Henan Wastewater Management and Water Supply Sector Project – Resettlement Monitoring Report No

Home , Anyang, Changyuan, Jiaozuo, Puyang, Xinxiang

Resettlement Monitoring Report

Project Number: 34473 February 2006

PRC: Henan Wastewater Management and Water Supply Sector Project – Resettlement Monitoring Report No. 2

Prepared by: Hohai University

For: Henan Province Project Management Office

This report has been submitted to ADB by Henan Province Project Management Office and is made publicly available in accordance with ADB’s public communications policy (2005). It does not necessarily reflect the views of ADB.

Henan Waste Water Treatment and Water Supply Project Financed by Asian Development Bank

Monitoring and Evaluation Report on the Resettlement of Henan Waste Water Treatment and Water Supply Project (No.2)

National Research Center of Resettlement Hohai University Nanjing Jiangsu China Feb. 2006

Persons in Charge : Chen Shaojun, Shi Guoqing

Independent Monitoring and Chen Shaojun, Sunyan, Yin Jianjun, Wang Liting, : Evaluation Staff Chen Shaomei

Chen Shaojun, Sunyan, Yin Jianjun, Wang Liting, Report Writers : Chen Shaomei

Independent Monitoring and : National Research Center of Resettlement Evaluation Institute

National Research Center of Resettlement Address : Hohai University Nanjing, Jiangsu, China

Post Code : 210098

Telephone : 025-83718914

Fax : 025-83718914

[email protected] Email : [email protected] [email protected]

ABBREVATION

ADB Asian Development Bank

DPs Displaced persons

NRCR , National Research Center for Resettlement

RAP , Resettlement Action Plan

WWT Waste water Treatment

WWTP , Waste Water Treatment Project

CONTENTS

1 SUMMARY ...... 1

1.1 RAP REVIEW ...... 1

1.2 RESETTLEMENT IMPLEMENTATION ...... 2

1.3 MONITORING AND EVAL U ATI ON ...... 4

1.3.1 Procedure of Monitoring and Evaluation...... 4

1.3.2 Contents of Monitoring and Evaluation ...... 5

1.3.3 Method of Monitoring and Evaluation...... 5

1.3.4 Monitoring and Evaluation Report...... 6

2 FEEDBACK TO THE FIRST M&E SUGGESTIONS...... 7 3 LAND ACQUISITION SCHEDULE ...... 10

3.1 LAND ACQUISITION PROCEDURE ...... 10

3.2 LAND ACQUISITION FORMALITY TRANSACTION ...... 11

3.3 LAND ACQUISITION AMOUNT ...... 12

3.4 PROBLEMS ...... 14

4 COMPENSATION, ALLOCATION AND USE OF CAPITAL...... 15

4.1 RESETTLEMENT COMPENSATION ...... 15

4.2 CAPITAL ALLOCATION AND USE...... 16

5 INCOME RESTORATION MEASURES ...... 18 6 MONITORING AND EVALUATION ON RESETTLEMENT IMPLEMENTATION INSTITUTION...... 20

6.1 IMPLEMENTATION INSTITUTION ...... 20

6.2 INTERNAL MONITORING AND EVA LUATIO N ...... 20

6.3 EVAL UAT I ON ...... 21

7 PARTICIPATION AND APPEAL...... 22

7.1 PUBLIC PARTICIPATION...... 22

7.2 GRIEVANCE AND APPEAL ...... 22

8 CONCLUSION AND SUGGESTION ...... 24

8.1 CONCLUSION ...... 24

8.2 SUGGESTIONS ...... 25

1 Summary

1.1 RAP Review

The Henan waste water treatment and water supply project financed by Asia Development Bank (ADB) includes 19 subprojects, 4 water supply projects and 15 waste water treatment projects. Four cities including Anyang, Xinxiang, Jiaozuo, Puyang and 14 counties of Haihe Basin are involved in the projects.

Haihe Basin is one of the worst polluted water system in China and more than 80% have been polluted. Henan is the second big province in Haihe Basin and five cities in its north part: Anyang, Jiaozuo, Puyang, Xinxiang and Hebi. The main rivers of these five cities have been polluted by family or industry sewage. And the pollution dose impact the middle line engineering through Henan Province of South-to-North Water Diversion. The construction of these projects will improve the waste water management and water supply of these five cities and will make environment and public sanitation better and control the pollution of Haihe Basin. These projects will help to improve the underground water quality of these five cities and downriver cities and the protection of water quality and the reduction of water disease will help to improve the living quality of poor people in city.

According to subproject resettlement plan, in Henan waste water treatment and water supply project financed by ADB resettlement impact are land acquisition and temporary land acquisition. 1209.6 mu collective lands that involved 14 counties, 18 towns and 20 villages were acquired. There are 736 families and 2952 people were directly impacted. Temporary land acquisition has 4500.8 mu including state land 3270 mu, collective land 1230.8mu. Resettlement expense is 130.911 million Yuan by estimation. See

Table 1-1.

Table 1-1 Project Resettlement Impact Collective Land Acquisition(mu) Temporary Land (mu) Direct Impact People Resettlement No. Project fee(10000 RAP approval time City/County Town Village Collective Collective State-Owned Household People Yuan) Anyang Long’ an Zongcun 90.0 60 503.1 60 240 1 Anyang 2464.0 2005 WWTP District Houxili 109.0 72 225 Linzhou 2 WWTP Linzhou Lingyang Nanxinzhuang 63.0 8 257 99 411 803.0 2005 Huaxian 3 WWTP Huaxian Chengguan Beiguan 109.6 20 0 22 110 1203.3 Not approved Neihuang 4 WWTP Neihuang Mashang Zhaoxin 50.0 27 297 36 152 875.1 Not approved Weihui 5 WWTP Weihui Chengjiao Dongguan 86.0 10.7 0 54 153 1040.0 2005 6 Weihui WSP Weihui Shibaotou Nanling 20.2 484.4 0 5 19 127.0 2005 Huojia 7 WWTP Huojia Zhaojing Houli 41.6 24.7 833.3 17 74 197.1 Not approved Fengqiu Fengqiu 8 WWTP county Chengguan Xinzhuang 49.9 0 445 20 95 1116.6 Not approved Changyuan 9 WWTP Changyuan Chengguan Linzhuang 102.6 98 142.6 53 212 863.8 Not approved Yanjin 10 WWTP Yanjin Xiaotan Datan 80.2 124 0 25 104 278.9 Not approved 11 Boai WWTP Boai Yangmiao Yangyi 60.0 22 148 22 95 629.8 2005 12 Boai WSP Boai Yueshan Jiufuzhuang 30.0 63 169 －－ 328.6 2005 Wenxian 13 WWTP Wenxian Wenquan Zhanggedang 60.0 0 120 35 120 583.9 Not approved Wuzhi 14 WWTP Wuzhi Xieqiying Qianniu 55.0 99 45 14 60 451.9 Not approved Qingfeng Wuyanjing 15 WSP Qingfeng Liuge etc. 30.0 165 10 35 135 452.9 Not approved Qingfeng 16 WWTP Qingfeng Gucheng Jiucheng 53.0 25 0 40 191 238.0 Not approved Puyang 17 WSP Puyang — — — — 170 — — 64.4 Temporary land for pipeline Puyang 18 WWTP Puyang Chengguan Wenzhuang 68.8 0 130 52 250 818.3 2005 Nanle 19 WWTP Nanle Chengguan Dongjie 60.0 0 0 64 244 444.4 Not approved Total 1219.0 1230.8 3270 736 2952 13176.3

1.2 Resettlement Implementation

Up to 24th, Dec, 2005, in 19 subprojects, the permanent land acquisition of Linzhou WWTP, Weihui waste water treatment project, Fengqiu WWTP and Changyuan WWTP had finished before the first M&E. The resettlement compensation has not begun in Anyang WWTP, Neihuang WWTP, Qingfeng WSP, Puyang WWTP and WSP and Boai WSP. Other 9 subprojects is undertaking resettlement compensation. The implementation and resettlement schedule of each project see

Table 1-2 the Schedule of Henan Waste Water Treatment and Water Supply Project

Project Resettlement Resettlement Internal Remark Construction schedule resettlement schedule No. Project implementation implementation Implementation monitoring (2005.12) (2005.12) plan plan Institution staff Anyang National Anyang Original designing is 1 2005.～2008.12 2005.9～2005.11 not implement Land Resources Xu Yimin WWTP approved Bureau Original designing, “three Linzhou waste Linzhou waste permanent land acquisition Qin compensation 2 2005.～2007.12 2004.12～2005.9 supplies and one leveling” water treatment water project compensation finished Zhengguo before first M&E finished Co., Ltd. Original designing is about Huaxian Linzhou o finish permanent land acquisition Qingyuan waste 3 2005.～2007.12 2004.11～2005.8 Li Yanjun WWTP “three supplies and one compensation is in process water treatment leveling” finished Co., Ltd. Huaxian Original designing is in Neihuang water Zheng plant site 4 2005.～2007.12 2005.9～2005.12 not implement WWTP process business Co., Ltd. Jianyu changes Neihuang Original designing finished, permanent land acquisition Weihui Qingyuan Wang compensation 5 2005.8～2007.1 2004.4～2004.11 WWTP construction began compensation finished Drainage Co., Ltd. Xiangyun before first M&E permanent land acquisition Weihui water Duan 6 Weihui WWTP 2005.8～2007.6 2004.12～2005.8 Original designing finished compensation is in process supply Co., Ltd. Ruixiang Huojia waste Original designing, survey permanent land acquisition 7 Weihui WSP 2005.1～2007.7 2005.8～2005.11 water treatment Yuanye is in process compensation is in process project office Fengqiu waste permanent land acquisition Zhai compensation 8 Huojia WWTP 2005.1～2007.6 2005.6～2005.8 Original designing finished water treatment compensation finished Haocheng before first M&E project Office Original designing is waiting Fengqiu permanent land acquisition Changyuan compensation 9 2005.1～2007.6 2004.4～2004.8 for approval,“three supplies WWTP compensation finished Drainage Co., Ltd. before first M&E and one leveling” finished

Yanjin Urban Changyuan Original designing finished, permanent land acquisition Property plant site 10 2005.1～2007.8 2005.8～2005.12 Jia Mingshi WWTP build walls compensation is in process Development Co., changes Ltd. Original designing finished, permanent land acquisition 11 Yanjin WWTP 2005.～2007.12 2004.4～2006.12 construction began compensation is in process Boai water Dou Original designing is in business Co., Ltd. Yongqiang 12 Boai WWTP 2005.8～2007.7 / not implement process Original designing is waiting permanent land acquisition Wenxian Tap 13 Boai WSP 2005.～2007.10 2005.6～2005.10 for approval, “three supplies Shi Guocen compensation is in process Water Company and one leveling” finished Wuzhi Wenxian Original designing is waiting permanent land acquisition 14 2005.～2006.12 2004.1～2005.12 Construction Xie kaiwen WWTP for approval compensation is in process Committee Not decide water sources, Qingfeng Tap Zhang Not decide water 15 Wuzhi WWTP 2005.8～2007.6 / not implement survey is in process Water Company Junfeng sources site Qingfeng waste Qingfeng Original designing finished, permanent land acquisition 16 2005.7～2007.6 2005.8～2005.9 water treatment Xu Lujun WSP build walls compensation is in process Co., Ltd. Puyang waste water& water Qingfeng 17 2005.～2006.12 / Pipelines lay not implement supply Jia Qibo WWTP construction headquarters Puyang waste water& water Original designing is in Not sigh 18 Puyang WSP 2005.～2007.12 2005.9～2005.12 not implement supply Wen Zhixin process, build walls agreements construction headquarters Puyang Original designing is in permanent land acquisition Nanle Tap Water 19 2005.9～2007.3 2005.6～2005.8 Wang Aimin WWTP process compensation is in process Company

1.3 Monitoring and Evaluation

In order to supervise the implementation of resettlement action and ensure resettlers keep at least same living level, in July, 2005 the first Independent Monitoring and Evaluation (IM&E) of the project is carried out by National Research Center of Resettlement (NRCR) of Hohai University that was entrusted by Henan project office financed by ADB. We find existing or potential problems and give suggestions by checking land requisition and resettlement pace, capital, management and life & production changing before and after resettlement. M&E checked land acquisition, demolition, relocation and resettlement on their implementation schedule, capital, management and the production and living situations before resettlement and put forward the existing and potential problems in land acquisition, demolition and relocation. The second external M&E rechecked the problems found in first M&E and checked land acquisition, demolition, relocation and resettlement on their implementation schedule, capital, and management. Also M&E team gave suggestions to the existing and potential problems in resettlement. Project resettlement compensation is being carried out so the income after resettlement will be investigated in next M&E.

1.3.1 Procedure of Monitoring and Evaluation

z To write resettlement M&E outline z To know resettlement procedure z To check material Area, compensation standard and compensation capital appreciation of resettlement z Investigation on the spot z To arrange and analyze materials z To write M&E report

1.3.2 Contents of Monitoring and Evaluation

The M&E of each project is made according to the order of land requisition and the relocation and income resort of impacted people will be followed. When the whole project finish post-evaluation will be done. According to investigation and resettlement plan, the impacts of this project are land acquisition, temporary land and compensation to some attachment. Enterprises and shops were not impacted by land acquisition. So, the contents of M&E are: z The schedule, area, compensation, capital appreciation and use of permanent land requisition. z The area, compensation standard, capital appreciation of temporary land requisition and land restore. z Restore of vulnerable group z Basic facility rebuilding z Satisfaction of DPs to land requisition and compensation z Institution ability z Internal resettlement monitoring z Public participation and its effect z Registration and management of grievance and appeal

1.3.3 Method of Monitoring and Evaluation

From 19th, Dec to 28th, Jan, 2006. The team of the M&E includes four professional personnel from NRCR and three workers from Henan Provincial Department of Finance. They investigate every project spot. During the M&E, following methods are used:

Symposium Have an informal discussion with resettlement offices, Dps, committees and women concerned respectively to know about land acquisition and housing relocation, and the income resort condition of villages.

Referring to document data. Looking up the document of resettlement activities, checking the compensation agreements of the land acquisition and house demolish and statistics data. Interviewing Key-men who provide information. Such as directors of resettlement offices, township heads, village heads, householders, women (20%), the elderly, etc

1.3.4 Monitoring and Evaluation Report

z National Research Center of Resettlement (NRCR) of Hohai University carries out the Independent Monitoring and Evaluation (IM&E) to invulnerable resettlement of the project. z In order to ensure the implementation of resettlement plan the monitoring and evaluation on the resettlement will make schedule according to project procedure. From 2005, NRCR wrote and submitted the IM&E Report to Henan ADB Project Office and ADB every half year. The specific arrangements are as follows: z Jan, 2006, carry out the second M&E baseline investigation. z From July 2006 to December 2007, submitting an M&E report for half a year.

2 Feedback to the First M&E Suggestions

In the first M&E, some suggestions were given to each subproject such as resettlement institution staff training, information booklets, village restoration plan, file administration, vocational training to affected labors. Every subproject implementation institution has actions such as resettlement institution staff training plan, information booklets printing and distribution, village restoration plan preparation, file administration, vocational training to affected labors. see Table2-1.

Table2-1 The Feedback of Henan WWTP and WSP Suggestions

No. project Suggestions in first M&E Feedback More Suggestions Set up specific resettlement organization z person in charge for resettlement : Xu Yimin 1 Anyang WWTP Strengthen resettlement staff training z training effect is good and new training is planned Strengthen file administration z file person in charge :Xu Yimin Make out skill training plan for affected z training is be prepared labors z 2 widows remarried,1 poor family but above the 2 Linzhou WWTP make out village restoration plan quickly Care about vulnerable groups municipal minimum living guarantee line Strengthen file administration z file person in charge: Qin Zhengguo Hand out resettlement information z handed out 22 booklets on 2005.12.10 booklets to resettlers z be preparing 3 Huaxian WWTP To make out village restoration plan make out village restoration plan quickly z training effect is good and new training is planned Strengthen resettlement staff training z file person in charge: Li Yanjun Strengthen file administration Hand out resettlement information z not hand out booklets to resettlers Neihuang z be preparing Hand out resettlement information booklets to 4 To make out village restoration plan WWTP z training effect is good and new training is planned resettlers quickly Strengthen resettlement staff training z file person in charge: Zheng Jianyu Strengthen file administration Strengthen employment skill training to z training is be prepared 5 Weihui WWTP resettlers make out village restoration plan quickly z file person in charge: Wang Xiangyun Strengthen file administration To make out village restoration plan z be preparing 6 Weihui WSP Strengthen file administration z file person in charge: Duan Xiangrui make out village restoration plan quickly Strengthen resettlement staff training z the first training not begin Hand out resettlement information z 20 booklets were handed out in Sep. 2005 booklets to resettlers z be preparing 7 Huojia WWTP To make out village restoration plan make out village restoration plan quickly z training effect is good and new training is planned Strengthen resettlement staff training z file person in charge: Yuanye Strengthen file administration Strengthen employment skill training to z training is be prepared resettlers 8 Fengqiu WWTP z file person in charge: Zhai Haocheng make out village restoration plan quickly Strengthen file administration z be preparing To make out village restoration plan Make conclusion to resettlement effects z DPs satisfied with compensation standard Changyuan Hand out resettlement information z 20 booklets handed out in Aug. 2005 9 WWTP booklets to resettlers z file person in charge: Xue Zhanli Strengthen file administration z training effect is good and new training is planned

No. project Suggestions in first M&E Feedback More Suggestions Strengthen resettlement staff training Hand out resettlement information z not hand out but village know about it booklets to resettlers z be preparing Hand out resettlement information booklets to To make out village restoration plan 10 Yanjin WWTP z training effect is good and new training is planned resettlers quickly, make out village restoration Strengthen resettlement staff training z file person in charge: Jia Mingshi plan quickly Strengthen file administration z village restoration plan is preparing Care about vulnerable groups 11 Boai WWTP Hand out resettlement information booklets to resettlers z 30 booklets in Nov, 2005 To make out village restoration plan z be preparing make out village restoration plan quickly 12 Boai WSP Strengthen file administration z file person in charge: Dou Yongqiang To accelerate the formalities of land z in transaction acquisition Hand out resettlement information booklets to resettlers z 50 booklets in Nov. 2005 Wenxian To make out village restoration plan z be preparing 13 make out village restoration plan quickly WWTP Strengthen file administration z file person in charge: Shi guocen Go through the formalities of land as soon z in transaction as possible z be preparing To make out village restoration plan z training effect is good and new training is planned Strengthen resettlement staff training 14 Wuzhi WWTP z file person in charge: Xie Kaiwen make out village restoration plan quickly Strengthen file administration z village committee support annual Care about vulnerable groups 5000Yuan/household 15 Qingfeng WSP Water source place of water supply z Survey is done and location is not decided. project should be decided Water source place of water supply project Qingfeng z training effect is good and new training is planned 16 Strengthen resettlement staff training should be decided as soon as possible WWTP z file person in charge: Xu Lujun Strengthen file administration 17 Puyang WSP — z — Strengthen resettlement staff training z training effect is good and new training is planned 18 Puyang WWTP Strengthen file administration z file person in charge: Wen Zhixin Hand out resettlement information booklets to resettlers z information booklets handed out 19 Nanle WWTP Strengthen resettlement staff training z training effect is good and new training is planned Strengthen file administration z file person in charge: Wang Aimin

3 Land Acquisition Schedule

3.1 Land Acquisition Procedure

According to No.3 order of Ministry of Land and Resources- Administration Approach on Construction Land Checkup and Approval, the checkup and approval procedure of new construction land is: prejudication, project decision, and land using application, planning, checkup and approval, implementation, land register: z According to project approval document and land using approval, municipal or county National Land Resource Bureau or the town governments, street offices involved in land acquisition investigate the approved construction land and freeze it. Any organization and individuals cannot use or explore this land without legal permission. z On the basis of investigation and other materials of land acquisition, municipal National Land &Resource Bureau sign land acquisition agreement with landowner of land acquisition after checkup and confirmation. z Publicize land acquisition plan and the policies, procedures, resettlement plan of land acquisition and compensation price. The scope of land acquisition and purpose also should be open for participation and supervision. z Village collective economic organizations and their members and other obliges should be compensated and resettled and land acquisition compensation should be handed out in time. According to article 45 of land administration law, following land acquisition should be approved by State Council: basic farmland, cultivated land bigger than 35ha; other land bigger than 70ha. Exam procedure as following:

(1)municipal and county government prepare the check opinions of farmland transferring use, complementary farmland, land acquisition and

provision plan;(2)report to provincial government ; 3)with the approval of provincial government, land administration sectors of province, autonomous region and municipal government prepare construction land according to related rules and submit to State Council and copy to ministry of national land resources;(4)State Council transfers construction land application of provincial government to related department of ministry of national land resources for transaction;(5)after the approval of State Council, ministry of national land resources takes in charge of approval of construction land application.

3.2 Land Acquisition Formality Transaction

（1）Permanent land acquisition By the end of 23rd, Dec, 2005, the land acquisition work of Weihui waste water treatment project went faster and had got land use license. Weihui WSP and Huojia WSP occupied ordinary farmland and land acquisition application was reported to provincial department of national land resources. The water source of Qingfeng county WSP has not been decided, so land acquisition did not begin. The land acquisition formality of Anyang WWTP, Puyang WWTP, Boai WSP and Neihuang WWTP and goes smoothly and is in the material arrangement phase. The resettlement of these five subprojects should be accelerated to guarantee the project schedule. Puyang WSP dose not involve permanent land acquisition. Project dose not begin so resettlement dose not either. Land acquisition schedule of other 10 subprojects see Table 3-1. Every project situation See Table3-1. Table3-1 Land Acquisition Formality Transaction

Land land acquisition No. Project Land type Remarks ownership formality 1 Anyang WWTP farmland collective (2) Basic farmland 2 Linzhou WWTP farmland collective (4) Basic farmland

Basic farmland in 3 Huaxian WWTP farmland collective (2) planned area 4 Neihuang WWTP waste land collective Not report Wasteland 5 Weihui WWTP farmland collective finished Ordinary farmland (2) 6 Weihui WSP farmland collective Ordinary farmland

7 Huojia WWTP farmland collective (2) Ordinary farmland 8 Fengqiu WWTP farmland collective (1) Basic farmland Changyuan 9 farmland collective (2) Basic farmland WWTP Wasteland, only need approval of 10 Yanjin WWTP farmland collective Not report municipal bureau of national land resource 11 Boai WWTP farmland collective (2) Basic farmland 12 Boai WSP Non-farmland collective Not report Wasteland 13 Wenxian WWTP farmland collective (1) Basic farmland 14 Wuzhi WWTP farmland collective (3) Basic farmland Not decide water 15 Qingfeng WSP — — Not report source 16 Qingfeng WWTP farmland collective (2) No permanent land 17 Puyang WSP / / / acquisition 18 Puyang WWTP farmland collective Not report 19 Nanle WWTP farmland collective (1) Basic farmland Notes:(1)apply land use application to municipal bureau;(2)report to provincial department;(3)approved by provincial department;(4) Reported to ministry of national land resources(5)approved by ministry of national land resources （2）Temporary Land Acquisition Temporary land acquisition does not begin because the project construction has not begun yet.

3.3 Land Acquisition Amount

Table3－2 Henan WWTP Land Acquisition and Resettlement Schedule

(By the end of 31st, Jan, 2006)

After plan Percentage No. project planned actual change (%) permanent land 199 1 Anyang WWTP acquisition (mu) Linzhou WWTP resettled persons 465 permanent land Huaxian WWTP 63 63 100 2 Neihuang acquisition (mu) WWTP resettled persons 411 411 100 permanent land 86 109.6 86 100 3 Weihui WWTP acquisition (mu) Weihui WSP resettled persons 110 110 100 permanent land 50 4 Huojia WWTP acquisition (mu) Fengqiu WWTP resettled persons 152 permanent land Changyuan 76.86 76 76 100 5 WWTP acquisition (mu) Yanjin WWTP resettled persons 152 152 100 permanent land 20 20 100 6 Boai WWTP acquisition (mu) Boai WSP resettled persons 19 19 100 permanent land 41.6 41.33 100 7 Wenxian WWTP acquisition (mu) Wuzhi WWTP resettled persons 74 74 100 permanent land Qingfeng WSP 49.93 49.93 100 8 Qingfeng acquisition (mu) WWTP resettled persons 95 95 100 permanent land 102.6 102.6 100 9 Puyang WSP acquisition (mu) Puyang WWTP resettled persons 212 212 100 permanent land 70.77 70.77 100 10 Nanle WWTP acquisition (mu) Anyang WWTP resettled persons 166 166 100 permanent land 60 60 100 11 Linzhou WWTP acquisition (mu) Huaxian WWTP resettled persons 95 95 100 permanent land Neihuang 30 12 WWTP acquisition (mu) Weihui WWTP resettled persons no _ _ _ permanent land 60 60 100 13 Weihui WSP acquisition (mu) Huojia WWTP resettled persons 120 120 100 permanent land Fengqiu WWTP 55 55 100 14 Changyuan acquisition (mu) WWTP resettled persons 60 60 100

permanent land 30 15 Yanjin WWTP acquisition (mu) Boai WWTP resettled persons 135 permanent land 55.8 54.8 55.8 100 16 Boai WSP acquisition (mu) Wenxian WWTP resettled persons 191 191 100 permanent land _ _ _ _ 17 Wuzhi WWTP acquisition (mu) Qingfeng WSP resettled persons _ _ _ _ permanent land _ Qingfeng 68.83 18 WWTP acquisition (mu) Puyang WSP resettled persons 250 permanent land 60 42.6 100 19 Puyang WWTP acquisition (mu) resettled persons 244 244 100

3.4 Problems

（1） Because of the strict land use administration system, construction land use formality transaction is a long period. Project units land use formality in transaction. In order to use land immediately, the compensation of most projects was paid fully or partly.

（2） Land acquisition formality of Puyang WWTP is not submitted. In order to start soon, land rent is adopted now with annual 1300Yuan/mu. After getting land use license, land rent will be taken out from land compensation.

（3） The land use license of Fengqiu WWTP dose not accord with legal procedure so it transacts again now.

（4） Neihuang WWTP changed plant site. Neihuang WWTP occupies basic farmland and license is difficult to transact. To solve land problem, plant site changed and RAP is prepared again. Resettlement information booklets have not handed out to villagers.

（5） Yanjin WWTP changed plant site. Yanjin WWTP occupies basic farmland and license is difficult to transact. To solve land problem, plant site changed and RAP is prepared again.

4 Compensation, Allocation and Use of Capital

4.1 Resettlement Compensation

By the end of 23rd, Dec. 2005, in 19 subprojects, Linzhou WWTP, Weihui WWTP, Changyuan WWTP and Fengqiu WWTP had finished land acquisition compensation before the first M&E. The resettlement of Anyang WWTP, Neihuang WWTP, Neihuang WWTP, Qingfeng WSP, Puyang WWTP and WSP and Boai WSP has not begun. Other 9 subprojects land acquisition compensation is in process. Compensation standard see Table4-1. Table4－1 Land Acquisition Compensation Standard of 9 Subprojects Unit: 10000 Yuan Land compensation Farmland Old city Attachments compensati Young Administration Project and occupation reconstructio compensatio on standard crops fee resettlement tax n n subsidy Plan 32500 650 5000 6667 3253 2000

actual 32500 1000 7900 6744 3253 2000 Huaxian WWTP difference 0 350 2900 77 0 0 village land Accepter contractor land bureau state land bureau committee bureau Plan 24000 20000 600 6412.8 6667 3800 2100

actual 24000 20000 600 6412.8 6667 3800 2100 Weihui WSP difference 0 0 0 0 0 0 0 village land Accepter contractor land bureau state land bureau committee bureau Plan 15813.2 600 10000 5000 4133 2240 actual 19813.2 600 10000 5000 4133 2240 Huojia WWTP difference 4000 0 0 0 0 0 village land Accepter contractor land bureau state land bureau committee bureau Plan 24400 610 5200 5336 2268 976 actual 24400 610 5200 5336 2268 976 Yanjin WWTP difference 0 0 0 0 0 0 village land Accepter contractor land bureau state land bureau committee bureau Boai Plan 28800 800 14800 4135 829 WWTP actual 25000 650 14800 4135 829

difference -3800 -350 0 0 0

village land Accepter contractor state land bureau committee bureau Plan 39000 1300 19500 4667 4434 1800 actual 30600 1300 19500 4667 4434 1800 Wenxian WWTP difference -8400 0 0 0 0 0 village land Accepter contractor land bureau land bureau land bureau committee bureau Plan 27300 650 5850 4669 4002 783 actual 34200 700 5850 4669 4002 783 Wuzhi WWTP difference 6900 50 0 0 0 0 village land Accepter Villager land bureau state land bureau committee bureau Plan 22100 780 3900 5336 3335 530 actual 22100 1300 3900 5336 3335 530

Qingfeng difference 0 520 0 0 0 0 WWTP National village land Provincial County County land Accepter Villager committee departmen treasury finance bureau t Plan 31200 650 5200 18000 2867 1500 actual 32200 1300 5200 18000 2867 1500 Nanle WWTP difference 1000 650 0 0 0 0 village land Accepter Villager land bureau state land bureau committee bureau Table 4-1 shows that in these nine subprojects, the land compensation, resettlement subsidy and young crop compensation of Boai WWTP is lower than the standard in RAP; the land compensation and resettlement subsidy of Wenxian WWTP is lower than RAP. Other project compensation standard is same or higher than the one in RAP.

4.2 Capital Allocation and Use

In the 9 projects which carried out resettlement compensation ,the land compensation, resettlement subsidy and young crop compensation were 100% allocated in Huaxian WWTP, Weihui WSP, Huojia WWTP, Yanjin WWTP and Qingfeng Receptor see Table 4-2. Land compensation, resettlement subsidy and young crop compensation allocation see Table4-2.

The young crop compensation of 9 projects has been paid to households. Land compensation, resettlement subsidy and young crop compensation of Weihui WSP and Huojia WWTP have been paid to households. The receptor

s of other project land compensation and resettlement subsidy see Table 4-2.

Table4－2 9 Subprojects Payment Schedule of Land Compensation ,Resettlement Subsidy and Young Crop Compensation Unit: 10000 Yuan After change of compensation Percentage Project Compensation sorts planned actual Receptor standard or required (%) land Land compensation village and resettlement 356.2 279.5 279.5 100 committee Huaxian subsidy WWTP Young crop 7.12 10.96 10.96 100 villager compensation Land compensation and resettlement 48 48 100 villager Weihui subsidy WSP Young crop 1.2 1.2 100 villager compensation Land compensation and resettlement 65.78 82.42 82.42 100 villager Huojia subsidy WWTP Young crop 2.50 2.50 100 villager compensation Land compensation village and resettlement 172.68 172.68 100 committee Yanjin subsidy WWTP Young crop 43.17 43.17 100 villager compensation Land compensation village and resettlement 172.8 161.4 100 61.96 committee Boai subsidy WWTP Young crop 4.8 3.18 3.18 100 villager compensation Land compensation village and resettlement 234 183.6 90 49.02 committee Wenxian subsidy WWTP Young crop 7.8 7.8 100 villager compensation Land compensation village and resettlement 150.15 188.1 150 79.74 committee Wuzhi subsidy WWTP Young crop 3.58 3.85 3.85 100 villager compensation Land compensation Town and resettlement 123.32 123.32 100 special Qingfeng subsidy account WWTP Young crop 4.35 7.26 7.26 100 villager compensation Land compensation village and resettlement 187.2 137.17 120 87.48 committee Nanle subsidy WWTP Young crop 3.9 5.54 5.54 100 villager compensation

5 Income Restoration Measures

Every project resettlement administration institutions prepare village restoration plan and resettlement income restoration measures to assure that Dps can get reasonable compensation and production and living level should be improved or at least keep same level. There are different project income restoration measures procedures according to the different project implementation. And they can be three types: 5.1 Four Subprojects Which Finished Land Acquisition in First M&E In first M&E, four WWTPs of Linzhou, Weihui, Changyuan and Fengqiu had finished permanent land acquisition. Each PMO paid much attention to the income restoration of villagers and supervised and assisted village committees to prepare village restoration plans. 5.2 Nine subprojects which in the process of land acquisition in this M&E In this M&E, among these nine subprojects, Huaxian WWTP, Boai WWTP and Qingfeng WWTP all involve village land adjustment. Through land use rights adjustment, most agricultural labors affected by project can be arranged a job, which provide guarantee for their income restoration. After land use rights redistribution, land compensation and resettlement subsidy can be used in the scope of adjustment. At present, village committee is discussing with villager brigades. Other six subprojects, villager meetings will be held to solve the problem of fund use. M&E team found that subproject village restoration plans are in the preparation. For the projects involving village land adjustment, it should prepare village restoration plan as soon as possible for the open and use of compensation. M&E team found that village restoration plan is being prepared. In order to help DPs to restore and increase income soon, in construction period, projects have considered preferential employment for DPs. Some project with small scale or low skills such as walls, plant roads and earthwork will provide to DPs firstly.

Table 5-1 Dps Interview in Weihui WSP

Nanling village, Shibaotou Town, Weihui

Interview 1 interviewee: Yang Ruyi man We all agree to set up water supply plant in village. Now plant is building walls and need workers. Our DPs and other villagers went to do. We are glad to have this work opportunity.

Though it is temporary work the wage is ok and we are glad to do. We hope it will have other chances like this.

5.3 Other Six Subprojects Which Have Not Begun Land Acquisition or Compensation For Qingfeng WSP, Anyang WWTP, Puyang WWTP, Boai WSP and Neihuang WWTP, the land acquisition formalities went slowly and compensation has not begun. So, village restoration plans have not begun yet. Puyang WSP dose not involve permanent land acquisition. Income restoration is the next important work for project resettlement institutions. Each project RAP prepared income restoration plan but real work dose not begin. So, in the next work phase, income restoration should be done according to RAP to improve the living and production of DPs.

6 Monitoring and Evaluation on Resettlement Implementation Institution

6.1 Implementation Institution

In order to implement the RAP well, strengthen the supervision and management of resettlement action and achieve the target of the resettlement, Henan water pollution control project financed by ADB resettlement office was set up in Oct, 2005, Li Boqiang is office director. Office members are the persons who take in charge of the resettlement in subproject. In Jan and May of 2005, Henan project office, in Jiaozuo and Anyang respectively, invited NRCR resettlement experts to have resettlement policy training to project staff and the main contents were policy, management and monitoring& evaluation of resettlement. By training, resettlement implementation institutions understood the policies of resettlement of the ADB, specified the responsibilities of work and improved operation ability and policy dealing capability.

6.2 Internal Monitoring and Evaluation

The PMO adopted an internal monitoring mechanism to examine the resettlement implementation. During demolition and relocation, Henan Project Office and sub-project departments had persons specially assigned for monitoring and examining. They examined fund utilization, house re-building, and restore of resettlers’ income. Once discovering some problems, they would report to the leading group timely and consulted with resettlers concerned to solve them. In Oct, 2005, Henan provincial WWTP PMO prepared the first internal M&E report and was reported to ADB by Henan provincial PMO.

6.3 Evaluation

Monitoring and Evaluation team do investigation of resettlement. The results of investigation indicate that management and implementation institutions set up an external independent mechanism and internal mechanism of M&E and carry out their own responsibility and task in the resettlement implementation. Monitoring& Evaluation suggests that the staff in related organizations should have further training on resettlement policy and implementation and this training should combine theory study with visit on the spot. Especially they should investigate and study the projects financed by ADB and add the institution efficiency and ability.

7 Participation and Appeal

7.1 Public Participation

During the implementation, the PMO and implementation institutions paid high attention to public participation and negotiations. During resettlement implementation, implementation institutions held many meetings to ask advices of Dps on land acquisition compensation. To protect the benefit and rights of DPs from damage, institutions will provide more information and invite DPs to visit to get rid of the worry and question of DPs. From interview and investigation M&E team found that through propaganda DPs support the project. For example, in land acquisition of Huaxian WWTP, villager worried about the impacts brought by project. Huaxian Qing-yuan Waste Water Treatment Ltd., Co. organized villagers to visit other waste water treatment plant and invite experts of planning and design institute to plan for the village. After these, villagers removed worry and support the project greatly. Resettlement went smoothly.

Table7-1 Dps Interview in Huaxian WWTP

Beiguan village, Chengguan Town of Huaxian County

Interview 1 interviewee: Li Yuanhong man

We were a little worried when we knew a waste water treatment plant would be set up in

village. So much waste water must worsen environment. So at beginning we did not support

the project. PMO explained the advantages of WWTP for us but we did not believe. They

brought us to other WWT plants. Finally we knew that WWT plant is benefit for us so we

support it.

7.2 Grievance and Appeal

The transparent, effective channel of grievance and appeal were set up in

the project resettlement planning and implementation process. PMO told the channel to Dps by holding meetings and information booklets. This let Dps know their rights of grievance and appeal well. The channel was unblocked. After RAP implementation, no DPs complained though hotline. Dps are satisfied with compensation and resettlement policies. Meanwhile, M&E team found there are various appeal channels for DPs. DPs went to construction site for work or see the process. They always talk freely in construction site and all satisfied with compensation and resettlement policies. But, policy preparation has the characteristics of complexity, continuousness and stability. Project implementation institutions are careful. Some DPs do not know policies well. M&E team suggest PMO strengthen the propaganda and participation of policies and establish appeal registration system.

8 Conclusion and Suggestion

8.1 Conclusion

In this M&E, the project and resettlement go smoothly.

（1） Project units take corresponding measures according to the suggestions of last M&E.

（2） By the end of 24th, Dec. 2005, in 19 subprojects, Linzhou WWTP, Weihui WWTP, Changyuan WWTP and Fengqiu WWTP had finished land acquisition compensation before the first M&E. The resettlement of Anyang WWTP, Neihuang WWTP, Neihuang WWTP, Qingfeng WSP, Puyang WWTP and WSP and Boai WSP has not begun. Other 9 subprojects land acquisition compensation is in process.

（3） For project construction has not begun yet so temporary land acquisition has not either.

（4） In the 9 projects which carried out resettlement compensation ,the land compensation, resettlement subsidy and young crop compensation were 100% allocated in Weihui WSP, Huojia WWTP, Yanjin WWTP and Qingfeng WWTP. Land compensation, resettlement subsidy and young crop compensation of Weihui WSP and Huojia WWTP have been paid to households.

（5） Land acquisition affects DPs little but the income restoration of DPs is still the work point for resettlement institutions. At present, the project which carried land acquisition and compensation adopted income restoration measures such as land adjustment and work chances. Village restoration plan is being prepared.

（6） Resettlement administration and implementation institutions set up a resettlement internal mechanism of M&E and carry out their own

responsibility and task in the resettlement implementation.

（7） Dps know their rights of grievance and appeal well. The channel of was unblocked. DPs are satisfied with compensation standard basically and no villagers to appeal.

（8） Resettlement file administration should be assigned to specific persons. The relevant materials in resettlement should be kept well and establish land requisition and demolition files, which can offer basic materials for project check and monitoring and evaluation.

8.2 Suggestions

（1） Accelerate land acquisition formality transaction. According to national policies, land acquisition should transact formality with strict procedures. So, land acquisition formality transaction should be accelerated for land use legality.

（2） In this M&E, there are 9 subprojects carried out compensation for land acquisition, in which Boai WWTP, Wenxian WWTP, Wuzhi WWTP, Huaxian WWTP and Nanle WWTP should put the capital in right place soon.

（3） Accelerate to prepare village restoration plan. Each project RAP prepared income restoration plan but real work dose not begin. Especially the project whose land acquisition affects DPs a lot, income restoration should be prepared as soon as possible to reduce impact and guarantee the production and living level same or higher than before.

（4） Project resettlement administration sectors should change work point from land acquisition to living and production of DPs. The project unit which finished land acquisition, in the future resettlement administration, should support and help the DPs in production,

income increasing and livelihoods. Project units should be done income restoration work well and assigned persons to set up specific department to help their production. If possible, resettlement assistance fun should be set up. At the same time, skill training should be given to Proper ways should be found to help DPs to get rich. To support DPs by loan in family and sideline projects.

（5） The RAP of Neihuang WWTP and Yanjin WWTP should be amended. As the guideline of resettlement RAP should be perfected to guarantee the resettlement work to go smoothly.

（6） Strengthen training to resettlement organization staff. Monitoring& Evaluation suggests that the staff in related organizations should have further training on resettlement policy and implementation and this training should combine theory study with visit on the spot. Especially they should investigate and study the projects financed by ADB and add the institution efficiency and ability.

（7） To set up appeal registration system. Project units open appeal hotline but are lack of strict management. It suggests that appeal registration system should be set up to assure the effect of hotline.

（8） Resettlement information booklets of Neihuang WWTP should be handed out to affected villager as soon as possible.