role and significance Executive Guarantor Supporter Uniformity of roles

10.2 Participation program for primary stakeholders

During the project design, implementation, monitoring and management, in order

to make sure beneficiaries of various projects can get the information related to the

project, and can raise their own opinions and suggestions aiming at corresponding

problems with equal opportunities, and at the same time help the project

implementation unit and supervisory authorities grasp the status of project

implementation to make scientific decisions based on the practical situation, the SA

team believes there is a need to:

Keep the project information to the public, and project propaganda shall follow

out the whole project cycle. Establish the regular disclosure system of project

information, and promulgate regularly the project information that is closely related to

the primary stakeholders in the public areas like the village committee. Besides,

notify the primary stakeholders about the preparation and implementation of the

project through group meetings, representative meetings, slogan, TV, broadcast etc.

Help the primary stakeholders establish the project subject consciousness.

The SA team is suggested to carry out the following training: a. carry out participation

training to the project primary stakeholders to guide them to consider the problems

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concerning community development, environmental pollution and environmental protection; b. carry out the training concerning environmental protection to guide the primary stakeholders to think about the impact on the environment brought by their life style and how to protect the environment based on their own background; c. carry out the training related to the project technology and eliminate the primary stakeholders’ worry about the project.

Encourage the primary stakeholders to participate in the project construction, give priority to employing them to work for the project and allow them to provide support services for the project construction.

Pay attention to the strength of community cadres during the implementation of the project. The village community cadre’ participation is required in the propaganda of the project, training, mobilization, reflection of the villagers’ needs, resolutions to the problems in the project implementation, coordination of the problems and follow-up management and so on. Cadre participating in the project can be granted with certain subsidy during the implementation of the project.

Encourage the villages to participate in the management of basic environment facilities and stimulate the public to keep the sustainability of the project effects. The

SA team has separately established the community management method of countryside public restroom for "village non-point pollution treatment project" as well as the participation procedures of "river management project in Zhaoyang District"

(see Annex III, IV and V)

In Table 10-2, the SA team compiles the beneficiaries’ participation program in river improvement and management, sewage disposal and pipe works, and different project cycles of the water plant, which has contained the SA team’s suggestions related to participation.

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Table 10-2 Outline for the participation of primary stakeholders Subpro Participatory Agency Stage Activity details Mode of activity Participants Remarks ject activity responsible Communicating the importance of and need for the All community With the assistance of Project, and consulting them for comments and members EPB, sub-districts, Xiangs, inputs; Relocated stores, towns, neighborhood Preparatio Project Communicating the starting date and location of Poster, brochure, public PMO, enterprises and public committees/villages, n publicity implementation, land acquisition and house gathering, slogan, leaflet employer institutions relocated stores, demolition program, compensation and resettlement Employer enterprises and public program and other information of concern for the PMO institutions main affected groups timely Community/village

Central city river management project project management river city Central Participatory Identifying all groups affected by the Project and SA team, with the congress analysis of their basic situation of subsistence; assistance of the Congress of stores, affected Identifying the positive and negative impacts of the environmental protection enterprises and public groups Project on all groups bureau (EPB) institutions Analyzing the present community/village Community/village environment and issues therein, and to what extent Participatory congress do these issues affect the development of the SA team, with the issue Congress of stores, Community reps (incl. community and themselves assistance of the EPB analysis enterprises and public reps of the poor, ethnic Helping residents analyze which aspects of river institutions minorities, women and pollution are related to their lifestyle other special groups) Community/village Participatory Community /village congress local Analyzing local knowledge that can relieve river committee SA team, with the Congress of stores, knowledge pollution Relocated stores, assistance of the EPB enterprises and public assessment enterprises and public institutions institutions Community/village Employer and PMO Participatory Identifying the needs of the affected groups, and congress SA team, with the demand analyzing the gap between these needs and the Congress of stores, assistance of the EPB analysis project design enterprises and public institutions Community/village Evaluating the project design and scope Feedback of congress, Congress of SA team, with the Expectations and suggestions of the primary issues stores, enterprises and assistance of the EPB stakeholders for the Project public institutions

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Subpro Participatory Agency Stage Activity details Mode of activity Participants Remarks ject activity responsible Strengthening training on state and local All community environmental indicators and protection regulations members for the whole people Community/village Relocated stores, Giving training on water conservation, civil general assembly enterprises and public With the assistance of treatment of waste and sewage, non-point pollution Congress of stores, institutions EPB, sub-districts, Xiangs, Training control, waterborne disease prevention and waste enterprises and public Employer towns, neighborhood recycling institutions PMO committees/villages Communicating to the public which lifestyles may Poster, brochure, EPB affect the ambient environment, so that the affected slogan, leaflet Community /village residents can realize their impacts on the ambient committee environment All community Community/village members PMO, general assembly Community /village employer, Community/village Select team members, elect the leader, conduct committee community Community congress organizational training, select and manage the Relocated stores, /village Implement project Meeting of community With the assistance of the construction staff, maintain the public security of the enterprises and public committee, ation management project management team EPB site, coordinating relations of all parties concerned, institutions community team (incl. reps of the poor, and feeding back villagers’ comments Employer project displaced persons, ethnic PMO manageme minorities, women and Community project nt team other special groups) management team Strengthening training on state and local All community environmental indicators and protection regulations members With the assistance of the for the whole people Relocated stores, publicity department, Giving training on water conservation, civil Community/village enterprises and public education bureau, EPB, treatment of waste and sewage, non-point pollution general assembly institutions broadcast and television Training control, waterborne disease prevention and waste Poster, brochure, radio Employer bureau, newspapers, sub- recycling & TV stations, slogan, PMO districts, Xiangs, towns Communicating to the public which lifestyles may leaflet EPB and neighborhood affect the ambient environment, so that the affected Community project committees/villages residents can realize their impacts on the ambient management team environment

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Subpro Participatory Agency Stage Activity details Mode of activity Participants Remarks ject activity responsible Land-expropriated farmers; Employer; PMO; Labor and Occupational skills training for the land-expropriated Workshop for the land- social security bureau; group expropriated group Civil affairs bureau; Community project management team Determining jobs available during construction Construction PMO, Determining the criteria for selection of construction participants, incl. employer, staff, including displaced persons, ethnic minorities, Community general displaced persons, construction the poor and women assembly ethnic minorities, agency, With the assistance of the Construction Determining remuneration for construction Community congress women and the poor; community EPB participants Participation in project PMO; Employer; project Technical and safety system training for construction Construction agency; manageme construction participants Community project nt team Participation in project construction management team Community/village All community general assembly members Periodic environmental monitoring Community/village Village/ Community /village Monitoring Monitoring of standard of living restoration of congress community committee PMO, and displaced persons Community monitoring monitoring Employer employer, feedback Monitoring of restoration of natural environment team (incl. reps of the team PMO community after construction poor, displaced persons, Community monitoring ethnic minorities, women monitoring team team and other special groups) Workshop of village/ Village/ community Training Training on monitoring and evaluation skills community monitoring monitoring team; team PMO; Employer

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Subpro Participatory Agency Stage Activity details Mode of activity Participants Remarks ject activity responsible Printing the Appeal and Suggestion Form and issuing it to every villager team so that villagers can Village/ community Village/ give opinions timely Establishing a comment feedback system for monitoring team; All community Appeal Setting up a complaint community members community members; monitoring hotline at the district PMO PMO and employer team, PMO The community monitoring team collects opinions and suggestions from farmers at any time. Community/village Community officials and reps shall form a community general assembly environmental infrastructure management committee, Community/village Village/ Village/ community involving women, displaced persons, ethnic congress community Subsequen subsequent minorities and poor people at certain proportions. The Meeting of community subsequent t Project management committee shall conduct subsequent management of subsequent management manageme manageme maintenance committee; All community environmental infrastructure, such as committee (incl. reps of nt nt community members; domestic sewage treatment facility, sewer network, the poor, displaced committee, PMO and employer sanitary public toilet and aqua privy, in cooperation persons, ethnic minorities, employer with the employer and the EPB. women and other special

intercepting sewer project project sewer intercepting and treatment sewage city Central groups) Communicating the importance of and need for the Project, and consulting them for comments and With the assistance of the inputs; publicity department, Communicating the starting date and location of All community education bureau, EPB, implementation, land acquisition and house Poster, brochure, radio & Preparatio Project members PMO, broadcast and television demolition program, compensation and resettlement TV stations, public n publicity Employer employer bureau, newspapers, sub- program and other information of concern for the gathering, slogan, leaflet PMO districts, Xiangs, towns main affected groups timely and neighborhood Making publicity on increased charges at the committees/villages beginning of the preparation stage to make citizens know the need for charging Participatory Identifying all groups affected by the Project and Community reps (incl. analysis of their basic situation of subsistence; Community/village reps of the poor, ethnic With the assistance of the affected Identifying the positive and negative impacts of the congress minorities, women and SA team groups Project on all groups other special groups)

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Subpro Participatory Agency Stage Activity details Mode of activity Participants Remarks ject activity responsible Analyzing the present community/village Community /village environment and issues therein, and to what extent committee Participatory do these issues affect the development of the Community/village Employer and PMO With the assistance of the issue community and themselves congress SA team analysis Helping residents analyze which aspects of river pollution are related to their lifestyle Participatory Identifying the needs of the affected groups, and Community/village With the assistance of the demand analyzing the gap between these needs and the congress SA team analysis project design Evaluating the project design and scope Feedback of Community/village With the assistance of the Expectations and suggestions of the primary issues congress SA team stakeholders for the Project Analyzing the present situation of charging and Ability and related issues Community/village With the assistance of the willingness to Analyzing the affordable charging limit congress SA team pay survey Expressing suggestions for charging Strengthening training on state and local With the assistance of the All community environmental indicators and protection regulations publicity department, Community/village members for the whole people education bureau, EPB, general assembly Employer Giving training on water conservation, sewage broadcast and television Training Poster, brochure, radio PMO treatment and waterborne disease prevention, etc. bureau, newspapers, sub- & TV stations, slogan, EPB Communicating the process and technical districts, Xiangs, towns leaflet Community /village requirements of the sewage treatment project to the and neighborhood committee public, eliminating their worry about such projects committees/villages Community/village PMO, general assembly All community employer, Community/village members Select team members, elect the leader, conduct community Community congress Community /village organizational training, select and manage the /village Implement project Meeting of community committee construction staff, maintain the public security of the committee, ation management project management team Employer site, coordinating relations of all parties concerned, community team (incl. reps of the poor, PMO and feeding back villagers’ comments project displaced persons, ethnic Community project manageme minorities, women and management team nt team other special groups)

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Subpro Participatory Agency Stage Activity details Mode of activity Participants Remarks ject activity responsible Strengthening training on state and local All community environmental indicators and protection regulations Community/village members for the whole people general assembly Employer Giving training on water conservation, sewage Poster, brochure, radio PMO With the assistance of the treatment and waterborne disease prevention, etc. & TV stations, slogan, EPB publicity department, Communicating the process and technical leaflet Community project education bureau, EPB, requirements of the sewage treatment project to the management team broadcast and television Training public, eliminating their worry about such projects bureau, newspapers, sub- Land-expropriated districts, Xiangs, towns farmers; Employer; and neighborhood PMO; Labor and Occupational skills training for the land-expropriated Workshop for the land- committees/villages social security bureau; group expropriated group Civil affairs bureau; Community project management team Citizen reps, including reps of urban poor Water rate Holding a hearing with citizen reps to fix the price PMO, price Hearing population and ethnic hearing adjustment program and standard bureau minorities; Employer; PMO; Price bureau Determining jobs available during construction Construction PMO, Determining the criteria for selection of construction participants, incl. employer, staff, including displaced persons, ethnic minorities, Community general displaced persons, construction the poor and women assembly ethnic minorities, agency, Construction Determining remuneration for construction Community congress women and the poor; community participants Participation in project PMO; Employer; project Technical and safety system training for construction Construction agency; manageme construction participants Community project nt team Participation in project construction management team

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Subpro Participatory Agency Stage Activity details Mode of activity Participants Remarks ject activity responsible Community/village All community general assembly members Periodic environmental monitoring Community/village Village/ Community /village Monitoring of standard of living restoration of congress community committee PMO, displaced persons Community monitoring monitoring Employer employer, Monitoring of restoration of natural environment team (incl. reps of the team PMO community after construction poor, displaced persons, Community monitoring ethnic minorities, women Monitoring monitoring team team and other special groups) and Workshop of village/ Village/ community feedback Training Training on monitoring and evaluation skills community monitoring monitoring team; team PMO; Employer Printing the Appeal and Suggestion Form and issuing it to every villager team so that villagers can Village/ community Village/ give opinions timely Appeal and Suggestion monitoring team; All community Appeal Setting up a complaint hotline at the district PMO Form, complaint hotline community members; monitoring The community monitoring team collects opinions PMO and employer team, PMO

project project pipeline and supply area water Northern and suggestions from farmers at any time. Communicating the importance of and need for the Project, and consulting them for comments and With the assistance of the inputs; publicity department, Communicating the starting date and location of All community education bureau, EPB, implementation, land acquisition and house Poster, brochure, radio & Preparatio Project members PMO, broadcast and television demolition program, compensation and resettlement TV stations, public n publicity Employer employer bureau, newspapers, sub- program and other information of concern for the gathering, slogan, leaflet PMO districts, Xiangs, towns main affected groups timely; and neighborhood Making publicity on increased charges at the committees/villages beginning of the preparation stage to make citizens know the need for charging Participatory Identifying all groups affected by the Project and Community reps (incl. analysis of their basic situation of subsistence; Community/village reps of the poor, ethnic With the assistance of the affected Identifying the positive and negative impacts of the congress minorities, women and SA team groups Project on all groups other special groups)

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Subpro Participatory Agency Stage Activity details Mode of activity Participants Remarks ject activity responsible Analyzing the present community/village Community /village environment and issues therein, and to what extent committee Participatory do these issues affect the development of the Community/village Employer and PMO With the assistance of the issue community and themselves. congress SA team analysis Helping residents analyze in which aspects of the waterworks site and the water source pollution exists Participatory Identifying the needs of the affected groups, and Community/village With the assistance of the demand analyzing the gap between these needs and the congress SA team analysis project design Analyzing the present situation of charging and Ability and related issues Community/village With the assistance of the willingness to Analyzing the affordable charging limit congress SA team pay survey Expressing suggestions for charging Evaluating the project design and scope Feedback of Community/village With the assistance of the Expectations and suggestions of the primary issues congress SA team stakeholders for the Project With the assistance of the All community Strengthening training on state and local publicity department, Community/village members environmental indicators and protection regulations education bureau, EPB, general assembly Employer for the whole people broadcast and television Training Poster, brochure, radio PMO Giving training on civil use of water bureau, newspapers, sub- & TV stations, slogan, EPB Communicating the need for quitting the use of well districts, Xiangs, towns leaflet Community /village water to the public and neighborhood committee committees/villages Community/village PMO, general assembly All community employer, Community/village members Select team members, elect the leader, conduct community Community congress Community /village organizational training, select and manage the /village Implement project Meeting of community committee construction staff, maintain the public security of the committee, ation management project management team Employer site, coordinating relations of all parties concerned, community team (incl. reps of the poor, PMO and feeding back villagers’ comments project displaced persons, ethnic Community project manageme minorities, women and management team nt team other special groups)

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Subpro Participatory Agency Stage Activity details Mode of activity Participants Remarks ject activity responsible All community Strengthening training on state and local Community/village members environmental indicators and protection regulations general assembly Employer for the whole people Poster, brochure, radio PMO With the assistance of the Giving training on civil use of water & TV stations, slogan, EPB publicity department, Communicating the need for quitting the use of well leaflet Community project education bureau, EPB, water to the public management team broadcast and television Training Land-expropriated bureau, newspapers, sub- farmers; Employer; districts, Xiangs, towns PMO; Labor and and neighborhood Occupational skills training for the land-expropriated Workshop for the land- social security bureau; committees/villages group expropriated group Civil affairs bureau; Community project management team Citizen reps, including Treatment reps of urban poor Holding a hearing with citizen reps to fix the price PMO, price charge Hearing population and ethnic adjustment program and standard bureau hearing minorities; Employer; PMO; Price bureau Determining jobs available during construction Construction PMO, Determining the criteria for selection of participants, incl. employer, construction staff, including displaced persons, ethnic Community general displaced persons, construction minorities, the poor and women assembly ethnic minorities, agency, Construction Determining remuneration for construction Community congress women and the poor; community Participation in project PMO; Employer; participants project construction Construction agency; Technical and safety system training for manageme Community project construction participants nt team Participation in project construction management team Community/village All community congress members Periodic environmental monitoring Community/village PMO, Village/ Community /village Monitoring Monitoring of standard of living restoration of congress employer, community committee and displaced persons Community monitoring community monitoring Employer feedback Monitoring of restoration of natural environment team (incl. reps of the monitoring team PMO after construction poor, displaced persons, team Community ethnic minorities, women monitoring team and other special groups)

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Subpro Participatory Agency Stage Activity details Mode of activity Participants Remarks ject activity responsible Workshop of village/ Village/ community Training Training on monitoring and evaluation skills community monitoring monitoring team; team PMO; Employer Printing the Appeal and Suggestion Form and issuing it to every villager team so that villagers can give opinions timely Village/ community Village/ Setting up a complaint hotline at the district PMO Appeal and Suggestion monitoring team; All community Appeal The community monitoring team collects opinions Form, complaint hotline community members; monitoring and suggestions from farmers at any time. PMO and employer team, PMO Setting up a water users association, and strengthening the management of tap and well water

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11 Conclusion, Suggestions and Actions 11.1 Conclusion

The SA team thinks the social benefits of the Project are embodied mainly in the following:

1. The Project is an integral part of Zhaotong Municipality’s effort to improve the environmental quality of key river basins and urban areas, drive the urbanization of

Zhaotong Central City and implement a sustainable development strategy, and a priority action for the state, Yunnan Province and Zhaotong Municipality to drive industry restructuring through urban improvement. All subprojects are urgent in the local socioeconomic development process today. The implementation of these projects will play an active role in improving basin and regional environmental quality, urban environment and living conditions, expanding spaces of urban development, improving urban image and investment environment, and promoting urbanization.

2. The promotional effects of the Project to urban economic development will be shown over a long term. These effects mainly include: (1) improving urban environment; (2) improving urban infrastructure; (3) laying a foundation for the development of Zhaoyang District’s tourism, agriculture, service and other related industries; (4) providing job opportunities to related industries during and after the construction period; and (5) providing a guarantee for further urbanization.

3. The Project will also drive the institutional capacity building of the environmental protection bureau and other related departments in the affected areas.

Applying the advanced project management philosophy and approaches of the World

Bank to establish an advanced office management system can help train a number of management personnel for environmental and World Bank projects, deepen these departments’ understanding of the project team and international cooperative projects, and expand the Project’s social influence and benefits. In addition, the

Project will also foster and enhance the environmental protection awareness of the affected residents.

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4. The Project covers both rural and urban poor population, and will improve the living environment and conditions, and improve the health level of the poor population. The Project will also provide job opportunities to the poor population and increase their income.

The potential risks of the Project identified by the SA team include:

1. Resettlement risks: Both the river management project and the northern area water supply and pipeline project involve land acquisition and house demolition, which are the main potential social risks of the Project.

2. Risk of low ability to pay of the urban poor population: After the Project is completed, some environmental charges will be added, which may increase the financial burden on the urban poor population.

3. Risk of secondary pollution: During the treatment of urban sewage and river silt, pollutants may pose negative impacts in respect of air, water and soil pollution to the local residents due to their own characteristics.

4. Risk of fulfillment of project objectives and continuation of residents’ lifestyle:

Some urban and rural residents have not realized that they are also a pollution source to rivers, nor have they realized that they must behave themselves to purify rivers and control pollution. This might be adverse to the fulfillment and continuation of the objectives of the Project.

5. Risk of residents’ environmental awareness and environmental protection:

The primary stakeholders have neither realized the impact of their own behavior on the ambient environment, nor have they realized that they are one of the subjects of environmental management. This will be adverse to the involvement of the primary stakeholders in the Project during the whole project lifecycle.

6. Risk of subsequent project management: Subsequent project management is a key to the continuation of the effects of the Project after the end of the implementation period, and also an important indicator of the Project’s sustainability.

7. Risk of institutional capacity building: Ensuring institutional capacity building can adapt to the continuation of the nature of different projects, and is an objective

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need to relieve environmental issues and an important guarantee of successful project implementation.

8. Conflict between residents and construction: The construction process will bring conveniences to the residents’ life, and may cause local public security issues.

If such negative impacts cannot be avoided or alleviated effectively, there is likely to be conflict between the residents and the implementing agencies, thereby affecting the progress of construction.

9. Risk of compensation for land acquisition: The Project involves an extensive area of land acquisition and a complex mix of land types. The affected areas have been subject to land acquisition many times. Since the compensation rates for land acquisition of different Xiangs, towns and sub-districts in the affected areas vary, and the title to part of the acquired land has been changed repeatedly, there is a certain risk in solving the problem of compensation for land acquisition in different areas in the Project.

10. Risk of protection of cultural relics: The Project involves the conservation of temples near rivers and water sources. In the northern area water supply and pipeline project, the Dalongdong water source is very close to the Dalongdong Taoist

Temple, and the surrounding area has been planned for an urban park. Ensuring the conservation of historical and cultural relics after the water source conserve has been delimited is an important prerequisite to avoiding the risk of cultural relic destruction arising from the Project.

11.2 Suggestions

Aiming at the above possible social risks, the SA team has proposed the following suggestions:

1. Optimizing the design: The employer and feasibility study agency of the

Project are advised to minimize the size of land acquisition and house demolition involved in the Project, and employ advanced environmental protection measures to avoid the possible secondary pollution issue. For the sources of pollution near the

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site of the northern area water supply and pipeline project, it is advised to integrate project planning and construction with the management of the surrounding environment.

2. Conducting participatory activities, and involving the primary stakeholders in the design, implementation, management and supervision of the Project. The employer, the project management office (PMO) and the SA team should develop the participation outline of beneficiaries, and conduct monitoring and evaluation of participatory activities to ensure that the primary stakeholders are involved during the whole project lifecycle from preparation, design and implementation to monitoring and evaluation, and build up a sense of subject for environmental protection. For the

Dalongdong water source, the Dalongdong Water Source Administration led by the district government and involving the Dalongdong Taoist Temple Management

Committee, the waterworks, the municipal forestry bureau, Dalongdong Travel

Agency and local residents to coordinate and strengthen the management of the

Dalongdong water source.

3. Giving education and training on environmental knowledge and public health:

It is advised that the competent department of the government should give training on state and local environmental indicators, and environmental protection regulations, and training on water conservation, civil treatment of sewage and waste, non-point pollution control, waterborne disease prevention and waste recycling to the whole public in conjunction with the publicity department, the education bureau, the environmental protection bureau, the broadcast and television bureau, newspapers, with the assistance of sub-districts, Xiangs, towns and neighborhood committees/villages, so that the affected residents can realize which lifestyles may affect the ambient environment.

4. Developing a rational RAP: The PMO, the resettlement plan preparation team and the employer are advised to ensure that the standard of living of the displaced persons is at least not reduced due to the Project in light with the applicable policies and on the basis of consultation with the affected people, taking into account any negative impact on the traditional cultures of ethnic minorities due to the impact on

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their land and natural resources; further resettlement effort should be paid to minor- ethnic-minority displaced persons and their communities, and relatively poor displaced persons.

5. Providing job opportunities: The PMO, the employer and the construction agency are advised to provide job opportunities to the displaced persons, urban and rural poor people, women and ethnic minorities in conjunction with the civil affairs bureau and the labor and social security bureau, so that they can be involved in project construction.

6. Enacting and enforcing preferential charging policies for the poor population:

The PMO, the employer and the price bureau are suggested to enact charging policies suitable for the local poor population on the basis of public hearing.

7. Formulating rational compensation rates for land acquisition: The PMO, the employer and the departments concerned are advised to listen extensively to the requirements of different groups for compensation for land acquisition, and formulate feasible compensation rates and supplementary implementation procedures for the whole district with the assistance of SA and involuntary resettlement experts.

8. Maintenance of safety and convenience during construction: The employer and the construction agency are advised to arrange the construction schedule taking the objective production and living needs and habits of the local residents into full consideration during the construction period.

9. Institutional capacity building: It is advised to define the rights and obligations of the construction, management and maintenance agencies in the central city sewage treatment and intercepting sewer project, and how proceeds and costs should be shared; in the river management project, it is advised to set up an environmental management agency to solve the problem of overlapping river management, strengthen the monitoring and evaluation of the surrounding areas and environment, and strengthen law-enforcement capacity.

10. Subsequent project management mechanism: It is advised to involve the affected residents in subsequent project management, set up a community subsequent project management team on the basis of the community project

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management team during the construction period, such as a “water users association”. Members of such team should be elected by villagers, and must include women’s representatives of not less than 30% of the headcount and ethnic minority representatives from the community. Environmental authorities are advised to strengthen legislation and law enforcement on environmental protection, and the environmental education for the affected residents in order to realize sustainable effects of the Project.

11.3 Actions

On the basis of an overall analysis of the social impacts of the Project, the SA team has proposed specific actions required for each subproject in order to minimize the negative impacts of the Project and ensure that the primary stakeholders are equally benefited. Table 11-1 highlights the special social risks facing some subprojects, and proposes the corresponding actions:

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Table 11-1 Schedule of key social risks of the Project and suggestions Subproject Social issue of special concern Suggestion An access road for garbage trucks should be built on the dyke, and the corresponding garbage station provided; The residents at the survey site generally think disorderly Slaughterhouses should be relocated to a planned area out of town, and collection and disposal of domestic waste is the main cause of sewage collected centrally for treatment; Central city river pollution. The Taoist temple should be protected during project design and river River pollution by slaughterhouses in few Hui communities is construction as much as possible, and it should be ensured that routine management an urgent issue. religious activities are not affected during construction. project Dyke repair and expansion will affect the Taoist temple on the The powers and responsibilities between the water resources bureau, the dyke. water management station, the urban construction bureau and the Overlapping management in river management environmental protection bureau should be clearly defined, and a river management mechanism featuring definite powers and responsibilities, division of labor and effective monitoring. Land compensation should be honored timely on the basis of adequate consultation and community participation, and the relevant land acquisition formalities handled. It is advised to eliminate the overlapping management of the water source, There have been repeated changes of land ownership at the set up a water source management office involving all stakeholders for Northern area proposed site of Jingmen Waterworks. management, give full play to the religious restricting force of the Taoist water supply Conservation of the water source for Jingmen Waterworks temple, combine water source conservation with cultural relic protection, and and pipeline Pollution around Taiping Waterworks make institutional measures and religious restriction complement each other. project Charging and management of well water users in the water Waterworks construction should be integrated with the control of nearby supply range in the northern area pollution-producing enterprises. Community residents, the village committee/neighborhood committee and the water supply company should organize a water users association together in the community to strength well water management.

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Subproject Social issue of special concern Suggestion The residents at the survey site generally think the sewage treatment plant will affect nearby water bodies and air. Such Strengthen the publicity of the sewage treatment process and techniques to Central city worry may cause a conflict with the implementing agency at the the nearby residents. sewage implementation stage. Include sewage from the villages around the sewage treatment plant in the treatment and Sewage reflux during the peak period of the sewage urban sewage treatment system. intercepting treatment plant will cause secondary pollution to the farmland Strengthen the management of the sewage treatment plant, and dispose of sewer project of the nearby communities, making the local residents doubt sewage properly. the operating and treatment capacities of the plant.

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Appendix I

Members of the SA team and Division of Labor Name Sex Role Title Work unit Zhou Leader of social Professor, Male CCCC at SYU Daming assessment (SA) Doctor Yang Lecturer, Female SA coordinator CCCC at SYU Xiaoliu Doctor Formulation and control of Wang Lecturer, Female technical standard for SA, CCCC at SYU Yueping Doctor report writing Zhang Member of SA team, Lecturer, Yunnan University of Male Jun report writing Doctor Nationalities Ethnic Studies Sheng Member of SA team, Male Master Institute, Yunnan Yangchi report writing University Ethnic Studies Member of SA team, Mo Li Female Master Institute, Yunnan report writing University

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Appendix II

Agenda of the SA team Time Location Activity FGD with leaders of the Zhaoyang District September 17 Zhaoyang District PMO Management Office of Foreign Funded Projects and project leaders, determination of survey sites FGD with persons chiefly responsible for the 4 sub- September 18 Zhaoyang District PMO district offices involved, and project-related training September 19, Longquan Sub-district Community FGD, village-level FGD, drawing, door- morning Office to-door interview September 19, Community FGD, village-level FGD, drawing, door- Guanba Community afternoon to-door interview September 20, Dengzi Village, Beizha Community FGD, village-level FGD, drawing, door- morning Town to-door interview September 20, Community FGD, FGD with Taoist temple and key Dalongdong Park afternoon staff, door-to-door interview September 21, Taiping Sub-district Community FGD, village-level FGD, drawing, door- morning Office to-door interview September 21, Ping’an Community, Community FGD, village-level FGD, drawing, door- afternoon Taoyuan Community to-door interview Fenghuang Sub-district September 22, Community FGD, village-level FGD, drawing, door- Office, Fuqiang morning to-door interview Community Fenghuang September 22, Community FGD, village-level FGD, drawing, door- Community, afternoon to-door interview Xuezhuang Community September 23, Yingfeng Community, Community FGD, village-level FGD, drawing, door- morning Heping Community to-door interview September 23, District government District government FGD afternoon September 24, District PMO Collection of written materials related to the project morning November 11, Community FGD, village-level FGD, drawing, door- Shuitangba Community morning to-door interview November 11, Community FGD, village-level FGD, drawing, door- Shizhahe Community afternoon to-door interview November 12, Shuiping Community Community FGD, village-level FGD, drawing, door-

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morning to-door interview November 12, Nanwenquan Community FGD, village-level FGD, drawing, door- afternoon Community to-door interview November 14 District PMO Data collection and compilation

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Appendix III

Community and resource maps of the Project

Figure 1 Resource map of Guanba Community, Longquan Sub-district

Involving the management of the middle and upper Liji River mainly; Guanba

Community is a rural community

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Figure 2 Yingfeng Community, Fenghuang Sub-district

Involving the management of the Dongmen Small River mainly; urban community, with some residents of rural household registration, inhabited by Hui and

Han people

Figure 3 Fenghuang Community, Fenghuang Sub-district

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Involving the sewage treatment plant mainly; outskirt, being a rural community

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Annex IV

Regulations of Zhaotong Municipality for Controlling City Appearance and

Environmental Sanitation

Chapter I General Rules

Article 1: This regulation is formulated to strengthen the control of urban appearance and environmental sanitation, and create a clean and beautiful urban working and living environment to promote the construction of urban socialist material civilization and spiritual civilization.

Article 2: This regulation should be observed by any entity and individual in the cities of the People’s Republic of China.

Article 3: In controlling the city appearance and environmental sanitation, the principle of centralized and unified leadership, level-by-level responsibility and the combined management by professionals and people in all walks of life shall be adhered to.

Article 4: The administrative department of construction of the central government shall be in charge of the management to city appearance and environmental sanitation across the nation.

The administrative department of urban construction of the Provincial and

Autonomous Region People’s Government shall take charge of the control of city appearance and environmental sanitation across the administrative region.

The administrative department of city appearance and environmental sanitation shall take charge of the control of city appearance and environmental sanitation across the urban administrative region.

Article 5: The municipal people’s government should bring the control of city appearance and environmental sanitation under the national economy and social development plan and take charge of its implementation.

The municipal people’s government shall actively reform the employment system for environmental sanitation and take measures to escalate the working staff’s wage and welfare treatment based on the local practical situation.

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Article 6: The municipal people’s government shall strengthen the publicity and education on city appearance and knowledge about environmental sanitation, and improve citizens’ consciousness of environmental sanitation to acquire favorable health habit.

All entity and individual shall show respect to the job of the working staff of city appearance and environmental sanitation work and none of them should hamper or frustrate the execution of the duties performed by them.

Article 7: The state encourages the science and technology research on city appearance and environmental sanitation as well as the popularization of advanced technology and the improvement of city appearance and environmental sanitation.

Article 8: The people’s government will offer rewards to any entity and individual performing well in the control of city appearance and environmental sanitation.

Chapter II Control to City Appearance

Article 9: The urban buildings and facilities shall meet the city appearance criteria specified by the state. Cities open to the outside world, tourism cities and other cities with conditions can formulate the city appearance criteria severer than that specified by the state in accordance with their practical situation; towns with organizational system can execute the city appearance criteria in reference to that specified by the state.

Article 10: Any entity or individual is obliged to keep the structures neat and graceful. No articles damaging the city appearance are allowed to be stacked or hung outside the balconies and windows of structures along the streets controlled by the municipal government. Construction or closure of balconies shall meet relevant regulations stated by the municipal administrative department for city appearance and environmental sanitation.

Article 11: Outdoor advertisement, placard, gallery and show windows established in the city shall be of healthy contents, graceful appearance and maintained, painted or dismantled regularly.

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Establishment of large outdoor advertisement must be approved by the municipal administrative department for city appearance and environmental sanitation and follow all the approval process required.

Article 12: Urban public utilities shall be harmonious with the surrounding environment, and be maintained and kept intact and neat.

Article 13: Transparent or semi-transparent fences, hedgerows, parterres or lawns are to be selected alongside the main streets and also for the demarcation in accordance with the practical requirements.

Trees, hedgerows, parterres or lawns along the roads shall be kept neat and graceful. Dirt, branches and leaves left by planting, pruning or other jobs shall be cleared away in good time by the supervisory entity, individual or operators.

Article 14: No entity or individual should stack materials and construct buildings, structures or other facilities on both sides of the streets or in public areas. Where construction is specially required, temporary storage of materials along both sides of the streets and in public areas and construction of non-permanent buildings, structures or other facilities shall be approved by the municipal administrative department for city appearance and environmental sanitation and follow the approval process as required.

Article 15: Vehicles running downtown shall be kept with fine and neat appearance. Liquid and bulk load transported by goods stock shall be sealed, tightened, or covered to avoid leakage or scattering.

Article 16: Materials and instruments in the urban construction site shall be stacked neatly; dirt shall be cleared away in time; construction site along the streets shall be safeguarded with guardrail or fences; construction site suspending in work shall be arranged and covered timely; construction site shall be cleared away and leveled timely after construction.

Article 17: No entity or individual shall paint, write or draw on urban buildings, facilities or trees.

Entity or individual shall be approved by the municipal administrative department for city appearance and environmental sanitation or other related

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departments before hanging or sticking propaganda materials on the urban buildings or facilities.

Chapter III Control to City Environmental Sanitation

Article 18: The urban environmental sanitation facilities shall meet the city appearance criteria specified by the state.

Article 19: Development of new city areas or reformation of old areas executed by the municipal government shall be in accordance with the state regulations; funds required for cleaning, collecting, transporting and processing construction or domestic waste shall be brought under the construction project estimation.

Article 20: The municipal administrative department for city appearance and environmental sanitation shall establish the construction program for public lavatories in accordance with the density of registered inhabitants, quantity of floating population and special requirements in the public areas, and construct or reform or support related organizations to construct or reform the public lavatories as required.

The municipal administrative department for city appearance and environmental sanitation shall be appointed with professionals or entrust related organizations and individual to take charge of the cleaning and management of public lavatories.

Certain entity or individual can also undertake the cleaning and management of public lavatories. Managers of public lavatories can charge appropriately as required by the provincial, autonomous region and municipality people’s government.

Public lavatories not conforming to the standards shall be reformed within certain limit by related departments as required by the municipal government.

Manure in public lavatories shall be sent to the manure pit or municipal sewage system.

Article 21: Multi-story and high-rise buildings shall be equipped with close waste passage or waste storage facilities as well as passage for waste disposal vehicles.

Close type waste container, dustbin or other facilities shall be set on both sides of the streets, residential districts or densely inhabited areas.

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Article 22: No entity or individual can dismantle environmental sanitation facilities on their own; for those must be dismantled required by the construction project, the construction agency must present the demolition proposal in advance and report to the municipal administrative department for city appearance and environmental sanitation for approval.

Article 23: Environmental sanitation of the municipal main streets, square and public waters established according to the state administrative organizational system shall be in the charge of specialized agencies for environmental sanitation.

The street offices shall appoint special persons to take charge of the cleaning of residential districts or streets and lanes.

Article 24: Public areas like airports, railway stations, bus stations, ports, theatres, museums, exhibitions halls, memorials, gymnasia and parks shall be cleaned by the individual unit in charge.

Article 25: Organs, groups, armies, enterprises and institutions shall take charge of the cleaning work in its own liability districts divided by the municipal administrative department for city appearance and environmental sanitation.

Article 26: Urban fair trade markets shall be cleaned by special persons appointed by the competent departments.

Stalls and pitches shall be cleaned by the operators.

Article 27: Water surface within the work scope of passenger and goods port of the harbors shall be cleaned and maintained by the operators obliged by the harbor operating units.

Waste and manure on the ship operating or parking on the water area downtown shall be handled by the principals in the ship in accordance with related provisions.

Article 28: The municipal administrative department for city appearance and environmental sanitation shall supervise and manage the collection, transportation and treatment of city life waste.

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Any entity or individual shall dump waste and manure in the time at the place with the mode specified by the municipal administrative department for city appearance and environmental sanitation.

Waste and manure shall be cleaned and transported timely and be subject to innocent treatment and complex utilization.

City life waste shall be collected, transported and handled separately step by step.

Article 29: Environmental sanitation management shall be subject to socialization service gradually. In cities with special advantages, environmental sanitation service companies can be established.

Service charges shall be paid if specialized agencies for environmental sanitation are entrusted to clean, collect, transport and treat the waste. Detailed methods shall be established by the provincial, autonomous region, and municipality people’s government.

Article 30: The municipal people’s government shall develop city gas, natural gas, and liquefied gas in a planned way and change the original fuel structure; encourage and support related departments to transport clean vegetables into the city, reutilize waste and old materials and decrease municipal waste.

Article 31: Waste generated in hospitals, nursing homes, slaughterhouses and biological plants shall be treated as required by relevant regulations.

Article 32: Citizens shall cherish the public environment, no spit or foul, no litter, paper scrap and stumps anywhere.

Article 33: No livestock and fowls like chickens, ducks, geese, rabbits, sheep, and pigs are allowed to be raised in downtown area of the city established according to the state administrative organizational system. Those kept for the special purpose of teaching, scientific research or other requirements shall be approved by the municipal administrative department for city appearance and environmental sanitation.

Chapter IV Penalty Schedule

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Article 34: Anyone who has committed any of the following acts shall be ordered by the municipal administrative department for city appearance and environmental sanitation to take clear-away or dismantle actions or other remedies, and additionally, he may be warned or imposed upon a fine:

(1) Spitting, urinating, or littering fruit peels, paper scraps or cigarette stubs;

(2) Scribbling or engraving on urban buildings, facilities or trees, or posting, hanging or establishing advertisement without permission;

(3) Piling or hanging articles at street-facing balconies or windows that affects city appearance;

(4) Failing to dump waste and manure at the specified time, place and mode;

(5) Failing to fulfill the obligation of cleaning in the sanitation responsibility areas or failing to cleaning and treating wastes and manure as required;

(6) Failing to seal, tighten or cover the liquid and bulk loads transported to the city and cause leakage and scattering;

(7) Failing to set guardrail or fences for construction site facing the streets; failing to clean or cover the site timely at work suspension, or failing to clean and level the site after construction which affects the city appearance and sanitation.

Article 35: Those raise livestock or fowls without permission which has affected the city appearance and sanitation shall be banned or confiscated within certain limit or imposed upon a fine by the municipal administrative department for city appearance and environmental sanitation or its entrusted unit.

Article 36: Any party that has committed any of the following acts shall be banned by the municipal administrative department for city appearance and environmental sanitation to take clear-away or dismantle actions or other remedies and, additionally, he may be imposed upon a fine:

(1) Setting large outdoor advertisement arbitrarily and affecting the city appearance without the permission from the municipal administrative department for city appearance and environmental sanitation;

(2) Stacking materials in the public areas or on both sides of the streets and constructing buildings, structures or other facilities arbitrarily which has affected the

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city appearance without the permission from the municipal administrative department for city appearance and environmental sanitation;

(3) Dismantling the environmental sanitation facilities arbitrarily without permission or failing to dismantling the facilities as required by the demolition scheme.

Article 37: Buildings or facilities not conforming to the city appearance criteria and environmental health standards shall be reformed or dismantled by related departments or individual as required by the municipal administrative department for city appearance and environmental sanitation and urban administrative departments; those not being reformed or dismantled in an overdue time shall be torn down forcibly or imposed upon a fine by the municipal administrative department for city appearance and environmental sanitation or city planning administrative departments after being approved by the people’s government of county level or above.

Article 38: Those who damage the environmental sanitation facilities and appurtenant works shall be ordered to recover it or imposed upon a fine by the municipal administrative department for city appearance and environmental sanitation or its entrusted units; those steal or damage the environmental sanitation facilities and the appurtenant works or those deserve the punishment by security administration shall be punished in accordance with the Regulations of the PRC on

Administrative Penalties for Public Security; those having committed crime shall assume the criminal responsibility.

Article 39: Those insult or maul the working staff of city appearance and environmental sanitation or hammer their jobs shall be punished according to the provisions of the Regulations of the PRC on Administrative Penalties for Public

Security; those having committed crime shall assume the criminal responsibility.

Article 40: If the party is not content with the administrative punishment, he can reclama to the organ with higher level than the organ making the punishment within

15 days from receiving the punishment notice; those not satisfying with the reconsideration can appeal to the people’s court within 15 days from receiving the reconsideration agreement. The party may also directly institute legal proceedings in

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the people’s court within 15 days of receiving the notification on the sanction. If a party, within the time limit neither applies for reconsideration nor files a suit with the

People’s Court, or complies with the decision on punishment, the department that made the decision shall request the People’s Court to enforce the decision.

Those not content with the punishment by security administration shall be handled according to the Regulations of the PRC on Administrative Penalties for

Public Security.

Article 41: Staff of the municipal administrative department for city appearance and environmental sanitation shall be subject to administrative penalties imposed by their unit or higher competent authorities due to dereliction of duty, misfeasance or fraud for selfish interest; those having committed crime shall assume the criminal responsibility.

Chapter V Appendix

Article 42: Urban type residential areas without the organizational system of the town can proceed in accordance with this regulation.

Article 43: The provincial, autonomous region and municipality people’s government can set the implementation methods in accordance with this regulation.

Article 44: The central government’s administrative department for urban construction has the right to explain this regulation.

Article 45: This regulation shall come into force on August 1, 1992.

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Annex V

FGD Outline

Villager/Resident FGD Outline

1. Do you know the project? When and how to know? What do you know about the project? Any else information do you want to know? What’s your concern?

(Especially whether the people understand the house demolition and resettlement program and their understanding degree, including the address, quality, time and other detailed information about house resettlement)

2. What’s the impact on people’s future production and life after project implementation? (Positive and negative impact)

3. What’re your concerns over project? List and sort the problems according to significance level.

4. Who will benefit the most from project?

5. What’s your suggestion on project? (Sort according to identification degree)

6. What’re the pressing issues in public service facility (such as traffic, irrigation, medical treatment and education) and housing arrangement? List the possible solution and the help needed.

7. Do you agree to pay for the project? (What’s the reason for agreement or disagreement?)

(Record the name, sex, age and address of participant villagers.)

Municipal Official/Employer FGD Outline

1. Employer and participant department officials should introduce the current situation of various fields, the development planning in future, the existing problems and the project’s impact on future development in these fields.

2. Employer should introduce the identification and selection process of project as well as the preparation and status of project at present.

3. Employer and main departments should introduce the possible difficulties during project implementation.

4. Select the important villages and communities.

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5. Collect various types of documents and materials.

6. Hold FGD with the project officers at different levels, the principal project leaders, the project employer and the department officials at state, city and county level.

Discuss and identify the survey sites.

Note: The SA Team should record the name, nationality, position and contact method of participant officials.

Participant officials should come from the relevant departments including national religion, environmental protection, tourism, development and reform, urban planning, urban construction, water supply and drainage, sewage treatment, etc.

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Annex VI

Interview Outline

Village/Community Official Interview Outline

I. Drawing:

1. Community map

2. Resource map (Especially mark the main road, hospital, middle and primary school, market, bridge, historical site, potable water source, irrigation facility and any other important facilities under the impact of project)

II. Fundamental Condition of Village/Neighborhood Committee in Affected Area

1. Population (Quantity, sex, nationality, religion, job, size and proportion of farm and non-farm population)

2. Natural resource (including land, forest, mineral, etc) and utilization situation of village/community

3. Financial revenue, main financial source, proportion and rank in town of village/community

4. Livelihood structure (farm, non-farm and animal husbandry) and development status

5. Economic development level of village/community: the per capita income of village, the poverty status, the economic ranking and the development status of collective economy

6. Development history and planning of village (community)

7. Problem and current situation of infrastructure in village (community)

8. Ecological environment and its impact on local life

9. Composition and operation of formal and informal organization in village

(community)

10. Experience in implementing similar projects of village (community)

11. Assessment on environmental project of village (community)

III. Ethnic Minority

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1. Type, population, proportion and resident place of ethnic minority in village/community

2. Source of ethnic minority

3. Informal social organization of ethnic minority

4. Main natural resource and convention and unwritten law on environmental protection of ethnic minority

5. Economic status of ethnic minority

6. Religious faith of ethnic minority

7. Production and consumption of ethnic minority

8. Governmental support to ethnic minority

9. Communication among ethnic groups

IV. Involuntary Resettlement

1. Fundamental condition of affected village and community within survey scope: population, farmland, labor force, industrial structure, etc

2. Material index of affected population, which may be removed or acquired during project construction, mainly includes:

1) Status of land acquisition

2) Status of house demolition

3) Land fixture such as tree, well, terrace, tomb and barrier wall

4) Infrastructure such as water system, road, power supply, telecommunication, broadcasting and cable television

V. Opinion on Project

1. What’s the benefit of project implementation to village in your opinion?

2. How will your village cooperate with the government to implement urban environment construction?

3. What’s the difficulty to cooperate with the government during project implementation in your opinion?

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4. Do you think the project implementation has negative impact on the original ecological environment of your village?

5. Who will benefit the most from project in your opinion?

6. What’re the difficulties during the development of your village in your opinion?

7. Do you agree to pay after project construction?

8. How much and how to pay if you agree?

9. Why not if you disagree?

10. What’s reaction of villagers/residents to payment in your opinion?

(Note: This interview outline is also applicable to the group interview or official interview at the Xiang/town level. Topics of interview can be added or reduced according to actual situation, aiming to understand the background information of social economy and the opinion on project of villagers, residents and Xiang/town officials in affected area.)

Door-to-door In-depth Interview Outline

I. Interview Questions:

1. Compared with other villages/communities in the county, do you think your village/community is richer or poorer? In your opinion, what’s the reason if your village/community is poorer? What measures should be taken by the government besides personal effort?

2. Do you agree or disagree with the project? Please explain the reason if you disagree.

3. Do you think this project will push the development of your family or society?

What’re the development opportunities if so? (Direct at the in-depth interviewee)

4. What’re the negative impacts of project in your opinion?

5. Do you know additional payment may be required after project construction?

6. Do you think it is rational to pay? Why?

7. Do you know your farmland and house will be acquired? Do you know the compensation rate for land acquisition or house demolition? Do you satisfy with the current house and job?

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8. What’s your ideal compensation amount? When to get such compensation amount? How do you plan to use it?

9. What’s the rational compensation method during land acquisition and resettlement in your opinion?

10. Who will benefit the most from project construction in your opinion?

11. What’s the impact of project construction on existing natural environment of your village (including exhaust pollution, noise pollution, etc)? What’s the impact on culture, historical heritage, religion and tourist attraction of your village?

12. What’s the impact of project construction on production and life of women? Do they have any requirement and suggestion on project? (Inquire women only)

13. What’s the impact of project construction on production method, life style and local custom of your ethnic group? Do you have any suggestion on project? (Inquire ethnic group only)

II. Drawing:

1. Draw the daily life chart and seasonal activity chart separately.

2. Draw the daily trip chart and daily intercourse chart separately.

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