For Phase II Loan Appraisal of Xiaolangdi Proiect Public Disclosure Authorized

REPORT ON THE REVISED RESETTLEMENT PLAN

AND IMPLEMENTATION PROGRESS Public Disclosure Authorized Public Disclosure Authorized

Yellow River Water & Hydroelectric Development Corporation Reconnaissance,Planning& Design Institute, YRCC

February 1997 Public Disclosure Authorized

PREFACE

This report has been prepared, in conformity with the requirements on preparation for Phasell loan appraisal for Xiaolangdi project in the Memorandum of International Development Association mission for resettlement of Xiaolangdi project (December 26,1996) as well as in letter dated January 10, 1997 from the world bank, by YRWHDC YO and RPDI jointly, Section 1, 3, 5, 7, 9, 10, 11 and 12 have been prepared by YRWHDC YO and the other sections by RPDI. It has been reviewed by Mr. Scott G. Ferguson from CIPM and Mr. Zhao zhipei from the world bank, and Mr Scott G. Ferguson put forward revision guidelines for the report preparation. Here we express our hearty thanks for their help.

Table of Contents

1. Introduction

2. Review of Project Impacts 2.1 Damsite Construction Area 2.2 Reservoir inundation Impact

3. ResettlementOrganizations and Management 3.1 System of Organizations and Management for ResettlementImplementation 3.2 Terms of Referenceof Resettlement Agenciesat Each Levels 3.3 Relation between Resettlement Agenciesand Other Departments 3.4 Institutional Capacity of Resettlement Implementation Agencies 3.5 Management and Supervision Status of the ResettlementProject 3.6 Information Management System 3.7 Financial Audit

4. Resettlement criteria and Planning Principles 4.1 Overview 4.2. ResettlementCriteria and Compensation Measures 4.3 Resettlement Guiding Ideology and Planning Principles

5. Resettlement of the Construction Area 5.1 Resettlement Planning For the Construction Area 5.2 Implementation of Construction Area Resettlement

6. Revised Resettlement Implementation Plans 6.1 Process of the Revision 6.2 Phasing and Schedule for Resettlement Plans 6.3 Phase I Reservoir Area Resettlement Plans 6.4 Phase II and III Resettlement Planning for Reservoir Area 6.5 Summary of ResettlementPlanning Changes since 1994

7. Resettlement Implementation Progress in the Reservoir Area 7.1 Phase I Resettlement Implementation Progress 7.2 Special Items in Agricultural Development 7.4 Rehabilitation of Non-agricultural Activities 7.5 Efforts in Income Rehabilitation in Host Villages

Page 1 7.6 Procurement and Fund Allocation 7.7 Evaluation on ResettlementProgress 7.8 Next Plan for the Resettlement

8. Revision and Approval of the ResettlementCost Estimates 8.1 Revised CompensationStandard 8.2 Revised ResettlementCost Estimate 8.3 Progress of Resettlement Planning and Budget Approval and NecessaryMeasures 8.4 Approval on Price Difference Adjustment Index 8.5 Temporary Measures of Resettlement Cost Estimate and Compensation Cost Adjustment

9. Assessmentof Resettled Households' Incomes 9.1 Progress in Survey of Household Incomes 9.2 Survey Methods 9.3 Income Survey for Dam Area Resettlement 9.4 Survey for Phase I Reservoir Resettlers's Incomes before Resettlement 9.5 Organization and Plans of Surveys for Resettlers' Incomes

10. Social Adaptability Adjustment 10.1 Measures for Social Adjustment 10.2 Non-governmentOrganizations 10.3 Agricultural and Industrial Servic Organization 10.4 Combination of Relocateesand Host Area Residents 10.5 Women, the Old, Children and Special Poor Families 10.6 Preferential Policies 10.7 Public Participation and Consultation

11 Complains and Grievances and Settlement 11.1 Legal Basis of Complains and Grievances 11.2 Channels and Procedures of Relocatees' Complains and Grievances 11.3 Settlement of Relocatees' Complainsand Grievances

12. Training 12.1 Resettlement Ofricials Training 12.2 Relocatees' Training 12.3 Training Plan

Page 2 Sketch Map of Inundation in XLD Reservoir Area Counties (Cities)

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REPORT ON THE REVISED RESETTLEMENT PLAN AND IMPLEMENTATION PROGRESS

1. Introduction

1.1 The purposesof Xiaolangdimultipurpose dam project, a key state project, is for flood control. ice control, sedimentcontrol as well as irrigation. In accordancewith the evaluation opinionsof the world bank, the project costs includeloans from the world bank, 1.166 billion U.S dollars. Phase I loan proceedsof 460 million$,approved with Loan Agreement3727-OCHA signed, has been put into the main civil works, the tenure is from 1994 to June 30, 1996. In order that Phase II loan agreementcan be signedas soon as possibleand the loan (about430 million$)can be used timely in 1997to ensure the constructionprogress of the main works,this report has been preparedby YRWHDCand RPDI pursuantto the world bank'srequirement that a report on physical resettlementimplementation as well as a overall plan report must be submittedfor evaluationof the world bank.

1.2 Basedon the appraisalreport on resettlementof Xiaolangdiproject, thisreport, composed of 12 sections,emphasizes the changesand optimizationduring resettlement implementation and has been prepared and organized according to the requirements and comments in the memorandumof internationaldevelopment association mission for Xiaolangdiresettlement on November26, 1996, includingintroduction, review of projectimpacts, resettlement organization and management,criteria of resettlementand resettlementplan, constructionarea resettlement, revisedresettlement implementation plan, progressof resettlementimplementation, resettlement cost estimate and approval, evaluationof householdincome, social adjustment,process for complaints,appeals of resettlement,training, etc.

2. Review of Project Inpacts

2.1 Damsite Construction Area

Constructionarea refers to the locationsof the main works,earth and rock materialarea, dredge area, livingarea of the contractors,roads, water and power supplysystem at the site, accesses on northern and southern banks and Liuzhuangrailway station, involving40 administrative villages in 10 townshipsin Mengjin city and Jiyuan county rural area of and Jili district of Luoyangcity with the land requisitionarea of about 23.6 km2 (35503 mu), of which cultivated land is 21300 mu(accountingfor 60%). The affected population were 10574 persons, representingfor 1. I% of total populationsof the city/county. Total area of houses and kilns affectedis 302100 km2.

2.2 Reservoir inundation Impact

2.2.1 Resurveyof PhysicalIndices of ReservoirInundation since the preliminarydesign of Xiaolangdiproject, people's livingstandard has been improved

Page 1 greatly with the developmentof the economy of China. Required by Henan and Shanxi provincialgovernment as well as the localgovermnents, MWR arranged RPDI to conductreview of physicalindices of reservoirinundation to reflect authenticdata, which began in March 1994 and endedin December1994. The resultspassed the preliminaryreview of MWR in December 1995 and the reviewof SPC subsequentto the selectiveexamination, review of YRWHDCRO and consultationof the experts.Database of physicalindices as well as physical itemregistration cards have been establishedin household.

2.2.2 Resultsof the Resurvey

Overview:29 Townshipsin 8 countiesin Henan and Shanxiprovince are affected, including12 locationsof townshipgovernments 174 administrativevillages, 787 industriesand mines, 13 small-scaledhydraulic power stations, 587 pump stationsfor irrigation, 1657 Km long canals, 1022 km long roads, 917 km longelectric lines and 778 km longcommunication lines. Seetable 2.1.

Populationimpacts by phase: totally 177591persons are affectedby inundation,representing for 5.79% of the total populationin 8 counties in the reservoirarea. 18%, 15.4%, and 6% of the total populationin Yuanqu, Xin'an and Jiyuan are affectedrespectively, and less in Mianchi and Mengjin county, least in Pinglu, Xiaxian and Shanxian(only less than 1 % of the total population).The standardfor the reservoir area resettlementis at El.276 m (the normal storage level is 275mplus Im of superelevationby stormywaves), below which the people mustmove. By the moving year, there will be 188138 persons in the reservoir area. Based on the characteristicsof the reservoiroperation, Phase I reservoirarea resettlementinvolving 46133 resetters (below 180 m and the other affectedpopulation) will finish before June 1997;Phase II resettlementrevolving 118985 resettlers at El 180-265mwill movefrom 1997 to 2000 and the last resettlementaffecting 23637 persons was planned to beginin 2010-2011,but now basedon the directionof SPC, it must be implementedtogether with that at El. 180-265mand finish in 2003. See table A.1

PopulationImpacts by category:in the plan base year, totalpopulation affected by inundation is 188138persons, of which 89504 are labours. The impactsare divided into two categories: general impact(impacton production)and impact on livelihood.The first impact involveda) agriculturalpopulation of 169640persons, of which were 784 labours who lost production material,and loss of land resultedin impactson both productionand livelihood,thus plansmust be made for the labours for production rehabilitationand for housing of the resettlers in residentialsites as well. b) non-agriculturalpopulation of 18498persons, of which were 11104 labours who were engagedin industries,mines, agenciesin townshipand schoolsand need to be resettledwith their units. There are 1798teachers and retiredworkers in the rural area whose housesshould be taken into accountin the residentialarea. 118498non-agricultural persons who have salaries revolved in the second category are comparativelyin better condition; 29868 persons(17.6%)of the agriculturalpopulation used to take part timejobs in county and township run enterprises or have temporarynon-agricultural incomes may not feel very difficult with compensationsfor the enterprisesand changeof production,livelihood for the remaining82.4%

Page 2 of the agricultural population will be rehabilitated and developed through implementation of resettlement plan. Table 2.2 indicates population impacts by categories.

Land to be inundated by types: water surface area at the normal reservoir storage level is 272 Km2 and the total land area affected by inundation is 278 kun(inundation+landslide, bank collapse+stormy waves). Appendix A.2 shows the details about the land inundation in the reservoir area. The cultivated land represents for 48% of the total land area, of which irrigated land accounts for 45% and dry land 44% , vegetable field and flood land accounts for 11 %. Forests account for 8% of the total inundation area, of which timber forest for 75%, fuel forest for 12%, bare hills, slopes and grazing area account for 17% and others account for 16%.

Housing impacts: there are two kinds of housing in the reservoir area: houses and kilns. The 2 2 total inundation area is 7.43 million m , of which 92.5% is in the rural area (6,87 million m ) and 6.7% in townships, 0.8% for enterprises and institutions not under the control of the township. In the rural area, dwelling caves cover 45% of the total area, brick and stone kiln cover 23.9%,earth kiln 31.1%. Housing area per capita is 37.6%. See table A.3

Impacts on Industries, mines and workers: 787 enterprises, mines are to be affected by inundation, of which 69% are mines, 31 % are industries , with 54499 staff and workers. Except 4938 non-agricultural persons (official workers and staff), the rest are all workers from rural area on basis of contract and temporary workers engaged in township run enterprises whose incomes are main sources of their family incomes. The survey and statistics show that 30% of the workers(14865 persons) live outside the reservoir area(above the water level 275m), resettlement of the enterprises will affect their livelihood temporarily, but compensation measures for them have been taken into account in the plan, such as compensations for idling period of the enterprises and changes of production line.

Impacts on culture, education and health facilities: table A.6 gives the descriptions of the inundation of the facilities relating to culture, education and health, including 186 schools, 1 agriculture training center, 199 hospitals and clinics, 15 epidemic prevention stations, 177 facilities for education and culture(cinemas,libraries and cultural stations. With the development of Chinese economy, the compensation cost for the education and culture facilities in the inundation area can not meet the needs. MWR has agreed that each one in the culture and health agencies can have additional subsidy of 100 yuan.

Impact on infrastructure: infrastructure in the reservoir area include highways, power supply, communication, broadcast, etc, as indicated in A.5. Rehabilitation of infrastructure in the host area doesn't mean compensations for physical item affected by inundation, it has been planned and designed on basis of physical needs of resettlement and the cost has been incorporated into total resettlement budget.

2.2.3 Comparison of Changes to Physical Indices: Resurvey of physical indices in 1994 demonstrates the changes in the economic development in the reservoir area, see table 2.3.Compared with 1991, total population has increased 16.93% in the reservoir area, rural

Page 3 population has increased 16.38%, cultivated land changed 8.9%, houses and kilns increased 62.07% and industries, mines have increased 212.3%, number of staff and workers increased 91.54%. Such rapid speed of increment of industries and mines has caused great attentions of MWR and SPC, a working group consisting of 10 persons has been organized to perform further survey in the reservoir area, the survey is supposed to finish in April

Summery of Xiaolangdi Reservoir Inundation Impacts Table 2.1

Order Descnption unit amnount

A. Reservoir uRmdationimpact |

I Totalatea of dhereservoir km! 272

2 Lengthof thereservoir km 130 3 Areaof Inundatedbnd mu 416823 4 lnurnatedcultivated land mu 200745

5 Cultivatedland per capita mu 1.27

6 Affectedpopulation-. 1994) Nos 175591 7 AffecXdpopulation(n dhe moving year) Nos 18138 8 Proportionb de popublon of dhecounty % 5.97 9 Areaof itudated housesand kilns Br 7431700

10 Affectingtownship Nos 29 11 Affectingadministrtive villages Nos 174

B. Impacton the constuction area 1. Lad requiitidon(aout23.6 km') mu 35503

2. Culivatedbnd requisition(60%) mu 21300 3 Cultivaedhad per capita na 2.1 4. Affectedpopulation by Land Usein themoving Nos 10574 ______year)

5. Pfoponion ot dte population of the county % 1.1

6. Aa of housesatd kihts tobe mecostucmed Mr 30206K 7. Townshipsaffected Nos 10 Adminisutivevillages Nos 40

Page 4 Population Impacts by Categories Table 2.2

Order Descnpuons In planbase year

Population Labour

A General Impacts

I______Agricultural population

Populationwho losshouses and land 164334

Populationwho loss land Populationwho losshouses

Populationwho loss roadsto the villages 5306

Sub-total 169640 78400

2 Non-agricultural population Inhabitantsin thetownship (loss houses) 9598 4702

Popuationof industriesand mines and the third 4948 4948 industries Ruralteachers and retired staff and workers(lost 179 361 houses)

Populationin institutesnot mnagedby townships 436 421

-|______tPopulation in institutes managedby theprovince 1717 672

] Sub-total 18408 11104 Total population 188138 89504

Page 5 Table 2-2 (continued) Population Impacts by Category

Order Descnpwon In plan baseyear

Population Labour

B. Livelihoodinmact

1. Agruculuralpopulaion

Be engged in planting (sidelineactivities) 134466 46079

County mnaenmerprses(workers on basis of contact 3412 3412

Township nmenterpnses 2418 2418

Agriculural population with temporary non agricultural 24033 24038 incomes

Sub-total 164334 75948

(Populationwho only st roads 5306 2452

Sub-total 169640 78400

Non-agricultutal population

Rural eachers 361 361

Retired slaff and workters 1437

Staff ad workers enpged in township goverment 10035 5123

Towsip en_rprises(dstries, mtes andcomnerce) 3119 3119

______jCouty-un sae owned eterprisesindustresand mines 1829 1829

Instituons at the provincial kvel 1717 672

Sub-mtal _ 1498 11104

Totia 188138 39504

Page 6 3. Resettlement Organizations and Management

3.1 System of Organizations and Management for Resettlement Implementation

The managementsystem adopted for resettlementof Xiaolangdiproject is as follows:MWR (actingas leader)employer(for management)---the revolving two provinces(takeeach one's own responsibilities)---county(asbase).MWR RO, acting as leader, is responsiblefor coordination and micro-controlover RS of Xiaolangdiproject; YRWHDCRO (the employer)is responsible for resettlementmanagement. The inundated area and host areas cover Henan and Shanxi province, where resettlementagencies at provincial level, city and county level have been establishedto perform resettlementmanagement under the leadershipof the governmentat variouslevels. Table 3-1 shows the organizations.

3.2 Termsof Reference of Resettlement Agenciesat Each Levels

3.2.1 LeadingGroups: Leadinggroups (LG) have been establishedat centralgovernment level and at Henan and Shanxi provinciallevels to develop strategiesand provide generaloversight of the plannedresettlement. The LG at central governmentlevel consistsof a DeputyChairman of SPC, Vice Ministerof MWR and Vice Governorsof Henanand Shanxi. The main function of the LG is to coordinatethe projectat the central governmentlevel and to resolveany policy, legal, funding, land use, agriculturaland nonagriculturalregistration matters. The Provincial LGs includeabout 25 people, headed by Vice Governorof the Provinces.The leadinggroups liaise with YRWHDC and YRCC RO. These groups have been instrumentalin reaching agreementson key componentsof the resettlementplan, such as the approval for sending relocateesto the three downstreamhost counties. The LGs are responsiblefor directionHenan and ShanxiResettlement Offices. Leadinggroups have also been set up at the municipallevel and havebeen establishedin each affectedcounty to facilitatecoordination between departments and to accelerateapproval of interdepartmentalissues

3.2.2 Resettlement office of MWR (MWR RO): MWR RO will oversee the overall implementation,such as making survey and research, drawing up policies, summarizing experience, coordinatingthe resenlement implementation,controlling the resettlementof the constructionprojects managed directly by the central government, organizing training (by entrustingYRWHDC RO) of persons responsiblefor provincial,city and county resettlement as well as supportingwork in the subsequent5- 10 years after completionof the resettlement of the project.

3.2.3 YRWHDCRO: it is responsiblefor managementand supervisionof the resettlement implementation,including planning and financialmanagement, information interchange, as well as review of proposals of any resettlementcomponent put forward by the local government, coordinatingand checking,and monitoringwork performedby the local governmentsand the design unit, checkingand accepta projectafter completion.

3.2.4 Provincial,Prefecture (municipal) and ResettlementOffice

Page 7 It is responsible for coordinating resettlement in the area, especially for drawing up plans and appraising the overall resettlement plan, controlling resettlement progress, finance and material supply plan, organizing and coordinating the implerhentation of special project that county can not manage and of a project developed independently, giving directions to the resettlement at lower level, inspecting and supervising their work, conducting socio-economic evaluation after resettlement of the relocatees, monitoring and appraising implementation of resenlement and relating policies.

3.2.5 County Resettlement Bureau (Office): county resettlement bureau (office) is responsible for assisting the county government in organizing the resettlement implementation, drawing up the overall resettlement implementation plan of the county, carrying out agricultural and non- agricultuial measures, verifying and recording physical inundation items of resettlers, handling land requisition and cashing compensations, publicizing the relocatees, organizing the resettlers to build new sites, to move and resettle, organizing the rehabilitation of infrastructures. It is also responsible for management of funds, materials and the solution of the remaining problems as well as coordination and handling of various problems during the resettlement implementation of the county, reporting resettlement progress and assisting to supervise and monitor the resettlement.

3.2.6 Township Government: with coordination of village leaders, it is responsible for land allocation and readjustment, livelihood rehabilitation, village reconstruction, small-sized hydraulic project, land preparation and move of resettlers, etc. In order to facilitate monitoring and supervision of resettlement implementation and solve daily problems, persons from county resettlement office have been sent to the resettlement stations in each township in the affected area.

3.2.7 Under the leadership of village and group leaders, all the households are responsible for house construction, move arrangement and land preparation.

3.2.8 RPDI: as designer of the project, it is responsible for design of the implementation, preparing cost estimate, putting forward alternative designs to he design variations, participating in check and acceptance of the project.

3.2.9 YRCC RO: entrusted by YRWHDC RO, it acts as supervision engineer and is responsible for monitoring on progress, quality and funds of the resettlemnentimplementation.

3.3 Relation between Resettlenent Agencies and Other Departments

Resettlement office(bureau) is functional agency of local government, other department at the same level as planning, finance, water conservancy, power, agriculture, , industry, communication, education and health, city (county) construction, transportation and grain, entrusted by resettlement offices and Bureaus or under the guidance of local government, may undertake the design and construction of corresponding infrastructure (such as new township and village construction, water and power supply, road constuction, school construction,

Page 8 communication, agricultural and industrial development).

3.4 Institutional Capacity of Resettlement ImplementationAgencies

3.4.1 There are 430 persons engaged in the resettlementagencies, of which 316 persons graduated from college and special schools, 114 persons are with or below middle school education. See the attached table 3-1 for details. Directors in the resettlementagencies are mostlytransferred from other units who haverich managementexperience and they are qualified for the resettlementmanagement and will work more efficientlythrough training as well as culmulationof practice.

3.4.2 In recent several years, with the resettlementprogress, the office buildings of the resettlementagencies at different levels are built with 15m2 per capita and are equippedwith computers, duplicators,telephones and vehiclesto create the better working environmentand to basicallymeet the resettlementrequirements.

3.5 Managementand Supervision Status of the ResettlementProject

3.5.1 Management

3.5.1.1 Central Leading Group: In February, 1994, a the first joint meeting for Xiaolangdi project was held in Beijing with the participants of SPC, MOF, state land administrationbureau, MWR, Henan and Shanxiprovincial governments, YRWHDCRO and YRCC , at which report on the project constructionincluding the resettlementimplementation was given, the problemssuch as funds, resettlementand managementwere discussed.Mr. Niu Maosheng, ministerof MWR emphasizedthat in view of general layout the project, integrate considerationsshould be given to the relationship between the project construction and resettlementimplementation, special attentions must be paid to the resettlement. As far as payment was concerned,he said, the paymentsnewly occurredmustn't be postponedand the former ones be paid off step by step. At the meeting decision was made that Xiaolangdi resettlementshould be under the leadershipof YRWHDCinstead of YRCC, so the relevant relations,responsibilities became clearer and the leadershipcan be strengthened.The participants of meeting were from SPC, MWR, Henan and Shanxiprovincial government, YRWHDC and YRCC. On several occasionsDeputy minister of MWR in charge of resettlementexchanged opinionswith the vice directorsof the two provinceson funds,compensation, land use taxesand so on. In order to guaranteethe river closure,Mr. ZhangJiyao, the Vice Ministerof MWRand General Managerof YRWHDCRO,pays high attentionto the resettlementand plansto hold the second joint meeting in February 1997 to summarizeand plan the resettlement,study and research the potentialproblems during construction.

3.5.1.2 MWR RO: Since the beginning of the implementationof the project construction, the officials of MAR RO often go to the constructionsites and resettlement agenciesat different levels for inspection,giving directions and solving problems, they also participated in the preparation of Management Method for Resettlement Implementation of

Page 9 XiaolangdiProject and Outlinesof the Designfor the ResettlementImplementation Plan of Xiaolangdi Project, they have played a very important role to promote the successful resettlementimplementation.

3.5.1.3 YRWHDCRO:It has 4 departments:planning and resettlement,resources and environment,plan and finance and comprehensivedepartments with total staff of 30 people. In these years, YRWHCDROhas organizedand coordinated and carried out resettlement planning and design, preparedand issued the annual tasks and cost plan; checked, supervised and resolvedthe problemsfound in a coordinativeway in the courseof the implementationsuch as designchanges and social adjustment;organized to develop the enviromnentalprotection and resettlementsupervision and monitoring,etc.; worked out "Methodson Plan Managementfor the XiaolangdiResettlement Project","Method on Industriesand MinesManagement", "Method on CompletionAcceptance for the ResettlementProject", "FinancialDisbursement System", "Credit Disbursementand WithdrawalMethod", "Accounting Method", etc. and preliminarily establishedthe infonnationmanagement system to graduallyintroduce the resettlementinto the scientific, specificand systematicway.

3.5.1.4 ProvincialRO: The Henanand Shanxiprovincial offices have developedorderly and effectivelythe work accordingto their responsibilitiesto make the resettlementconducted smoothly. Especially, Henan provincial resettlementoffice holds the provincial resettlement mneetingat the beginningof every year to concludeand arrange the resettlementand sign the annual target assigmnentswith the municipalgovernment to make the resettlementagencies at variouslevels take the responsibilitiesrespectively.

3.5.1.5 The WorldBank: The WBnot only providesthe loan whichrelieves the pressure of the local constructionfund, but also inspectsthe Project twice every year and provide good suggestionsto improvethe resettlementmanagement level.

3.5.1.6 InternationalEnvironmental and ResettlementPOE

Accordingto the World Bank requirementsand after approval of Ministryof Water Resources (MWR),YRWHDCRO engages international environment and resettlementsPOE for Xiaolangdi MultipurposeProject whichis made of 3 environmentalexperts (I foreigner)and 6 resettlement experts(1 foreigner),9 in total. The POE holdsmeeting once every six months since the first meetingin June, 1994 and has held 5 meetingsin total up to now with focus on reviewingthe environmentand resettlementrelated works' constuction progress, evaluating the problems raisedduring the construction,making recommendations for RO in improvingwork and usually spends 10-15days for every meeting,provides consulting report to YRWHDCROwho submits it to the World-Bankand issues it to resettlementagencies at differentlevels.

3.5.2 Supervisionand Monitoringin the ReservoirArea

3.5.2.1 ResettlementImplementation Supervision in the ReservoirArea

Page 1 0 To supervision resettlement is the need to keep the project constructionidentical with internationalstandards and is also great tendencyof resettlementimplementation in China. In accordancewith the DocumentNo.[19941468 issued by the ResettlementOffice of MWR and instructionsof MWR's leaders as well as requirementsof the World Bank, the construction supervisionsystem is used in the XLD reservoirarea resettlement.According to the first joint meeting held at the end of February, 1994, the resettlementoffice of YRCC was entrustedto monitor the constructionof the XLD reservoir area resettlement and started the work in September,1996 with more than 20 people involved.The supervisionis placedthe basis on the resettlementplanning and design approved by the State, annual plan and signed relevant agreementsand takes resettlementnatures into considerationand is performedin an inspection tour way monthly with focus on inspectingand pressing the work progress, examiningand supervisingquality to know the resettlementcost allocationand utilizationand will be further improvedin the future with the progress of the work.

3.5.2.2 Social and EconomicMonitoring and Evaluation

It is entrusted by YRWHDCROto the resettlementmonitoring department of North China HydropowerInstitute which submitsa report every six months since the start in 1993 and has submitted6 monitoringand evaluationreports (Nos. 1 --- 6) whichare respectivelydistributed to IDA, project implementationunits (provincial, city and county resettlement offices), competentagencies of MWR (resettlementoffice of MWR, GeneralInstitute and International CooperationDepartment, etc.) and POE members.These reports are to provide informationand suggestionsto above mentioned departmentsso that these departments know resettlement progress, understandrelocatees' social and economicdevelopment status, carry out resettlement plan and perfectresettlement work.

The monitoring and evaluation work contents relocatees' livelihood settlement (including relocationprogress, facilities construction such as houses,water supply,power supply,road and school, compensationfulfillment), social adjustment(including relocatees training, public involvement, complaints, income assessment, preferential policies, special masses, nongovernmentorganization activities), production development ( includingland adjustmentand development,village-run enterprises, non-agriculturalresettlement).

The monitoringand evaluationwork has 6 methods:(a) samplingnew villagesat Phase I and generallysurveying new villagesat Phase II; (b) havingan informaldiscussion with resettlement staff; (c) investigatingthe status of houses, farmland,public facilities and infrastructuresin relocatedvillages; (d) selectingtypical householdsin relocatedvillages to knowfamily income, living conditions,neighborhood relationship, opinionsand requirementson resettlement;(e) havingan informalmeeting and discussionwith nongovernment organizations to understandtheir attitudesto and requirementson the resettlement;(f) having informaldiscussion with city and county resettlementofficials.

3.5.2.3 Follow-upInvestigation of Relocatees'Family Incomes

Page 11 In order to evaluate relocatees' income before and after relocation in a tracing way, since December,1995, YRWHDCROhas entnustedthe Jiyuan,Mengjin and Xin'an where the Phase I and Phase II relocateeshave resettledto investigaterelocatees' income of the all villagesin a tracingway. The samplingmethod is used in investigation,i.e. 10 householdsare selectedevery village,of which3 high-levelincome households, 4 middle-levelincome households and 3 low- levelincome households. There are 37 villages(460 households,2149 people)involved in total. The family standing account is set up to count every household's input and output of the domesticplanting and incomesfrom nonagriculturaljobs, domesticsidelines and other sources. Such investigationis summarizedand reported quarterlyto YRWHDROwho summarizesand analyzesit and preparesanother report hereonand submitsthe final report to internationalPOE membersand related agencies.

3.5.3 Monitoringon the ComplementaryProjects of the Resettlement

3.5.3.1 Supervisionon WenmengtanRiver Channel Training and Warping for Soil Improvement YRWHDCROentrusts this work to the Wenmengtanmonitoring sector of monitoringdivision under Water ConservancyScience Research Institute. This sector has 10 staff who are usually on the site since monitoringwork startedin June, 1995 and effectivelycontrol the Wenmengtan project's quality, progressand cost and submitmonthly supervision report.

3.5.3.2 Supervisionon Houhe Dam

The tenderingwork of Houhe dam was over in September,1996 and the awardedcontract was signedin the middleof Octoberand the contractormobilized into the site in December.Shanxi Provincial hydropower ConstructionMonitoring Company takes the responsibilityof the monitoringthe constructionof this dam and has caried it out.

3.6 Information Managmt System

3.6.1 RWHDCROstarted to develop the managementinformation system for Xiaolangdi resettlementproject in 1994 andprepared Information Report Systemfor Xiaolangdi Resettlement Project in August, 1994 and finished Information System Development and implementation Systemfor the XiaolangdiResettlement Project in Octoberwhich was reviewedby the Second POE meeting after revision in March, 1995. Meanwhile, 13 computers and their outside auxiliary facilitiesand systemdevelopment support softwarehave been procured(see Annex equipmentlist) and the 5 proposedsubsystem have been put into operation,i.e. --- base information and geological informationsystem (GIS) development, including establishmentof inundationaffected physical indicesdatabase and GIS in the reservoir area; ---- resettlementplanning subsystem development, including resettlement project planning and compensation.resettlement planning GIS diagrams; resettlementproject management subsystem development, including project cost estimates

Page 12 managementand projectprogress, etc; ---- resettlementproject social and economic monitoring subsystem development, establishing preliminarilytrace monitoringsystem for relocatees'income; ---- YRWHDCROpublic affairs managementsystem development, including labor wages, documentsand files management,etc. See Annex informationdevelopment guarantee and organizationstructure

Up to now, over 150 databases have been established including physical indices, project management,supervision and monitoring with IOMB information, over 250 GIS graphic databases also establishedwith 100MBinformation, over 40 functionalmodes also developed with the specificcontents of databaseoperation and 40000 program code commandsprepared to ensure the system to servicewith the resettlementimplementation.

3.6.2 The managementinformation system has been developedfor 2 years and can not be timelyconfirmed by the higheragency and not operatenormally due to the changesof physical indicesand cost estimatesof the Project. In 1995, the informationreporting system was formed, and the contents,format and arrangementof the report were also specified(see Annex),but the systemdoes not still operate.

3.6.3 The State PlanningCommission reviewed the compensateditems and cost estimatesfor the Xiaolangdiresettlement project submitted by the MWR in November12 - 22. 1996 and has the clear opinions hereon. The system will be netted and applied immediatelyafter the confirmationletter is issued by the State PlanningCommission.

At present, the training on the informationmanagers in the provincial,municipal and county resettlementoffices is beginningto carry out and the informationstaff in Henanand Shanxi provincialresettlement offices are to be trainedoverseas (in America)to encouragethe system application.According to the memo's requirements,the MIS operationmanual will be finished in the first half of 1997.

3.7 Financial Audit

3.7.1 In line with the WB requirements,the borrower should submit the annual financial statementattached with the independentauditor's report hereonto the World Bank during the wholeproject implementation.Therefore, the Zhengzhouspecial office of China NationalAudit Office(CNAO) carries out the audit on the resettlementproject after annual financialsettlement every year is over. Up to now, the auditor's reports in 1994 and 1995 have submittedto the World Bank and the report in 1996 will be finished in the first half of 1997. The CNAO was satisfiedwith the cost use of the Project.

3.7.2 The audit by CNAO includesthe whole itemsof the Projectand performance,plays and important role in ensuring the resettlementcost to be properly used so as to ensure the resettlementto be carried out as scheduled.

Page 13 3.7.3 In order to facilitate the financial audit, YRWHDCRO worked out the internal control system such as 'Financial Management Method for the Xiaolangdi Resettlement Project, Credit Disbursement and Withdrawal Method, Monthly Statement of Cost Allocation and Utilization to lead the financial management to the systematic, specific way and to speed up the availability and utilization of the resettlement fund.

3.7.4 Henna provincial resettlement office formnsthe financial auditing department with special financial staff who are responsible for auditing the cost utilization of the municipal and county resettlement agencies so as to guarantee the audit quality.

Page 14 Chart 3-1 XLD Resettlement Project Management Organization

Central Leading Group

l l | ~~RO,MWR: ::

YRHD |Henna Leading| 1YRWHDCRO LGax RO Group for L Henna Gov rShanxi

Henna Henna PRO ------Shanxi PRO Shanxi RTB Il l l I l WCB

1 5 Cities LG ------Yucheng LG

WMTPO Municipal R0 -Yuchang RO IDH of I T - ~~~~~~~~Houhe CounyLG ------|County LG

|CountyRO ------|County RO

Township Gov ------Township Gov.

Township RC ------Township RC

|Village |ilageV Committee ------Committee

Notes: _ administrativerelationship --- coordinationrelationship LD: leadinggroup RO: resettlementoffice Gov. government RTB: river trainingbureau WMTPO: Wenmengtanproject office RC: resettlementcenter IDH: irrigationdistrict headerquaners EMO: environmentalmanagement office WCB: water conservancy bureau

Page 15 Director of YRWHDC RO

MIS Developme roup

I Departmentsof YRWHDCRO I Other Resettlement Constitutes

Fig. 3-2 XLD Resettlement MIS Development Guarantee System

Page16 |XLD)Resettlement MIS|

Base Resettlement Resettlement Project Social-economic& Office Information& Planning Management Environmental Subsystem GIS Subsystem Subsystem Subsystem Subsystem

Information nm Io t In_rmaio Source and / _/\\ Its using \

LDepartment| X _

Information\/\/1// Contents/\t Pag17 '

Office Resettlement Schedule and Environmentaland Project Implementation Informatio Planning Progress Social-economic and Supervision Information Information Information Information

Fig. 3-2 -2 Organizational Structure of the MIS Page 17 Table3-1 Equipment Provision for XLD Resettlement MIS

NO. Equipment Model Manufacturer Amount(set) 1 IBM Computer DX4/33 IBM Corporation 2 AST Computer SX4/25 AST Corporation 3 Compaq Computer DX2/66 Compaq Corporation 4 4 CompaqComputer XL5/60 CompaqCorporation 2 5 CompaqPortable Computer DX2/40 CompaqCorporation 4 6 CompaqPortable Computer DX2/25 CompaqCorporation 2 7 CompaqSever PROLIANTIOOO CompaqCorporation I 8 HP LaserJetPrinter HP4V HP Corporation 2 9 HP LaserJetPrinter HP4PLUS HP Corporation 2 10 HP Color Ink Printer HP1200C HP Corporation 11 SHARPProjector SHARP2480 SHARPCorporation 12 CALCOMDigitaler CAL34480 CALCOMCorporation 13 HP Scanner ScanJetIIcx HP Corporation I 14 UPS Power SantaklOOOKVA SANTAKCorporation 3

Page 18 4. Resettlementcriteria and Planning Principles

4.1 Overview

Resettlementcriteria and planningprinciples are guidelinesfor resettlementplan and design of all the concerningcounties. Throughsummery of the experiencefrom resettlementof other Chinese hydraulic projects and Xiaolangdiconstruction area, the resettlementcriteria and planningprinciples for the resettlementof Xiaolangdireservoir area are being perfected.Design for resettlementimplementation since 1994 has been performed on basis of the resettlement criteria and planningprinciples formulatedduring the assessmentof 1994, but followed by further research, great changeshave taken place in the compensationcriteria with changesof policiesand deepgoingof the design, whichhas now becomemore practicaland in conformity with the resettlers' wishes.

4.2. ResettlementCriteria and Compensation Measures

4.2.1 Resettlementcriteria: 17 resettlement criteria have been formulated by RPDI in accordancewith relevantChinese laws, regulationsand rules,policies regarding resettlement and on basisof summeryof lessonsand experiencefrom resettlementof other domesticreservoirs, as indicatedin table 4.1.

4.2.2 CompensationMeasures Inundationof large and medium-sizedhydroelectric project often resultsin impactson all kinds of population.Table 4.2 list the compensationmeasures to all sorts of populationwhen by RPDI when they budgetingfor the resettlementcost. In order to guaranteeeach householdto obtain reasonablecompensation, during the physical indices survey, the survey included property registration card for each household signed and sealed by the head of each household, resettlementchief, responsibleperson from the local governmentand village leader as well as persons in the design unit, and database for each household was established. Database of resettlementcompensation has beendeveloped by RPDI and propertycompensation card for each householdcan be printed. Consideringthat most resettlementis implementedin administrative village, the compensationfunds for each householdshould be transferredto: a: host area. (for land acquisition); b: the householddirectly for house construction,move and compensationfor propertyloss (with cash);

C: local responsibleagencies who on behalf of the relocateesassign some resettlement works to others on basis of contracts.(houseconstruction, for rehabilitationof pubic facilities as transport, medicalcare, culture and education, specialfacilities as highway,power. broadcastand communication);

Page 19 d: resettlement villages ( for production development); e: industries and mines (for move and change of production lines.

4.3 Resettlement Guiding Ideology and Planning Principles

4.3.1 Resettlement Guiding Ideology

In accordance with the Regulations on Compensation for Land Requisition and Resettlement of the Large and Medium-sized Hydropower Projects issued by the State, the actual conditions of counties and medium and long term development planning, the resettlement guideline is defined as taking the interests of the state, the collective and the individual into account, following the principle of the development resettlement. By means of carrying out the policy of compensation in the early stage, and support in the later stage, the rural resettlement is based on the land-based agriculture, follows the multiple aspects development in agriculture, forestry and husbandry on the basis of the land so as to gradually form the multivariant production structure and the complex resettlement in multiple channels and also to make the relocatees go in for farming and the labors play their roles and to improve relocatees' income.

4.3.2 Principles for Resettlement Planning

(a) The main principle of XID resettement is to carry out agricultural resettlement for most of the inundation-affected population as many as possible. The host area whose residents are willing to share the land with the relocatees will be selected on the premise of that relocatees' and host residents' incomes will not be affected. Meanwhile, in order to minirnize the impact on the relocatee's living practice, the new residential sites should be firstly selected within the village/town, secondly within the county and then outside counties.

(b) To strictly follow the policies and principles, specifications and stipulations issued by the State on reservoir inundation treatment and resettlement to prepare the resettlement planning in line with the Outline of the Reservoir Inundation Treatment and Resettlement Implementation Design for the XLD Multipurpose Dam Project on the Yellow River;

(c) To analyze and verify the resettlement programs proposed by the counties and optimize and decide the rural resettlement programs for villages submitted by the counties to work out detailed planning and design on the basis of the approved inundation-affected physical indices recheck results in the reservoir area in 1994 and the state-approved overall resettlement program in the preliminary design;

(d) To insist on the principles of being responsible for the country, resettlement, seeking the truth from facts and keeping conformity with the related policies, to combine the resettlement closely with resources development, environmental protection. social and economic development planning with putting the resettlement into the local economy development planning so as to accelerate the local economy development. to correctly handle the relationship between the

Page 20 individual,collective, local authorityand the state;

(e) For the rural resettlement,to focus on the land-basedagriculture with the basis of the' land, on the basis of optimizingthe plantingplanning, to fully play the advantagesof the local resourcesto developthe forestryand fruits, aquaculture,town and village run enterprisesand conduct resettlementin variouschannels, industriesand models, to economicallyanalyze and verify the program of the relocatees' productionmeasures so as to restore and surpass their previousliving levelafter resettlement.

(f) Accordingto the national policies, to transfer the official staff's dependentswho are contractualand temporaryworkers into nonagriculturalones if they agree and the units are willing to receive them so as to reduce the agriculturalresettlement pressure, but the related agreementsmust be signed.

(g) To minimizethe impacton the hostresidents and to make up their lossescaused by the land allocation by way of proper economic compensation and making the production developmentmeasures.

(h) To conduct necessaryeconomic analysis and verificationon the industrialand mineral enterpriseswhich actively ask for acceptingthe relocateesto selectthe better ones to resettlethe relocatees,which shouldhave reliable fund sources, labor concentrationand good benefits, the ones whichare enlargedor newlybuilt shouldhave the written informnationabove the level of feasiblereports or the reviewedand approveddocuments by the competentauthorities.

(i) For all planned items related to resettlement,to take the environmentalimpact into considerationand pay attentionto the environmentalconstruction of the host area, work out the clearing methodsand implementationplan for the pollutionsources in the inundatedarea in the light of the requirements of reservoir clearance and diseases control and combine the developmentwith trainingclosely in making the relocationand productionmeasures planning for towns, residentialsites and industrialand mineral enterprises in conformitywith the lawsand regulationson forestry, water and soil conservation,river channelmanagement so as to cause the ecologyand environmentin the host area to develop in virtuouscircle.

4.3.3 The details of resettlementplanning guideline are includedas follows:

(a) to resettle in similarliving style (i) 100% nonagriculturalpopulation remain unchanged (ii) If possible, the agriculturalpopulation remain changed,otherwise, less than 20% of the agriculturalpopulation can be transferredinto nonagriculturalones (withinthe counties).

(b) to improvethe affectedpopulation's and host residents' living levels to a certain extent (10%) (i) The income differencebetween the residentsin various villagesand in the host area is not more than 25 % (accordingto the planning).otherwise the incomeof the low-income

Page 21 people should be improved accordingly. (ii) The population who share land with the relocatees can make up the income losses by way of intensive farming. The specific methods are as follows: to develop irrigation to plant crops with high economic value to improve soil quality to develop orchards and a diversified economy. (iii) The land per capita of agricultural resettlement: -- is more than 1.7 mu if all the land is rainfed is computed according to the proportion of 1:2 when some is irrigated land and some is rainfed land --- is more than 0.8mu if all of the land is irrigated (iv) The host villages should provide 5-15% of their land to the relocatees and obtain the compensation money (investment) to make up their income losses for the purpose of improving income levels.

(c) the long term economic activities not to be impacted by the environmental capacity in the host area (i) Generally speaking, the land per capita of every village should not be less than 0.8mu (irrigated land), otherwise the nonagricultural resettlement can be conducted to settle this condition. (ii) There are three methods to meet this standard: -- to change much waste land into farmland to find living means beyond the agriculture =-- to transfer the people to the places with low population density (iii) The land per capita of every village selected as host village should be higher than the average level of the county and still be not less than that average level and every relocatee should have the land not less than 0.8 mu (irrigated land).

(d) to resettle the relocatees in the vicinity of the previous residential areas (i) The order of the new residential sites selection is as follows: -- within villages -- neighboring villages within towns other villages within towns neighboring towns other towns within county

-- specially planned host areas outside county with a short distance (ii) The sites selection should be in conformity with above (c). (iii) to increase the people employed in nonagricultural sectors in order to resettle the relocatees nearby.

(e) to relocate the relocatees in village groups (natural villages) so as to reduce the loose of the social structure (i) The whole village group should be resettled in one village or near villages. In most

Page 22 cases, one new village is to be built; (ii) The relocated villages should be resettled in the collective way; if scattered, they should be in the neighboring villages or near villages; (iii) The administrative staff should be relocated to the new village to keep the togetherness.

(iv) exceptional cases of above principles: --- nonagricultural population who must live in other places (such as factory); ---- some people who are transferred from the agricultural registrations into nonagricultural ones and employed ( in factory, mineral and commercial sectors, etc.); ---- few families who have relatives in other places within the county where there are a lot of land or employment chances.

(f) the employment standards met by the people who are transferred from the agricultural registrations into nonagricultural ones. (i) above the education level of junior middle school (for industrial employment) (ii) between 16-35 years (iii) healthy in the mental and physical aspects (iv) if married, their spouses should have the similar qualities, so both of them can ask for transferring agricultural registrations into nonagricultural ones at same time (v) separating oneself from the agricultural on a voluntary basis (vi) if having the similar work experience and special skill, they can go in for one similar professional work (not be in conformity with f(i) and (ii))

(g) not to repeat the activities without bright future or with backwardness (i) to replace and innovate the backward technologies in the modernized way so as to reach the modernized economical and environmental standards (e.g. cement plant, fertilizer plant); (ii) to give up those activities without competitive (e.g. coal exploitation, brick plant with bad quality and crops with lower quality and lower price), to develop the activities with bright future;

(h) to provide every family with sufficient land for agricultural and nonagricultural resettlement to ensure self-sufficiency in grain and livelihood.

4.3.4 Methods of Formulating Production Measures Planning for the Rural Resettlement.

The methods are stated as follows:

to analyze and count the resettlement population, labor forces and their qualities on the basis of the investigation in 1994 and the counties' statistics and census as well as the confirmed recheck results in 1994;

to investigate and study the local resources, social and economic status, development

Page 23 potentials and resettlement modes in the light of local government suggestions; to select the host areas and investigate their various social and economic status; to study the production measures, including amount of adjusted land, soil quality analysis, the need to optimize planting and make nonagricultural production measures; to analyze the living standards in relocated and host areas; to perform the feasibility study on resettlement modes.

Page 24 Appendix A

Reservoir Inundation Impact

Page 25

______Table Relocated Population 11ow. _____ Administirative Water Level Inundation Affected PhaseIf &lII 'Annual lotd PopulationPgeren ;Annualelcted Pplation (People) Toal Po-pulati(on Regionit _ P__u__i_n 194__194 199511Mg6192012000 2010 2011 Regions84 Population(1994) - -~~~~~~~~~~ 199 971199819 20L21 2011 195 1996 1997 99 99 20 200 01 in Planning BaseYear

llclowI3l. Isom 24200 0 0 0 0 0. & 0 0 0 0 23026 0 0 0 0 0 0 25026 Total in 180 265M4 123619 107239 0 0 0 0 0 0 0 0N 0 16981 20647 28904 31602 33100 0 0 131235 Reservolir 265-275M4 20671 19832 0 0 0 o 0 0 87?0 0 104 0 680 11035 12088 24771

Area ofr'icialWorkers 7101 4486 0 0 0 0 0 0 0 2639 0 0 0 3948 0 514 7101 ______Total 175591 131533 0 0 0 0 0 00436 267 2DS362378 105 162193 BelowFLI80m 24200 0 0 0 0 0 0 0 0 0 0 25026 0 0 0 0 0 0 25026

Hienan Proivince 11(0-265M 91871 75491 - - I 16981 14891 1821 22780 41_2____974_

265 275M4 15106 14267 0 0 0 0 0 0 0 0 0 870 0 0 0 680 7813 8652 MM01 Official Workers 5017 2402 0 0 0 0 0 0 0 0 0 2615 0 1 0 0 1912 0 490 s0il

______Total 136194 92160 0 45492 14891 18621 22780 26774 7813 9142 145312 Below El18.I8to491 to1010111

JiyuanCity 180-265M 20311 16571 20 20 30 30 3873 3222 4543 4930 4978 0 0 21546 265 275M4 2165 150.3 s0 50 687 891 900 2478 OlTicialWorkers 972 761 0 0 0 0 0 0 0 0 0 211 0 0 0 624 0 137 972

______Touta 31939 18835 13488 3222 4543 4930 5602 1191 1037 33712

Below El.I.80m 2467 __ 100 2558 2558 Mengjin County 180 26584 6196 3818i 20 20 30 30 2466 647 1472 990 1000 0 0 6575 265 275M4 2802 2733 50 50 71 1620 1636 3327- OfficialWorkers 629 0 0 0 0 0 0 0 0 0 0 629 0 0 0 0 0 0 629

______Total 12094 6551 5724 647 t472 99(1 1000 1620 1636 13099 BelowEl I Om 13242 100 13750 0 0 0 0 0 0 13750 Xinasn I 80 265M 54839 44577 20 20 30 30 10642 8959 998 13705 14836 0 0 58121 county 265-275M4 7364 7256 s0 50 112, 0 0 0 0 4032 4833 8977 Official Woirkers 1620 1538 0 0 0 0 0 0 0 0 0 82 0 0 0 1251 0 271620 Total 77065 53371 24586 8959 9986 13705 16087 4032 5120 82475 1810265M4 10356 10356 20 I 20 30 130 2063 12621 3155 3187 0 0 11026 Mianchi 265 275M4 2142 2142 50 50 1270 1282 2552 Covunty Official Workers 103 103 0 0 0 0 0 0 0 0 0 0 0 0 0 37 0 66 103 Total 12601 12601 2063 2621 3155 3224 127 1348 13681l

______~18026584 169 169 0 0 0 182 0 0 1821 .______Table Relocated Population Flow Administrsive Water Level IntundationAfrected Phiae If &3I3 Atmual Relcated d PamPnercen Anmal Relocted bpu.(peole Tal Ppulit Regituies M Populetion-(399) (1994) I99 I9M 1997 I399t 1999 2000 2010 2011 199 IM9 I99 1998 1999 2000 2010 2011 a*Planning ban Yeef Shanxian 265 275M 633 633 _00 0 0 680 0 0 680

Total______302 #02 0 0 0 362 0 0 862 Fourth Prisan cblowEl'.180m 1693 1693 1693 110 263M 31743. 31745 0 0 O O O 0 0 0 0 0 5756 10253 6823 3918 0 0 33730 Shenxi 265 275M 5565 5565 0 104 0 0 3222 3436 6763 Officail Wokers 2034 2084 0 0 0 0 0 0 a 0 0 24 0 2036 24 20M Total 39397 39373 24 5756 10337 #1123 10954 3222 3460 42627 1#0 265M 30834 30834 _ 20 20 30 30 5756 9322 8823 8913 0 0 32819 Yusnqu 265 275M 4961 4961 50 SO 2859 3195 6055 olTcial Worker 199# 1974 0 0 0 0 0 0 0 0 0 24 0 0 0 1950 0 24 199# r_otl 37793 37769 24 5756 9322 U23 10365 2359 3219 40371 1#0 265M 482 482 100 507 507 Pinyhu 2652753M 5005 5W5 0 0 363 241 604 Orncial Workerc #6 8t6 0 0 0 0 0 0 0 0 0 0 0 0 0 #6 0 0 #6 Total 1073 1073 _ 0 507 0 86 363 241 1197 10 265M 432 432 0 0 0 0 0 454 0 0 0 0 454 Xiaxian 265 275M 99 99 0 0 104 0 O 104 Total 531 531 . .5 0 0 0 0 553 Table A.2 Areas of Land Impact

Type of land Total in the area Percentage Percentage

Total 416823 100

A Cultivated land 200745 48.2 100

1.lrrigated land 90591 45.1

2.Dry land 89285 44.5

3.Flood land 14617 7.3

4.Vegetable field 6252 3.1

B Garden 26408 100

a.Orchard 26330 6.3 99.7

b.other garden 78 0.3

C Forests 32887 100

a. Timber forest 24713 7.9 75.1

I.Grown 13612

2.Young 1_ ___ b.Fuel forest 4065 12.4

c.Economic forests. 2578 7.8

d.Nursery of young plants 1531 4.7

D Ponds 1067 100

Fish ponds 722 0.3 67.7

Reedponds 345 32.2

E Grazing land 23364 5.6

F Wastedhills and slopes 48409 11.6

G Land occupiedby Village 28035 6.7

H Site 4807 1.2

Other uses of land 9318 2.2

J Water area 41515 10.0

Page 27 Table A.3 Areas of All Kinds of Rural Houses Inundated in 1994

Description Unit Total In Henan In Shanxi I.Areaof mainhouscs m: 5761435 4368139 1393296

Area per capita m 35.9 34.6 41.0 Prefabricatedhouses 13.4 14.4 10.1 Brick and wood houses % 9.0 8.1 11.7 High brick houses % 6.7 1.2 23.8 Earthand wood houses % 6.0 5.9 6.1 High earth houses % 2.4 1.6 5.0 Brick and stone kilns % 27.8 33.6 9.4 Earth kins 24.5 27.0 16.7 Mixed houses % 10.2 8.1 17.2 2. Area of secondary n2 1110363 850936 259427 house Area per capia m: 6.9 6.7 7.6 3.Tool area of Kilns m2 6871798 5219075 1652723 Area per capita m2 43 41 49 Houses % 55.0 63.0 29.6 Kilns %_ 55.0 63.0 29.6 Popuation to live in the Nos 160308 1263409 33959 |rual houses

Page 28 Table A.4 Industries and Mines Affected by Inundation of Xiaolangdi Reservoir

Adminisirative Nos of enterprises Nos of staff and workers districts Total Industries Mines Total Industries Mines

Total 787 247 547 54499 12190 42309

Henan province 669 191 478 47326 8915 38411

Jiyuan city 191 23 168 4662 533 4129

Mengin 29 9 20 2274 39303 7781

Xin'an 118 140 278 39303 7781 32522

Mianchi 30 19 11 967 445 522

Shanxian 1 1 120 120

Total in Shanxi 118 56 62 7173 3275 3898 province

Yuanqu 105 54 62 7173 3275 3898

Xiaxian

Pinglu 13 2 l l 653 33 620

Page 29 Table A.5 Inundation Affected Infrastructure

______Items Total in Reservo Hena Jivu Imenri iXin, Mianch Shanxia Shanx YYuaniuXiaxian Pinqlu I Roads Total Nos. No . 167 136 42 11 53 24 6 31 25 1 5 Length KM 1022.4 855 174 72.8 480 111 16.5 168 141 3 24.4 County LeveX NOa. No. 18 17 7 0 4 .6 0 1 1 0 0 Lenqth Km 190.2. 157 30 0 74 53 0 32.9 32.9 0 0 Coutny-Xiang Lenqtt No. 17 13 8 1 2 2 0 4 2 0 2 _Lenqth Km 136.8 97 63 6 10 18 0 39.6 27.6 0 12 Village Leve Nos.No. 132 106 27 10 47 16 6 26 22 1 3

_Lenqt Km 695.4 600 81 66.8 396 40 16.5 95.4 80 3 12.4 II Power 35kv transformer NO. 4 3 1 0 2 0 0 1 1 0 0 Facilities 35kv lines Km 49.6 42 15 0 27 0 0 7.3 7.3 0 0 10kv lines |Nos.No. 226 186 20 10 137 16 3 40 35 1 4 _Length Km 867.7 696 71 68 441 109 7.5 172 150 5 17 Low-voltage line Km 1502 350 168 114 010 57 5 149 123 8 18 III Communic county-xiang Nos. No. 26 19 7 1 8 1 2 7 6 0 1 Facilities _ Length Km 219 177 20 16 93 18 30 42 36 0 6 village line Nos.N. e81 63 31 10 9 12 1 18 13 2 3 Lenqth Km 453.4 394 79 82 109 114 10 59.4 50.4 5 4 Overhead Cable Km 43.2 43 40 0 2.2 1 0 0 0 0 0 Embeded Cable Km 62 32 0 24 0 8 0 30 30 0 0 IV Broatcast Broadcastinq Aienci NO. 12 8 1 1 5 1 0 4 4 0 county-xiang Nos. No. 16 10 4 1 4 1 0 6 6 0 0 Lenqt Km 179.5 139 7.5 16 65 50 0 41 41 0 0 Village Line Nos. No. 177 135 36 12 55 24 8 42 39 2 1

Lenct__ Km 713.06 613 88 82 252 170 21.06 100 85 5 10 V Relav Station No. 13 9 1 1 5 2 0 4 4 0 0 Table A.6 Facilities of Culture, Education, and Health Affected by Inundation

|hItemns | Education Health Cullume

Middle Pnmary Training Hospial Clinic Health Cinema Libary Cultural school school center station station

Total in 25 161 1 14 185 15 15 2 160 the resctvoir area

Henan 19 114 8 133 8 9 1 119 provmce

Jiyuancity 13 31 1 39 I 1 1 39

Mengjpn 6 13 I 24 - I 2 13

Xin'an 5 52 5 52 5 5 50

Mianchi 6 14 I 13 I 1 13

Shanxian 2 4 5 4

Total of 47 I 6 52 7 6 1 41 Shanxi province

Yuanqu 6 41 I 6 45 7 6 1 38

Xiaxian 6 1 1

Pinghk 5 6 3

Page 31 5. Resettlement of the Construction Area

Resettlement of the construction area began with the preparation works of XLD project, including two component: move for land requisition for the works and launching a pilot project of XLD village resettlement, simultaneously, plan for construction land use and resettlement was made. In may 1992, after review and approval of Report on Plan of Construction land Use and Resettlementin the PreliminaryDesign Stage of XLD MultipurposeDam Projectprepared and submitted to MWR, RPDI made further design for resettlement implementation and after two year's efforts, resettlement of construction area finished basically in 1994.

5.1 Resettlement Planning For the Construction Area

The construction area covers dam area as well as accesses on southern and northern banks, involving 10574 persons, of which 9932 lived in the dam area, 295 persons in the access areas, 347 persons in Liuzhuang railway station and the villages are responsible for solve difficulties of 3683 affected persons in production and livelihood development after they had been compensated for the land use.

12 villages, with total affected population of 8418 persons, in the dam area are involved in resettlement, 6618 person have been resettled in 12 villages, now 21 residential sites have been put up, except for some of the resettlers in XLD village, Shimen and Qinghe in Mengjin and Liaowu villge in Jiyuan city who were resettled within county, the rest were resettled backward in their villages. Land base agriculture is the main direction for resettlement, the resettlers can have I mu of cultivated land after land adjustment and allocation in the neighboring village. 27 pumped wells have been dug, 1 water-lift station been set up, thus 0.43 mu irrigated land per capita can be developed. Besides, there are 2106 non agricultural persons, they are workers who came to factories when new workers were enrolled, workers on basis of contract who have become official workers, workers who are employed in the third industries, in access maintenance squads, relatives of official staff whose registrations are transferred to non agriculture registrations.

The resettlers in access area and Liuzhuang railway station are all arranged by their village for production (by land adjustment) except for 293 resettlers in Madong village who have moved to a new residential site.

Details about construction land use for XLD project and report on resettlement implementation plan was included in Resettlement, Appendix 1, Part II in Vol. IX of Brief Reporton XLD project and submitted to the world bank by CIPM, so it is not necessary to give further description here.

5.2 Implementation of Construction Area Resettlement:

5.2.1 Resettlement: from 1992 when XLD village was set up as a pilot resettlement village to April 1994, totally 12 new resettlement residential sites have been put up, including 6 in Mengjin county: Xioalangdi, Shimen, Shiyuanpo, Liuzhuang, Qinghe and Heqing, 6 villages in

Page 32 Jiyuan city: Tongshuling, Qiaogou, Liaowu, Qiaogou, Shuangtang and Liandi, Madong village in Jili district of Luoyang city. 29600m' new houses have been put up for the resenlers, infrastructure as water, power supply, roads, communication and broadcast, etc have been completed.2315 households have moved into new houses, and with 8500 mu land, allocated, the resettlers have 1 mu cultivated land per capita. Besides, 963 resettlers are employed in 12 county/city run enterprises in Mengjin and Jiyuan, 31 enterprises have been initiated in the new resettlement villages and 408 labours been employed. See table 5-1. Except for 38 resettlers in Dayu township in Jiyuan city who were incorporated in Phase I reservoir resettlement, the construction area resettlement has now been completed.

5.2.2 Incomes of Construction Area Resettlers

Sampling survey for 82 resettled households in the dam area was conducted in 1995 by YRWHDC for making sure the changes of family incomes before and after resettlement. Before resettlement, annual net income per capita is 485.8 yaun and 1014.3 yuan respectively before and after resettlement. Base on income levels, they can be grouped as follows:

Income level Before Resettlement after resettlement

less than 300 Yuan 35 households (42.7%) 19 households (23.2%) 300---500 yuan 20 households (24%) 11 households (13.4%0 500 ---800 yuan 16 households (19.5%) 15 households (18.3%0 800---1000 yuan 3 households (3.7%) 10 households (12.2%0 More than 1000 yuan 8 households (9.8%) 27 households (32.9%0

In the composition of resettlement economic incomes, before resettlement, agricultural incomes accounted for 48.4%, part time jobs for 39.4%, sideline activities for 16,5; after resettlement in 1995 agricultural incomes for 15.3, part time job for 68.4% and sideline activities for 16.5%. It is demonstrated that after resettlement employment opportunities can be provided at the site, thus incomes from part time job have become major component of incomes.

5.2.3 Funds Allocation for Construction Area Resettlement

Cost for construction area resettlement was estimated to be 144.77 million yuan (reviewed and verified by MWR, 1992), Henan province and MWR has reaches agreement that 143 million yuan be provided by Henan province and all the funds were allocated at the beginning of 1994, of which 20.5667 million yuan were put into construction of accesses on southern and northern banks as well as Liuzhuang railway station. Additional 50 million yuan were allocated by MWR in the fourth quarter of 1994 as advance payment for budget adjustment because of price changes in the construction area in recent years.

5.2.4 Summery of Construction Area Resettlement

A. After resettlement, measures for production and livelihood rehabilitation have been put

Page 33 into effect basically, living conditions and environment have been improved obviously. The resettlers have 1 mu cropping land per capita, and house of 42.8 m2 per capita. Power supply and tap water facilities are complete in each village, schools and kindergartens have been put up.

B. Because most of the reservoir area resettlers are resettled backward near the dam site, some can take part time jobs to increase their incomes and thus they ignore agriculture production, which has caused attentions of relevant authorities.

C. Construction Area Resenlement: because the resettlers here are not willing to leave the dam area, and the land capacity is limited, 1 mu per capita is not enough. Beside the output of the existing cultivated land, development of enterprises in the resettlement villages is very important means to increase the resettlers' incomes. Up to now, 31 enterprises have been initiated, of which only 1/3 are in comparatively better economic conditions. Table 5-1 shows the details. In general, management for enterprises in resettlement village and training must be strengthened thus all the enterprises can have economic benefits.

D. Shiyuanpo and Liuzhuang in Mengjin county were resettled backward, it was planned to change the earth material area back to cultivated land, and in this way, the resettlers can have 1.48 and 1.25 mu land per capita respectively in the two villages. But in fact, XLD project will last 7-8 years, with the earth materials area occupied, the resettlers in the two villages can only have 0.7 and 0.4 mu per capita respectively, which is all dry land and can not yield enough grains. At present subsidies are provided to make up grain shortage for some resettlers, and series of measures have been taken by county resettlement offices and RPDI to solve the problem, such as changing gullies and land occupied by old houses into new cultivated land, development of village run enterprises, sending labours to the site. The optimized program has not determined because the resettlers have different opinions. Further efforts should be made to implement better resettlement for the two villages.

Page 34 Table 5-1 DamsiteResefflement-VIllage Owned Enterprises

Counties Village Item Enterprises Operation Investment(10000 yuan) Workers Operation (Cities) Time Total ForResettlement Total Relocatces Status

_I PeanutProcessing Plant Jan-93 115 85 _ bad Liandi 2 CommnerialBuilding 30 20 _ sold Jiyuan 3 XitanBreeding Plant Mar-95 41.3 29.3 3 well Liaowu 4 AgriculturalTrades (Vegetables) Dec-94 40 26 well Qiaogou 5 BuildingStone Proceeding Plant Feb-93 3 1.2 well Tongshuling 6 E3rickMaking Plant Jun-93 28 28 bad Liuzhuang 7 FlourMill 280 100 UnderConstruction Potou S EdibleOil Plant 1600 500 UnderConstruction l_otal 789.5 l XLDSteel Rolling Mill Jul-93 500 300 90 40 better 2 XLDSteel Plate Plant Dec-94 150 50 40 20 bad 3 XLDLeather Factory 1991 4.51 3 13 10 well Mengjin XLD 4 XLDVehicles Repair Factory May-95 70(by Steel Rolling Mill) 35 20 better 5 XLDForging Facory May-95 71(by Steel Rolling Mill) 55 18 vell 6 XLDScorpion Raising Farm Mar.95 L 15 6 3 well 7 XLDMechanized Engineering Co. 1991 to beinvested, cooperative 60 20 well a XLDEngineering Comnany to beinvested 6 6 well 9 Semi-axisPlant of Shengwang Jan-92 86 86 64 better Siyuanpo VehiclesSpare Parts Bloc 10 GearsPlant of Shengwang Apr-94 71 71 116 20 better VehiclesSpare Parts Bloc 153 153 l ChassisPlant of Shengwang Apr-94 20 well VehiclesSpare Parts Bloc Shimen 12 SteamingPrecast Slab Plant Aug-94 25 25 well 13 HengxiangSuperhard Materials Co. 70 70 UnderConstruction Liuzhuang 14 ZhongwangMachinery Factory Jun-92 54 50 _16 well 15 SteelSpring Plate Factory Mar-94 72 60 21 better 16 JinlongFurniture Plant May-94 25 21 17 better 17 PigRaising Farm Jan-94 27 25 14 better Heqing 18 PrecastSlab Plant Jul-92 25 25 32 better 19 VehiclesSpare Parts Plant Aug-93 1I 1S II better 20 MechanizedBrick Plant Jul-91 20 IS 20 well 21 TongTree Pegboard Plant Dec-93 _ 38 30 = 22 well Qinghe 22 PrecastSlab Plant May-94 25 25 14 better 23 CommemialFoundry Jul-94 55 50 well Total I 1089 408 36 6. Revised Resettlement ImplementationPlans

6.1 Process of the Revision

The period of the preliminarydesign for XLD resettlementimplementation plan is from 1986 to 1991, and the plan was reviewedand approvedby and MWR, SPC in 1992. In 1993 at the time of the appraisalby the world bank, due to variousreasons, it was not possibleto finalize the detailedimplementation plan. So the appraisalwas basedon the preliminaryplan. Resurvey result in 1993indicates that comparedwith the preliminaryplan great changesof the background values(such as numberof resettlers,living standard, etc.)existed, thus from 1995, organizedby YRWHDCand controlledtechnically by RPDI and with the local governmentas the main participants plans have been optimized, especially site selection, on basis of the report of preliminary design and the world bank's appraisal report, and the design for resettlement implementationin technicalconstruction period have been made.

6.2 Phasing and Schedule for ResettlementPlans

During the project construction,resettlement is implementedin 4 phases. Phase I involves constructionarea resettlementfrom 1992 to 1994; Phase II involves Phase I reservoir area resettlement(El. 180 and the affected) from 1994 to 1996, Phase HI refers to Phase II resettlementin the reservoirarea (El.180--265m), whichis planned to finish in 1997---2000, Phase IV refersto PhaseIII resetdementof the reservoir(EI.265--275mand the effected),which was planned to finish in 2010-2011. Now pursuant to the direction of SPC, it must be completedin 2000-2003. In order to keep the continuance,descriptions in this report are still given on basis of the originalplan. See table B.6 and Figure B.1 6.3 Phase I Reservoir Area ResettlementPlans

6.3.1 Resettlementtasks: Phase I resettlementrefers to resettlementbelow El. 180, involving Mengjin,Jiyuan and Xin'an in Henan province. In plan base year (1994), 26155 people were affecteddirectly by inundation.In view that communicationand power may be broken off by inundation,people at El 180m--275m were also moved and resettled in village, in fact, Phase I stageresettement actually involved 27 administrativevillages in 7 townshipin 3 counties(city) and 48200 mu land includingI locationof townshipgovernment will be inundated.The total population in plan base year is 44590 persons, of which 40442 are agricultural, 416 are inhabitantsin town, 1450 in mains and industries,90 in the institutionsnot controlledby the township.At the end of plan base year(1996),there are 46133 people totally, with agricultural populationof 40442 personsand populationof 451 inhabitantsin town, and numbersof other populationremains unchanged.

There are more resettlersin Xin'an county, whichexceeds the land capacityof the county.and they can not all be resettledwithin the county, so 10940here movedto Yima city, Wcngmentan and Yuanyangcounty downstreamof the YellowRiver. Table5.1 showsthe plan. Resettlersin Mengjinand Jiyuancity are resettledwithin the county or city.

Page 36 6.3.2 Implementation Plan for Xin'an County

In plan base year there are 131030 resettlers in 4181 households (in the rural area), 14 residential sites are planned to build, New site for Xiwo township as well as 3 institutions not under control of township will be reconstructed.

12991 agricultural people in Xin'an county were resettled within the county and 85.2% of the labours were engaged in land based agriculture, 6.6% of the resettlers (863 persons) and 3.5% of the labours(225 persons) were resettled by means of transferring their agricultural registrations to no agricultural registrations(just for the relatives of state official staff)6.2% (800 persons) of the resettlers and 12.3% of the labours(800 persons) were resettled by transferring the workers on basis of contract and temporary workers into official workers, see Table B. I and B.2.

6.3.2.2 Plan for Agriculture Rehabilitation

13524 mu original land has been allocated to the relocatees engaged in land based agriculture, 1.19 mu per capita. Agricultural measures, including farm works construction (developing slopes into terrace, land preparation, soil improvement, etc), hydraulic works construction(pumped wells, water-lifting station and Duajiagou reservoir) as well as planting structure optimization have been put into effect to improve capability of productive forces. Based on the above mentioned measures, the resettlers could have 0.4 mu irrigated land after resettlement, see Table B.3 for the details.

Based on amount of land allocated to the resettlers and calculation by linear planning model, there are 2646 labours spared, accounting for 41 % of the resettlers engaged in land based agriculture, who have been engaged in development of forestry and orchards(apple and pomegranate trees), green houses for vegetable growing, aquaculture(beef cattle and chicken) as well as other village run enterprises. See Table B.4.

6.3.2.3 Resettlement of Mines and Industries

147 mines and industries are affected by Phase I reservoir inundation of which 77 village run enterprises and personal enterprise were resettled outside county. Measures for the inundated enterprises were determined with reference to opinions of local government, enterprises and the market conditions, including enterprise reconstruction, change of enterprise production line (or combination of enterprises), cancel of enterprise. 13 of 70 enterprises in Xin'an county have been reconstructed, 47 have changed their production lines and 10 been canceled. Most of the canceled enterprises were small personal mines with few temporary workers, which may not cause difficulties for their livelihood. Compensation for all the mines and industries were based on physical inundated items. See table B.5.

6.3.3 Implementation plan for Jiyuan city

Page 37 6.3.3.1 Physical Resettlement

In the plan base year. there are 13277 resettlers in 3743 households, 19 new residential sites have been put up. There are 13012 agricultural resettlers, of which 5654 are labours. In the plan there are 12635 resettlers who will be engaged in land based agriculture (accounting for 97.1%),5460 labours(accounting for 96.6%), 129 resettlers and 55 labors whose agricultural registration have been transferred to non agricultural registrations(just for relatives of official staff), representing for 1%. Only 248 persons and 139 labours will find jobs themselves or depend on their relatives, only accounting for 1.9%.See table B.2 and table B.1 and B.2.

Page 38 Table 6-1 Summery of Phase I Reservoir Area Resettlement Plan(rural area)

11.k Tool MoojO. J129o shy XW.....m

Tool WOI... .ov (M¶4k 140*Y s.0 ______S.i.4.oola m51,0.1.. i. 1(92.191 - 1 1 YYoo.~~~~~~~~~~~~~~~~~~~.&U

l.,ssI.I h..s i -uj,. N.- .il 0d. N.. 12 t7 21 5 t 1747 716 41t1 3375 t 14D 2.J 1714

6 . IVl kd N.. 4242.1 09 1M 11277 2A0.1 1 010 11021 461* L16 49

N,w0 .Jowl 4. N.. 4 7 I9 is 14 4 2 I

FluhatlknlahJ41gFlb n FP,TwA..i Ns 194D 49 1|1 r'5l3 IMtWt 4. 49*1>

Ii,..,, N-. 193I t21W5 .6h4 11.16 605 4t.10 tO1 30' 2414

5.6- ...- - W.1. Is.soW. ... N'. 11921 4505 2631 16702 11321 547 4190 5816

I.._ N. 15123 2160 1W0 7997 s.o 1 2416 20DJI.1I

I 1~I..1O,9 l m Pg,... t a kw w 3177044 6148 121206 19417 13524 191t 5 4*4 a 916 130

an.lMw4.J = w 17076 9913 121206 1h9021 1124 94191 0I 916 = ID

Amo &d.spi 6_ d kw o 242_114 2192 1210.06 9W7D 4111 5254 4W06 *56 I )

C.11tW L.iM WI 11.4. I at I 112 096 U I9I e 1.19 1I01 0 96 1 07

._nMW 11 pC,-Pa.wlg. q.*4 0.77 0 60 0.96 0.64 0 44 1.06 105 1 07

2 F..-,. d .sh1d) Aft. .4 .-eh ow 10101 902 151215 M8I 2_0 2t9 29

1Uk0 _0.43. M4h. 152 1079 194 154 40 40

Ar-. n 2077. 1777.1 .1 .1(01

LI.* .qWJ N. 2240 160 Mo JOD

4 Aq.o...h. Kinb 4 llw.. am j..*y Pig .6hkk. Pi.g (tk1,n. 6.t Frh DI..k I1

Lih.- .. g.p N,. 594 A 152 %1 114 47 12 Is

1N.. * V.11.0 .mgl ¢-..q.l.. N.. 47 9 9 29 22 7 4 I

U.- . qlWJ NM. 1370 615 461 2291 1474 411 !11 12

n..n ._oy ..... r N. N.. 3 J

IJ*.. eoqol+J N.. 549 _4 149 .U9 1 h,46..I 54060.406... z l .i m lis-.. 00 t..Oo 1.I 1Lr W a n n ! rhNi ulk d.-.... is.h.. .oho n .4lgrik4 ntI1 n.b.

Page 39 6.3.3 Resettlement Implementation in Jiyuan City

6.3.3.1 Physical Resettlement

In the plan base year, there are 13277 persons in 3747 households involved in resettlement. 19 residential sites are planned to build. There are 13012 agricultural resettlers, of which 5654 are labours. In the plan, 12635 resettlers (accounting for 97.1%), 5460 labours(accounting for 96.6%) are engaged in land-based agriculture, there are 129 resettlers, 55 labours whose agricultural registrations have transferred to no-agricultural ones(accounting for I %), there are ondy 246 resettlers, 139 labours who will depend on their relatives or find jobs themselves, accounting for 1.9%, see table B.1 and B.2.

6.3.3.2 Planning for Agricultural Production Reestablishment

The relocatees in Jiyuan city are to be resettled in the plain area near to the suburbs with allocated farmland of 12120.6mu (mostly irrigated land), 0.96 mu per capita. The agricultural productivity and irrigation guarantee are to be improved by developing well irrigation, small- sized pumping stations, gravity irrigation. After the planting structure mode is optimized, the 3546 surplus labors (62.7% of the total labors) are to be resettled by developing forestry and orchards (apples), green booth, aquaculture (pig and chicken raising) and (9) village run enterprises. See tables B.3 and B.4 for details.

6.3.3.3 Relocation and Construction of Industries and Mines

There are 74 industries and mines in Jiyuan inundated in Phase I, of which one is to be relocated, 44 enterprises are to be switched to other production or switched to other production due to incorporation, the others are to be set free. The workers in industries and mines are to be relocated with their enterprises, the free enterprises are the individual or individual jointly run small-sized coal mines and small-sized individual run enterprises whose workers are the seasonal temporary ones and are not to be resettled. See table B.6 for details.

6.3.4 Mengjin County Implementation Planning

6.3.4.1 Resettlement

There are 2 villages, 27 resident groups in Mengjin county to be inundated. In the planning base year, there are 1518 households (5095 people) to be resettled in 7 sites and 4997 relocatees (2395 labors) to be resettled in production. According to the plan, 90.2% of the relocatees (90.4% of the labors) are resettled in land-based agriculture; 7.4% (370 people) of the total relocatees (4.6% of the labors: 110 people) are to be transferred from agricultural registrations to nonagricultural ones as officials and their dependents: 2.4% (119 people) of the total (5% of the labors: 119 people) are the contractual and temporary workers of the state-run enterprises and are to be resettled in nonagriculture. See table B.1 and B.2 for details.

Page 40 6.3.4.2 Planing for Agricultural Production Rehabilitation

There are 6148mu farmland allocated for Mengjin county agricultural resettlement with 1.32 mu per capita. The agricultural productivity is to be improved by taking such measures as farmland works (terracing the slopes, land levelling, soil improvement), hydraulic works (pumped wells and embedded pipe irrigation) and planting structure optimization. 18 pumped wells are to be built, 2192 mu irrigated land is to be developed with 0.65mu per capita. The surplus 1299 labors (54.2% of the labors in landbased agriculture) are to be resettled in forestry and orchards, aquaculture (chicken and pig raising) and (9) village run enterprises to restore the relocatees' living standard. See tables B.3 and B.4 for details.

6.3.4.3 Switching to Other Production of Industries and Mines

There are 13 enterprises affected by Phase I inundation with 2218 workers, most of which are coal mines. According to the plan, 7 enterprises are to be switched to other production, 6 enterprises are to be relocated and constructed. Five-One Coal Mine run by Mengjin county is one of the larger mines in the XLD reservoir area with 1187 workers, of which 629 are regular workers, is to be switched into three enterprises: Yellow River special steel factory, Curved timber processing plant and ring rolled forge piece factory. The switched items are being carried out. See table B.5 for details.

-6.3.5 Resettlement Outside the County

6.3.5.1 Selection of the Host Areas

It is difficult to resettle the relocatees within the counties for Xin'an and Jiyuan counties (city) with a large number of relocatees, heavy rural population density and limited land capacity. During the preliminary design period, it was pointed out that 52545 people of these two counties would move outside the counties and be resettled according to two resettlement programs: one was to resettle in Wenmengtan and beneficiary counties along with the Yellow River (Yuanyang, Zhongmu and Kaifeng), the other in Yima city (back up one). The program of resettlement outside counties was optimized continuously after 1991. In 1994 Yima city, Yuanyang county and Mengxian county were decided as the host areas receiving 10940 people from Xin'an during Phase I resettlement in the reservoir area.

The selection of the host area and sites for the relocatees is decided on the basis of serious analysis and many verifications by county, municipal and provincial governments and competent authorities and environmental capacity analysis by YRCC. The decision on host area selection and resettlement program is placed the basis on the actual conditions of the host area. The impact upon the host villages is analyzed and verified and a series of measures are taken to present the willingness of the relocatees and the interests of the host residents. In general, the host area selection and decided resettlement program are feasible.

6.3.5.2 Wenmengtan River Channel Training and Resettlement

Page 41 The work of Wenmengtan river channel training and warping for soil improvement is the basis of the Wenmengtan resettlement in a central way, including two parts: river channel training and warping for soil improvement. The channel training is carried out by building spurs and protection dikes to specify river pattern and improve flood control standard and protect the host areas; the warping for soil improvement is to improve the soil in the host area so as to make the soil cultivated and provide the necessary means of production and livelihood to the relocatees. This area can provide 81000 mu land and receive 50000 people. Mengxian county, as one pilot of Wenmengtan resettlement, is to receive 4598 people (2031 labors) from Xin'an county who are to be resettled in higher flood plain of Wenmengtan to farm. The land per capita is 1.05mu. the productivity will be improved by means of warping for soil improvement, land levelling and well and channel irTigation.After resettlement, the irrigated land is to be 1 .OSmuper capita. The 832 surplus labors are to be resettled in forestry, orchard (apple), aquaculture (fish), (4) village- run enterprises and (3) county-run technically reformed and enlarged industries to rehabilitate previous living standard. See tables B.3 and B.4 for details.

6.3.5.3 Yuanyang County Resettlement

There are 856 relocatees (of which the 385 labors) from Huangpo village of Xin'an county to be resettled in Yuangyang county to work on land-based agriculture with 1.07 mu farmland per capita (all are irrigated land). The irrigation guarantee and relocatees' productivity level can be improved by way of developing well irrigation and gravity irrigation, improving planting structure (mainly rice). The 217 surplus rural labors are to be resettled in aquaculture (fishes and ducks) and village run enterprises. The industries and mines to be inundated will be switched to new village-run items. The production items have been carried out with the bright future.

6.3.5.4 Yima City Industrial Resettlement Planning

There are 5468 reloctees (of which 2414 labors) from Xin'an county to be resettled in Yima city as industrial (nonagricultural) resettlement. All of the labors are to be employed in 2 large-sized state run enterprises, 12 city run enterprises and 4 enterprises transferred from village run enterprises (4 enterprises transferred from 52 inundated industrial and mineral enterprises in Kuangkou village). The relocatees' residential quarters, service industry, building vegetable base and setting vegetable funds are planned to ensure the semi-able-bodied workers' employment; some measures are taken in social welfare and social security such as establishing endowment insurance funds, unemployment insurance funds, etc. to ensure the resettlement implementation to carry out smoothly.

6.4 Phase II and m Resettlement Planning for Reservoir Area

6.4.1 General in Implementation Planning

6.4.1.1 Main Tasks of the Resettlement

The total relocatees in Phase II and Phase III are 143181 in the planning base year, of which,

Page 42 Phase 11 118985 people (Henan 83066 people, Shanxi 35919 people), Phase III 23637 people (16955 people in Henan, 6682 people in Shanxi). The agricultural population of two phases is 127701 people in total, of which, 105741 people in Phase II and 21960 people in Phase III. There are 11 township sites to be relocated and constructed, of which 9 sites in Phase II (6 sites in Henan, 3 sites in Shanxi), 2 sites in Phase HI (one in Henan and Shanxi respectively). There are 554 industries and mines to be moved and constructed.

6.4.1.2 Implementation Planning Progress

The resettlement planning and design for Phase II and Phase III are under the way and to be finished in draft for counties by the end of April, 1997 and will be submitted to the MWR and SPC for review in June, 1997. Up to now, the overall planning program for 6 of 8 counties in the reservoir area, i.e. Yuanqu, Pinglu and Xiaxian counties in Shanxi province, Mengxian, Mianchi and Shanxian counties in Henan province has been finalized and the details of the planning and design for implementation stage are being conducted by the design institute of YRCC. The overall program for Xin'an county and Jiyuan city is still not finalized because of heavy resettlement task, limited environmental capacity and resettlement outside counties. Henan provincial government is actively engaged in this work.

6.4.2 Shanxi Provincial Implementation Planning

The overall resettlement planning for Shanxi province was entrusted to the design institute of YRCC to analyze, study and verify in September, 1995 and given suggestions and recommendations by the experts so as to make it more scientific and reasonable. The detailed planning and design is being carried out on the basis of the above. The relocatees of Pinglu and Xiaxian counties in Shanxi with a small resettlement task are to be resettled in the places near to counties or move back within the villages and also work on the farming. The attention is mainly paid to Yuanqu county below.

6.4.2.1 Resettlement

Because Yuanqu county in Shanxi province, the most heavily affected county among 8 counties in the reservoir area, with 21% of the agricultural population in the whole county, bears the heavy resettlement task with great difficulties, therefore, MWR has approved to rebuild the Houhe reservoir to expand the irrigation district so as to receive the relocatees. There are 34701 agricultural population in Yuanqu county in the planning base year to be settled, of which 45 % to be resettled in Houhe irrigation district, 33% to move back, 8% to be resettled in near Changgao area, 14% in Chengnan area. See table B.6 for details. There are 58 host sites for them.

6.4.2.2 Agricultural Production Rehabilitation

8266 labors in land based agricultural resettlement in Yuanqu county takes up 53.3% of the total labors. 39393 mu farmland are to be allocated with 1. 13mu per capita. After resettlement, the

Page 43 productivity is improved by taking such measures as terracing 2725mu slopes, accounting for 69.2% of the production land, building 29 wells and 26 pumped stations, using the irrigated land (13049mu) in Houhe irrigation district so as to make the irrigated land per capita reach 0.67mu, constructing 1203mu green booth with energy reservation and developing aquaculture (beef raising and development).

7237 labors are planned to be resettled in Second and Third estates, mainly working on thermal plant (with installed capacity of 50000 kw), leather deeply processing and corn starch production to ensure them to restore the previous living standard.

6.4.2.3 Houhe Reservoir Project and Irrigation District Planning

Houhe reservoir and irrigation district project is the compensation work of the XLD reservoir resettement, including arch grouted stone gravity dam with height of 73.5m and 75000mu irrigation district. At present, the design for Houhe reservoir has reviewed by the MWR (not approved) and the prepreparation work (construction access, houses construction, water supply, power supply, communication and land requisition for construction, etc.) has been completed and the main work started to construct formally on December 5, 1996 after tendering and will be completed in June, 1997. According to the design, the dam is 74.5m high in maximum with the axis of dam crest of 134.31m and total storage capacity of 13750000m3 and total volume of 33000n3 in earth and rock excavation 54000mn3 in grouted stone, 38000m3 in concrete and 203t of mechanical structure instaliation. The optimized design for Houhe reservoir has been finished and has been successful in review and evaluation by the China International Engineering Consulting Corporation. The artery channel, 17.9km long, has maximum current velocity of 3m3Js; the west main channel with transmission rate of 23/s, is 13.6km long; the east main channel with transmission rate of 13/s is 15.4kmnlong. The total length of the main is 46.9km. Houhe irrigation district would receive 15000 people according to the previous plan and are to receive 15555 people after analysis on the environmental capacity and the overall resettlement planning for Yuanqu county.

6.4.2.4 Relocation and Construction of the Industries and Mines

There are 105 enterprises to be inundated in Yuanqu county, of which 54 industries and 51 mines, with 6520 workers in total, of which 3242 people in industries and 3278 people in mines. On the basis of the status of the imndated enterprises, market and resources conditions, 54 enterprises are to be relocated and constructed, 31 enterprises are to be switched to other production, 78 enterprises are to be set free after obtaining the compensation. The workers are to be relocated and resettled with their enterprises. The enterprises to be free are mostly the individual run-coal mines whose workers are mostly seasonal temporary workers and little impact will be upon them due to their enterprises free.

6.4.3 Henan Provincial Resettlement Implementation Planning

There are 91331 people to be resettled during Phase II and Phase III rural resettlement, of which

Page 44 6500 people from Mengjin county, 12816 people from Mianchi county, 862 people from Shanxiancounty, all of them are to move back in villagesor move to near places. There are 35148 people in Xin'an county, of which 17187 people (30.5% of the total) can be resettled within the county accordingto the environmnentalcapacity analysis, the rest 69. % of the total (35961people) are to be resettledoutside the county. Amongthe peopleto be resettledoutside the county, 3000people are to be resettled in Yanshiof Luoyangcity and 32961people are to move in Wenmengtanand three counties (Zhongmu,Kaifeng and Yuanyang)along with the lower reach of the YellowRiver .

Wenmengtan will receive 50882 people during Phases 1, II and III resettlement, which correspondsto the overall planningthat Wenmengtancan receive50000 people and allocates land 81000mu.

The resettlementimplementation planning for five countiesin Henanprovince is under the way and no detailsof it can be providedhere.

6.5 Summary of ResettlementPlanning Changes since 1994

Since 1994 when the project was evaluated, the resettlement planning has been studied continuouslyand deeply.Compared with the preliminarydesign. the resettlementimplementation planningdoes not be changedgreatly and only are properlyadjusted due to the additionaltasks so as to make it more close to the relocatees' intention.The adjustmentis stated as follows:

Phase I resettlementin Xin'an county:The programthat all would be resettledwithin the county has adjustedto that some are to be resettled in Wenmengtanto reduce the pressureof resettlementwithin the county. -- Comparedwith the preliminary design, 9127 agriculturalpopulation are increasedin Xin'an county, accordingly,the host area is also added in Yima and Yanshi cities (county) which receive 8486 people to be resettled outside the county so that the resenlementwithin the county remains unchanged. ---- Phase I resettlementin Jiyuan: The program that all wouldmove back in preliminary designhas adjustedto that someare to be resettledin the near urban to give a modelto and encourageJiyuan resettlement. --- 'Yimacity resettlement:The preliminarydesign and planning is consideredas back-up program and is carried out as formal program now. It will receive 5549 people from Xin'an county. --- The addedhost site Yanshiof Luoyangcity is to receive3000 peoplefrom Xin'an county in agriculture. ---- 41743 people to be resettledin Wenmengtanaccording to the preliminarydesign have been adjusted to 50000people(9000 people newlyadded). ---- To transferthe agriculturalregistrations to nonagriculturalones is not encouragedfor the reservoir area resettlementon the basis on the experienceand lessonsgained from the constructionarea resettlement

Page 45 ID

to

m

e-I

I:rl Annex B

Page 47

Table B.l Phase I (Rural) Resettlementin the XLD Reservoir Area

Year lititis Toial Mengjin Jiyuall City Xih'an County Special tells ahove Comty Lcvel

CountyTt,tal Within the Outside tile Coulnty county Totlal Mengxian Yuanyang Yitoia city

Currctti Rural Houscholds 12260 1508 3451 7291 4(043 3248 1358 224 1666 Status (Marchl. of whicil: witb proepny 726 183 156 387 225 162 60 1M2 1 993) prisiuctioi 4(1442 4S17 12548 23077 12528 10349 4434 825 5280 resetlementlpeople)

livelihood 40917 4914 12807 23196 12557 I(K629 1453 823 351 rcstl9melentt(peoplel

uowntvltip(ptople/etuterpriscl 1165/15 1135123 1165/23 0

Industrics anwdIiites (po,ple/enmerprivl 13684/234 2218/13 1560/74 9906/141 9t(X6/147 0

ntitute outside iowts (puople/institute) 257/17 198/14 5/3 58/3 It

large items abovc county lcvel 467/4 0 4167/4 (people/voterpsrsetI

rural hmouseholdds 12871 1568 3747 7556 4181 3373 1408 233 1734

desigti i|f whicil with properfies 726 183 156 387 225 162 60 1(12 year production resettlemiit 41940 4997 13012 23931 12991 1()940 4598 856 5486

livinlg resetilement 42425 5095 13277 24053 13030 11023 4618 836 5549

township (peLiple/etmerprie) 1262/15 1165/23 1165/23 0

itdustries anedmilnes (people/enterprisel 13684/234 2218/13 1560/74 9906/147 99tK6/147 (S

iltstilute ,tuisideitwits (peiiple/immuiute) 257/17 199/14 51/3 58/3 0

larfe special iteils abovecioulity level lpeople/ 4167/4 0 4167/4 entterprise)

Note: TIle people in industrial and itincral enterprises refer to the miumberoif the workers o-nly.

Page 48 TableB.2 PhaseI (Rural) ResettlementDirections In the XLD Reservoir Area

Items Total Mengin Jiyuan Xin'an County County City Tiotal Within Out of thec'ounty

county - Subtotl Mengxian Yuanyang Yima

pnlductitin population 41940 4997 13012 23931 12991 10940 4598 356 5486 resettlenent - labhr 19315 2395 5654 11336 6506 4830 2031 385 2414

dpt>pulathin 33925 450U 12635 16782 11382 5454 4598 856 Land-based ______RgettultureI ltbir 15523 2166 5460 7897 5481 2416 2031 385 Resettlentent

subtiotalpopulation 8015 489 377 7149 1663 5486 5486

subtotllahorn 3862 229 194 3439 2025 2414 2414

dependentstransferred from agricultural registrations to nonagricultural 1362 370 129 863 863 ones(people) Other Resettlentet dependentstransferred fn,m agriculturalregistrations to nonagricultural 390 110 55 225 225 Mode ones(labors) peoplefinding yobs by themselves 84 84

laborsfinding jobs by themselves 69 69

peopieliving withrelatives and friends 164 164

laborsliving with relativesand friends 70 70

peopletransferred from thecontractual and temporuy workers to official 919 119 8t0 8g0 Ones

labois transferrdfrom contractualand temporairy workers to officialones 919 119 800 800

induxtrialresentement (pevple) 54S6 5486 5486 5486

ibdustrial resettlement (lIaxrs) 2414 2414 2414 2414

Page 49 Table8.3 CostSummary ot MeasuresPlanning for PlantingWorks of XLD Pbae I ResettkmentIn the ReservoirArea |Items Total Mengjin Jiyuan City Xin'ain Countly Total Within the Out of the County County Subtotal Mengxian Yuanyang Yima

Land fior Subtotal 37705.4 6148 12120.6 19436.8 13524 5912.8 4846.8 916 150 Production Irrigated land 17914.7 866 12056.6 4992.1 920 4072.1 3006.1 916 150

Dry Land 18030 5067 64 12899 12604 295 295

Orchards 510 215 295 295 295

Warped land in Wenmengtan 1132 1132 1132 1132

Fish Pound 118.7 118.7 118.7 118.7

Measuresfor Terracing the Slopes 6881 3010 3871 3871 0 Field Works Land Preparation 7788.1 1966 5822.1 2521 33011 3301.1 856 150

Soil hiprovement 12304 2225 10079 10079 0 8 3

Total CreatedIrrigated Area 24283.4 2192 12120.6 9970.8 4118 5852.8 4846.8 856 150 Measuresfir Hydraulic 1. numberof Irrigation wells 144 18 62 64 7 57 46 Woirks Well irrigated Area 16793.4 2192 8041.6 6559.8 707 5852.8 4846.8

2.Numher of smallsizedPumping 19 17 2 I l I Station_

Irrigated Area 3130.8 1671 1459.8 331 1128.8 1128.8

3.Length of EmbeddedPipes 230193 39456 109211 81526.5 10605 70921.5 70921.5

4. Duanjiagou ReservwirProject 3080 3080 3080 0

5. Gravity Irrigation 2408 2408 0

Page 50 Table B.4 Summaryof Measuresfor SurplusLabors of XLD PhaseI Resettlementin the ReseroirArea

Toutl Menjin JiyutanCity Xin'an Cntvty Total Withinihe Outof theCotunty

County______Subtotal Mengxian Yuanyang Yinia

Ttgal Surplus Lt rs 8540 1294 3546 3695 2646 W49 #32 217

cnvtqnicim 13030.5 1996357 4434.2 6599.70W 4401.49 1692.21 1269.52 422.685

AnstualOutput Value I I t(XOtyuan I 20922.3 4362.1 591t4.#2 10575.31 331.79 2244.02 1534.33 709.19

AnumalNet hIIo me1(1El1lyuatt) 3621.24 470.7 2030.42 1120.124 955.364 164.74 276.24 53.2

Foreuryand 1. Areao-f Apple Orcltard OIIu) 2900.5 902 1523.5 475 11) 295 295

Orchards c-urestt labors(petpicl 133 6(1(1 1073 160 120 40 40

comtO(t111l yualn) 1323.28 365.37 471.31 43f6.10 23.094 463.00 463.00

altual outptnValue (t11)(6yutan) 977.96 271.3 571.31 135.35 67.5 67.35 67.35

anttualnet incinue(l(lttO yuatt) 630.038 213.41 352.8 63.79 41.69 22.10 22.1

2. Areaof Pootqranate(nwt- 110 110 I 1

reeaukedlar Ipoale) 34 34 34

CosttI I(Xtlyuuall 14.00 14.11 14.11

anitualoutput nale (1(01110yuan) 41.25 41.25 41.25

anttualtne iti une(M1I(III yuan) 25.476 25.4S 25.43

Vgeteable Area(mu)I 2077.5 1777.5 3(X) 3110 Gri wii in _. SIwil Rewlettldlabor 21W I360 3tlO 3(xl

c ,t (t(KKKIyuam) 1734.75 141599 246.76 243.76

anutwaloutput value (1(NX6) yuan) 1460.48 1249.58 211.9 210.9

aninualne.'t itteute I HUM61)yuat) 645.96 7238 12216 122.16

Page 51 Aqu.ICur.U IVcin'clt U-'1w rAiw.d pig anid pig and chickeniand fish duck aid fish chickeln clnickei beef

reeilIed labo"rs(plpic) 394 Si 132 361 314 47 12 35

conq(1I1I8I yujln) 1231 44 243 464 9 523 54 334.53 189 01 126 52 62 49

annualu*lpulp sAluC(1I(t8l yuanl) 1532 52 284.28 719.93 528.31 442 14 86.17 556 98 29.19

alnilualnet Income(1088IX yuani) 403.58 61 66 172.28 16964 14306 26.58 IS 38 7.7

VillAge ruII inuinber 47 9 9 29 22 7 4 3 Inldusilry. ICCrciled labors 3370 618 461 2291 1878 413 231 182

cao.i 11(0001yua'inl 8727 2 1388 2 12 5327 201 4287 10)402 680 360 2

anlilual i>Uipulvalue 0(IIIIX yuanll 16910 6 3806 6 3444 9664)(81 75711 20190 1410 6801

anIIIual tidincome (Itk81 yujn) 1716 19 195 63 781.5 739.06 623 116.06 70.56 45.3

Counly runi iunibHr 3 3 3 3 Expaoid_d Enterpriie reeIiled labors 540 549 549 549 becauwt of lechoillogy cost I lOOtlOyuan) 274 5 274 5(1 274 50 274 5 razrll _ aninlualoulpul value I 11(001yuanll 19067.6 19067 60 19(16760 19067 6

annual net minciine(10008) yuai) 164 7 164 70 164.70 164 7

Note: The cost of coumnyrun enlarged enterprises belongs (o the amount provided by Ihe individuals and is not sulmiiarized.

Page 52 Table B.5 Industriesand Mines TreatmentPlanning for XLD Phase I Resettlement

AdministrativeRegions Numberof Enterprises Relocatedand Switched(including Set Free Constructed incorporated) Total Industries Mines Total Indust Mines Total Industri Mines Total Industries Mines ries es Total 234 59 175 22 21 1 127 127 85 38 47 Jiyuan City 74 14 60 1 1 44 44 29 14 15 MengjinCounty 13 66 7 6 6 7 7 Total in Xin'an 147 33 108 15 15 76 76 56 24 32 1. resettlementwithin 70 13 57 13 13 47 47 10 10 Xin'an county 2. in Yima city 52 16 36 2 2 26 26 24 14 10 3. in Mengxiancounty 21 10 11 21 10 11 4. in Yuanyang 4 4 3 3 1 1

Page 53 Table B.6 Resettlement Implementation Progress

Water Level Inundation Annually Relocated Population (people) Planned Affected Population Construction Area Phase I Phase 11 Phase III .1992 1993 1994 1995 1996 1997 1998 1999 2000 2010 2011 Construction 10118 6730 2812 1032 10574 Area Below 24200 25026 25026 El1180m El 180-265m 123619 16981 20647 28904 31602 33100 131234 265-275m 20671 870 104 680 11035 12088 24777 Official 7101 2639 3948 514 7101 Workers Total 185709 6730 2812 1032 45516 20674 29008 31602 37728 11035 12602 198712

Note: The people in the construction area include the outside roads and Liuzhuang railway station affected population (642 persons).

Page 54 Figure B.1 Resettlement Implementation Planning Schedule

.-- T _ ____i9 __._ 1996| 1997.. | 't99t 1999 |20D | 2001 |20D2202 | 20030 | 2004 |tO20058 I2006 F~i2olou 2611 | 10 Resettlement by Stage _- (1 Dam SatoResettlement 2 Belo`wt0Bm ReservoirPhase I ResetlWement -

3] i8t-265m ReservoirPhase tl Resettlement

4] 26'i-275m ReservoirPhase III Resettlemen. 7. Resettlement Implementation Progress in the Reservoir Area

7.1 Phase I Resettlement Implementation Progress

Phase I resettlement was planned to begin in 1993 and end in 1996, but due to various reasons, the resettlement planned for 1993 and 1994 was not accomplished. After the establishment of the YRWHDC RO in 1994, facing the urgent tasks, the RO organized the staff to make great stride in the resettlement planning and design and simultaneously focused the efforts on the resettlement of the reservoir area and various resettlement management for the purpose of " finishing the tasks of four years in two years" to ensure the river closure in 1997, prepared the Report on the Phase I Resettlement Implementation Planning and Design in May, 1995 and has organized and unfolded the resettlement implementationunder the circumstance that the design report is not approved by the State.

7.1.1 In accordance with the implementation planning. 42425 rural resettlers will be resettled in 44 residential sites respectively which have been optimized and combined as 34 sites because the resettlers put forward that the residential sites should be combined or changed during the implementation due to their deep understanding the resettlement programs. Of which, 14 sites in Jiyuan receiving 13277 people in its plain area, 2 sites in Mengjin receiving 5095 people within the county, 18 sites in Xin'an county receiving 24053 people, of which 9 sites (6727 people) are within county, 9 outside the county: one in Yima receiving 5549 people, one in Yuanyang receiving 856 people, 4 in Mengxian county receiving 7182 people and 3 in Wenxian county receiving 3739 people. See table 7-1 for village assignments.

7.1.2 New Villages Construction

7.1.2.1 6000 mu land has been requisited for new residential sites, of which 5953mu land has been prepared for the purpose of construction.

7.1.2.2 Housing and Relocation

Up to the end of 1996, the houses for 11268 households (about 40000 people) have been constructed with the floorage of 1011000IM 2 and 9Om2 per household (See table 7-2 for details), taking up 88% of the plan. The relocatees can construct the houses by themselves according to their selected one of styles designed by the resettlement offices on the basis of their properties compensation and savings. The houses for the relocatees moving outside the county can be constructed in collective way in conformity with the relocatees' opinions and relocatees' Tepresentativesare selected to take part in supervising house construction to avoid and reduce the complains. All of the houses are constructed with brick and have higher quality than before. At present, 16580 people have moved into new houses. There are two types for relocation: one is to pay the relocation cost to the individual who will move away in the specified time; the other is to relocate in a collective way, i.e. the county and town organize the vehicles and people in a unified way to help the relocatees move, generally in 1-2 days.

7.1.2.3 Xiwo Township Construction

Page 56 Since the relocationand constructionof new Xiwo site, the following works have been finished:water supply, 1.95km connectionroad, 0.62km main road, 2.49km transmission line and 12kn communicationline, 10600m2 houses for township governmentand its enterprisesand institutes. The other units have already moved expect townshipmiddle schlooland the aged house whichare under the construction.

7.1.2.4 Relocationof the SpecialItems

The specialitems involved by Phase I resettlementinclude Henan provincial Fourth Prison, hydrologicalstation, surveyingmarks in the reservoir area and cultural relics. The three itemshave been relocatedexcept the cultural relics to be movedat the end of June, 1997.

7.1.2.5 Reestablishmentof the InfrastructureSurrounding the Reservoir

Xiyu highwaywith length of 69kn has been constructedand put into operation;the civil work of Longqusubstation has been finishedand the transformerhas been installedand the lines are installingnow.

7.1.2.6 Phase II ResettlementProgress in ShanxiReservoir Area

WhenPhase I resettlemnentin the reservoir area carried out, Phase II resettlementpartially startedwith focus on Shanxiprovince. The performanceis as follows: 18100muland for productionhas been requisitedfor rural resettlement(in advancepayment): 4 well stations have been constucted, 720muirrigated land can be developedand 9 enterpriseshave been built, housesfor 456 householdsalso constructedand the roads constructedwith totallength of 41. lun. The infrastructuresuch as land requisition,water, power suppliesand roads for new Guchengzhengtown site has been basically completed and the houses for town govermnenthave been constructedwith area of 16100m2.

7.2 Special Items in Agricultural Development

7.2.1 WemnengtanRiver ChannelTraining and Warpingfor Soil Improvement

7.2.1.1 DevelopmentObjectives

Wemnengtan,located in the north bank of the lowerreach of the YellowRiver, is withinthe Wenxiancounty and Mengzhoucity of Henan province with 1.4mu land per capita. By taking the advantagesof fertile land and convenientirrigation, by training river channeland warpingfor soil improvement,the destroyand threatencaused by the YellowRiver floodcan be reducedand 80000muland can be createdto receive 50000 people from Xin'an county and Jiyuancity of Henan province.

7.2.1.2 ImplementationProgress

From 1992 when the river channel training started to Decemberof 1996, the completed worksare shown in followingtable (see next page).

7.2.1.3 Constructionand Management

Page 57 Due to its special nature and accordingto the WB's appraisalcomments, this work is in charge of the HenanYellow River TrainingBureau in force accountwho forms Wenrengtan project office which is the constructionunit and singed the 'Lump Sum Agreementwith

Items Designed Completed Percent (%) Quantity Quantities Dam (Buttress) 118 63 53 ProtectionDike 2150000m3 150000m3l Land Createdby Warping 12540000m3 10620000m3 85 and Filling Land Createdby Soil 640000m3 166m3 25 Improvement

YRWHDCROin 1995and its generalconstruction team is responsiblefor the construction. Since the constructionstarted, 18 units (1224 people) have movedinto the site and 553 sets of apparatushave been also moved into the site.

7.2.1.4 Cost Estimate

The designinstitute of Henan YellowRiver TrainingBureau carried out the supplementary design on the Wenmengtanproject in 1995which was reviewedby the General Instituteof MWR in the same year. The total cost of this project is fixedas RMB 565 million yuan, of which, 237 millionyuan for river channeltraining, 328 millionyuan for soil improvement.

7.2.1.5 Fund Disbursement

With the projectprogress, up to Decemberof 1996, the cost of the Project has been actually disbursedRMB 350 million yuan.

7.2.2 Houhe Reservoirand IrrigationProject

7.2.2.1 ConstructionObjectives

Houhe reservoir and irrigationdistrict, located in Yuanqu county of Shanxi province, is focusedon irrigationwith considerationof supplyingdrinking water for human and animals and generatingpower, includesone arch dam constructedwith groutedstone (74.5m high), 46.9km main channel,76.6km branch channel, 32.6km lateral canal in main channeland one 2' small-sizedhydropower station and will provide 15000relocatees in Guchengzhentown, Yuanqucounty of Shanxiprovince with irrigatedland after the projectcompletion.

7.2.2.2 Tender of HouheReservoir Project

December, 1994 -- February, 1995 complete prequalification March, 1995 tender documentsapproved by the WB

Page 58 March, 1995 --- June, 1996 issue the tender documents, open tender and tender evaluation September,1996 completebid award, issue letter of acceptance

The tender should be completedin August, 1995 as scheduledand was delayed because Shanxiwater conservancybureau stronglyrequest that its constructionbureau would be the construction unit of the project, which breaks the fare competitive principle. The understandingwas reachedin September,1996 through many times of consultationbetween MWR and YRWHDCROand Shanxi province so that the tender could be carried out successfullythereafter.

7.2.2.3 Activitiesof Dam Safety POE

Accordingto the WB requirementsand approvedby the WB, the Houhe dam safety POE (panelof experts)was forned in September,1994 with membersof Tao Yulin, Yu Keli and Zhao Shen and has placed the focus on the reconnaissance,design, tendering and constructionmanagement of the Houhe reservoirsince it established.Its main activitiesare as follows:

held POE meeting in September, 1994 to supplementitems of reconnaissanceand design; took part in reviewingoptimized design, tenderingand tender evaluationwork of the project in February -- June, 1995; -- attendedthe technicalconsulting meeting for Houhe projectin 1996

7.2.2.4 ImplementationProgress

Up to December, 1996, the followingitems have been accomplishedfor Hoube reservoir project: 3.7km constructionroad, houses960m 2, 1.038kmof 10kv transmissionline, water supply for constucion, a set of communicationfor construction(32 program controlled telephones)and 575murequisited land. Notice to commencementwas issued on December 5, 1996. 136 people from Chineseengineering construction bureau No. 11 have moved into the site and have built5.3km shortcutfor constructionand 2000m2 housesby use of 60 sets of apparatusalready moved into the site. The rock excavationof abutmentsand sand and gavel plant has started. At present, the project is advancingsmoothly and will be finished in June, 1997.

The supplementaryand optimizeddesign for the irrigationdistrict of Houhe project was finishedin October,1996 by the Yuchengdistrict reconnaissance and design institute and was reviewedby the GeneralInstitute of MWR in December,1996 and submittedto the SPC and is planned to start constructionin March, 997 and end in June, 1997 with Houhe reservoir.

7.2.2.5 ConstructionManagement

Approvedby the Shanxiprovincial water conservancybureau, the Houhe ReservoirProject Headerquartershas been establishedas the administrationunit bearing the construction managementof the projectand signs the contractswith the constructionunit and supervision unit of the projectrespectively and independently.

Page 59 7.2.2.6 Estimateof the Project: optimizeddesign for Houhe reservoir and the irrigationproject was reviewedby General WaterConservancy Planning Institute in October 1995and December1996 respectively and total cost of the projectwas determinedas 111.2 million yuan (RMB).

7.2.2.7 Fund Allocation:26.6 million yuan has been allocatedby December 1996 based to physicalprogress.

7.2.2.8 RemedyMeasures for Project ProgressDelay

Due to obstaclesin tendering,completion of Houhe reservoiris 1 year behind schedule.the followingmeasures have been taken to reduce impacts on the resettlementof Shanzxi province:

a. The cost planedfor Houhe reservoirand the irrigationproject will be shared by the state and Shanxi province. Considering Shanxi is not beneficiary of Xiaolangdi reservoir,SPC has promisedall of cost for Houhe reservoirand most of the cost for the irrigationproject will be providedby the state, whichstimulates activity of Shanxi province in the projectconstruction.

b. In order to acceleratethe constructionspeed. it is planed to commencethe irrigation project in March 1997and ensure that the project with its accessoryfacilities will be completedsimultaneously with Houhe reservoir in June 1999.

C. Land requisitionwill be made 1 year in advanceto allocateland to the resettlersand speed up residentialsite constructionto benefit the resettlersat the two sites before 1998.

7.3 AgricultureRehabilitation

7.3.1 CultivatedLand Allocation:in accordancewith the plan, totally38800 mu cultivated land are to be allocatedto Phase I reservoirarea resettlers,of whichis 32000 mu irrigated land. Now 34500mu land has beenallocated (accounting for 89% of the planned),including 26700 mu irrigated land, see table 7-3.

Land allocationis a complicatedand miscellaneoustask, recently, the followingmeasures have been taken:

a. Conductingpropaganda to make the resettlementpolicies clear to the resettlers;

b. Determiningland allocationscheme. Such principlesare followed:land is allocated to inhabitantgroups in squareand part; land of good qualityis allocatedtogether with that of worse quality; land is allocatedto resettlerson basis of where they live. c. Measuring land based on the determined scheme and piling and determnining boundaries;

Page 60 d. Clearing up what adheres to the ground: mainly miscellaneous trees and tombs; e. Resettlement villages sign agreement with the host village to transfer the land; f. Contracting cultivated land to the household, in some cases, land is cultivated by the persons organized by the village before move of resettlers. g. Drawing maps, draw boundaries in topographic maps with scale of 1:2000. h. Perfecting land allocation procedures and setting up files;

In general. land division between villages is the determined by township, that between groups is by villages, that between households is by groups.

7.3.2 Allocation of RemainingLand of the Host Area: amount of remaining land per capita in the host area is generally higher than that of land required by resettlers per capita, and it is the principle followed when planning is made, because land is allocated in parts, the remaining land need to be allocated again inside the host villages, 7.3.1 gives the description of the allocation methods.

7.3.3 Improvement of Land Allocated: land allocated to the resettlers in Jiyuan and Yuanyang used to be irrigated land of the local inhabitants, and water conservancy facilities are basically complete with few needs of rehabilitation and repairing to the field works. At present, 30 wells have been transferred to the resettlers, a crop of wheat and a crop rice have been harvested. In Yuanyang county more than 100 sets of agricultural machineries and tools have been purchased for the resettlers, assistance has been offered to the resettlers in purchasing chemical fertilizer, farm chemical and seeds. In Mengxian and Wenxian. 13223.7 mu land has been transferred to the resettlers. 2740 mu of the land (accounting for 20%) need to be warped and improved, which is included in the program of Wenmengtan warping and soil improvement project, and is planned to develop into irrigated land. In Xin'an and Mengjin county, the land allocated to the resetters is mostly dry land demanding water conservancy development. It is planned to develop irrigated land of 3080 mu, which mainly depends on rehabilitation of Duanjiawan reservoir. The reservoir was constructed in 1950's with the designed irrigated area of 62400 mu. The rehabilitation began on October 1996, and will be completed in 1997. Land preparation of 1000 mu have finished, 4 pumped wells been dug (2 in Zhouli and 2 in Qinghe), and 2000 mu land can be developed into irrigated land. Financed by the provincial agriculture and husbandry department, spray irrigation for 400 mu land has been developed in Qinghe village now the test has been successful.

7.3.4 Agriculture and sideline activities: family farm, grain processing, commerce and transportation, as main resource of family incomes, they may be operated again after resettlement.

7.3.5 Township enterprises: based on the experience and lessons from industrial resettlement in the dam area, resettlement is planned with few considerations of resettlement in county run industries. But actually, some resettlers have become workers when the industries enrolled new workers. Now development of resettlement industries have almost centered in township enterprises. 28 township enterprises have been initiated (7 in Jiyuan,

Page 61 12 in Mengjin, 5 in Xin'an county and 4 in Yima city. see details in table7-4.

As for rehabilitation of agriculture, YRWHDC RO together with RS offices at provincial, municipal and county level strengthen training to village leaders and resettlers and help each resettlement village formulate agricultural development plan to improve their living conditions.

7.4 Rehabilitation of Non-agricultural Activities

7.4.1 Resettlementof Industriesand Mines.

7.4.1.1 Existingconditions of the industriesand mines affectedby the reservoir inundation: totally there are 787 industriesand mines with total fixed assess of 905.69 million yuan, of which 247 are industries(accountingfor 31 %) and 540 mines(Accounting for 69%). There are 54499workers and staff, of which 14948are non-agricultural,the rest are agricultural, 39019 persons from inside the reservoir area, 10532 from outside the reservoir area. 13 of 787 industriesand mines are state-ownedenterprises with fixed asset of 182.2 millionyuan,(accounting for 20.1 %) 505 collectiveenterprises with fixed asset of 650.05 million yuan(accounting for 72.1%), 269 personal enterprises with fixed asset of 70.64 million yuan (accounting for 7.8%).

7.4.1.2 Management of Resettlementof Industries and Mines: YRWHDC RO has establisheda leadinggroup consistingof 3 persons to perform guidanceand control over resettlement of industry and mines, formnulatedManagement Rules on Changing Production Lines and Reconstruction of Industries and Mines, including determination of compensation criteria for mines and industries, approval procedures of reconstructed enterprises, resettlementof industrialpopulation, follow-up monitoring survey to enterprisesthat have changed productionlines or reconstructed.

7.4.1.3 Plansfor ChangingProduction Lines or EnterpriseReconstruction: according to the project progress and operationcharacteristics, production line changesand enterprise reconstructionmay be implementedin two stages:there are 234 industriesand minesaffected by inundationduring the first stage (El.180). In conformitywith the characteristicsand existing conditions and based on market survey and forecasting, it is agreed that 13 enterpriseswill be moved and reconstructed,157 enterpriseswill change their production lines or be combined, 65 enterpriseswill be canceled. During the second stage(El.180m- 250m) , totally there are 553 industriesand mines affected, the plan will be accomplished in June 1997.

7.4.1.4 Progress: base on the plan in the first stage, 28 enterprises will be reconstructed,7 in Jiyuan, 12 in Mengjin,4 in Yima city and 5 in Yima, and by December of 1996, 12 of them had been completed (50%), 13 of them are under construction(46%) and 1 is in preparation stage(3%), with the total input of 116.76 million yuan(RMB).

7.4.2 Resettlement of Staff and Workers: Phase I reservoir area resettlement involved 13049 workers and staff in enterprises, of which 815 persons were non-agricultural and 12234 persons are agricultural, 8820 were from inside reservoir area and 3414 outside reservoir area. After move of the mines and industries, 815 non agricultural people were all resettled

Page 62 in the new enterprises,most of them were temporaryworkers who were resettledbased on actual conditions:a. only some of the 3414 persons were from outside the reservoirarea, who had specialskills may remainin the reconstructedenterprises, the rest may return their homes and find new jobs or be engaged in agriculture;b. 8220 persons from inside the reservoirarea may be employedor arranged again with the resettlementof the enterprises and constructionof new residentialsites. Those who lived nearer to the enterpriseshad priority to be employed,the others who lived further may be employedin localenterprises or be engaged in agriculture.

7.4.3 Industrial Resettlementof Kuangkou village in Yima city: there used to be 54 enterprisesin the village with the compensationfund of 52 million. Altogetherthere were 3471 workers and staff who were all agricultural, 1/2 of them were from outside the reservoir area, they took part time jobs in the villiage, resettlementin Yima city has to Altogether1500 personshad to be resettledin Yimacity. Basedon the municipaleconomic developmentplan, a cement productfactory and a electromagneticline factory have been set up with total investmentof 12.50 million yuan (RMB), employmentof 171 persons. Thermalplant and medicinefactory are under constructionwith investmentof 245 million yuan and employmentopportunities for 1000persons. 300 personsmay be employedin the service. The existingproblem is inadequacyof funds, to solvethe problem, Yimamunicipal governmemnthas made great efforts, they have incorporatedthe resettlementindustries into the municipaldevelopment plan. As for fund raising, they haveapplied for loanproceeds of 60 million from the agriculturalbank of Chinabeside 40 millionyuan of compensationfund for resettlement,applies for issuingconstruction bond of 20 millionyuan (approvedby SPC), 10 million yuan were raised by collectingmoney from the resettlerswho are employedin industries,30 millionyuan are providedby constructionunits and equipmentfactories, which will be returned in 1=2 years after completionof the industries.Henan provincialpower bureau,as counterpartsupporting agency, has providedthe followingpreferential policies to constructionof the thenal plant: a. exemptingfrom counterpartfunds of 75 million-100 millionyuan; b. promisingto incorporatethe plant into the great net; c. the plant is permitted to operateat full load; d. preferentialelectrical tariff after the plant is put into effect. At present continuousefforts have been made to settle fund inadequacy.

7.4.4 Measuresfor AbolishedPersonal Mines: 64 of the 234 mines and industriesin Phase I resetlement were canceled, of which most are personal mines. Guidanceand assistance have been offered to then in taking advantageof the local resourcesto set new enterprises or investingin farm water conservancyfacilities as well as in agriculture and sideline activities.

7.5 Efforts in IncomeRebabiltation in Host VDllages

Land allocationin the host area will result in reductionof the incomes,but they make use of the compensationfunds to improve productionconditions, resume and raise the incomes. For example,in Jiyuancity, Beishuitunvillage where Lujialing village resettled have attained compensationfund of 1.7 millionfor resettlementland allocation of 254 mu. They haveused the funds to harden the roads with cement, paired electric lines inside and outside the village, installed a transformer to raise irrigation guarantee rate, and they have set up ChanghongGlass ProductFactory, which began to put into operationpartly in May 1996and annual production value may reach 5 million yuan after completion,another example is

Page 63 Matou village where Liuzhuang village resettled, 2.3 million yuan compensation fund have been paid for 380 mu of land allocated to the resettlers, with which they have bought 4 agriculture-use trucks, 4 small-size combined harvesters, repaired 3.4 km long roads, constructed I km long irrigation canal, repaired original drains and dug 6 pumped wells. Resulted from improvement of irrigation, paddy can be grown on land where people used to only grow maize because of water shortage. In addition, I million yuan are supposed to put in initiating a carbon rod factory, now, preliminary feasibility study is being undertaken. Other host areas have taken the same measures to rehabilitate incomes.

7.6 Procurement and Fund Allocation

7.6.1 The cost of XLD resettlement project was estimated as RMB 2405.79 million yuan at 1993 price, of which, 79,900,000 SDR (equivalent RMB 110,000,000 yuan) from foreign fund (see Credit Agreement 26.5-OCHA). Due to physical items increase resulted from the physical indices recheck in the reservoir area in 1994, price difference increase and design changes, the cost was reviewed and estimated as RMB 6436 million yuan in 1995 and prereviewed by the MWR and will be finalized by the SPC in written way.

7.6.2 Adjustment during Implementation

When the IDA supervision mission for XLD resettlement project visited Zhengzhou in the last ten days of October, 1994, YRWHDCRO indicated that in item (b) Others of Category (2) in the Credit Agreement, the construction materials would be difficult in collective procurement and not convenient in operation which would cause the additional cost and delay in works' completion and asked for the SPC to change the procurement method and re-allocate the credit amnountfor categories (2)(b) Others and (1)(a) Houses construction according to the item (19) requirements of the IDA supervision mission Memo in December, 1995. Mr. Joseph Goldberg, director of the agricultural division of the China and Mongolia Department wrote a letter to Mr. Jin Liqun, one director of SPC and expressed that it was agreed to allocate 23,860,000 SDR from category (2)(b) to category (1)(a) (houses construction). The credit allocation adjustrnent is shown in the following:

--- category (1) Works: (a) house construction 41,650,000 SDR --- category (2)Goods: (b) others 6,410,000 SDR

See table 7-5 for details of revised credit allocation.

7.6.3 The withdrawal of the credit fund is carried out according to the adjusted credit fund allocation table. The annual withdrawal is stated as follows: USD6.545 million in 1994, USD20.598 million in 1995, USD19.543 million in 1996. Up to the end of 1996, the total withdrawn credit fund is USD46.686 million, RMB387.49 million yuan in

Page 64 equivalent, taking up 42.44% of the total credit. See table 7-6 for details.

7.6.4 The plan of the local fund is stated as follows: RMB 33 million yuan for 1992, RMB 100 million yuan forl993, 250 million yuan for 1994, 710 million yuan for 1995, 828 million yuan for 1996; 1921 million yuan in total.

The total fund of local and credit is 2308.49 million yuan. Up to the end of 1996, 1467.33 million yuan has been allocated to Henan province, 16.83 million yuan for the large special items above county, 213.82 million yuan to Shanxi province, 404.20 million yuan to Wenmengtan, 26.6 million yuan for Houhe project, 129.72 million yuan for the contract payment and other expenses of YRWHDCRO. The total completed fund is 2258.50 million yuan. See table 7-7 for details.

7.7 Evaluation on Resettlement Progress

7.7.1 Xin'an County. There are 24053 people in Xin'an involved during Phase I resettlement in the reservoir area, of which 6727 people resettled in 8 villages within the county, new houses for 2048 people have been constructed, taking up 94% of the total to be constructed, 6375.2 mu land (102% of the plan) has been occupied, the infrstructure such as water supply, power supply and roads has been completed. Up to the end of 1996, 3250 relocatees have moved, accounting for 48% of the total within the county; the houses and corresponding infrastructure for 5549 people moving to Yima have been constructed, cement products plant and electromagnetic wire factory newly built for the relocatees have been put into operation, the thermal plant with capacity of 2x25000 kw and pharmaceutical factory have started to construct; 7182 people to move outside the county to Mengzhou city are settled in 4 sites, the houses for 1895 households have been constructed, taking up 85 % of the total, the construction of the infrastructure such as water supply, power supply and roads has been completed, 8651 mu land (105% of the plan) has been adjusted and allocated, 2674 people have moved into new houses; 3739 people to move outside the county to Wenxian county are resettled in 3 villages, houses for 569 households have been constructed, taking up 48% of the total, the water supply, power supply and roads have been constructed partially., 1713mu farmland has been adjusted and allocated, taking up 35% of the plan; for 856 people moving to Yuangyang county, the houses for 245 households have been constructed, accounting for 105% of the plan and the infrastructure has been constructed accordingly, 1198mu land has been allocated, taking up 131% of the plan, 905 people have moved into the new houses, taking up 106% of the plan. See the table of mral resettlement implementation progress for details.

From above, the overall resettlement progress of Xin'an county meets the requirement of river closure in 1997. The measures for production and livelihood resettlement have been carried out. However, the resettlement in Mengzhou advanced slightly slow because these villages were planned to resettle within the county and whose people asked for to move in Wenmengtan in 1996, therefore, the resettlement program had to be adjusted.

Page 65 The local resettlementagency and the relocateeshave decidedthat the relocationmust be accomplishedbefore June, 1997 to ensurethe river closure as scheduled.

7.7.2 Jiyuan city: 13277people in Yiyuaninvolved in the Phase I resettlementof the reservoir area are to be resettled in 14 sites. 3326 householdshave constructednew houses,accounting for 90% of the plan, the water supply,power supplyand roads have been mostly constructed,1193 mu land has been allocated,taking up 92% of the plan, 6419 people have moved,taking up 48% of the plan. See the table of rural resettlement implementationfor details.The Phase I resettlementis carried out in the plain area near to the suburbs of Jiyuan and the allocatedland is irrigated land and the measures of production and livelihoodresettlement have been performed to ensure that Phase I resettlementwill be endedbefore June, 1997.

7.7.3 Mengjincounty: 5095 people involvedin the Phase I resettlementin the reservoir area are resettled in two sites. The houses for 1415 householdshave been constructed, takingup 90% of the plan, the water supply,power supplyand roads have been basically constructed,5336mu land has been allocated,taking up 87% of the plan, 3332 people have been moved, accountingfor 65.4% of the plan. See the table of rural resettlement implementationprogress for details. Mengjincounty resettlementproceeds as scheduled andcan ensurethat Phase I resettlementin Jiyuancan be finishedbefore the end of June, 1997.

7.7.4 Host area: The hostareas are selectedon the basis of the consultationbetween the local governmentsof relocateesand host residentsand the agreementssigned by the resettledand host villages. The host residentsare willing to receive the resettlers and allocate land to them for building houses and farning and provide necessities for production and living and according to the national policies, can obtain the land compensationto developthe agriculturalproduction and villagerun enterprisesso as to improveand increasethe economicearnings.

7.7.5 ExistingProblems

A. The delay in the resettlementimplementation planning and design is one problem for XLD resettlementproject. Accordingto the requirements,the Phase I resettlement in the reservoir area below E1180mshould be finishedin 1993, but was not completed until May, 1996 due to variousreasons. In order to ensure river closure in 1997, such measureis taken as simutaneoulyworking out and carrying out the planning and design so as to make the projectadvance. Because the cost estimateis not finalized,the cost is changeable,So the money payable to the relocateescan not be paid totally. With the support of the local resettlementagencies, a lot of efforts have been done to overcome the difficulties.

B. The agriculturaldevelopment should closely follow with the relocation. The residential sites must be constructed before relocation and the farmland capital

Page 66 construction must be carried out due to bad quality and small quantity of the land obtained by the relocatees to improve the agricultural production benefits. Some village have not done enough work hereon.

C. The problem that few special poor families has insufficient money to construct new houses needs to solve timely. After their compensationcost and money to be added are checked, these families, about 5% of the relocatees, can be resettled specially and reasonably.

7.8 Next Plan for the Resettlement

7.8.1 Phase I Resettlement: The resettlement cost reviewed by the MWR has been disbursed, therefore, the construction and relocation of all the houses and supplementary facilities are planned to complete at the end of June, 1997 and the river clearance should be done to ensure river closure.

7.8.2 Resettlement Planning Between E1180 - 265m in the Reservoir Area: The implementation planning for 8 counties in the reservoir area is to be finished at the end of April, 1997, will be submitted to MWR and SPC after summary and consultant by the end of June, 1997 and will be reviewed and approved in second half of 1997.

7.8.3 Resettlement hmplementation Between El. 265 - 275m: The resettlement cost in 1997 is 974 million yuan to complete the houses construction, land allocation and complement facilities construction for 30000 people, of which 20000 people in Henan (6000 people in Xin'an, Jiyuan, Mianchi counties respectively, 2000 people in Mengjin) and 10000 people in Shanxi province. In addition, the new sites for Dayu, Cangtou, Nancun, Guchengzhen towns are to be constructed, the industies and mines are to be relocated and constructed or switched to other production and the special items such as road and power supply are to be reestablished.

7.8.4 Wemnengtan Work: The cost of it is RMB73 million yuan in 1997 to complete the river channel training, 27 dams (buttresses) construction, 988800m3 filling volume in protection dike, 2380000m3 filling volume, 2500000m3 warping volume.

7.8.5 Houhe Project: The cost is RMB 36 million yuan in 1997 to finish the concrete placement 7800m3 , grouted stone 30000m3 and rock excavation 33000m3 for the dam to make the dam reach El.670mn.The irrigation district has started to construct fully. The first 7.98km of the artery channel are to be reestablished in 1997, all of the east main channel, 15.4km long, is to be restored, the main buildings in the west main channel are to be constructed, i.e. 17 tunnels, 4 aqueducts and 2 inverted siphons.

Page 67 Table 7-1 Resettlement Locations of Rural Resettlers

Sainte of Moving Locatuonof host aTas Nos of Schedusled lhe nsmple,ncanuion Vilages host progress progress to tisove areas house- population township vildbe Houscholds Population t,olds

Total 122601 409171 34 11268 39631 12871 42425

In Jiyuan 3461/3747 12807/ 5 townshiDs 14 3362 12432 city 13277

Luoyu 204f222 80318333 Sill Fatis i ftmsh in 222 833 1935-1996

Niuwau 70/75 335/347 Sili Beiy_ao I ditto 75 347

Shiniu 1331142 4961514 rianti office I ditto 130 471

Clhang 3721414 1509/1565 ZhichenS Dayi 1 ditr 414 1565 quan

Zhang 202/216 7731300 ditto Zhsongzhang 1 dito 216 D00 ling

Liang'an 360/386 1357/1407 ditto Zhongwang I dito 377 1374

Luulin# 216/235 8151144 Yiaqiao Shuiun I dito 235 844

Liuzhang 210/226 8353/65 dito Matou I ditto 105 402

Jiaodui 30S/334 1207/1250 Ziichidng Guozhuat I dito 315 1179

Zhuyu 263/283 97011006 Yiaqtao DonUuolu I dirto 283 1006

Baigou 258/283 987/1025 dito Miaodian I ditto 283 1025

Guayang 491/538 189/1960 Lilin Lilin I finish in 537 1956 1996-1997

Dajiao 171/H18 6731697 dino Quzlsong I dino 170 630

beizt 2031205 158/164 Ysaqiao Beizi I finish in 1997

In Menglit 1508/1568 4916/5095 2 1415 4603 county ______

Qinghe 390/404 120011244 Shongzhuang Futu B;ttng l I finish in 341 1050 Dongshamtou 1995-1936

Zvouli 1118/1164 3714/3S51 Pingle Shangyiu I finish in 1074 3553 Hosymg 1995-1996 Shangiun Tenan

Page 68 Table 7-2 PROGRESSOF PHASEII RURALRESETTrLEHfcHi2lJKMFTlON

Unit Resettedpopulation Landfor residential Suepreparatt Houses(households. m )

PlaniedNos Moved Planned Completed Planned Co

Total 12171 4Z425 447N 16510 5136.2 6178.8 5136.2 5953 1126X 1010561 184 159655 9464 8509e6

liYuan 3747 13277 1555 6419 1674.3 2064.5 1674.3 2009.8 3362 304499 321 31704 3041 272795 Mengjin 1568 5095 951 3332 783 786 783 663 1415 141993 41 3445 1374 138548 Xin an 2187 6727 925 3250 970.2 1403 9702 1383.9 2048 181707 440 41000 1608 140707

Yinu 1734 5549 0 0 270.1 270.1 271.1 270.1 1734 147100 0 0 1734 147M) Mengzhou 2221 71K2 802 2674 887 1003.2 837 1003.2 1895 168039 623 52621 1272 115418

Wenxian 11NI 3739 0 0 448.6 492 44836 492 569 45783 379 30885 190 14898 Yuanyans 223 # 56 245 905 1 10340 103 131 245 21540 245 21540

Page 69 Water supply (Nos. m') Power supply (km. Nos) Roadsoutside village Cultivated land allocated

Punipedwells Ponds(water tower High voltage lines Transformer Planned Completed Planned Completed

Pla:ined Comipleted planned Completed planned Completed Planned Completed (kni) (km) (mu) (mu)

49 36 2505.4 3118 126.U4 97.05 63 45 85.204 65.06 38780.5 34466.7

20 14 855 170 38.48 13.81 21 12 32.47 18.68 12120.6 11193.1

7 5 319 750 21.8 17.3 9 5 20.05 17.5 6148 5336

9 8 405 1500 35.7 39.3 13 14 14.91 14.5 6222.2 6375.2

3 l 222 250 4.73 3 4 3.084 1.5 150

h6 4384 310 12.57 14.35 _1 7 J155 4.98 8364.1 8651

3 l 224 78 11.46 5.46 5 2 5.59 2.35 4959.6 1713 l l 52 60 2.1 2.1 l l 3.55 5.55 916 1198.4

Page 70 Table 7-3 Labours and Iand Allocation of Phase I Resettlement

ResKdetialPlace Nos of Resenlersand Labours Allocagionof Impted Land Cultivated Land

County Namneof Nameof Host Planned Labours Planned Completed Planned Complet City Villagesto be Aras (mu) (mu) (mu) ed (mu) resenletl House- Persons holds

Total 12871 42425 19348 38780.5 34466 7 31765.5 26653.7

Jiyuan 3747 13277 6055 12120.6 11193.1 12120.6 11193.1

Liangan Zlongwang 386 1407 642 1290 992.9 1290 992.9 Zhuyu Dongguolu 2F3 1006 459 S82 759.7 882 759.7

Luoyu Fansi 222 833 380 865 904.1 865 904.1

Niuwan Deiyao 75 347 158 329 240.3 329 240.3

Changun Dayi 414 1565 714 1662 1514 1662 1514 Zbhngling Zhongzhuang 216 800 365 780 608 780 608 Lzmang Marou 226 865 394 797 897.2 797 897.2 Lu1-u1ing Shumun 235 844 385 681 596.9 681 596.9 imodni Guozhumg 334 1250 570 1172 1109.8 1172 1109.8 =Guanyang LWin 538 1960 894 1647 1656.8 1647 1656.8 Beigou Miodamn 283 1025 467 944 930.3 944 930.3 Shiniu Bciwangzluan 142 514 234 419.6 410.2 419.6 410.2

______S ______Dajio Qudoag 1I8 697 318 652 556.2 652 556.2

Bcizi 205 164 75 16.7 16.7

Mengjin 1568 5095 2324 6148 5336 2192 2187 EZbeuli Pingle 1164 3851 1757 4775 4100 1518 824 Qmuhe Suzhuang 404 1244 567 1373 1236 674 363

Xin'n 2187 6727 3068 6222.2 6375.2 3223.2 2906.2

Dazlang Wangaluang 384 1284 586 1235 1449 553 540

Yiandong Kechang 488 1170 534 1053 1070 533 540 Magou Wanp Bug 311 1022 466 1042 1217 508 6225

Page 71 Table 7-3 Labour and Allocation of Cultivated land

Residential Place Nos of Resettlersand Labours Land Allocation Irngated Land

County. Name of the Name of Planned Labours Planned Completed Planned Completed city Village to be Host Area Imu) (mu) (mu) Resettled House- Persons holds

Huangpo Qingshiling 191 683 311 961 971 170 0

Huilin Gaoping 218 738 337 672 492 260 135

Longqu Zhangli 297 922 420 926 2 926 2 926 2 926.2

Tadi Houyu 91 289 132 333 250 273 0

Comprehensiv Wangzhuang 207 619 282 c resetlement

Yim; 1737 5549 2531 150 0 150 0

Kuangkou Yim; 1735 5549 2531 150 0 150 0

Mengxian I

Xiwo Xipo 1098 3547 1617 3718 4400 3718 4400

Beichun Chemitry 310 1071 488 1128.8 1282 1128.8 1281 factory

Yianxi Chemitry 718 2223 1014 2964 2520 2964 2520 factory I

Tadi Chemitry 95 341 156 453 3 450 453.3 450 factory

Wengxian 1181 3739 1705 4959.6 1713 4959.6 1678

Yiandong Xiangyun 392 1300 593 1713 1713 1713 1678

Hexi Zhaoxian 530 1602 730 2135.9 0 2135 9 0

_ongqu Xiangyun 249 837 382 11007 0 1110.7 0

Yuanytng 233 856 390 916 1198.4 856 10384

Huangpo Xinyang 233 !856 390 916 1198.4 856 1038.4

Page 72 Table 74 Newly-builtEnterprises for Phase II Resettlementand the Implementation Progress

City (couny) Township where Name of Etenrrert Implementation Completed inputin 10.000 emapnfS is Siuaion ylun)

Jiyun cIty (Totlly 7) .

Dayu I.Farm of Dayu Xr. Put into operation S0

2.Qubng piaic film factory Put ifw operaion 200

3.10000 ton tye a coke projec Under conuucfion 320

4.Galodscsfaunty Under constrlction 200

Xi"yie 5.Xinfeng coal mrm Under constrution ISo

Slaoyusn 6.No. I pit in Shaoyuancoal mnue Put ino operion 45

7_Rec_otuarcion of Shaoya cokig factory In prapamion stae tOO

Mengjin Totally 12 county

Original Wuyi I.Special me facory Under consetuct 3000 coal mine 2.Fumiture factry Under consgruction

3.Arlar (orging facty Under coomuction

4.Mgtaol facory Complted

S.Forgng pns fatory Compbeed

6.Phosphoe fenilizer fctory CopMed

7.Fuimi forging ary Compked

Mciyao 3.Hydrmlic preame auiopment factory Put ikwo operaton 200

9.Bearing accenry fatory Under centiucion

I.Qinghe coatere al foundry Put inmooption

II .Qaghe prefabrication feony Put int operaion

______12.*oui villae hydrrauicp factory Undr tion

Xin-an Totlly 5. eoumy ___

Wiwo I .Cleical fory Put imo opemIn 120

2.Xiro in canker at factry Umder comactio 60

3.Maou villgte fining ukn. Under corucition 91

Changloti 4.Chu*ou Xiuig maag mn f aDcry Compltd 380

5.Deqi ville chmicl faetory Put knu pilot opatdo 67

Yirta cay 4 in otal 1S5

I.Caemt product factory Put ito opemion 570

2.Elctmmagnedic powe factory Put into tieaion 4664

3.Thermal pln Unde cotnncunon 3XI0

4.MetltJc factiry Under coturucion 10735

Page 73 Table 7-5 Adjustment of Credit Amount Allocation (up to December 31, 1996)

Categories Credit Allocation in Adjusted Credit Credit Expenditures Credit Agreement Allocation on Feb. Percent (%) (SDR) 17, 1995 (SDR) 1. Works (a)House 17,790,000 41,650,000 unchanged construction (b) Others 19,600,000 190,600,000 unchanged 2. Goods unchanged (a) Vehicles 2,190,000 2,190,000 unchanged (b) Others 30,270,000 6,410,000 unchanged 3. Consulting 2,480,000 2,480,000 unchanged 4. Training 730,000 730,000 unchanged 5. Environmnental 800,000 800,000 unchanged Management 6. Unallocated 6,040,000 6,040,000 Total 79,900,000 79,900,000

Page 74 Table 7-6 Credit Agreement Performance (up to December 31, 1996) Category Name Credit Amount Withdrawn Completed SDR Equivalent (USD) (¶M) USD I Works 61,250,000.00 84,370,000.00 44,119,310.42 52.29 (a) House 41,650,000.00 57,370,000.00 30,029,306.87 52.34 construction (b) Oters 19,600,000.00 27,000,000.00 14,090,003.55 52.19 2 Goods 8,600,000.00 11,830,000.00 664,232.36 5.61 (a) Vehicles 2,190,000.00 3,000,000.00 381,389.30 12.71 (b) Others 6,410,000.00 8,830,000.00 282,843.06 3.20 3 Consulting 2,480,000.00 3,400,000.00 1,741.740.77 51.23 4 Training 730,000.00 1,100,000.00 28,097.64 2.81 5 Environment 800,000.00 1,100,000.00 132,386.69 12.04 a] Management 6 Unallocated 6,o40,000.00 8,300,000.00 Total 79,900,000.00 110,000,000.0 46,685,767.85 42.44 0

Page 75 Table 7-7 FundsAllocation for the ReservoirArea

______.______asof: Dec31 1996 lO,OOOyuan

Plannedby Fm.ignFund ISen Shanxi Wennmnga HInde _ -a Special Physica Oe Fnito,es Tnhnl C-nd Tml_

Subtotsl Local Foeign Yew YRHXlDCRO S Sulbw Local Foegn Subolal Loc Forep Soblal Local Foeipn Subwola Locul oenign lens Above Indices|Subsl Staup and Odwn Subloll Local Fund ForeignFund

I Fund Fund Fund Fond Pond dai Fon uPid CountyLoel Recheck Oved=ead Fund Fund

1992 3.300 2.63S 662 3.300 3.300 3,300 3.300

1993 ~~~10,000 1921.515 38 000 1,0 13.300 13,300

Toul I2-1993 13,30D _ 10,50 _ 2,177 13,30 1,300

38.300 38,300 1994 25,000 6545.007 2000 2.203 2380 160 252 207 45 23.000 25,000

______54,323.559 I_____

995 71,00 20191,107 646000 51,300 12,500 4,600 3.600 2000 201,10 14,010 61300 300 300 1,290 1.030 260 91,3007 S,000e0.300 129.6t0 s09,300 20,300

170.964.281 IIIa,1

33,750 1996 82,800 19,542,654 52,150 46,400 5.750 12,400 9,700 2,700 17.230 12,230 5,000 2.200 2,200 _1,00 11,270 713 10.487 96.250 82,800 13.4S0 225,850 192,100

162.204.026 ____

TODI 192-1996 192,100 46,t65,768 146.733 128S4S3 13.250 21,383 17,683 3.700 40.420 28,620 1.5W00 2.660 2,660 1300 383 12,972 2.10 10.792 225.850 192.100 40.750

387.491,873 8. Revision and Approval of the Resettlement Cost Estimates

8.1 Revised Compensation Standard

The compensation standard followed by the MWR is based on the Land Management Law which involves ownership right, use right of the land, land development and utilization, land protection, management of the land used by the national and local govermnents and the legal assignments for performing this law. The Regulations on the Land Requisition and Resettlement for the Large and Medium Sized Hydropower Projects, as complementary of the Land Management Law, is considered as the main basis of defining the standard by MWR who has decided to estimate the public property and private property respectively in order to fix the compensation money for inundated items.

A series of economic systen reform has been carried out in China since the project evaluation started in 1994 and the socialist market economic system has been gradually established. For the purpose of protecting the rights and interests of the inundated people and the relocatees' private properties, the compensated items and compensation standard have been revised and supplemented and improved since the technic construction design (started in 1995) on the basis of new policies, laws and regulations and market conditions.

- land compensation: the payment of land compensation cost only presents the transfer of the land use right not the loss of the land ownership. Land compensation includes two parts: land compensation mnoneyand resettlement allowance which are calculated according to the annual average output value in the latest three years before land occupation. The output value is the total output value of the agricultural products calculated at the market price. In the light of the national land law, the land compensation money is 3- 4 times of the annual average output value and allowance is counted according to the land per capita and is 2 - 3 times of the annual output value, the comprehensive compensation standard is 5 - 7 times of the annual output value. In the special case, if the land per capita is more than I mu in villages, the comprehensive standard does not exceed the 8 times; if the land per capita between 0.5 - I mu, the standard not exceed 12 times; if the land per capita less than 0.5 mu, the standard not surpass 20 times. In the technic construction design, taking the administrative village as one unit, the compensation standard of XLD Resettlement Project is decided in line with the Regulations on the Land Requisition and Resettlement for the Large and Medium Sized Hydropower Projects, land per capita before reseltlement, change in net income per capita before and after resettlement. The submitted and reviewed land comnpensationfor relocatees below El. 180m is fixed as 5.02 - 9.9 times and are to be finalized by the SPC. The compensation cost is paid to the towns and villages receiving resettlers not to the resettled towns and villages so as to restore the resettlers' production measures and make up the production and livelihood losses and impacts of the host area caused by allocating land to the resettlers. The production measures and investment should be suitable to the local actual conditions to ensure the compensation cost to play an effective role.

compensation for houses and caves: the price of compensation for the houses and caves

Page 77 directly impacts the reestablishmentof the relocatees' livelihood and production. The compensationshould be calculatedin typicaldesign according to the structuresand stylesof the housesand dwellingcaves and on the basis of the estimatednorm for constructionand erection works and all materialprices are based on the marketprices at the end of 1994 respectively.

unit price for infrastructure:the unit prices of the resettlement-relatedroads (highway, street, etc.), power, communication,broadcasting and water supply facilities for human and animalsare fixed in specificdesign for every item or in typical designrespectively.

---- compensationstandard for industriesand mines:the compensationfor productionfacilities is based on the replacementvalue (at the price of the end of 1994) and the wear degree; compensationfor the houses and dwelling caves, land occupationand infrastructure(power, road, communicationand water supply, etc.) is calculated accordingto their compensation standards respectively. For the enterprises relocation, the losses by suspend operation and relocationcost should be considered.

---- compensationstandards for other items: the compensationfor auxiliaries, agricultural sideline facilitiesis calculatedin accordancewith their preliminarilyspecified standards and their correspondingprice indices (index of retail price, price index of the social service items and retail price index of rural constructionmaterials).

The revised compensationstandards are more than 1000 which is beyondthe generalstandard of preliminarydesign. See table D.1 for main compensationstandards.

8.2 Revised Resettlement Cost Estimate

8.2.1 Reasons and Basis of Revision: The previous state approved investment plan for resettlementcan not ensurethe resettlementimplementation to carryout smoothlydue to changes of the physicalindices in the reservoir area, policies,and resenlementprogram. Therefore,the resettlementcost estimateis revised on the basis of recheckresult of physical indicesin 1994, previouscost estimatefor Phase I resettlementin the reservoirarea (at El. 180mand its affected area) and the features of the resettlementbetween El.180 - 265m and 265 - 275m in the reservoir area.

8.2.2 The revisionis based on the market price at the end of 1994. The detailed quantitative calculation(typical design) is carried out for every item with unit price according to item's elementswhose unit pricesare based on the pricesof localcontract, labor cost, actualwork time and materials input. The cost of equipmentis basedon the latestoffer; the price contingency: local fund is counted at 7% of annual profits and the WB loan is countedat the rate of 4.6%. See Annex 6 for details.

8.2.3 The reviseddynamic cost of resettlementin the reservoirarea is RMB8312 millionyuan, of which 7626 million yuan for the reservoir area resettlement, 565 million yuan for Wenmengtantraining, 121 million yuan for Houhe reservoir (73 million yuan for dam, 48

Page 78 million yuan for irrigation district). The static cost in 1994 is RMB 6436 million yuan, of which 5819 million yuan for the reservoir area resettlement, 510 million yuan for Wenmengtan training, 107 million yuan for Houhe reservoir (63 million yuan for dam, 44 million yuan for irrigation district).

The revised dynamic cost of the resettlement is more 61.55% than that one in the WB appraisal report (RMB5145.3 million yuan), which shows that the Chinese Government is responsible for and pays more attention to the resettlement. See table D.5 for the comparison of revised cost and cost in WB appraisal report .

8.3 Proress of Resettlement Planning and Budget Approval and Necessary Measures

Phase I resettlement implementation plan for the reservoir area, which has passed the preliminary review of MWR and SPC, will be approved formally by SPC in March 1997. From the review results, the reviewed cost by SPC is higher than that one by MWR. Organized by YRWHDC, Phase II and III implementation plans are being prepared by RPDI, with assistance of Henan and Shanxi provincial government, are to be submitted to MWR for review before June 1997 as required by MWR, and formally approved by SPC in 1997. The approval budget will be put into effective annually by means of static control and dynamic management. The existing main problem is the compensation for industries and mines in the reservoir area. The State Planning Commission indicated that there were great difference between the investigation results in 1994 and actual conditions of the industries and mines and suggested to reduce 20% of the compensation during reviewing the Phase I resettlement implementation planning and design. In order to present fairness, rightness and seeking truth from facts, with the assistance of Henan and Shanxi provincial governments and YRCC playing an important role, YRWHDCRO will organize and engage the Accounting Affairs Office to check and register all items of industries and mines in the reservoir area and finish it at the end of April, 1997 without impact on cost estimate approval.

8.4 Approval on Price Difference Adjustment Index

The resettlement planning and cost estimate are made on the basis of the price at the end of 1994 and annual implementation cost is adjusted in price difference according to the resettlement progress. The price difference was adjusted at the rate of 6% when the SPC reviewed Phase 1 resettlement in the reservoir area and will be adjusted according to annual cost allocation when the price difference adjustment is actually conducted.

8.5 Temporary Measures of Rese_lement Cost Estimate and Compensation Cost Adjustnent

---- Resettlement Cost Estimate: In accordance with the resettlement implementation progress, the local resettlement agencies (two provinces) can propose the annual resettlement plan and YRWHDCRO can allocate the estimated resenlement cost on the basis of the state-approved cost estimate standard.

Page 79 Temporary Measures of Compensation Cost Adjustment: Some temporary control standard have to be taken due to delay in review and approval of the Phase I resettlement implementation planning during the implementation to meet the requirements of resettlement progress. Phase I resettlement implementation started in 1995, however, the report on implementation planning was officially not approved by the State. Therefore, a complete temporary control standard was worked out and properly revised after MWR prereviewed Phase I resettlement implementation planning and will be given further adjustment to carry out after SPC's review on the Phase I resettlement planning in March, 1997.

Page 80 Table 8.1 Summary of Cost Estimates for El. 275m Relocatees

Descriptions Total Henan | Shanai | Other 1. Rural Area 329253.51 242334.82 86918.69 I.Allowancefor land compensation 145749.98 103315.12 42434.86 2. Rural residentialsites relocation 169987.81 129322.06 40665.75 (a) Houses 104500.85 78155.25 26345.60 (b) Oters 65486.96 51166.81 14320.15 3. Compensationfor agriculturalsidelines 3494.38 1973.76 1520.62 4. Compensationfor small-sizedhydraulic facilities 10021.34 7723.88 2297.46 11 Town Relocation 16817.63 9899.73 69179 1. Houses 10450.91 5764.95 4685.96 2. Others 6366.72 4134.78 2231.94 111.Cost of Industrialand mineralenterprises and 124128.52 97067.92 27060.60 roads relocation 1. Institutesoutside towns 1450.91 776.55 674.36 2. Compensationfor industrialand mnneralenterprises 85360.00 70136 15224 3. Cost of thespecialitems such as roads etc. 37317.61 26155.37 11162.24 (a) road 27449.85 19267.69 8182.16 (b) poweT 5928.82 3985.52 1943.30 Sc)conmmunication | 988.71 732.38 256.33

I (d)broadcastinig 1185.79 886.78 299.01 (e) compensationfor pumpingstation in the reservoir 130.00 130 ambience (f) compensationfor ferriesand ferryboats 73.00 73.00 (g) restoringthe transportationin the reservoir 1561.44 1080 481.44 ambiecXne IV ResemvoirClearance and Public Health 1251.00 909.35 341.65 V Compensationfor SpecialItems 2484.82 1925.34 559.48 VI Relocation& ConstructionCost for the Large 16897.48 16897.48 SpecialItems above County Level (to becontinued)

Page 81 Descriptions

VII Overhead Cost 7469.05 74609.05

(a) Implementation management 12724.99 14724.99

(b) Reconnaissance and design 7362.49 7362.49

(c) Reconnaissance and design of design institute 6184.50 6184.50

(d) Scientific studying 2454.16 2454.16

(e) Supervision and Monitoring 4908.33 4908.33

(f) Technical training 1646.27 1646.27

(g) Contingency 34358.31 34358.31

(h) Counterpart funds with the WB 1050.00 1050.00

(i) Startup cost for resettlement agencies 1920.00 1920.00 VIII Taxes for Farmland Occupation 16425.03 12340.86 4084.17

Total 581867.04 364478.02 125882.49 91506.53

Page 82

Annex D

Resettlement Cost Estimate

Page 83

Compensation and Subsidy Standards of Resettlement of Xiaolangdi Project Table D. I

Unit Unit price (in Yuan) Remarks l______DesCription

A. Rural resettlement

I.Land compensation and subsidy Annual output value per mu 1. Cultivated land mu Times calculated in village

Irrigated land mu 920 Ditto

Dry land mu 407 Ditto Flood field mu 664 Ditto

Vegetable field mu 920 Ditto 2. Garden plot mu Orchard mu 2033 Ditto

Other garden mu 800 Ditto 3. Forest field mu

Economic forest mu 240 Ditto Timber forest mu 800 One time for all Fuel forest mu 400 4.Nursery for plants mu 920 Times calculated in village S. Ponds mu Times calculated in village fish ponds mu 1144 Times calculated in village Reed ponds mu 400 Times calculated in village 6.Grassland mu 40 Timescalculated in village lI.Living funds in resenlemnent Times calculated in village compensation I.Compensation for houses and mn' kilns

a.Main houses and kilns m' According to typical design, l______including the old materials Houses made of prefabrci m' 203 |materials Brick and wood houses m' 198

Page 84 Compensation and Subsidy Standards of Resettlement of Xiaolangdi Project Table D. I Items Unit Unit price Remarks | ______(in Yuan) High brick houses m2 198

Wood and earth houses i 2 162 High Wood and earth houses m2 162 Brick and stone kilns m2 194 Earth kilns M2 105 Houses made of mixed Ml 180 materials b. Other houses and kilns mZ2 Brick and wood houses m2 119

Earth and wood houses m2 97 Brick and stone kilns m2 116 Earth kilns m2 40 2 Thatchedcottage m 62 Simple houses mz 62 2.Compensation for axillary structures a. Personal Enclosing walls m2 17 Mixed enclosing walls M2 12 2 Earth enclosing walls m 7 _ Decorated walls M2 17 Gateway arch m2 145 Cellars Nos 233 Water cellar Nos 466 Toilets Nos 155

Page 85 Table D. I Compensation and Subsidy Standards of Resettlement of Xiaolangdi Project Items Unit Unit price (in Yuan) Remarks Flue m2 162 Excreta pit Nos 20 Wells Nos 1552 Cooking ranges at al Nos 78 Poultry roost Nos 30 Cattle booth Nos 20 Pigpens and sheep pens Nos 124 Ponds m3 23 Methane pit Nos 279 Water tower Nos 6200 b. Public Same as for personal ones Water tower, water Nos Not be compensated cellar, well and pond Stage Nos 79200

Flower garden Nos l0__ _ |Ground mu 1628

-§3.Miscellaneous trees L a. Fruit trees Nos Bearing fruits Nos 92 Not bearing fruits Nos 10 b. Timber trees Nos Big trees Nos 40 Small trees Nos 12 Young trees Nos 4 4.Transportation management

Page 86 Compensation and Subsidy Standards of Resettlement of Xiaolangdi Project Table D. 1

Items Unit Unit price (in Remarks Yuan) a.Move of naterials 1)Personal Nos Within township Nos 64 Outsidetownship Nos 142 Yima, Mengxian Nos 352 Yuanyang Nos 693 2) Public Nos 3950 b.Loss of move Nos 20 c. Compensationfor workingtime loss Nos 54 d. Subsidyfor takingvehicles or ships and Nos 5 mnedicalcare c. Subsidyfor temtporaryhouses Nos 1S0 5.Ruralridential sites construction ____ I) land requisitionin new site Sameto someof the standards for mral areas 2) Site preparation = _

Volumeof earth excavation ml 4.4 Slope protection m3 62

3) For drinking water _ a. Motor-pumpedwells m 605 b.Accessoriesto the motor-pumpedwells Pump Interpolation 200 m Nos 30000 100 m Nos 17000 0 m Nos 10000 10 kv lines Nos standardcorrespondent to ,______specialitem

Page 87 Compensation and Subsidy Standards of Resettlement of Xiaolangdi Project Table D. 1

Items Unit Unit price Remarks .___(in______Yuan) 380 v lines Km Standardcorrespondent to low voltage lines Distributionchamber km Standardcorrespondent to low voltage lines Subsidyof power project Nos Standardcorrespondent to low voltage lines c.Facilitiesfor water storage KVA Storage pond M3 70 Water tower M3 325 d. Delivery pipes . 13.2 cm cast iron pipe m 81 3.6 cm cast iron pipe m 36

e.Yima delivery pipes ______D-200mm castironpipe m 163 D=l50mmcastironpipe m 117 D=lOOmm steel | 9 D=75mm steel pipe m 64 D=SOmmsteel pipe m 48 D=40mm steelpipe m 43 e. Hydrant at the site of Yima Nos 1200 4) Drain works m a. Drains inside village 0.4xO.5m main drain m 40 0,2xO.24mlateral drain m 20 b. Drainage works of Yima D=-120mmcast iron pipe m 47

D= 200mm concrete pipe i 67

Page 88 Compensation and Subsidy Standards 47 of Resettlement of Xiaolangdi Project Table D. I

Items Unit Unit price Remarks l ______(in Yuan) D=300mm concete pipes m 81 D-400nm concretepipes m 110 D=400mm reinforcedconcrete pipes mn 149 Concreteseptic tank m 335 Sewage-treatmentplant Accordingto the implementation I______plan 5) Streetsinside village Thesame standard as thatfor township Mainstreet km 58000 Lateral street km 20000 6) Waterfor constructionuse Ds7Smm plasticpipe m 22 Ds=5(nm plasticpipe m 15 Ponds m'3 70 Constmctionroad in Yima m 58 8) Switchhouse for domnesticpower I |nterpolationI 30 KVA Nos 17000 50 KVA Nos 21000 100 KVA Nos 25000 200KVA Nos 36000 315 KVA Nos 43000 SO0KVA Nos 50000 Low voltage line for domestic power 380v km 3000 220v km 17000 Subsidyfor Domesticpower KVA 280

Page 89 Compensation and Subsidy Standards of Resettlement of Xiaolangdi Project Table D. I

Items Unit Unit price Remarks

______(in Y uan) ______I I)Subsidyfor broadcastand lighting Nos 68 111Subsidy for agricultureand sidelineactivities (not includingtransportation) 1) Subsidyfor facilityloss a. Processingindustry Nos 147 b. Constructionmaterial industry Brickand tile kiln Nos 7390 Limekiln Nos 730 c. Commerceand service Nos 147 Others Nos 147 1) Transportationfor move Nos 198 2) Loss for Idlingperiod Nos 300 IV Water conservancy facilities I)Smallhydraulic power station km 3680 2) Reservoirs ml 4 3) Irrigationand drainage facilities mu 407 4) Rehabilitationof water-liftingstations around Nos 0.4 millionfor Shitoushan0.3 the reservoir million for others B. Move of industriesand mines I) land use compensation mu Samestandard as that for rural _ dry land 2) Compensationof axillariesof housesand m2 Total price of resettlement dwellingcaves___ 3) Compensationfor infrastructures = Total price of resettlemnent 4) Compensationfor productionfacilities Total price of resettlement 5) Compensationfor equiptnents___ a. Can be mnoved 15% Total price of resettlement b. Can not be moved Total price of resettlement

Page 90 Table D. Compensation and Subsidy Standards of Resettlement of Xiaolangdi Project Items Unit Unit price Remarks ______(in Yuan) 6. Loss for idlingperiod Nos 296 20% of the total amountof annualsalaries, benefits and taxes 7.Transportationfor move C. Investnentfor moveof institutionsnot belongingto the township

1) Compensation a. Compensation for land of living Same standard as that for some ______ruraldry lad b .Compensationfor housesand kilns Sameas for township c. Compensation for axillaries Same as for township d. Miscellaneoustrees 296 Sameas for rural areas

e. Transporationfor move Nos 1357 _ f. loss of commerial facilities Nos 529 g. loss of idlingperiod of commerce Nos 2) Plan 1)Site preparation 2) Supply and drainage of water =_- i3) Roads _ Selecta specialstandard based on actualconditions 4) Communication Ditto S) broadcast-g = __ Ditto 6) Power Ditto

7) Cableway Dismantlementand move Nos 200000 Resettlementof the staff Nos 20000 D. Moveof townships

1. Compensation _ I)Compensationand subsidyfor The same standard as that for productionland land requisitionin Xiwovillage

Page 91 Compensation and Subsidy Standards of Resettlement of Xiaolangdi Project Table D. 1

Items Unit Unit price Remarks (in Yuan) 2) Compensationfor housesand kilns 1.1 a. Mainhouses and kilns -m' Housesmade of prefabricmaterials m2 223 Housesof brick and wood m9 218 High brick houses m 218 Housesof earth and wood m2 178 High earth houses ttr 178 Kilnsof brick and stones 213 Earth kilns m2 105 Housesof miuxedmaterials m2 198 b.Minor housesand kilns Housesof brick and wood m2 131 Housesof earth and wood lm 2 107 Kilnsof brick and stones | 128 Earth kilns mr2 40 ThatchedCottage l 2 62 Simplehouses Ml2 62 2) Compensationfor axillaries Sameas rural area Toilets Nos 776 Chimney Nos 1000 Threshing ground ml 10 Miscellaneoustrees Sameas rural area 5) loss of comniercialfacilities Nos 1357 6) loss of idlingtime of commerce Nos 529

Page 92 Compensation and Subsidy Standards of Resettlement of Xiaolangdi Project Table D.1 Iems Unit Unitprice Remarks l ______(in Yuan) 7) Transportationfor move Nos 296 Accordingto the implementationplan 2.Buildingof new township Samestandard as that for Xiwo village land requisition I) land requisitionfor new site 2) Site preparation and protection works a. Sje preparation Earth excavationvolume m3 4.4 Extra fillingvolume m3 2.5 b. Protectionworks m3 42 3) Watersupply works Accordingto the implementationplan a. Water-lifting works PhaseI works Phase 11reconstnuction works b.Water supplyworks I) water tower Nos 27000 2)Accessaryof puMp Nos 10000 3)Cast iron pipe for water supply = DN150 (diameterof 6 inches) m 117 DN 100 (diameterof 4 inches) m 81 DN 50 (diameterof 2 inches) m 36 Pipes to households(0.8 inch) m 19 Fire hydrantsoutside house Nos 1200 Valve well outsidehouse Nos 600 4) Drainage works = a. 0.4mxO.5m m 47 - -7

Page 93 Compensation and Subsidy Standards of Resettlement of Xiaolangdi Project Table D. I

Items Unit Unit price Remarks (in Yuan) b.0.3xO.4m m 30

5) Streets l a.Main street km 320000 b.Lateral street km 100000

6) Power facilities l a. Switchhouse Nos Sameas rural area b.Power station KVA 280 c.Lines along street(380v) km 30000 d.Lines to households km 11850

7) Communication facilities l a. Compensationfor moveand build of Nos 3875 facilities b. Open wiringalong street km 18000 c.Lines to household km 8888 8) Broadcastfacilities a. Broadcastamplification station Nos 9875 b. Broadcastlines alongstreet km 10400 E. Plan for special works in host areas 1)Roads a. Highwayat countylevel Tarred road (in mountainareas) Km 650000 b. Highwayat countyand townshiplevel (1) Tarred road In plain area with few hills km 480000 In mountainarea km 680000

Page 94 Compensation and Subsidy Standards of Resettlement of Xiaolangdi Project Table D. I

Iters Unit Unit price Remnarks (in Yuan) (2) Sand and gravel road In plain area with few hills km 280000 In mountainarea km 520000 c.Road in townshipand village(sandand km gravelroad In microtopograghyplain km 160000 In mountainarea km 250000 e. Tractor-ploughingroad in Wenmengtan km 30000 d. Temporaryroad for mnove km 15000 2)10 kv lines In plain km 64000 In hilly area km 72000 In monotainarea km 82000 3) Communication a.Line at countyand townshiplevel 18000 b.Line at townshipand villagelevel km 16000 4)Broadcast Linesat county and townshiplevel km 15300 Linesat townshipand villagelevel km 10400 Televisionrelay station Nos 38750 F.Ferry,ferry boat Ferry Nos 5000 ferry boat Nos 20000 Specialworks rehabilitationaround the reservoir 1. Roads

Page 95 Compensation and Subsidy Standards of Resettlement of Xiaolangdi Project Table D. 1

Items Unit Unit price Remarks (in Yuan) l a. Supplementaryroads Basedon implementationplan b. Improvementof townshipand villageroads km 125000 c. Others Sameas specialworks 2.Powertransition facilities a.25kv line Based on implementationplan 35 kv substation Nos Basedon implementationplan c. Others Same as special works 3. Comnmunicationfacilities Sameas specialworks 4. Broadcastfacilities Sameas specialworks

H.Subsidy for special items l 1. Compensationfor land requisition accessories I) For generalaccessories a. Productionland mu 133 b.Livingland mu 133 2) For specialaccessories a. Dismantlementand reset of communication line in Yima city __l (1) Power lines 35kv line km 170000 10kv line km 72000 (2) Communicationline Opticalcables km 100000 Cables km 160000 b. Compensationfor moveof specialground accessoriesin Menxian Explorationof relicsin townshipand Yima

Page 96 Compensation and Subsidy Standards of Resettlement of Xiaolangdi Project Table D. 1

Items Unit Unit price Remarks (inYuan) 3.Waterlogging drainage works in According to implementation Mengxian plan a). Land used mu Sameas the rural standard b).Canals(1.Sxim) m 85 c).Stations Nos 241000 yuan 1)Reservoir clearing a. Structure clearing -

(I) Units under the control of the Nos 198 township (2) Rural houses Nos 40 (3) Industriesand mines Nos 296 (4) Units not under control of the Nos 198 township _ _ _ _ _ b. Sanitation (1) Toiletsexcreta pit, and rubbish Units under controlof the township Nos 40 Ruralresidents Nos 20 Mines and industries Nos 40 (2) Hospitals,veterinary stations Nos 99

(3) Move of tombs _ _ Singlecoffin Nos 136 Doublecofftn Nos 204 c.Forest clearing mnu Forest fielddm 30 Garden field mu 30 Miscellaneoustrees mu 30 2.Large specialworks at and above county level

Page 97 Compensation and Subsidy Standards of Resettlement of Xiaolangdi Project Table D. 1

Items Unit Unit price Remarks l ______(in Yuan) (1) Moveand buildingof the 4th prison Compensationbased on physical in Henanprovince propenies and restorethe previous functions (2) Move and buildingof the hydrometric Ditto station (3)Treatmentfor relicsand historicalsites Accordingto the implementationpLan (4)Rehabilitationof bench mark in Restorethe previousfunctions triangulationspot of in the reservoirarea K. Land use taxes mu 720 L. Other costs (I) Cost of administrativemanagement 3% of the amountof A-i (2)Cost of explorationand design 2% of the amount of A-J (3)Cost of exploration and plan 1.76% of the amount of A-J (4)Cost of scientificresearch 0.5% of the amountof A-i (5)Cost of supervisionand monitoring 1% of the amount of A-i (6)Cost of technicaltraining 0.5% of the amountof A (7)Cost occurredwhen cooperatingthe 4.5 world bank's work million Physical contingency _ 01% of the amount of A-i

Page 98 Table D.2 Revised Cost for XLD Reservoir Inundation Treatment (Unit: 10000 yuan Items WholeReservoir HenanProvince ShanxiProvince Remarks Area I RuralResetlement Cost 329253.51 242334.82 86918.69 (i) LandCompensation 145749.98 103315.12 42434.86 1. farmland 103734.74 76255.99 27478.75

2. orchards 34610.84 21764.86 12B45.98 3. forestry 6175.24 4528.61 1646.63 4. pond 611.48 508.26 103.22 5. grasshnd 617.68 257.4 360.28 (ii) Resettlers'Livelihood 169987.81 129322.06 40665.75 Developimer 1. housesand dwelling caves 104500.85 78155.25 26345.60 2. auxiliaries 16957.73 12998.94 3958.79 3. mescellaeoustrees 15229.27 12003.16 3226.11 4. newvillages construction 28176.89 22139.37 6037.52 at costper capita 5. transpofationcharges 5123.07 4025.34 1097.73 (iii) Compensationfor 3494.38 1973.76 1520.62 AgricukumlSidelines (iv) Compensationfor Hydraulic 10021.34 7723.88 2297.46 Facilities 11.Towns Relocation and 16817.63 9899.73 6917.90 Construction (i) CompensatedItems 13197.47 7743.93 5451.54 1. landfor production 4.4.98 321.4 83.58 2. housesand caves 10450.91 5764.95 4685.96 3. auxiliaries 792.98 306.65 486.33 4. miscellaneoustrees 87.42 36.8 50.62 5. lossof thefacilities of 11.94 9.23 2.71 comnercialunits 6. ss causedby suspend 102.20 81.78 20.42 operation(conmercialunits) 7. compensationfor industries 1046.04 1046.04 andmines 8. transportationcharges 301.00 179.08 121.92

Page 99 Table D.2 Revised Cost for XLD Reservoir Inundation Treatment (Unit: 10000 vuan) Items Whole Reservoir Henan Province Shanxi Remarks Area Province

(ii) Planned Items 3620.16 2153.8 1466.36 cost per capita of planned people

111Special Items such as Roads 124128.52 97067.92 27060.60

(i) Relocationand constructioncost for 1450.91 776.55 674.36 institutes outside towns

1. compensated items 1211.27 598.9 612.37

(I) land for production and livelihood 476.64 83.18 393.46

(2) houses and caves 607.42 440.54 166.88

(3) auxiliaries 81.16 38.73 42.43

(4) mescellaeous trees 7.55 7.55

(5) facility loss of commercial units 2.99 2.58 0.41

(6) loss caused by suspend 16.76 12.42 4.34 operation(comMeTicial units)

(7) transportation cost 18.75 13.9 4.85

2. planned items 239.64 177.65 61.99

(ii) industries and mines 85360.00 70136.00 15224.00

(iii) special items such as roads 35553.17 24872.37 10680.80

1. roads 27449.85 19267.69 8182.16

(1) county level roads 14425.80 9789.8 4638

(2) county-town roads 5998.24 3796.24 2202

(3) vilhge roads 5780.64 4523.04 1257.6

(4) road for tractor ploughing 846.00 846

(5) temporary road for relocation 399.17 314.61 84.56

2. power 5928.82 3985.52 1943.3

3. communication 988.71 732.38 256.33

4. broadcasting 1185.79 886.78 299.01

(iv)pumped stations around the reservoir 130.00 130.00

(v) terries and ferryboars 73.00 73.00

(vi) traffic restore around the reservoir 1561.44 1080.00 481.44

Page 100 TableD.2 Revised Cost for XLD Reservoir InundationTreatnent Unit 10000yuan hIems Whole Reservoir Henan Shanxi Remarks Area Province Province

IV. Reservoir Clearance Cost 1251.00 909.35 341.65 V. Compensationfor Special Items 2484.82 1925.34 559.48 VI. Relocation& ConstarctionCost for 16897.48 Special Items above County level (i) Henan Provincial FourthPrison 6615.68 (ii) hydrologicalstation 542.39 (iii) cultural relics 2281.44 (iv) bench mnrk reloation & 242.7 construction (v) 220kv transmissionlines 836.55 (vi) national defence communication 542.2 (vii) Zhongtiaoshanwater supply work 81.161294.02

(viii) power supply for the reservoir area 7.554542.5 Total in items I - 9 490832.96 352137.16 121798.32 VD Odter Cost 74609.05 (i) inplementationmanagement cost 14724.99

(ii) reconnissasnceand designcost 7362.49 (iii) reconnaissanceand design cost for 6184.50

(iv) scientificstudy cost 2454.16 (v) supervisionand nonitoringcost 4908.33 (vi) technicaltraining cost 1646.27 (vii) physicalcontingency 34358.31 (viii) counterpartfund 1050.00

(ix) stan-up cost of resettlment agencies 1920.00 accordingto approved start-up cost, including6.2 millionyuan for constructtonunit

VUILTax for Land Occupation 16425.03 1234086 4084 17 | Total . 581867.04 364478.02 125882.49

Page 10 1 Table D.3 Cost Breakdownfor Wennmengtanof the XLD ResettlementProject Unit: 10000 yuan Items Cost (10000 yuan)

Wenmengtan 51011.02

Works in the River Channel 22467.05

Warping for Soil Improvemenl 28543.97

Table DA4 Cost Breakdownof Houhe Reservoirand Irrigated Area of XLD ResettlementProject Unit: l000 yuan

Items Cost (10000 yuan)

Total

Houhe Dam 6319.61

Irrigation District 4246.00

1. artery 733.00

2. eastand west mains 1944.00 l3. branches

4. others (including naterials differences) 878.00 5. roadfor the administrationdepartment 355.00 6. temporarilybuilt works 336.00

Page 102 Tabk D.S ComparisonBetween Revised Cost Estimate and AppraisedCost Estimate

Items Revised Appraised Difference I Total in BaseCost 592660.35 271490.00 321170.35 1. Subtotalin Resetlement 592660.35 269490.00 323170.35 (1) Resettlement 380375.02 145010.00 235365.02 Plannitng,Design and 27979.92 6050.00 21929.92 Management Dwellings, Infrastructure 346431.31 135510.00 210921.31 Constuaction Relbaee's Relocation 5963.79 3450.00 2513.79 (2) Livelihoodand Social 212285.32 124480.00 87805.32 Development Wenmengan 52704.36 24010.00 28694.36 Houhe Dam and Its 11104.40 7900.00 3204.40 Irrigation District Agricultural 136205.75 88480 47725.75 Reselement Monitoringand 12270.83 4090.00 8180.83 SupervisionCost

2. Envounenal 2000 - 2000 MangementPlanning

DI PhysicalContingency 34563.31 18610.00 15953.31 HImPrice Contingency 183298.66 224430.00 41131.34 IV Service and Commission 4208.25 4208.25 Charges of Foreign Fund Service Charge 2627.328 2627.328 CommissionCharge 1580.92 1580.92 V Taxfor Lnd 16425.03 16425.03 Occupation

Total Cost of the Project 831155.60 514530.00 316625.6

Page 103 9. Assessment of Resettled Households' Incomes

9.1 Progress in Survey of Household Incomes

Entrusted by YRWHDC RO, the resettlement monitoring institute of North China Hydroelectricity is responsible for survey of household incomes. Since the survey is not continuous, YRWHDC RO entrusted county(city) agricultural survey group to perform follow-up survey for incomes of Phase I reservoir area resettlers before and after resettlement. Agricultural survey groups in Mengjin and Jinyuan city have implemented such survey to the dam area resettlers before and after resettlement since September 1995, in addition, since December 1995, surveys have been implemented for the dam area resettlers after resettlement and Phase I reservoir area resettlers before resettlement. At present, the surveys are being conducted smoothly.

9.2 Survey Methods

Follow-up survey has been adopted as survey type, generally, 10 households in each resettlement village are selected for follow-up survey, which can be increased and decrease depending on physical conditions. The incomes of the surveyed households are grouped in three categories: high, middle and low, and standing account for each surveyed household has been established, the households are required to record their daily actually occurred expenditures and incomes in cash or physical items in the standing account in specified formats, which must be checked by the survey group once each month and be summarized every three months. Then the survey groups submit the survey summaries to YRWHDC RO based on Table for survey of Resettlers' Household Incomes and Expenditures in Planting Involved in Resettlement of XLD Project, and Table of Resettlers' Incomes from Part-times Jobs, Sideline Activities and other Sources.

9.3 Income Survey for Dam Area Resettlement

The dam area resettlement has been finished, surveys have been conducted for resettlers' incomes before and after resettlement, which involving 373 persons of 82 households in 11 resettlement villages. The survey results are shown in table 9-1.

9.4 Survey for Phase I Reservoir Resettlers's Incomes before Resettlement

The Phase I reservoir resettlers are constructing the new village, and have not moved, so only surveys for incomes before resettlement have been conducted, involving 1638 persons in 345 households (accounting for 4% of the total population). They have incomes of 1081.4 yuan per capita before resettlement( Table 9-2 shows the details). Now follow-up survey has been conducted for incomes after resettlement.

9.5 Organization and Plans of Surveys for Resettlers' Incomes

Page 104 Follow-upsurvey for resettlersbefore and after resettlementhave been performedunder the leadershipof YRWHDCand implementationby county resettlementoffices and survey groups on basis of contracts, who collect and summarizehousehold standing accountson timeand reportthem to YRWHDCRO. Now, survey for Phase I dam area resettlers' incomesbefore resettlement have been accomplished,the surveysfor incomes after resettlementare planned to begin at the beginningof 1997. With implementation of resettlement,income surveys for Phase I,JI resettlerswill be performedstep by step with the resettlementprogress.

Page 105 Table of Survey for Dam Area Resettlers's Incomes before and after Resettlement

Table 9-1 Order Name of Nos of Incomes per capita village Surveyed households Before After Increasing resettlemen resettlement Percentage t Total 82 485.8 1014.3 109% Mengjin 41 461.9 517.3 12% county I Liuzhuang 10 363.9 438.9 21% 2 Shimen 6 414.5 501.9 21% 3 Shiyuanpo 8 420.4 503.9 20% 4 Heqing 4 451.1 752.7 67% 5 Xiaolangdi 8 560.1 630.1 13%

6 Qinghe Mosin rescrvoir are and ame included in survey for reservoir area Jiyuan city 41 509.6 1463.5 187% 7 Liandi 9 262.2 1072.5 309% 8 Tongshuling 9 343.5 1535.5 347% 9 Qiaogou 8 439.9 1512.8 244% 10 Shuangtang 9 736.4 1236 68% 11 Liaowu 6 942.1 2157.3 129%

12 Baigou Most in reservoir areaand are included in survey for reservoir area

Page 106 -. 11 LAI I 10. Social Adaptability Adjustment

10.1 Measures for Social Adjustment

YRWHDCRO,provincial and county offices are to handlethe socialadjustment by meansof the followingmeasures:

10.1.1 General Principles

Conductplanning, implementation and monitoringin line withthe project'sresettlement program criteria. The resettlementprogran undertakesto:

--- protect relocateeand host standardsof living; --- Ensurethat the movingperiod is brief; --- Ensurethat diverse incomeearning opportunitiesare developedfor both relocateesand hosts; --- Consultrelocatees and hosts and secure their agreementfor plans; Resettlepeople in groups, preferablynot too far from their place of origin. Provide early land compensationpayments to hosts in order that investmentsin alternativeincome earning opportunities can proceed before land is transferred; --- Guaranteea systemof basic incomesupport that will protecthosts and relocateesif their incomesare insufficientfor their basic needs; --- Introducevarious preferential policies to support relocateeand host incomes.

10.1.2 Supportfor the AgriculturalLivelihoods

Provide land based relocateeswith a minimumof 1.7mu land per capita or, if less, increase irrigation. (countedat the standardthat the yield per mu of irrigatedland is 2 timesas that of dry land.)

Provide agriculture extension services to relocatees and hosts to assist them as needed in adjustingto new land, crops and fanning patterns.

Provideagriculture technology training to introducerelocatees and hoststo any new technologies (e.g. irrigation)which the resettlementprogram may introduce.

Establish credit facilities to assist relocatees and hosts in making capital investmentsin agriculture.

Identify and exploremarketing opportunities that relocateesand hosts could exploitto increase the revenue for farm produce (e.g., local markets for fresh vegetables).

10.1.3 Supportfor NonfarmLivelihoods

Page 108 Assist men and women transferring into nonagricultural employment with employment skills training.

Locate factories and enterprises employing nonfarm labor as near to relocatee villages as possible in order to reduce the need for workers to be away from their families for extended periods of time.

Ensure that villages not be deprived of all able-bodied people in order that agricultural needs and the needs of the young and old can still be net.

Assist urban relocatees to establish businesses or acquire vending permits.

Secure employment and nonagricultural registrations for family members of urban relocatees.

10.1.4 Host - Relocatee Relations

Locate relocatee villages on the borders between two or more host villages in order that the relative impact on any particular host village is reduced.

Ensure that adequate, formal agreements are concluded between concerned parties prior to resettlement occurring.

Give preference to hosts in the hiring of labor needed to prepare land for relocatees where the relocatees cannot do it themselves.

Assist village leaders to reestablish themselves equitably within the host xiangs.

10.1.5 Infrastructure

Ensure, prior to relocation, that schools and health clinics in the host area are able to absorb the new population. Criteria of adequacy (e.g., pupils per classroom) will be in line with the prevailing provincial standards.

Undertake studies to ensure that domestic water supplies in the host areas are secure.

10.1.6 Training and Consultation

Provide training to resettlement staff on social adjustment issues.

A handbook of criteria, principles and practices will be prepared and provided to each resettlement officer as well as to xiang and village leaders outlining social adjustment issues in the resettlement program.

A detailed guide on the resettlement program will be prepared and provided to each relocatee

Page 109 household describing the program, compensation standards, income objectives, consultation mechanisms, safety nets, grievance mechanisms and other necessary information.

An similar guide will be provided to host households.

Offer skills and employment training to relocatees shifting from agricultural to nonagricultural livelihoods.

Prepare special information programs directed at relocatee children for use in schools in the inundation area.

10.1.8 Data Collection and Monitoring

Prepare a full record of baseline socioeconomic household data to be collected during the resurvey of inundation indices and/or at the time of completion of the compensation red book.

Establish an independent monitoring system with ability to introduce change if actual conditions are below expected/planned conditions.

10.1.8 Women

Consult, in a formal fashion, with women and with women's groups in planning and implementing the resettlement program.

Employ women in xiang and County Resettlement Offices to work as planning and field staff, and provide training courses to these women, to help them understand resettlement and how to deal with the problems.

Provide skills training directed at women whose previous work experience is limited to cottage industry and who wish to develop new skills.

Assist relocatee women by identifying opportunities where their cottage industry skills could be used in host areas

10.1.9 Health

Identify particularly vulnerable individuals and groups and monitor their adjustment closely.

Improve the medical and sanitation facilities to make every resettled village have such facilities and make relocatees obtain health assistance during and after relocation.

Provide relocatees with comprehensive health assistance at all times.

10.2 Non-government Organizations

Page 110 household describing the program, compensation standards, income objectives, consultation mechanisms, safety nets, grievance mechanisms and other necessary information.

An similar guide will be provided to host households.

Offer skills and employment training to relocatees shifting from agricultural to nonagricultural livelihoods.

Prepare special information programs directed at relocatee children for use in schools in the inundation area.

10.1.8 Data Collection and Monitoring

Prepare a full record of baseline socioeconomic household data to be collected during the resurvey of inundation indices and/or at the time of completion of the compensation red book.

Establish an independent monitoring system with ability to introduce change if actual conditions are below expected/planned conditions.

10.1.8 Women

Consult, in a formal fashion, with women and with women's groups in planning and implementing the resettlement program.

Employ women in xiang and County Resettlement Offices to work as planning and field staff, and provide training courses to these women, to help them understand resettlement and how to deal with the problems.

Provide skills training directed at women whose previous work experience is limited to cottage industry and who wish to develop new skills.

Assist relocatee women by identifying opportunities where their cottage industry skills could be used in host areas

10.1.9 Health

Identify particularly vulnerable individuals and groups and monitor their adjustment closely.

Improve the medical and sanitation facilities to make every resettled village have such facilities and make relocatees obtain health assistance during and after relocation.

Provide relocatees with comprehensive health assistance at all times.

10.2 Non-govermnent Organizations

Page 110 The socialorganizations servicing resettlement include government organization whose functions are stated in the section of ResettlementOrganization Management and non-government organizationwhich will be describedhere. The nongovernmentorganization includes village committee,public security committee,civil mediationcommittee, women's federationunion, villageresettlement leading group and relocateesrepresentatives, the first four organizationsare commonnongovernrent organizationsin China and are controlled in a centralizedway by specializeddepartments and perforn their own functionsrespectively.

10.2.1 The villagecommittee is the most importantnon governmentorganization which is responsiblefor carrying out the laws and regulationsstipulated by the state, strengthening villagemanagement, putting the villagersinto autonomy,managing collective property on behalf of villagers,arranging agriculturaland industrialproduction, protecting the villagers' interests and has high prestige and very strong representativeness.

10.2.2 The public security conunittee is responsiblefor social safe and security and duringresettlement, mainly set up patrolparty consistingof 10 - 15people who are dividedinto several groups on the basis of new and old villages' distribution and take their own responsibilitiesand petrol day and night by means of strikingthe gong to remind the people of having an eye on safety.

10.2.3 The civil mediationcommittee has playedan importantrole duringrelocation. On the basis of several-yearexperience, the argument is divided into three kinds: one is the compensationargument with focus on who it belongsto; one is homesteadargument such as commonwall's locationand use right; one is the argumentbetween the relocateesand outside constructioncontractors such as house quality, constructionmaterials and cost settlement,etc.

10.2.4 The women's federationworks on protectingthe women's and children's legal rightsand interests and reflectswomen's difficulty relevant to the relocationand provideshelp to the familieslack of labor force.

10.2.5 Villageresettlement leading group: It is usuallyformed before the new villages is constructed. The head and deputy head of it are usually the main chiefs of the village committee and the its members are chiefs of public security committee, civil mediation committeeand women's federation,also relocatee'srepresentative in some villages.

10.2.6 Relocatees'Representatives: The relocatees'representatives are selectedby some relocateesin some villages,e.g. in Yandongvillage, some relocateeswho will move out of the county to resettle in Wenrnengtanselect their representativesto reflect their opinions to govermnentorganization at variouslevels; the local people-runschool teachers also selecttheir representativesto reflect their problemsconcerning resettlement.

10.3 Agricultural and Industrial Services Organization

10.3.1 In agricultural respect, the governments at various levels have agricultural function

Page 111 departinent. The county agricultural economic committee with the function of coordinating in a unified way rural economic development mainly includes agriculture bureau, water conservancy bureau, forestry bureau, animal husbandry bureau and grain bureau which are responsiblefor their special affairs respectively. For example, the agriculture bureau is in charge of agricultural aspect in a unified way and sets up internal agricultural technology propaganda center which spreads the improved varieties and planting technology; the water conservancy bureau is in charge of managing water resources development, expanding agricultural irrigation and settling the problem of drinking water for human and animals. In general, the nongovernment organization in agricultural field includes agricultural association, forestry association, water conservancy association and horticultural association, etc. with main tasks of consulting, scientific studying and exchanging experience

10.3.2 The industrial service organization mainly includes planned economic committee in charge of reviewing and approving the projects, township enterprises bureau, industrial bureau, coal bureau and commercial bureau, etc, which are in charge of their fields respectively. The industrial bureau at county level usually has not nongovernment organization.

10.4 Combination of Relocatees and Host Area Residents

Because the resettlement planning for the host area is made on the basis of seeking opinions of the relocatees and host village residents and the agreement between relocated and host villages is signed, these provide the basis for the combination of relocatees and host area residents and such agreement provides legal basis for resolving various arguments. In addition, the various resettlement agencies, especially county resettlement offices, actively make the resetlement policies open to the public so that the long-time interests of common development can be realized. Although the relocated villages exist independent of host villages from view of appearance, the relocated villages are combined with the host villages in respect of politics, society and economy. On the basis of performance (relocation), the relocatees moving back in their villages (such as damsite area) need little adjustment and relocatees moving in other places which are far from their old villages and out or their towns/counties, especially in Wenmengtan and Yuanyang, need more adjustment with great difficulties and longer time and with county government and rsettlement agencies playing an important role. However, from the view of relocation in the damsite area and at EL 80m in the reservoir area, these relocatees are satisfied with the new circumstances and are in stable mood, the host residerntscan also improve the infrastructures, develop agricultural and industrial production to make up the losses caused by the resettlement by means of the land compensation money. For example, Beishuitun village in Jiyuan city which allocates land to Lujialing village, by taking advantage of the land compensation money, has changed the village street into cement-face road and rebuilt the power lines in and out of the village, newly added one transformer to improve irrigation guarantee, built preliminarily Changhong Glass Products Factory which is partially put into operation and has annual production value of 5 million yuan after full completion. The another example is Zhongmatou village which provides 380mu land to the relocatees from Liuzhuang village and obtain the compensation money 2.3 million yuan, some of which has been paid to 4 farm trucks, 4 small-sized combined harvesters, 3.4km roads within village, I km irrigation channel, existing

Page 112 drains preparation and 6 pumped wells construction. 26mu rice land transferred into corn land due to shortageof watermay be plantedwith rice becauseof irrigationcondition improvement. In addition,this village is to build one carbon rod factory with the cost of 1 millionyuan and is doing its prepreparationwork. The other host villages make up losses in this way. No argumentbetween relocated and host villageshas been found.

10.5 Women,the Old, Children and Special Poor Faniilies

10.5.1 Women: In line with China Constitution,the women shouldshare the rights equal to the men. Based on several-yearrelocation, the women directly take part in the resettlementplanning through their own organization-- Women's Federation, most of their reasonablesuggestions are paid more attentionand also taken, e.g. selectionof the occupation and work kinds,men and womenenjoying equal pay for equal work, constructingkindergarten and infant schoolin the village.They are taken medicalexamination periodically by the township hospital.

10.5.2 The Old: China has the good habit of respectingthe old. The old who has childrenusually is tendedby his children,the care to the elderlyperson of no familyis arranged by the villagecommittee. They can be financedby the villagecommittee to go to the old folks' home or still live in the village accordingto their own opinions.The old who goes to the old folks' homewill be financedby the village and who still lives in the villagewill be servicedby the volunteerand paid by the villagecommittee in grain, clothesand consumptivegoods. Some villages,such as Siyuanpoand Xiaolangdivillages, take care of the over 60-year old by means of paying old-age pension. 10.5.3 Children: The childrengained good care duringrelocation. Firstly, children could go to school continuouslybecause villages took transition measures. At present, Phase I relocatedvillages have built primary schoolsand most of Phase II relocatedvillages also have built primary schools with better education conditionsand surroundings.The middle school studentscan go to near townshipmiddle school. In China, little kindergartenare built in rural villages, but new Xiaolangdiand Liaowuvillages have built kindergartensso that childrencan be taken good care of and no disadvantage(malnutrition, unsafe etc.) event occurs.

10.5.4 SpecialPoor Families: Few special poor families existing in relocated villagesinclude two kinds:one is the permanentlypoor families(due to deformityor disability of laboring because of old age) which are tended by means of same support method as the elderlyperson of no familyand financedby the village; the other is temporarilypoor families (due to shortage of training, money or temporarydifficulties, some due to little houses and insufficientcomwpensation money to build new ones) which will be supportedand trained and given allowancerespectively according to their differentcases so as to make them throw off poverty.

10.6 Preferential Policies

Page 113 The Stateand govermmentsat variouslevels always pay moreattention to makingthe preferential policiesfor the relocatees.The Hennaand Shanxiprovincial govermnents issued the preferential policies for Xiaolangdireservoir resettlementin 1993 and some cities and counties also made such policies, involvingemployment, tax exemptionsand reductions, goods and materials supply,transferring agricultural registration into nonagriculturalone, staff training,professional support, etc. Hennaprovincial govermnent issued the noticeon carryingout counterpartsupport for Xiaolangdiresettlement in May, 1996 which clearly states that the counterpartsupports in transverse and longitudinal directions are required to provide to the project-affected8 counties/cities(Xin'an, Jiyuan, Mengjin, Mianchi, Wenxian, Mengxian, Yuangyang, Yima). The transverse counterpartsupport means that Zhengzhou, Kaifeng, Puyang, Anyang, Xinxiang, Zhoukou, Jiaozuocities providesupport to their own resettlementcounties/cities respectively; the longitudinalcounterpan support presents to that 26 provincialdirectly-controlled units such as fiance, water conservancy,bank and power departmentsestablish relationshipwith above mentioned 8 counties (cities) and give more suppon in professional work and project arrangement,capital put-in and technicalinstructions. Some of these policieshave been carried out, e.g. in reducing30% of power supplyallowance, directional enrollment in the collegesand universities,loan from the bank, the project approval, etc. and some are to be improvedand carried out so that the relocateescan really benefitfrom them. See table 10-1 for details.

10.7 Public Participation and Consultation

It is to say that the relocateesof XiaolangdiMultipurpose Dam Project take part in the whole resettlementimplementation and play an importantrole. 10.7.1 PhysicalIndices Survey: Every relocatedfamily took part in the physicalindices recheckin 1994,including family size, housesand cave dwellings,auxiliary buildings, domestic sidelines, resettlementintention, and the agreementwas reachedand signed.

10.7.2 Preparationof ResettlementPlanning Program: Theplanningprogramfornew village, especiallylocation seletion, is formed after many discussionswith villages, towns, counties, cities, provincesas well as the various-levelgovernments and chiefs of resettlement agencies,therefore, the resettlementplanning may be said as a result of commonefforts. After the programfor new village locationselection is initiallyworked out by the planningand design staff, the relocateesusually investigateagain in field and discuss and listen to these staff 's opinionson street layout, water supplyand residentialquartrs plnning. After the program is decided, the relocatedvillage and host village also sign a agreementon land adjustment.

10.7.3 CompensationPayment: in the lightof the state approvedstandards, every family registersthe materialsto be compensatedin a book in a formal way which is signedby the chief of local resettlementoffice, village head and the householder.The original copies are kept by the -householderand county resettlementoffice respectivelyand is consideredas the payment basis for the agreed compensationand allowance.

Page 114 10.7.4 House Construction: The relocatee can select his house style and area and organize construction on the basis of allocated homestead, compensation money and savings. Also, some relocatees, especially those who move out of the county, construct their houses with the collective assistance. Several different layout styles of houses with different areas designed by the design department are ready for selection by the relocatees.

10.7.5 Policies Propaganda: To open the national resettlement policies to the relocatees is major task of the public participation and is concerned by the relocatees and is also conducted by means of TV, broadcasting, informal discuss, meeting, printing and distributing publicity, which are favor of resettlement progressing smoothly.

Table 10-1 Henan Provincial Preferential Policies and Performance

Made PreferentialPolicies Performancel

1.to conduct the XLD resettlementas an Resettlementleading group has been set up in l importantwork provincial,city and countygovemmens and considersthe resettlementas in its annual check targets. 2. to reduce or remitthe taxes, charges and retainedmoney, to speed up the economic developmentof resettlement The land occupationtax has been remittedby the 1). to remit the tax of land occupation host area in the reservoirand dam areas, is to confirmedby the State PlanningCommission and 2). to remitthe tax of the specialproducts of the State FinancialCommission. MWR has agricultureand forestry reportedit.

3). to remitthe tax on the enterprisesfor 5 years Workingwith the financialdepartments, the provincialfinancial bureau will state the reducing and remittingoperation methods for the local taxes.

4) to reduce or remitthe allowanceof power The provincialpower bureauhas decidedto reduce supply 30% of the tax and has carried out.

5) to remit tax and retainedmoney for the waste The provincialfinancial and taxes departmentswill slopes and flood plain cultivatedby the relocatees carry out.

6) to permit the relocateesto farm on the rising YRWHDCROwill consult it with the local and fallingarea of the reservoir governmentsand only carry out after the completionof the XLD Project.

Page 115 3. to handle the registration transmission (from The provincial planning commission has carried agricultural registrations to nonagricultural ones) out. according to the approved resettlement planning

4. to absorb the talents and improve the qualities It has been performed. of resettlemnentofficials and technic staff

5. to carny out countespart support and make the The provincial government has inform the resettlement well longitudinal and transverse counterpart support units and it has been performed. The provincial government will hole the counterpat support meeting to accelerate it to be conducted in the first half of year 1997

11 Complains and Grievances and Settlement

11.1 Legal Basis of Complains and Grievances

The relocatees are one part of Chinese citizens and share all rights and obligations given by state constitution, laws and regulations. If their legal rights and interests are infringed, the relocatees can nuke an appeal in line with the law till it is resolved. The main legal basis are as follows:

-- The Constitution of the People's Republic of China = lThe Administrative Procedure Law of the People's Republic of China *- The National Compensation Law of the People's Republic of China The Labor Law of the People's Republic of China -- Th'e Agrarian Management Law and Regulations of the People's Republic of China -- Interim Regulations on Notary of the People's Republic of China -- Regulations on Petition Leter issued by the State Council -- Regulations on Compensation for Land Requisition and Resettlement for the Constnction of the Large and Medium Sized Hydropower Projects -- JNotice on Several Opinions on Strengthening Reservoir Resettlement prepared by the State Plan Commission and approved and transmitted by the State Council -- Resettlement Planning an Design for Xiaolangdi Multipurpose Dam Project

11.2 Channels and Procedures of Relocatees' Complains and Grievances

According to the laws and regulations of China and the foundation of government agencies, the channels and procedures of relocatees' complains and grievances are concluded as follows:

11.2.1 To settle grievances by way of the local governments at different levels:The petition letter office is established in township, county and provincial governments. Generally, the grievances are reflected according to such order: village-town--county--city--province and also directly reflected to the higher-level govermnent which will resolve it within its power or cause related department to settle it.

Page 116 11.2.2 To settle grievances by means of resettlement management agencies at different levels: The resettlement agencies are directly in charge of settling complains concerning the resettlement such as compensationfor properties, resettlement location, houses construction, land requisition, etc.. Such complains can be reflected in the following order: relocatee--village committee--township resettlement working team--county resettlement office--city resettlement office--provincial resettlement office--employer (YRWHDCRO)--resettlementoffice of MWR and also directly reflected to the higher-level government department which will settle them within its power or cause the related agency to resolve them.

11.2.3 To settle the grievances through resettlement supervision agencies: The resettlement office of YRCC, the supervision agency of XLD Resettlement Project, can directly listen to the relocatees' complains and report them to the related agencies and has the right to supervise and inspect whether the resettlement agencies have made appropriate arrangements for the relocatees in the light of approved the planning and design requirements. The resettlement supervision department of North China Hydropower Institute, as an independent unit monitoring and evaluating social and economic status, carries out monitoring and evaluating the resettlement implementation once every six months, should directly listen to the opinions of relocatees and resettlement agencies and examine whether the complain channel is smooth and also has obligations to protect relocatees' legal interests and reflect the raised problems to concerned agencies.

11.2.4 To settle through the legal agencies: The administrative supervision, audit and law enforcement agencies (court, judicial departments and procuratorate) are formed in the local governments at various levels and mainly deal with events of law and discipline violations. The relocatees can make an appeal on any infringed legal right and interest and ask for trying and judging it. Generally, the appeal can be firstly handled by the basic-level court and needs to reconsider by the higher-level court if the argument exists.

Generally speaking, the XLD multipurpose dam project is one of the national important projects and the resettlement is the duty of the governments at various levels. The problem caused by the relocatees' appeal for protecting his legal rights and interests and making various governments involved can be reflected and settled by way of above mentioned channels. In accordance with the item 37 of the Administrative Procedure Law of the People's Republic of China that, as to the case within the power of the people's court, any citizen, legal person or other organization can firstly ask for reconsideration by the higher-level administrative agency or the appointed administrative agency by the laws and regulations, and can submit the case to the people's court if the reconsideration is not satisfied, and can also directly submit the case to the people's court, therefore, the procedures of the relocatees' appeal can follow the administrative management channels to settle and the relocatees can submit the case to the legal departments if the reconsideration by the administrative management channels fails to settle, certainly, can also directly make an appeal to the government and legal agencies.

11.3 Settlement of Relocatees' Complains and Grievances

Page 117 The XLD relocatees'complain and grievanceschannels are basicallysmooth. The complainsand appeals mostlyare shownin oral and written, individualand massivetypes, and basicallyare divided into the followingtypes:

11.3.1 Psychologicaland PhysiologicalAspects: Therelocatees mainly woriy about that they are not suitableto new host area. As to the Phase II relocateesmoving out of their towns and counties to new villagesfar away from their old villages, some, especiallythe old and housewives,worry about that they are not used to new productionand living conditions.The complain hereon takes up 10% of all complains. Such worries are from the shortage of understandingthe host area and will be weakenedand reducedgradually with the relocationand the tine.

11.3.2 EconomicAspect: The problemsare focusedon propertiescompensation, such as wrong and failure registrations, low compensationstandard, property ownership and assignment,etc.. The complainhereon takes up 20-30%of all complains.The wrongand failure registrationscan be jointly investigatedand checked by the employer, design institute and provincial resettlement office. In respect of low compensationstandard, the reasonable requirementssuch as schoolconstruction with difficultiesis to be solvedby use of newlyadded allowancefor the culturaland educationaspects approved by the State PlanningCommission in the courseof the Phase II resettlementcost estimatesat the plannedstandard Qf l0Oyuan/person and specialpoor householdsunable to build new housescan be settledby use of the contingency, the unreasonablerequirements will be handled by persuadingthe relocatees. The property ownershipand assignmentcan be settledby the villagein a coordinationway, the propertiesof relocateesmoving outside their countiesare distributedaccording to provincialmanagement methods

11.3.3 Relocationand ResettlementAspect: It mainly involvessite selection,houses constructionin new villages,land allocation,becoming an officialteacher from the local people run schoolteacher, etc. The appealshereon constitute 40-50% of all appeals. For example, the Phase II relocateesin Xin'an county may be moved in and out of the county, however, the relocateesin one villagehave different views and stick to their own views respectivelyand make an appeal to the resettlementagencies at different levels many times and even ask for the provincialgovennent to resolve. Therefore,the resettlemnt program is decidedto revise by investigationand seekingthe relocatees'opinions, i.e. the planned 11,000 people moving out of the county are increasedto 17,000people. The argumentsand disputesbetween the relocatees and contractors/materialssuppliers during new villagesconstnuion can be resolved by the villageand town in a coordinationway. The countyresetlement office has been causedto settle the problemof collectivelyconstructed house roof leakingreflected by the few and the relocatees are required to take the task of constructionthe houses if possible.

11.3.4 InterpersonalRelation and Other Aspects: It refers to the relationshipbetween relocatees,relocatees and villageleaders, argumentsand disputesraised betweenthe relocatees and the residents in host ares. Such problems generallyare settled by the village, town and county in a coordinationway. The complainshereon accountfor 10-20%of all complains.

Page 118 In fact, in order to reduce the relocatees' complains to the minimum, during the resettlement, a plenty of deep and careful work has been conducted by the resettlement agencies at various levels. In order to standardize the complain record and solution in the future, the table will be made to issue to the resettlement agencies at various levels, including declarant and his village, reflected problem, appeal time, solution department, details and date, evaluation and recording person, etc. See table 10-2 for the format.

Page 119 Table 11-1 Relocatees'Visit to HennaProvincial Resettlement Office in 1995 Agency Times Description Result Xin'an 12 (1)8 times for reflectingopinions on resettlementlocation, (I)resettlementprogram is decided, (2) residentialsites (2)onefor constructionquality, (3) 2 times for physical problemshave been required to settle by the county, (3) indicesisurvey, (4) one for land allocation of the host area to be implemented, (4) is settled by the Xin'an county Jiyuan I opinionson land allocationin the host area The county has been notifiedto handle Mengiin 0 Total 13

Relocatees'Visit to HennaProvincial Resettlement Office in 1996 - ~ = _ Agency Times Description Result Xin'an 39 resettlementlocation, becoming an officialteacher from local Resettlementprogram has been decided, people run school teacher(few), low compensationstandard becomingan official teacheris to be settled, for individualhouses and cave dwellings,wrong and failure wrong and failure registrationand compensation registrationsfor objects; low compensationfor jointly-run method have been reportedto YRWHDCRO, enterpriseproperty and its assignmentmethod, low cost for allowancefor schoolconstruction is settled constructionpreliminary and middleschools, bad qualityof temporarily,the problem of new village few new villages' houses, e.g. roof leaking constructionis to be settled by the county Jiyuan I becomingan official teacherfrom localpeople run school to be decidedafter consultationwith the education teacher(few) commissionand plan commission Mengjin 2 Ditto Ditto

Total 42

Page 120 Table 11-2 Relocatees' Grievances Registration No.

Declarant Declarant's Appeal Time Name Village and Occupation T Recording Person

Description Acceptance Acceptanc Time Unit e Person (date) Opinions on Solution Attitude of Declarant on solution

Page 121 12. Training

12.1 Resettlement Officials Training

YRWHDCROprepared TrainingPlan for XiaolangdiResettlement Project in 1994 in order to make the trainingwell. There are 33 classesfor the resenlementstaff training, involving 1082 man times, with focus on resettlementproject management,implementation plan preparation,plan management,financial management, procurement of constructionmaterials and equipment,contract management,project monitoring,information management, cost control, resettlementimplementation, financial planning, and cost estimate. The training methodincludes the lecturesby leadersand experts,the technicaltraining lessons in colleges and universities,concluding and exchangingexperience, visiting other resettlementprojects, training on job and visitingand training overseas.The Training ManagementMethod for XiaolangdiResettlement Project (draft) are also prepared.

Up to the end of 1996, YRWHDCRO,provincial, municipal and countyresettlement offices have undertaken18 timestraining with 1328 people involved(excluding that municipaland countyresettlement offices visited other resettlementprojects, see table 12-1), whichis more than that in the plan. With the resettlementadvancing, the rangeand extensionof the training will be expended.The trainingprogress is shownin attachedtable. Overseatraining has been conductedtwice, one in America,one in Canada, 19 people involvedin total, to exchange experiencein resettlementmanagement and implementation,etc., and related report was prepared.

In the future, while the trainingon resettlementofficials above county level is carried out, the attentionis also paid to the training on the villageresettlement officials, especially the villageleaders, becausethey are directly responsiblefor the decisionand implementationof the plan for villages'livelihoods development, arrangement for houseconstruction and social adjustment,etc..

12.2 Relocatees' Training

It is the key measure for Xiaolangdiresettlement to train relocateesand improvetheir self- developmentcapacity. Therefore, the relocatees'training plan was workedout in 1994and special training officials were organized to prepare some of teaching materials. The rmlocatees'training has been conducted9 times with 1370 people involved.See table 12-2 for details.

12.3 Training Plan

In 1997, 6 classes for resettlementstaff will be conductedwith 330 people involved, of which, 2 times overseatraining with 30 people involved.The trainingon relocatees' skills will involve 5300 people. See 12-3 for details.

Page 122 Table 12-1 XLD ResettlementProject TrainingPlan Implementation TrainingType Description Organizer Tinie Location Class People Reimarks Cosi & Finance XLD ResettlementCost Control Method HenanPRO Dec. 1992(7 days) Zhengzhou 1 50

Cost& Finance AccountingLaw, AccountPractice, Cost Control HenanPRO Oct. 1993(10 days) Luoyang l 72 Resettlement Method OIliciaI%_ Ohlicials Cost& Finance WB ReimbursementMethod HenanPRO Nov. 1994(4 days) Jiyuan l 40 Trainimiig ______I__ Implementation Theory,Method and Preparation of YRWHDCRO Aug. 17, 1994(8 days) Zhetigzhou I 40 Planning ImplementationPlanning Preparation Implementation lImplementationPlanning Preparation Outline and HenanPRO Sep.21. 1994(5 days) Luoyang 1 60 Planinlg TechnicalRetquirements, Industrial and Mineral Preparation EnterprisesRelocation and Construction Plaining,Cost Estihate Preparation and Planning Outline Project ResettlementRegulations, Resettlement ShanxiPRO Dec. 23. 1994(6 days) Pinglu, I 65 Management ManagementMethod and Making out Provincial- Shanxi level RelatedRegulations ror XLD Reservoir PhysicalIndices PhysicalIndices Investigation Outline (contents, HenanPRO March, 1993 5 500 5 countiesin Investigation methodand requirements) atlectedarea PhysicalIndices PhysicalIndices Investigation (Details) and ShanxiPRO Aug.5. 1994(4 days) Yuanqu I 110 Investigati(o RecheckOutline inplementation How to Preparethe PlanningDesign for ShanxiPRO April, 1995(3 days) Yuncheng I 30 Planning ItiplementationPhases Design Management BasicStatistics Theory. Management Information YRWHDCRO March, 1995(6 days) Zhengzhou I 35 Informatioti System Statistics

Page 123 Financial BasicTheory and Method of FinancialStatistics HlenanPRO Feb. 1995(5 days) Luoyang 1 20 Statistics

Impleimeitation ImplementationPlanning Preparation HenanPRO March.1995 (3 days) Luoyang I 110 Planning Requirementsand Technology Preparation

Implementation Researchon PhaseIf InundatinTreatment and YRWHDCRO March. 1996(5 days) Zhengzhou l 40 Planningand ResettlementPlaining Implementation Details for Design the ImpleimentationDesign Stage

Financial FinancialManagement Method. Financial HenanPRO May, 1995(5 days) Mengjin I 50 Managemilent ManagementAccounting Method and ResettlementAccount Practice Financial Ditto ShanxiPRO March15. 1996(5 Yuncheng _II Maitagement days) Implemcittatkon ImplementationPlanning Preparation Outline and ShanxiPRO Aug. 21. 1996(9 days) Three 1 28 Pinglu.Xiaxian Plamnling TechnicalRequirements Countiesin and Yuanqu Preparation the Counties Reservoir area

Project PlanPreparation, Contract Management and ShanxiPRO Aug. 16. 1996(3 days) Yuncheng I 16 Implementation RelatedCapital Construction Management Procedures

Resettlement XLD ResettlementImplementation Management YRWHDCRO June17, 1996(5 days) Zhengzhou I 51 Monitoring Method.Resettlenment Works' Monitoring Program.Phase I ResettlementPlanning for the ReservoirArea

Page 124 Table 12-2 TrainingPlan Implementationof the XLD ResettlementProject

Training Type Description Organizer Timne Location Duration People Remarks

Resettlement Resettlement laws and Regulations Yuanqu County April 15, Yuanqu I ISO Laws and and Resettlement Planning Ro, Shanxi 1994 (3 Regulations days)

Aquaculture Raising Fishes in Pond, Net Cage. Yuncheng October, Yuncheng I 20 Relocatees' Prefecture RO, 1994 (7 Training Shanxi days)

Resettlement Special Cost Management and Use, Yuanqu County Nov. 1994 Yuanqu l 20 Finance Completion Method of Financial RO, Shanxi (3 days Statements

Forestry and Apple Trees Planting, Management Yuncheng Nov. 1994 Yuncheng I 35 Orchards and Storage Prefecture RO, (10 days) Shanxi

Trees and Fruit Trees Planting and Mengjin County April, 1995 Mengjin I 25 Fruits and Management RO, Henan (7 days) Vegetables

Trees, Fruits Plastic Green Booth Mengiin County Sep., 1994 Matuixiang l 20 and Vegetables RO, Henan (20 days)

Planting Wheat Planting Technologies and Yuanyang County Sep., 1995 Yuanyang I 20 Technologies Management RO, Henan (2 days)

Planting Rice Planting Technologies and Yuanyang County June, 1996 New Xinyang 450 Technologies Managemnent RO Village

Emnploymnent Electrical Technologies Yima City RO June-Oct., Power Plant 300 Luoyang and 1996 Xin'an Power Plants

Page 125 Table 12-3 Training Implementation Plan for XLD Resettlement Project in 1997 :~~~~ = TmNm Types Oqam" T. Dunion Loco,, Pee Cost Rcebks

I tsanlemenStaff 10 360

(1) TechacilTnmn 330

Pm9 a nw," YRWHDCRO Mrh .1997 Zheapbo. 60

I ioasnplanrnq M:PMio YRWHDCRO May. 1995 20 Zbengpha 50=

l*n _Mp. P, eil RO9 Ail. IW7 15 tO

f_mnit numpemm Pro.i.il RO July. 1997 20 e0

cawcn n _3ae.A Pro.ieist RO Sep..1997 10 60

iuarmuo mimonm YRWHCDRO Nm,. 997 8 Zhenplhu 40

(2)Owrsm Trining 30

p9c1 Ieu YRWHDCRO April. 1994 70 5

Tennl i aion YRWHDCRO Ont. 1997 20 23

11Relo 5300 =

Il I numbsk CwunyfRO 1600

ATe CifSSapes O12Cetn) CeamyRO 4 pron; atected _eumies

hena (8) Caray RO dia tOW

9msai(4) CeumYRO dum 200

S. Irriplad 1101 5 diuo

He| n (7) ComuyRO dino 350

| hgi 3) Ceuay RO dm0 W =

C. Dy lOnd (ll) Cenny RO 5

Hek tS) Cewy RO dio 400

umai01) Couy RO dno M0D

(2) SidLirn NM

D. Fe,. Tm. MaIpJwm tl2) 10 dim

kn n (a) diu 4_

SIM (4) 7 d uo CD

E. Auw12)w (12) dim

lIe,.410) 5 S00

SImu (2l) dimo M

F. DomrescEncmmy 0I8) dino

Woin (151, 750 =7

ShnxiOI) 7S0

G. Da1.V4((6) SW

G) Seocd EALt.1161 go

HIem..(141 719 Hen n 12)u 700

IJI (numaies byv Ihem s,p

Page 126 pW

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Village Construction Magou

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''..t.S . Village Construction Oing He

Village Construction Huai Lin Village Construction Huang Po iL

F.6.~._ F i- Village Construction Bei Cun : I;'- ~ .

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I | l |1 ||ll||n8wif Village Construction and Farm Land Development Lan Jiang

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- -,t -'- '-;-______i______'-______-_____'___ Farm Land Development Lujia Li

Farm Land Development Zhang Ling

A_. Farmland Allocated to Resettlers (Jiyuan County)

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Farmland Procured in Xinan County

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S. - - Resettler Farmland Procured in Jiyuan County

Resettler Farmland Procured in Jiyuan County

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v_-9-w~~~~~~~~~~~~~~~~~~~~~~~~of~~ fitr ResettlerFarmland in

Xiaolangdi New Villages

(9 months after Resettlement)

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Built by Resettlers Luan Li Zhuang Village (Jiynan Citv)

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a,- . - Typical Old Housing Left by Resettlers Liu Zhuang)

New Housing Providedfor Resettlers (Liu Zhuang) 1 (1,000 people)

D -. :LSNZ, 'fi'',\ A Township Village EnterpriseCredited by Villaaers fof using Resettlement ComnAnoation S,. Tuan Pao - Mengj n County (9 moifths after CompensationPalyment) 200 workers absorbed

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Town & Village Enterprise.Produces Motor Vehicle *s\ Spare Parts1~~~~~2 (X2 mil CompensationFunds 2 were invested)

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Produces Shafts and Gears

S. Yuan Pao - Menjin County (200 Workeral ResettlementTown Village Enterprise

ProducesShafts and Gears

l4engj:i County

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MengJ~i County Resettler V±lLage Concrete Slab Factory C50 workers) ;-/. ,

7ij . ResettlerWomen Workers

In Ceramics Factory Jiyuan County, (selection of the factorv was-primarily done to target women workers) CloG workers)

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