Resettlement Planning Document

Resettlement Plan Document Stage: Revised Project Number: 34174 December 2007

People’s Republic of : Central Roads Development Project

Prepared by Sichuan Yaxi Expressway Co., Ltd.

The resettlement plan is a document of the borrower. The views expressed herein do not necessarily represent those of ADB’s Board of Directors, Management, or staff, and may be preliminary in nature.

CENTRAL SICHUAN ROADS DEVELOPMENT PROJECT

（ADB Loan No. 2181-PRC）

RESETTLEMENT PLAN

(Updated Edition as of December 2007)

Sichuan Yaxi Expressway Co., Ltd. December 2007

-i- Illustration of the Revised Resettlement Plan

According to ADB requirements, the RP has to be revised according to detailed investigation prior to construction, if the original RP is prepared based on research materials approved by ADB.

The RP of the Central Sichuan Roads Development Project (Edition of March 2005) was prepared based on the feasibility level data. Therefore, the RP of the Central Sichuan Roads Development Project (Updated Edition as of December 2007) is formulated according to detailed measurement surveys of the conditions of resettlement after the completion of the detailed design of the project.

Moreover, the RP of the Project (Edition of March 2005) is prepared by Sichuan Provincial Communications Department (SPCD). Sichuan Yaxi Expressway Co. Ltd in charge of the implement of the Project was established on September 2005. Therefore, the RP of the Project (Updated Edition as of December 2007) is prepared and endorsed by Sichuan Yaxi Expressway Co. Ltd (SYEC).

-ii-

ABBREVIATIONS AND ACRONYMS

Note: While all acronyms and abbreviations are defined in the text, this list is presented to highlight the most important ones

ADB Asian Development Bank AV Administrative Village CRO County Resettlement Office (Yucheng, Yingjing, Hanyuan, Shimian and Mianning) ha hectares or 10,000 m2 HH Household mu Chinese land area unit of measure: 1 mu = 0.0667 ha PAH Project Affected Household PAP Project Affected Person PRO Project Resettlement Office RMB Remimbi—another word for the PRC Currency, the Yuan RP Land Acquisition and Resettlement Plan SES Socioeconomic Survey SPDI Sichuan Provincial Survey Design Planning & Research Institute SPCD Sichuan Provincial Communications Department Executing Agency) SYEC Sichuan Yaxi Expressway Co.Ltd Twp. Township ¥ Abbreviation for Yuan, PRC’s currency

-iii- CONTENTS

SUMMARY...... i Section 1 General ...... 1 1.1 Objectives of Resettlement Plan and Definition of Resettlement Terminology 1 1.2 Project Background ...... 2 1.3 Project Description ...... 2 1.4 Affected Areas of the Project...... 4 1.5 Measures to Reduce the Project Impact...... 4 1.5.1. Minimizing the Project Impact Area...... 4 1.5.2. Reducing the Impact of the Project Construction ...... 5 1.5.3 Establish a feasible Resettlement Plan...... 5 1.6 Project Cost Estimate and Implementation Schedule ...... 5 1.7 Preparation for Resettlement Planning ...... 6 1.7.1 Updated Survey on Affected Entites ...... 6 1.7.2 Survey on Social Economy ...... 6 1.7.3 Documents on Resettlement Policies ...... 7 1.7.4 Resettlement Plan ...... 7 1.8 Basis of Policies and Objectives on Formulating the Resettlement Plan...... 7 1.8.1 Basis of Policies...... 7 1.8.2 Objectives of Policies ...... 8 Section 2 The Socio-economic Profile of Affected Areas...... 9 2.1. Natural and Geographical Conditions of Areas Affected by the Project...... 9 2.1.1. Ya’an Municipality...... 9 2.1.2. Liangshan Prefecture ...... 9 2.2. Socioeconomic Profiles of Areas Affected by the Project ...... 10 2.2.1 Ya’an City...... 10 2.2.2 Liangshan Prefecture ...... 10 2.3. Basic Profile of Affected Counties () ...... 11 2.3.1. in Ya’an City ...... 11 2.3.2. in Ya’an City ...... 11 2.3.3. in Ya’an City...... 12 2.3.4. in Ya’an City ...... 12 2.3.5. in Liangshan Prefecture...... 13 2.4. Basic Profile of Affected Townships and Villages...... 14 2.5 Profile of Affected Villages...... 17 2.6. Basic Profile of Affected Households ...... 22 Section 3 Impact of the Project...... 28 3.1 Scope of the Land Acquisition, Demolition and Relocation ...... 28 3.1.1. Permanent Land Acquisition of the Project...... 28 3.1.2. Temporary Occupation of Land for Construction ...... 28 3.2. Detailed Measurement Survey...... 28 3.3. Affected Inventory (Project Impacts)...... 29 3.3.1. Land Acquisition ...... 29 3.3.2 Demolished Houses and Auxiliary Facilities ...... 32 3.3.3 Scattered Trees to be Removed ...... 33 3.3.4. Affected Special Facilities...... 33 3.3.5 Number of People Affected ...... 37 3.3.6 Affected Ethnic Minorities...... 39 3.3.7 Vulnerable People ...... 41

-i- 3.3.8 Gender Analysis...... 41 3.4 Analysis of the Impact of Land Acquisition, Demolition and Relocation...... 41 Section 4. Legal Framework...... 44 4.1 Basis of Policies ...... 44 4.2. Relevant Laws and Regulations...... 44 4.2.1 Relevant Provisions of The Land Administration Law of the People’s Republic of China...... 44 4.2.2 Sichuan Province Implementation Method of People’s Republic of China Land Administration Law...... 46 4.2.3 Circular on Preparing for the Report to Submit for Approval of Land Use for Construction to the State Council ...... 47 4.2.4 ADB Policies on Involuntary Resettlement...... 47 4.3 Compensation Standards ...... 47 4.3.1 Compensation Standards for Land Acquisition ...... 47 4.3.2 Compensation Standard for Houses and Auxiliaries ...... 49 4.3.3. Subsidies Standards for Resettlement...... 52 4.3.4 Compensation Standard for Forest Land and Forest Trees ...... 52 4.4 Compensation for Special Facilities ...... 53 4.5 Entitlement Matrix ...... 53 Section 5. Resettlement & Rehabilitation...... 56 5.1. Target and Task ...... 56 5.1.1 Resettlement Target ...... 56 5.1.2. Resettlement Task ...... 56 5.2 Resettlement Guideline and Principle...... 56 5.2.1. Resettlement Guideline ...... 56 5.2.2. Resettlement Principle...... 57 5.3 Overall Scheme of Resettlement ...... 57 5.4 Analysis of Implementation Capacity of Resettlement...... 58 5.4.1 Natural Condition and Land Resource...... 58 5.4.2 Basic Characteristics of Resettlement and Rehabilitation ...... 58 5.4.3 Basic Infrastructure Conditions for Production and Living...... 59 5.4.4 Economic Development Potential of the Affected Area ...... 60 5.4.5 Environmental Concerns ...... 60 5.5 Resettlement and Rehabilitation Plan...... 60 5.5.1 Production Rehabilitation Plan ...... 60 5.5.2 House Relocation Plan...... 61 5.5.3 Economic Rehabilitation Plans for Key Villages ...... 63 5.5.4 Difficulties Households Face to Restore their Income...... 64 5.6 Management of the Administration of Resettlement ...... 65 5.7 Gender Considerations ...... 66 5.8 Arrangements of Assistance for Ethnic Minorities ...... 67 5.9 Arrangements of Assistance for Vulnerable Groups...... 67 5.10 Rehabilitation Plan for Special Facilities...... 68 5.10.1 Irrigation canal restoration plan...... 68 5.10.2 Tractor road restoration plan ...... 68 5.10.3 Electric power line restoration plan ...... 68 5.10.4 Telecom line restoration plan...... 68 Section 6. Resettlement Cost Estimate...... 71 6.1 Basis and Principles of Cost Estimate ...... 71 6.1.1 Basis of Cost Estimate ...... 71

-ii- 6.1.2 Compensation Principles...... 71 6.2 Compensation Cost Estimate...... 71 6.2.1 Compensation for Cultivated Land...... 71 6.2.2 Compensation for Garden Plots...... 73 6.2.3 Compensation for Forest Land and Forestry ...... 74 6.2.4 Compensation for Other Types of Land ...... 75 6.2.5 Compensation for Young Crops ...... 76 6.2.6 Compensation for Temporary Occupation of Land ...... 77 6.2.7 Compensation for Housing...... 77 6.2.8 Relocation and Transition Expenses...... 77 6.2.9 Compensation for Auxiliaries on the Ground ...... 78 6.2.10 Compensation for Rehabilitation of Special Facilities...... 78 6.2.11 Financial Aid for Households Facing Crisis...... 79 6.2.12 Assistance for Severely Affected Villages ...... 79 6.2.13 Internal and External Monitoring Expenses for Resettlement ...... 79 6.2.14 Administration Expenses for Resettlement ...... 79 6.2.15 Land reclamation fee ...... 79 6.2.16 Contingency Funds...... 79 6.3 Total Resettlement Cost Estimate ...... 79 Section 7. Institutional Arrangements & Implementation Schedule ...... 81 7.1. Institutional Arrangements...... 81 7.1.1. Establishment of Resettlement Organizations...... 81 7.1.2. Working Relations between Organizations ...... 85 7.1.3. Capacity Building Measures...... 86 7.2. Implementation Scheme...... 86 7.2.1. Implementation Procedures ...... 86 7.2.2 Project Implementation Schedule ...... 89 7.2.4 Disbursement of Relocation Funds ...... 91 Section 8. Consultation of opinions, public Participation, Disclosure and Grievances....95 8.1 Consultation of Opinions ...... 95 8.1.1 Consultation during PPTA stage in 2004...... 95 8.1.2 Consultation of Opinions Completed in 2005...... 95 8.2 Public Participation ...... 95 8.2.1 Purpose of Participation ...... 96 8.2.2 Stakeholders in the Process of Participation...... 96 8.2.3 Principles of Participation ...... 96 8.2.4 Participation Plan...... 97 8.2.5 Participation Methods during Implementation of the Project ...... 97 8.2.6 Roles of Independent Monitoring Organization ...... 97 8.2.7 Participatory Survey on Opinions and Suggestions of PAPs...... 101 8.2.8 Participation and Consultation completed During Resettlement Planning 103 8.2.9 Public Participation and Consultation to be conducted during the RP Implementation...... 103 8.3 Disclosure of Resettlement Policies and RP...... 105 8.3.1 Publicize the Impact Survey Results...... 105 8.3.2 Clarify the Compensation Policies ...... 105 8.3.3 Prepare and Distribute Resettlement Information Booklet ...... 105 8.3.4 Convening Meetings...... 106 8.3.5 Information Feedback of Implementing Agency...... 106

-iii- 8.4 Grievances and Redress...... 106 8.4.1 Grievances...... 106 8.4.2 Grievance Procedures...... 106 8.4.3 Grievance Redress Principle...... 107 8.4.4 Contents and Form of Reply to Complaints ...... 107 8.4.5 Grievance Report ...... 108 Section 9. Monitoring & Evaluation ...... 109 9.1. Internal Monitoring...... 109 9.1.1. Target and Task ...... 109 9.1.2. Institution and Staff ...... 109 9.1.3. Monitoring Contents ...... 109 9.1.4 Monitoring Procedures ...... 110 9.1.5 Reporting ...... 110 9.2. External Resettlement Monitoring and Evaluation...... 110 9.2.1. Target and Tasks...... 110 9.2.2. Institution and Staff ...... 111 9.2.3 Main Indicators to be Monitored and Evaluated ...... 111 9.2.4 Monitoring and Evaluation Methods...... 111 9.2.5 Working Processes...... 113 9.3 Reporting ...... 113 9.3.1 Internal Monitoring Progress Report ...... 113 9.3.2 Resettlement Completion Report ...... 115 9.3.3 Independent M&E Report...... 115 Annex 1 - Resettlement Information Booklet (Disclosed in February 2005) ...... 116 Annex 2.Resettlement Survey Methodology and Questionnaires...... 120 Annex 3 Land Acquisition by AffectedVillages （Updated December 2007）...... 128 Annex 4 Demolition of Housing by Affected Village (Updated December 2007)...... 130

-iv- SUMMARY

1. Status of the Resettlement Plan

The proposed Central Sichuan Road Development Project will finance the construction of an expressway between Ya’an and Lugu, with a length of 239.8 km. This RP is formulated according to the resettlement work of the Central Sichuan Roads Development Project. The plan on the rehabilation of the seriously affected villages is still being formulated and will be submitted to ADB by 31 March 2008 and will be monitored internally and externally during implementation. In addition, the planning of local roads and upgrading existing roads from counties to townships and townships to villages is not expected to involve a significant amount of land acquisition and resettlement. However to guarantee unforeseen impacts are treated in accordance with the ADB's resettlement policy, the Sichuan Provincial Government has agreed that for any land acquisition or resettlement, the affected people will receive the same compensation and other entitlements as set out in the Resettlement Plan. This RP is only on the resettlement plan of the Central Sichuan Roads Development Project. The resettlement office of the project will provide a resettlement plan once the the plans for the local roads has been confirmed.

2. Scope of Land Acquisition and Resettlement

The proposed Central Sichuan Roads Development Project will affect 30 townships, 93 admininstrative villages of 5 Counties (Districts), namely Yucheng District, Yingjing County, Hanyuan County, Shimian County of Ya’an City and Mianning County of Liangshan Prefecture. According to the results of the project design plan, land acquisition is 1016.926 hectares (ha), among which 439.0998 ha are cultivated land, 86.8034 ha are garden plots, 355.6585 ha are forest lands and 34.6349 ha are other agricultural lands. Land that is currently used for construction involves 33.4369 ha while unused land consists of 67.2924 ha. Temporarily used land during construction involves 347.6 ha. The impact of land acquisition is equivalent to complete farmland loss for 7990 people; however, since land acquisition involves a long linear strip of land, the loss of farmland at the household level is partial, averaging btewen 15% and 25% loss. This means the number of persons to be compensated by partial farmland loss is in the order of 32,000.

Along with the land acquisition, the project will also involve 207,312 m2 of buildings to be demolished, among which 42049 m2 are brick-concrete structures, 90391 m2 are brick-wood structures and 74873 m2 are earth-wood structures. Buildings to be relocated involve 3412 people in 929 households. 56 villages are affected by housing relocation (i.e., an average of 16 houses per village).

Relocation of buildings will provide an opportunity to improve current housing condition for relocated households. Relocated buildings will be rebult in existing communities. Rural housing will be built in a scattered manner beside roadways; therefore there is no requirement for developing large resettlement sites and associated infrastructure. Other affected assets include telecommunications and electrical infrastructure, ponds for fish and lotus cultivation, sheds, walls, graves and economic trees. All land, housing and other assets will be compensated at replacement value.

3. Policy Framework and Entitlements

For people inevitably affected, the resettlement objective is to achieve equal or better income and living standards in line with the People’s Republic of China Land Administration Law (1998) and the ADB’s Policy on Involuntary Resettlement. The SYEC will ensure that any people losing land, housing, other assets or income sources will be assisted to fully restore their income and living standards. The Sichuan Provincial Government in 2001 issued a Land Administration Decree to implement the 1998 Land Administration Law, and in 2004 issued a special decree concerning land compensation, which stipulates the regulations for land compensation, resettlement subsidies, young crop compensation, and other measures to carry out resettlement. According to the policy and basic socioeconomic conditions among project counties, detailed compensation rates will be agreed upon for each affected county. Comprehensive compensation for land acquisition

-i- (compensations for land, relocation and resettlement subsidies and compensation for young crops) is set at from 262,500 yuan/ha to 696,780 yuan/ha for cultivated land and garden plots while other types of lands will be compensated as half of the amount for cultivated lands. The compensation for residential land will be the same as cultivated land. People who lost land temporarily during the construction will receive a payment equivalent to production value foregone for the period of loss, which is expected to be 2 years. The land used temporarily will also be restored by the contractor to the original condition, or additional funds will be provided to the owner to restore the land. For structures to be demolished, compensation will be provided to the affected households based on compensation rates adopted in the affected city and prefecture. The compensation for Ya’an region is: 386 yuan/m2 for brick-concrete structures, 300 yuan/m2 for brick-wood structures and 260 yuan for earth-wood structures. The compensation standard for Mianning County is: 556 yuan/m2 for brick-concrete structures, 393 yuan for brick-wood structures and 338 yuan for earth-wood structures. People who lost their housing will be compensated and can obtain new residential premises with electrical and water facilities and nearby roads from the current village group or administrative village at no cost There will be no reduction in house compensation for depreciation, and people will be allowed to salvage materials from their old houses.

4. Resettlement Strategy

Efforts to minimize resettlement effects have been made after consultations with local officials during the setting of the alignment for the feasibility study. The selected alignment will avoid towns, villages and high yield paddy and fruit gardens. For people that are inevitably affected, the resettlement strategy is to replace losses of housing, land, other assets, infrastructure and income.

In the project area, the per capita land holding is very small (less than 0.05 ha), therefore the land acquisition of the alignment, particularly in the interchanges, will have significant impact on the income and livelihood of the affected people. To mitigate such impacts, higher than average compensation rates and various rehabilitation measures have been proposed. According to the result of the design plan, 16 villages are seriously affected. A detailed economic rehabilitation plan for these seriously affected villages will be formulated. All affected persons will either be provided compensation directly or, if preferred, replacement land through village land readjustment so as to ensure that all affected households has sufficient land to farm. For those villages that adopted land readjustment, they will utilize the compensation funds to improve farm conditions, develop cash crops, and various non-farm activities. The decision to restore and improve the agricultural economy will be based on consultation and expressed opinion of the affected people. It is also recognized that new employment and income generation opportunities would arise once the expressway and connectors are constructed. The people generally felt confident that this strategy would lead to faster economic growth, higher incomes and better living conditions.

The SYEC will ensure that the resettlement entitlements are provided to the people affected prior to the commencement of ground clearance and demolition. Land compensation and resettlement subsidy will be paid to the affected village groups or individuals. Housing compensation and compensation for young crops and other assets will be provided directly to people losing those assets. Compensation for infrastructure such as electrical and communication fixtures will be paid to the relevant government departments for restoration.

The resettlement regulations have standard provisions for moving allowances to assist the affected people during the transition phase. In addition, expressway contractors will be requested by SYEC to give priority to resettlement affected households in the allocation of unskilled jobs during construction. This will be handled through consultation with the township and village leaders.

5. Organizations for Resettlement

The Sichuan Provincial Government will assume the overall responsibility for implementing resettlement according to the approved RP. A Project Resettlement Office within SYEC will be directly responsible to co-ordinate the planning, implementation, financing and reporting of land acquisition and resettlement for the expressway, connector roads and local poverty roads. Both leading groups and resettlement offices, each comprising 6-8 staff will be established in two cities and five affected counties (districts). The county

-ii- resettlement offices will take the primary responsibility for the resettlement consultation, implementation and timely delivery of entitlements, with assistance from concerned township and villages.

6. Vulnerable Groups1

Among total affected people, an estimated 4,500 Yi Nationality will be affected by the Project (22 percent affected persons). Among 93 affected villages, 38 have over 10 percent of Yi Nationality population. Since Yi Nationality have been closely integrated in the current social system with no distinctive isolation or barriers, the compensation and rehabilitation adopted for affected Yi Nationality will be the same as those for Han Nationality. In order to respect their cultural custom and maintain their social relationships, all affected minority population will be resettled within the same villages and village groups. 一

For economically vulnerable people, including Yi Nationality, elderly living alone, the disabled, village households headed by women, and extremely poor households, the Project will provide additional financial and physical support. Under the Resettlement Plan, households that face hardships due to resettlement will receive additional assistance to ensure they can fully restore their livelihoods and living conditions in a timely manner. The specific amount for such assistance will be determined according to the actual condition and their needs. For this purpose, SYEC agreed to set aside a special fund for economically vulnerable people of 1% of the total resettlement cost.

7. Consultation and Redress of Grievances

The 1998 Land Law requires disclosure and consultation with people affected. The people affected have been notified about the key elements of the RP during meetings and interviews. During detailed resettlement planning, there will be further consultations arranged by township and village officials to discuss specific impacts in each village and how they will be addressed. People who lost their housing will be offered a choice of residential premises; and those losing agricultural land will have the opportunity to consider alternative suitable income replacement. All villagers will also have the right to express their opinions on decisions on how to utilize the collective compensation funds.

Booklets on resettlement have been distributed to all affected townships and villages by SPCD and relevant county resettlement offices in February 2005. The information booklet contains the resettlement scope, expected timeframe, compensation rates for land and other assets, other assistance to replace assets, relocation and economic rehabilitation strategies, and the mechanisms for redressing grievances. The county, township and village officials will ensure that any concerns raised by the people affected are quickly addressed. As the contents of the compensation policies changes from time to time, therefore, resettlement offices of the project will post the new standards of compensation and policies at the affected villages for more than 5 days.

In case of grievances, all complaints will be processed based on the Government Regulation Number 431 on Redressing Grievances effective on 1 May 2005. People affected will submit oral or written complaint first to the village committee or the township resettlement office. If their complaint is not settled in two weeks, they can seek redress at the county resettlement office, within one month. If the problem is still unresolved within two weeks, the Project Resettlement Office (PRO) of SYEC will try to achieve a solution. The final redress would be sought, if necessary, in the civil courts, in accordance with the Civil Procedures Act.

8. Monitoring and Reporting

The plan for internal and external monitoring and evaluation is included in the RP. SYEC will engage a qualified domestic monitoring agency to carry out independent resettlement monitoring and evaluation. The independent monitoring agency will ascertain the extent to which the affected people have (i) received their full entitlements on time and (ii) fully restored their livelihoods, income levels and living standards. It will also

1 This section will be updated after the inventory of vulnerable groups is completed.

-iii- conduct a baseline survey prior to resettlement, semi-annual investigations during resettlement and annual survey updates for two years after the completion of resettlement. The household survey will include a representative number of those severely affected by loss of land, those who lost their housing, ethnic minorities and those who are economically vulnerable. The independent monitoring agency will provide ADB and SYEC with copies of the monitoring and evaluation reports to be prepared twice a year during resettlement implementation and once a year after resettlement completion.

A quarterly reporting system has been established in the PRO in SYEC and Executing Organization. SYEC and the Executing Organization will report to ADB on the progress of land acquisition and resettlement through resettlement progress reports. After completion of land acquisition and resettlement, SYEC and the Executing Organization will prepare a resettlement completion report and submit to ADB.

9. Finance and Implementation Schedule

The RP budget estimate is 907.4 million yuan for all costs including compensation, resettlement subsidy, payments for other assets such as housing, moving allowances, subsidy for vulnerable groups, fees for resettlement administration, and monitoring and evaluation as well as contingency. SYEC will guarantee to supplement the resettlement budget, as may prove necessary, to meet any shortfall which emerges in achieving the resettlement objectives.

The resettlement implementation schedule has been prepared based on the Project construction timetable agreed by the Executing Organization with ADB. It is planned that 40% of the land acquisition and relocation work shall be undertaken in 2007 and 50% in 2008. The remaining land acquisition and relocation work and livelihood rehabilitation shall be completed by 2009.

-iv- Section 1 General

1.1 Objectives of Resettlement Plan and Definition of Resettlement Terminology

This Resettlement Plan (RP) is prepared according to the Laws and Regulations of the People’s Republic of China and Sichuan Province, as well as the resettlement policy of ADB. The purpose of this document is to set out a policy framework and an action plan for the Resettlement and Rehabilitation of the Project Affected Persons (PAPs) to ensure that they will benefit from the project and their standards of living will improve or at least be restored after the project impact. This RP is a legally binding agreement between the Executing Organization (EO) –Sichuan Yaxi Expressway Co., Ltd (SYEC) and both the ADB and the local government offices involved with resettlement implementation, whereby SYEC will be responsible to ensure the action plans are adequately financed and will coordinate relevant cities and counties to implement resettlement in accordance with the resettlement plan approved by ADB.

Acquisition of land and other assets for the project will adversely affect the livelihood of persons who live, work or earn their living on the land that will be acquired for the project. PAPs are defined as those persons whose income or livelihoods will be adversely affected by land acquisition for the project. PAPs include the following categories:

1) Persons with lands (including residential premises, agricultural, and grazing land) or constructions (houses, enterprises, shelters or public buildings) or any other asset acquired or possessed, in full or in part, permanently or temporarily;

2) Persons who use the structures, land or assets described above; or persons whose business, occupation, work, place of residence or habitat adversely affected; or

3) Persons whose standard of living is adversely affected as a consequence of land acquisition and/or resettlement activities.

A definition of Project Affected People (PAP) is given below.

PAPs: “Project Affected Persons” refers to persons who on account of the execution of the project had or would have their: a) standard of living adversely affected; or b) right, title or interest in any house, land (including residential premises, agricultural and grazing land) or any other fixed or movable asset acquired or possessed, temporarily or permanently; or c) business, occupation, work or place of residence or habitat adversely affected

PAPs may be individuals or legal entities such as a company, a public institution.

The definition of PAPs is not limited or restricted to their legal registration or permission to live or conduct business in the affected location, or their title to property. Thus it includes:

1) All those affected by the project regardless of their legal rights or absence thereof to the assets being taken; and

2) Persons without residential permit to live in a certain area.

Therefore all such persons who are affected will need to considered and recorded as PAPs, regardless of their legal status regarding assets, land or location.

All PAPs are entitled to the improvement or at least restoration of their standards of living, and compensation for the material losses they suffer. Compensation for assets will cover replacement cost. No deductions or discounts will be applied to the compensation amount for depreciation or other reasons. All PAPs deriving economic benefit from the affected land and property are entitled to receive rehabilitation benefits in addition to the compensation for their lost assets. PAPs without titles, authorization or legal permission to reside, conduct business, cultivate

1 land or construct structures are eligible for rehabilitation of their livelihoods and compensation for their assets in a fair manner similar to those with formal legal titles, authorization or permission to the assets.

Resettlement includes:

1) The relocation of living quarters;

2) Finding acceptable new employment for those whose jobs are lost or severely affected;

3) Restoration (or compensation) of affected productive resources such as land, workplaces, trees and infrastructure;

4) Restoration of adverse effects on PAPs’ living standards (quality of life) because of land acquisition, indirect impacts of resettlement or other impacts;

5) Restoration of or compensation for affected private and public enterprises; and

6) Restoration of adversely affected cultural or common property.

Rehabilitation: the restoration of the PAPs’ resource capacity to continue with productive activities or lifestyles at a level higher or at least equal to that before the project.

The objective of this RP is to provide a plan for the resettlement and rehabilitation of the PAPs so that their losses will be compensated and their standards of living will be improved or at least restored to as before the project in a sustainable manner. Affected productive resources of businesses, enterprises (including shops) and public facilities and infrastructures will also be improved or at least restored to their condition before the project.

1.2 Project Background

The Ya’an to Lugu (hereinafter referred to as Yalu) Expressway with a total length of 239.8 km is part of the Highway -, which is also part of the Great Western Corridor between Lanzhou in Gansu Province and Mohan in Yunnan Province. The completion of this expressway will improve the road network in Sichuan Province, which will play an important role to promote regional economy and improve current backward conditions in the project areas.

1.3 Project Description

The Central Sichuan Roads Development Project consists of three physical components, which include (1) Yalu Expressway with 239.8 km, (2) direct connecting roads with 20 km, (3) 678 km of local complementary roads to increase benefits to the surrounding rural areas, and (4) the upgrading of bus stations in Yingjing, Hanyuan, Shimian and Mianning Counties. The scope of land acquisition and resettlement has been determined by the detailed design plan.

For the 678 km of local roads, 158 km local road will be directly connected with the expressway and will be constructed simultaneously with the construction of the expressway, land acquisition and resettlement using the ADB loan. Thus it is called ‘direct connecting local road’. For the remaining 520 km of local roads, since most of the upgrading of the proposed roads will be done within the existing right of ways, little land acquisition and resettlement are expected. The Sichuan Provincial Government has assured ADB that when there is land acquisition and resettlement for the construction of these local roads, the affected people will receive the same

2 compensation and other assistance provided in the Resettlement Plan. As for the upgrading of the existing bus station, there will be no land to be acquisitioned, and no businesses affected (for convenience, no business are allowed within the bus station). If there are some affected people, they will be provided with the same compensation and assistance stipulated in this Resettlement Plan.

Since the local road line is almost not affected by the land acquisition and relocation, and as the preliminary stage of the project of local roads has not been determined at this stage, therefore this RP will only include the resettlement plan of the Yalu Expressway. Once the project for the local roads has been determined and has involved land acquisition and relocation, the PRO will submit a separate plan for the resettlement of the PAPs.

Sichuan Yaxi Expressway Co., Ltd(SYEC) undertook the feasibility study for a new controlled access expressway project, starting from Yucheng District in Ya’an City to Lugu of Mianning County in Liangshan Prefecture with 239.8 km. The major technical standards of the recommended alignment of the proposed Yalu expressway are shown in Table 1-1.

Table 1-1 Index of Land Acquisition and Relocation of the Project Index Unit Quantity Note Classification of Roads Class Enclosed 2 way 4-lane roads Total length of road km 239.8 Connecting roads km 20 Tunnels No. 29 Large Bridges / Extra Large No. 178 Bridges Small Bridges / Medium No. 154 Bridges Interchanges No. 8 Cultivated lands 439.0998 ha Garden plots 86.8034 ha Forest lands 355.6585 ha Permanently acquisitioned Other types of agricultural land 34.6349 ha 1016.926 land ha Land used for construction 33.4369 ha Unused land 67.2924 ha. Include 63% of cultivated land, 37% of forest lands, residential premises and wastelands Temporarily used land ha 347.6 Demolition of residential m2 207313 3412 people is to be resettled houses Townships affected by land Unit 30 acquisition Villages affected by land Unit 93 acquisition People affected due to land Person 7990 acquisition - theoretical Person 32,000 - actual (partially affected) Households affected by Household 929 demolition

3 Index Unit Quantity Note People affected by People 3412 demolition Total costs of land Hundred acquisition and Million 9.1 See details in Section 6. resettlement Yuan

1.4 Affected Areas of the Project

The RP requires the demolition of housing or land acquisition of cultivated lands in counties and townships. 5 Counties (Districts) are affected. They include Yucheng District, Yingjing County, Hanyuan County and Shimian County of Ya’an City, and Mianning County of Liangshan Prefecture. Within these five counties (district), there are 30 townships, including 93 administrative villages. About 32,000 people will be partially affected by land acquisition, of which about one-third are seriously affected (i.e., will lose more than 20% of their farmland). The housing of 929 households with 3412 people will be demolished and relocated; they are located in 56 villages.

Table 1-2 Index of People Affected by Land Acquisition, Demolition and Relocation of the Project Counties No. of No. of Total land Cultivated land Land per No. of people Area of No. of No. of people and townships Villages to be to be acquired capita before affected by land housing households affected by Districts acquired (ha) acquisition acquisition demolished affected by demolition (ha) demolition Yucheng 3 11 81.6716 46.0161 0.8563 3300 20965 73 229 District Yingjing 5 13 163.7271 58.2023 1.1902 3700 32807.5 107 366 County Hanyuan 8 26 197.5931 50.6532 0.5805 5100 36999 181 614 County Shimian 6 17 245.7718 64.2829 0.4749 10300 45563.56 195 650 County Mianning 8 26 328.1623 219.9453 1.2777 9600 70977.67 373 1553 County Project 30 93 1016.926 439.0998 32000 207312.7 929 3412 Total

1.5 Measures to Reduce the Project Impact

In order to ensure that some people are not disadvantaged in the process of development, efforts have been made by SYEC to avoid or minimize resettlement effects. If impacts are inevitable, the SYEC will, through compensation and rehabilitation help to restore the quality of life and livelihoods of those affected. There will also be opportunities to improve the quality of life, particularly for vulnerable groups. Based on this, following measures have been taken or will be taken during the design and construction period in order to minimize resettlement impacts.

1.5.1. Minimizing the Project Impact Area

When designing the alignment of the expressway, the key design principle was to minimize the land acquisition and house demolition of the expressway: (1) avoid cities, towns and densely populated residential areas; (2) occupy as little cultivated land as possible; and (3) placing the alignment close to, rather than through, villages. The resulted amount of land acquisition and resettlement is the lowest among major alignment alternatives. It is thus considered that the key objective of minimizing demolition and land acquisition has been achieved. In addition, during the survey of detailed mesaurement, further small adjustments have been made to avoid displacement of houses. 4 1.5.2. Reducing the Impact of the Project Construction

During the project planning and design stages, the Design Institute and the Project Owner has adopted some effective measures to reduce project impact on production and living conditions of local residents.

A. Recognize the impacts and inconveniences brought upon by the construction of the expressway and adopt measures such as building elevated pass-way or underground passageway for those residential concentrated areas; when passing through a township town, parallel local roads will be provided; and all highway pass-ways will be designed to accommodate farm-use vehicles and for transporting animals. For affected irrigation canals, they will be restored in order to ensure the normal farming activities will not be adversely affected.

B. Optimize construction design, reduce construction period, and plan demolition of housing and reasonable construction period, so as to decrease the impact on local production. The utilization of longterm temporary occupation of land (longer than 2 years) for construction should be done on wasteland .

C. Reduce the dust and treatment of waste materials. Construction contractors should carefully select routes for transporting soil and stone, and adopt measures to prevent the falling of soil on the roads and affect the cleaniliness of the environment. There are many waste materials produced in construction sites because of the long project construction period and the large number of construction workers. The Project owner and construction contractors should abide by environmental regulations and requirements of local environmental and hygienic departments on prompt treatment and clearing of domestic waste materials on the construction sites in order to prevent epidemics.

1.5.3 Establish a feasible Resettlement Plan

When land acquisition and house demolition are inevitable, and according to the laws and regulations of the People’s Republic of China, Sichuan Province, and the resettlement policy of the ADB, the project office will ensure adequate compensation and rehabilitation based on Resettlement Plan. The preparation of RP is based on extensive involvement of local officials and PAPs by consultations, collecting basic information, analyzing local socio-economic conditions, and combining local actual conditions to develop a feasible RP in order to ensure basic interests of affected people are protected and the livelihood and income of affected people are restored. In order to guarantee the smooth implementation of the resettlement plan, the following will be adopted during the construction period.

A. Reinforce internal and external monitoring on the implementation of resettlement; and setting up an effective feedback system in order to solve problems in timely fashion in the implementation of resettlement.

B. Enhancing public and institutional participation: before construction of the project, notices on the construction schedule and the progress of the project design will be posted in project affected areas. Meanwhile, the compensation policies of land acquisition, house removal and resettlers’ relocation will be publicized, which will be monitored by the PAPs. During construction, priority will be given for using local materials, local transportation means and local labor forces, so affected people can obtain additional benefits from the project.

1.6 Project Cost Estimate and Implementation Schedule

Based on detailed investigation of the land acquisition and relocation of the detailed design and preview of the land to be acquisitioned and relocated, this RP determines various compensation standards related to land acquisition, demolition, relocation and resettlement. The total funds invested for the project is 163.77 hundred million yuan, among which 9.1 hundred million is expenses for land acquisition, demolition, relocation and resettlement. 5

After consultation with SYEC and approved by ADB, the project timetable will be as follows: • Project Confirmation – July 2003 • Approval of the Feasibility Study – July 2005 • Establishment of Ya’an Company – September 2005 • Approval of the Preliminary Design – May 2006 • Bidding of Contract and the Selection of Contractors – October 2006 • Approval of the Land Use Plan for the Project – January 2005 • Completion of detailed design of the Project – December 2006 • Approval of the Land Acquisition Certificate - January 20072 • Detailed Measurement Surveys – March 2007 • Construction Period – March 2007 to December 2011 The detailed implementation plan of acquisition and resettlement is presented in Section 7 of this RP.

1.7 Preparation for Resettlement Planning

1.7.1 Updated Survey on Affected Entites

Based on the detailed design, the preview of the land to be acquisitioned and detailed investigation prior to commencement of the project, the scope of affected entities was determined in March 2007. This includes the area of the permanently acquisitioned and temporarily used lands, housing to be demolished and relocated, affected basic infrastructure, ground attachments, forestry and the number and types of people affected.

1.7.2 Survey on Social Economy

In order to analyze the Project’s social impact and prepare a feasible RP, a social-economic survey, assisted by SPCD and Sichuan Communication Surveying and Design Institute (SCODI), was carried out by the technical assistance team from July 25 to August 20, 2004. The survey covers the existing social and economic conditions of affected counties, townships, villages, and individual households and the extent of the possible impact induced by the project on the local social and economy. The survey was based on a combination of collecting various statistical social and economic data from affected townships and villages and conducting 38 sample villages and 600 sample household interviews in the affected areas. The purpose of the socioeconomic survey was threefold.

One is to have a basic understanding of social economic conditions and development plan for the project areas affected by land acquisition and house relocation, which will be based on collecting different data and statistics from planning, statistics, agricultural departments of local government, including: GDP, national income, gross agricultural output value, per capita income, agricultural and sideline products, various price information, agricultural planting patterns, farming area, per mu yield, farm land tenure conditions and annual statistical reports.

The other is to have a clear picture of production and living conditions of the affected villages and individuals and potential impacts of land acquisition and house demolition on these communities. It will be based on existing village annual reports and sample survey among affected households.

The third is to provide partial baseline for the monitoring of resettlement and the evaluation program to be carried

2 Note, there was a delay in the design work to finalize the expressway alignment.

6 out during resettlement implementation.

1.7.3 Documents on Resettlement Policies

The monitoring group visited relevant land, construction, forest and communication departments from all five counties (districts), two municipalities, and Sichuan Province to collect relevant policies and regulations on compensations for land, building, and other attachments, which provided the basis for the development of the RP.

1.7.4 Resettlement Plan

The resettlement planning of the project is organized under the leadership of the SPCD and local government at all levels. Based on the preliminary impact survey and extensive consultation among affected villagers, a draft resettlement plan was prepared by the technical assistance teams and approved by ADB in March 2005. It is believed that after resettlement and rehabilitation together with the local economic development brought by the Project, the living standard of the resettlers will reach or exceed that before resettlement. As required in the ADB loan agreement, this resettlement plan has been updated based on project design and detailed measurement surveys. This RP now contains: (i) more accurate impact data, (ii) actual compensation rates, (iii) an updated cost estimate, and (iv) an updated implementation schedule. Further detailed resettlement planning is ongoing with the affected villages to prepare: (i) relocation and livelihood rehabilitation plans for 16 seriously affected villages, (ii) specific measures for identified vulerble PAPs, and (iii) a training plan for PAPs. The latter will be submitted to ADB by 30 April 2008.

1.8 Basis of Policies and Objectives on Formulating the Resettlement Plan

1.8.1 Basis of Policies

(1) The Land Administration Law of the People’s Republic of China (Promulgated by Order No.8 of President of the Peoples’ Republic of China on August 29, 1998, and effective as of January 1, 1999); (2) Implementation Regulations for Land Administration Law of the Peoples Republic of China (Promulgated by Order No.256 of the State Council of the Peoples Republic of China on December 27, 1998, and effective as of January 1, 1999); (3) Decree on Public Hearings regarding State-owned Land and Resources (Order No. 22 of the Ministry of Land and Resources of P.R.China, effective as of May 1, 2004). (4) Sichuan Province Implementation Method of PRC Land Administration Law (Promulgated on December 10 1999 by Sichuan Provincial Government). (5) Opinion on How to Regularize and Adjust Land Compensation Standards (Issued in the order of No. 39 2004 by Sichuan Provincial Government) (6) Circular on Issurence of Method of Collection and Use of Forest Restoration (Issued in the order of No.73 2002 jointly by Ministry of Finance and State Forestry Bureau) (7) Method on Cultivated Land Occupation Tax in Sichuan, (Issued by Sichuan Provincial Government on August 14, 1987) (8) ADB’s “Involuntary Resettlement Policy” November 1995 and guidelines - “Handbook on resettlement: A Guide to Good Practice” 1998. And ADB’s new operational policy OM/F2-Involuntary Resettlement issed in 2003. (9) Gender Checklist: Resettlement, Asian Development Bank, February 2003. (10) Circular on Decision to Deepen Reform and Strictly Enforce Land Administration, Document 28 in 2004, PRC State Council.

7 (11) Circular on Problems of Reinforcing Land Reallocation by the State Council (GF[2004] No. 31)

1.8.2 Objectives of Policies

(1) Adopt engineering, technologies, economic measures to avoid and minimize land acquisition and relocation of housing; However, when land acquisition and relocation of housing are inevitable, effective measures should be taken to reduce or minimize impacts on production activities and living conditions of local residents. (2) During the preparation stage of the project, conduct social economic investigation and detailed resettlement plans should be prepared. (3) Resettlement plan should be based on the affected property indexes and compensation standards of replacement to improve, or at least to restore the original living standard of resettlers and focus on poor and other vulnerable groups. (4) Promote the development of resettlement. Resettlement in rural areas should be land based, supported by advanced local second and tertiary industries to provde more employment. (5) Encourage PAPs to participate in the planning of resettlement. (6) Relocated population should be first resettled within their own communities (7) Resettlement and original residents in the resettlement area should benefit from the project. (8) To provide additional mitigation measures or compensations to seriously affected people in the vulnerable population category in order to alleviate the living standards.

8 Section 2 The Socio-economic Profile of Affected Areas3

2.1. Natural and Geographical Conditions of Areas Affected by the Project

Natural resources are the means of livelihood and sources of physical and spiritual life of local population. The livelihood of the farmers in the project area has close relationship with the local natural conditions and traditions. The landforms of the areas the project passes through are mainly hills/mountains. The Yingjing River, the Liusha River, and are the main water resources for the areas.

Because of special natural geographic conditions and weather elements, project counties/districts are suitable for a large variety of crops. Grains include summer grain crops (rice, wheat, corn, etc.) and autumn grain crops (rice, corn, etc.). Main cash crops are oil plants, vegetables and so on. The food resources of the people in the project area come from the land.

Yalu Expressway will pass through one municipality (Ya’an) and one prefecture (Liangshan) with areas being 15,300 square kilometers and 60,100 square kilometers respectively. The total areas amount to 75,400 square kilometers. There are 25 counties and districts in these two municipalities.

2.1.1. Ya’an Municipality

Ya’an Municipality is located at the middle of Sichuan Province and it borders Chengdu Municipality to the east, Aba Tibetan to the north, Ganzhi Tibetan Autonomous Prefecture to the west, and Liangshan Yi Authomous Prefecture to the south. Situated between Qinglai Mountain and Great Snow Mountain, it belongs to the sub-tropical humid climate. Over 90 percent of areas are mountains with over 40% of forest coverage. Dalu River and Qingyi River are two trunk waterways. The total population was 1.53 million in 2002 with the average population density being 100 persons per km2. About 30 ethnic groups live in Ya’an with 51,500 persons, accounting for 3.4 percent of the total population. There are 8 counties (district), 174 townships and 1,110 villages in Ya’an City. Among them, four southern counties will be affected by Yalu Expressway Project, which include Yucheng (District), Yingjing, Hanyuan, and Shimian counties.

Agriculture is the fundamental industry while construction materials, mechanisms, power supply, foodstuff, chemical industry, leather and paper making are supporting industries. The special geographical location and weather conditions provides rich natural resources and create the natural landscape of Ya’an, which is considered as a scenic spot. It has a reputation of being the “Homeland of Panda”, “Kingdom of Stone” and “Base of Hydropower”. There are many tourism spots in the region, such as the Meng Mountain Scenic Spot, Baizang Lake, Bifeng Gorge and Tianquan River: and also historic relic sites like Han Dynasty Cultural Relics in Lushan, Modern Tomb in Ya’an, Jiajin Mountain in Baoxing and Anshunchang Ferry in Shimian, etc. Abundant natural resources provide a foundation for the rapid economic development of Ya’an City.

2.1.2. Liangshan Prefecture

3 This section has not been updated because the external monitor will prepare a separate baseline survey reports, and monitor and evaluate progress during resettlement implementation.

9 Liangshan Prefecture is located in the southwest part of Sichuan, and it borders Ya’an Municipality, Municipality and Ganzhi Tibetan Autonomous Prefecture to the north, Panzhihua Municipality to the south, and Yunnan Province to the west and Hengduan Mountain to the east. Over 70% of the regions are middle to high mountains with the average elevation being 1000 to 2500 meters. Located in the southern part of Sichuan, it belongs to the sub-tropical climate with abundant sunshine. The forest coverage is less than 30%. The total population was 4.1 million in 2002 with average population density being 68 persons per km2. Being the Yi Autonomous Region, the ethnic minorities’ population accounts for 47%,with 44% as the Yi Nationality, and less than 2 percent as Tibetans. There are 17 counties (district), 74 towns, 537 townships, 9 subdistricts, and 3,716 villages in Liangshan Prefecture. Among them, only one county – Mianning County will be affected by Yalu Expressway Project.

The complicated geological structures and fine mineralization conditions form most plentiful mineral reserves in the Prefecture with diversified types and in large amounts, which makes the Prefecture abundant in mineral resources in the Porvince. In Liangshan, the accumulation of hydropower reserves is very large, and has great potential to provide sound condition for hydropower and high energy consumption industries.

The agricultural production takes a major portion of Liangshan’s economy. By taking advantage of the sunshine and ecological resources in the subtropical zone, the Anning River Valley is given emphasis in the comprehensive agricultural development and has become an important production base in the Province. Focusing on resources exploration, the industry is mainly to develop metallurgy, forestry, transportation, energy and building materials industry.

Liangshan Prefecture has unique natural resources and human landscape, such as Satellite Launching Center, the scenic spot of Lugu Lake, the special customs of the Yi Nationality well maintainted from ancient times and the scenic resort of Qionghai Lake. The tourism resources are in high quality and possess unique, irreplaceable characteristics hence being of great potential for development.

2.2. Socioeconomic Profiles of Areas Affected by the Project

2.2.1 Ya’an City

The total population by the end of 2002 reached 1.53 million yuan. Total GDP was 8.95 billion yuan, averaging 5,850 yuan per capita. Among total GDP in 2002, 2.13 billion yuan came from primary sector, accounting for 23.8%; 4.26 billion yuan from secondary sector, accounting for 47.6%; and 3.4 billion yuan from the tertiary sector, accounting for 38.0%. Total Grain production was 0.58 million ton, averaging 472.7 kg per capita (rural population). The average wage per capita for urban employees was 9306 yuan; and per capita income for rural population was 2135 yuan.

2.2.2 Liangshan Prefecture

The total population by the end of 2002 reached 4.1 million, with 47% being ethnic minorities. Total GDP was 17.8 billion yuan, averaging 4,336 yuan per person. Among total GDP in 2002, 6.27 billion yuan came from primary sector, accounting for 35.2%; 5.63 billion yuan from secondary sector, accounting for 31.6%; and 5.73 billion yuan from the tertiary sector, accounting for 32.2%. Total grain production was 1.72 million tonnes, averaging 478.2 kg per person (rural population). The average wage per capita for urban employees was 11898 yuan; and per capita income for rural population was 1629 yuan.

10 2.3. Basic Profile of Affected Counties (District)

The project area includes , Yingjing County, Hanyuan County and Shimian County of Ya’an Municipality and Mianning County of Liangshan Prefecture. The total population of 5 counties amounts to 1.26 million, which accounts for 22.4 %of the total population of these two municipalities (prefecture) (total population is 5.63 million), with 61.6% in Ya’an and 7.9% in Liangshan.

2.3.1. Yucheng District in Ya’an City

Yucheng District is located in the transition belt between Chengdu Plains and mountainous areas at the edge of the Basin. It is 135 km from Chengdu City. The total area is 1,060 km2 and the total population at the end of 2002 was 335,600. Yucheng District is the political, economic, cultural and information center of Ya’an City, as well as the transportaion hub, import and export trading centre, materials assembling and distribution centre, and the central city in western part of Sichuan. There are three national and provincial expressways passing through the district.

The temperature is warm and the scenery is beautiful, which is an ideal entertainment and tourist desination. Bifeng Gorge in Meng Mountain is the main tourism spot in the district, which forms a golden tourist route together with Hailuogou, Jiajing Mountain, , Paoma Mountain and Gonghai in Xizhang.

The economy of Yucheng District is dominated by development of industry; the tertiary sector is also growing rapidly and headed by tourism industry. In 2002, its GDP was 2.48 billion yuan, averaging 7,393 yuan per capita. Among them, the agricultural sector accounted for less than 15%. The secondary and tertiary industries accounted for 44% and 41% respectively. The average farmland per capita in rural areas of Yucheng District was only 0.64 mu, and the per capita income for the rural population was 2295 yuan in 2002. Table 2-2 presents some economic detail figures for Yucheng District.

Table 2-1 Index of Main Socio-Economic Situation of Yucheng District in Recent Years GDP GDP per capita Rural Per Capita Year Population Income （ ） （ ） billion Y yuan/per (Yuan/person) 2001 329,400 2.69 8,181 2,005 2002 335,600 2.48 7,393 2,295 Source: Ya’an City Statistical Yearbook 2003.

2.3.2. Yingjing County in Ya’an City

Yingjing County is located at the central part of Ya’an City. It borders with Yucheng District and to the east, to the north, to the west, and Hanyuan County to the south. The total area is 1,779 square kilometers and the total population in 2002 was 138,800, with population density being 78 persons per square kilometer. Within its jusristication, there are 25 townships and 105 villages.

Yingjing County is located in the mountain areas, with 98.6% being mountains and hills. Most of mountains in the county are above 3,000m of elevation. The main rivers include Ying River and Jing River. There are 1.14 million mu of forests with 43% of forest coverage. It belongs to the subtropical climate with the annual average temperature being 15.3C and annual precipitation of 546.8mm. There are 294 days without frost. The main mineral resources include coal, iron ore, copper, granite, etc.

11 In 2002, Its GDP was 974.2 million yuan in 2002, averaging 7,019 yuan per capita. Among them, the agricultural sector accounted for only 21%, industry sector accounted for 42%, and tertiary sector accounted for 37%. The average farmland per capita in rural aresa was 0.85 mu, with average grain production per capita being 522 kg, and average income per capita for rural population being 2444 yuan. Main grain crops include rice, corn, potatoes, soy beans, and the main cash crops include tea, sugar canes, and rape vegetables. Table 2-2 presents some economic detail figures for Yingjing County.

Table 2-2 Index of Main Socio-Economic Situation of Yingjing County in Recent Years

GDP GDP per capita Rural Per Capita Income Year Population （million Y） （yuan/per） (Yuan/person) 2001 136,600 997.9 7305 2,316 2002 138,800 974.2 7019 2,444 Source: Yingjing County Statistical Yearbook 2003.

2.3.3. Hanyuan County in Ya’an City

Hanyuan County is located at the southeast of Ya’an City. It borders with Yingjing County to the north, Jinkouhe District (Leshan City) to the east, Shimian County and Luding County to the west, and of Liangshan Prefecture to the south. The total area is 2,388 square kilometers and the total population in 2002 was 348,700, with population density being 146 persons per square kilometer. Within its jusristication, there are 40 townships and 255 villages.

Hanyuan County is located in the eastern part of Hengduan Mountain, with 98% being high and middle mountains. Most of the county has elevation between 1,500 and 2,500 meters. The main rivers include Dadu River and Liusha River. There are 368,000 mu of forests with about 20% of forest coverage. It belongs to the subtropical climate with annual average temperature being 18.2C and annual precipitation of 742mm. There are 294 days without frost and the accumulated annual sunshine is 1,496 hours.

In 2002, Its GDP was 1.27 billion yuan in 2002, averaging 3657 yuan per person. Among them, agricultural sector accounted for only 32%, the industry sector accounted for 33%, and tertiary sector accounted for 35%. The average farmland per capita in rural areas was 1 mu, with average grain production per capita being 463 kg, and average income per capita for rural population being 1918 yuan. Main grain crops include rice, wheat, corn, potatoes, soy beans, and main cash crops include tea, sugar canes, peanuts and rape vegetable. Table 2-3 presents some economic detail figures for Hanyuan County.

Table 2-3 Index of Main Socio-Economic Situation of Hanyuan County in Recent Years

GDP GDP per capita Rural Per Capita Income Year Population （million Y） （yuan/per） (Yuan/person) 2001 346,600 1,108 3197 1,797 2002 348,700 1,268 3657 1918 Source: Ya’an City Statistical Yearbook 2003.

2.3.4. Shimian County in Ya’an City

Shimian County is located at the southern end of Ya’an City, eastern region of Hengduan Mountain in

12 Qinghai-Tibet Plateau and midstream of Dadu River. It borders with Luding County to the north, Hanyuan County and Ganluo County to the east, and County to the west, and Mianning Countyand Yuexi County to the south. Total area is 2,678 square kilometers and total population in 2002 was 119,500, with population density being only 45 persons per square kilometer. Within its jusristication, there are 16 townships and 95 villages.

Shimian County is located in the southeast part of Gongga Mountain. Most of the area is mountains and hills with average elevation over 2,500 meters. The main rivers include Dadu River, Nanya River, Songling River, and Zhuma River. Shimian County belongs to the subtropical climate with annual average temperature being 17.2C, and the average annual precipitation being 757mm. There are 300 days without frost. There are 2.8 million mu of forest in the county. The main mineral resource is asbestos with good quality and large quantity.

Its GDP was 1.09 billion yuan in 2002, averaging 9,112 yuan per capita. Among them, the agricultural sector accounted for only 16%, the industry sector accounted for 68%, and tertiary sector accounted for 16%. The average farmland per capita in rural area was 0.9 mu, with average grain production per capita being 487 kg, and average income per capita for rural population being 2,077 yuan in 2002. Main grain crops include wheat, potatoes, soy beans, and main cash crops include sugar canes, peanuts, and rape vegetables. Table 2-4 presents some economic detail figures for Shimian County.

Table 2-4 Index of Main Socio-Economic Situation of Shimian County in Recent Years

GDP GDP per capita Rural Per Capita Income Year Population （million Y） （yuan/per） (Yuan/person) 2001 118,200 1,046 8,849 1,975 2002 119,500 1,089 9,112 2,077 Source: Ya’an City Statistical Yearbook 2003.

2.3.5. Mianning County in Liangshan Prefecture

Mianning County is located at northwest part of Liangshan Prefecture, connecting with Shimain County in Ya’an City. It borders with other three counties from Liangshan Prefecture, including Yuexi County to the east, Julong County to the west, and to the south. The total area is 4,420 square kilometers and the total population in 2002 was 323,500, with population density being 73 persons per square kilometer. Within its jusristication, there are 6 towns, 32 townships and 232 villages.

Located in the east end of Hengduan Mountain, 90% of the county is mountains and hills with elevation ranging from 2000 to 5000 meters. The main rivers include Anning River and Yalong River. It belongs to the subtropical climate with annual average temperature being 13.8C, and annual average precipitation being 1094mm. There are 237 days without frost and 2,097 hours of annual accumulated sunshine. The total forest coverage is 32.7%. The main mineral reserves include rare earth, gold, iron ore, kaolinite, silican, granite, jade and olite, etc. The economy of Mianning County is dominated by the agricultural sector. Its GDP was 1.39 billion yuan in 2002, averaging 4,320 yuan per capita. Among them, the agricultural sector accounted for 31.5%, the industry sector accounted for 41.9%, and tertiary sector accounted for 26.6%. The average farmland per capita in rural area was 0.96 mu, with average grain production per capita being 418 kg, and average income per capita for rural population being 2,017 yuan in 2002. Main grain crops include rice, wheat, corn, and main cash crops include vegetables and fruits. Table 2-5 presents some economic detail figures for Mianning County.

13 Table 2-5 Index of Main Socio-Economic Situation of Mianning County in Recent Years

GDP GDP per capita Rural Per Capita Income Year Population (million Y） (yuan/year) (Yuan/person) 2001 323,562 - - 1,860 2002 323,562 1,390 4,320 2,017 Source: Lianshan Prefecture Statistical Yearbook 2003.

2.4. Basic Profile of Affected Townships and Villages

According to the detailed design and impact survey, Yalu Expressway Project will affect 5 counties (districts), and 30 townships. Among which, 3 of them belong to Yucheng District, 5 of them belong to Yingjing County, 8 of them belong to Hanyuan County, 5 of them belong to Shimian County, and 8 of them belong to Mianning County. Of these 30 project affected townships, there are 186 administrative villages, 1,252 village groups, 95,995 households and 331,946 people. Almost all of them are farmers (see Table 2-6). There are 184,236 mu, averaging 0.56 mu per person. Among them, about 56% are paddy land. Only three townships in Shimian County and Mianning County do not have any paddy land. They are Liziping, Tuowu, and Yihai. (See Table 2-7).

Income from agricultural is the main source of income in the project affected areas. For irrigated land, the main crops are wheat and corn, with average annual yield being around 500 yuan per mu. For dryland, the main crops are corn and wheat, but with much less yield, to be 200 yuan per mu.

Income per capita in rural area range from 1,400 yuan to 3,300 yuan among affected townships, with 4 of them with income per capita below 2,000 yuan, 18 of them with income per capita between 2,000 yuan and 2,500 yuan, and 7 of them with income per capita above 2,500 yuan, including 1 with income per capita over 3,000 yuan. Among these 7 townships, 2 of them belong to Yucheng District (Duiyan, Guanghua) , 2 of them belong to Yingjing County (Shizhi and Fengyi), 2 of them belong to HanyuanCounty (Jiuxiang and Shuangxi), and 1 of them belong to Shimian County (Huilong). While those 4 townships are with income per capita below 2000 yuan are mainly located in Shimian County and Mianning County, 3 of them are in Mianning County. These 4 townships has almost no irrigated land.

14 Table 2-6 Index of Basic Profiles Affected Townships

No. of No. of No. of Total Minority % Minority County Township Village Village Household Population Population Population Group Duiyan 11 56 3,965 12,825 0 0.00% Yucheng Babu 8 56 2,878 9,313 0 0.00% Guanhua 7 40 1,488 5,373 0 0.00% Qinglong 4 38 2,493 6,387 20 0.31% Yanzhu 3 21 1,000 3,326 130 3.91% Yingjing Fucheng 3 25 1,837 4,838 0 0.00% Shizhi 4 46 1,780 5,800 0 0.00% Huangyi 5 25 500 1,835 20 1.09% Shuangxi 6 34 1,838 6,763 86 1.27% Jiuxiang 22 145 16,330 52,000 154 0.30% Fuchun 5 29 2,096 7,779 331 4.26% Tangjia 7 45 4,168 14,621 678 4.64% Hanyuan Hexi 4 48 2,360 9,279 940 10.13% Shirong 8 81 4,841 16,950 2,200 12.98% Qingfu 3 37 2,068 6,388 330 5.17% Xiaopu 5 59 2,187 7,171 1,150 16.04% Yonghe 5 27 1,782 6,218 1,120 18.01% Xinmian 10 64 8,347 24,704 487 1.97% Shimian Yilong 6 33 1,626 5,185 1,472 28.39%

Caluoyizhu 5 32 954 3,810 1,671 43.86% Liziping 7 25 927 3,599 3,587 99.67% Tuowu 4 18 762 3,207 3,207 100.00% Yihai 3 17 1,030 4,450 4,450 100.00% Caogu 3 19 1,328 5,980 5,980 100.00% Chengxiang 12 87 11,640 36,217 4,210 11.62% Mianning Linli 3 15 1,219 5,580 294 5.27% Houshan 8 47 2,715 12,492 5,724 45.82% Shilong 5 25 3,836 14,856 45 0.30% Lugu 10 58 8,000 35,000 15,000 42.86% Total 186 1,252 95,995 331,946 53,286 16.05%

15 Table 2-7 Index of Socio-Economic Situation of Affected Townships

Total Per Capita Total Cultivated Percent of Per Capita County Township Farmland Population land Paddy (mu) Income (yuan) (mu) (mu) Duiyan 12,825 6,835 70.30% 0.53 2,616 Yucheng Babu 9,313 5,500 69.09% 0.59 2,225 Guanhua 5,373 3,966 73.42% 0.74 2,703 Qinglong 6,387 3,100 74.19% 0.49 2,480 Yanzhu 3,326 2,300 65.22% 0.69 2,326 Yingjing Fucheng 4,838 2,493 83.51% 0.52 2,300 Shizhi 5,800 8,405 39.32% 1.45 2,626 Huangyi 1,835 3,200 37.50% 1.74 2,800 Shuangxi 6,763 6,809 43.97% 1.01 2,051 Jiuxiang 33,912 19,673 69.10% 0.38 3,320 Fuchun 7,779 4,364 72.69% 0.56 2,053 Tangjia 14,621 8,327 66.12% 0.57 2,117 Hanyuan Hexi 9,279 8,200 28.54% 0.88 2,115 Shirong 16,950 17,149 26.24% 1.01 2,356 Qingfu 6,388 5,743 40.75% 0.90 2,560 Xiaopu 7,171 3,500 50.00% 0.49 2,400 Yonghe 6,218 5,185 41.23% 0.83 1,997 Xinmian 24,704 3,277 77.20% 0.13 2,078 Shimian Yilong 5,185 2,172 35.53% 0.42 2,600

Caluoyizhu 3,810 1,506 31.84% 0.40 2,380 Liziping 3,599 1,579 0.00% 0.44 2,120 Tuowu 3,207 4,620 0.00% 1.44 1,400 Yihai 4,450 5,900 0.00% 1.33 1,740 Caogu 5,980 4,346 16.82% 0.73 1,646 Chengxiang 36,217 15,316 61.79% 0.42 2,044 Mianning Linli 5,580 3,820 74.54% 0.68 2,095 Houshan 12,492 11,110 56.57% 0.89 2,056 Shilong 14,856 8,200 71.95% 0.55 2,230 Lugu 35,000 18,000 72.22% 0.51 2,300 Total 331,946 194,595 52.54% 0.59 2,384

16 2.5 Profile of Affected Villages

Among total 186 villages in 30 townships, 93 villages will be affected by land acquisition and resettlement, which accounts for 50%. Table 2-8 provides data on the basic profile of affected villages. Of these 93 affected villages, there are 42,406 households and 146,871 individuals. The average family size is 3.5 persons. Almost all of them are farmers. Among these 93 villages, there are 94,750 mu of farmland, including 51,384 mu of paddy land (54.2%). In average, each agricultural person has 0.73 mu of farmland, of which 0.37 mu is paddy land. There is large disparity of land holding among these 93 villages, ranging from 0.07 mu per capita to 2.5 mu per capita. Among 93 villages only 25 villages have farmland per capita above 1 mu; 47 villages have farmland per capita between 0.5 mu and 1 mu; and 21 villages have farmland per capita below 0.5 mu (including 7 of them with farmland per capita below 0.3 mu).

Of total population in 93 affected villages, there are 67 villages with ethnic minorities with a total of 31,009 people, accounting for 21.1%. Among them, 38 villages have more than 10% of ethnic minorities, and 18 villages have 100% of ethnic minorities. Most of ethnic minorities are of Yi Nationality. The distribution of Yi Nationality is concentrated in both Shimian County in Ya’an City and Mianning County in Liangshan Yi Prefecture. In order to have a better idea of basic social economic conditions of these affected villages and individuals, social economic survey was conducted among 38 affected sample villages and 600 households. The selected sample villages include those located at the interchange where large amount of house demolition and land acquisition is involved, and affected villages of ethnic minorities and poverty-stricken villages, which account for 90% of house demolition, and 60% of land acquisition. Among the 38 villages there are at least 10% of Yi Nationality, 22 villages or 60% are included as village samples.

These 38 sample villages include 287 village groups, 16,957 households, and 59,530 persons with 55,779 as farmers. The average family size is 3.51 persons. There are 53,550 mu cultivated land in these villages, including 40% of irrigated land. In average, each person has about 0.96 mu cultivated land, including 0.38 mu paddy land.

17 Table 2-8 Index of Basic Socio-Economic Situation of Affected Villages (2002)

Total Per Capita House- Total Rural Paddy Land Percent of Per Capita Township Village Farm land Farmland holds People (mu) Paddy Income (mu) (mu)

Duiyan Kanpo 477 1,528 900 690 76.7% 0.59 2,705 Duiyan Duiyan 414 1,417 980 680 69.4% 0.69 2,549 Duiyan Hulu 596 2,003 1,675 1200 71.6% 0.84 2,589 Babu Fengmu 416 1,342 687 512 74.5% 0.51 2,251 Babu Zhishi 779 2,363 1,394 1094 78.5% 0.59 2,320 Babu Shigang 240 719 535 327 61.1% 0.74 2,095 Babu Babu 478 1,571 927 543 58.6% 0.59 2,260 Guanhua Guanhua 276 887 601 521 86.7% 0.68 2,707 Guanhua Yuajia 193 848 488 390 79.9% 0.58 2,730 Guanhua Zhousha 269 869 821 497 60.5% 0.94 2,523 Guanhua Shangheng 161 763 350 310 88.6% 0.46 2,705 Yucheng Total 4,299 14,310 9,358 6,764 72.3% 0.65 2,478 Qinglong Fuxing 429 1,249 670 560 83.6% 0.54 2,300 Qinglong Shaheba 496 1,173 460 250 54.3% 0.39 2,460 Qinglong Guihua 853 2,037 1,100 860 78.2% 0.54 2,500 Qinglong Baixiang 715 1,812 770 630 81.8% 0.42 2,490 Yanzhu Lianhua 500 2,000 900 600 66.7% 0.45 2,326 Yanzhu Shuanghong 200 600 700 450 64.3% 1.17 2,326 Fucheng Nanchunba 342 845 455 312 68.6% 0.54 2,300 Fucheng Yanxigou 473 1,341 671 609 90.8% 0.50 2,150 Shizhi Jinghe 470 1,800 2,626 780 29.7% 0.00 2,629 Shizhi Wannian 450 1,400 2,135 830 38.9% 0.00 2,328 Shizhi Kuaile 420 1,200 1,786 800 44.8% 0.00 2,429 Huangyi Yangwan 120 500 600 200 33.3% 1.20 2,760 Huangyi Yuquan 76 300 610 250 41.0% 2.03 2,830 Huangyi Gangshang 67 280 700 260 37.1% 2.50 2,820 Huangyi State Farm Yingjing Total 5,611 16,537 14,183 7,391 96.8% 0.86 2,429 Shuangxi Munan 149 592 737 206.42 28.0% 1.25 2,051 Shuangxi Tujia 333 1,213 1,272 371 29.2% 1.05 2,051 Jiuxiang Hoshan 312 982 785 220 28.0% 0.80 2,800 Jiuxiang Liangshan 331 1,307 1,277 675 52.9% 0.98 2,960 Jiuxiang Sanqiang 348 1,229 758 671 88.5% 0.62 3,300 Jiuxiang Lihua 325 1,149 667 589 88.3% 0.58 3,150 Jiuxiang Shangnian 218 737 613 378 61.7% 0.83 3,100 Jiuxiang Niangou 240 868 1,657 168 10.1% 1.91 3,680 Fuchun Fuyuan 600 2,064 952 952 100.0% 0.46 2,553

18 Fuchun Gouyun 562 2,119 924 924 100.0% 0.44 2,568 Fuchun Zuoye 166 693 724 166 22.9% 1.04 2,020 Tangjia Wuli 693 2,321 1,370 836 61.0% 0.59 2,863 Tangjia Xinchang 526 1,987 1,139 794 69.7% 0.57 2,915 Tangjia Hetong 649 2,188 1,277 768 60.2% 0.58 2,745 Tangjia HongsYi 738 2,455 1,568 623 39.7% 0.64 2,204 Tangjia Xiaoguan 576 2,086 1,013 629 62.1% 0.49 1,986 Hexi Xianglin 914 4,010 1,833 1,019 55.6% 0.46 4,500 Shirong Gonghe 398 1,477 1,721 310 18.0% 1.17 2,295 Qingfu Fuxian 1015 3,088 2,765 837 30.3% 0.90 2,180 Qingfu Qingfu 535 1,585 1,484 382 25.7% 0.94 2,010 Qingfu Xinjian 511 1,625 1,494 1,121 75.0% 0.92 3,820 Xiaopu Dingjia 110 450 20 0 0.0% 0.04 2,500 Xiaopu Tuanjie 400 1,350 800 800 100.0% 0.59 2,500 Xiaopu Wangjia 60 200 100 100 100.0% 0.50 2,500 Xiaopu Tiekou 200 700 300 300 100.0% 0.43 2,000 Xiaopu Jiefang 200 700 300 300 100.0% 0.43 2,000 Hanyuan Total 11,495 40,709 28,646 14,751 51.5% 0.70 2,781 Yonghe Baima 458 1,720 2,217 830 37.4% 1.29 1,997 Yonghe Dalin 345 1,291 1,345 528 39.3% 1.04 1,997 Yonghe Dapu 392 1,367 556 283 50.9% 0.41 1,997 Yonghe Wanglong 433 1,433 754 416 55.1% 0.53 1,997 Xinmian Dongqu 554 1,543 110 70 63.6% 0.07 1,429 Xinmian Yanzi 723 2,034 230 170 73.9% 0.11 1,600 Xinmian Xinjie 1,244 4,039 130 80 61.5% 0.03 1,500 Xinmian Laojie 2,350 7,200 440 380 86.4% 0.06 2,480 Xinmian Shunhe 338 1,233 540 349 64.6% 0.44 2,230 Yilong Liangqiao 99 376 111 30 26.9% 0.30 1,870 Caluoyizhu Shangli 182 657 235 219 93.2% 0.36 2,347 Caluoyizhu Fulong 316 1,003 307 218 71.2% 0.31 2,256 Caluoyizhu Nanya 197 686 151 42 27.8% 0.22 2,316 Liziping Xichong 148 870 406 0 0.0% 0.47 2,020 Liziping Yuangun 172 650 113 0 0.0% 0.17 2,031 Liziping Lizi 222 832 263 0 0.0% 0.32 2,072 Liziping Menghuo 100 441 645 0 0.0% 1.46 2,060 Shimian Total 8,273 27,375 8,553 3,615 42.3% 0.47 2,029 Tuowu Luba 270 1,122 2,120 0 0.0% 1.89 1,200 Tuowu Huangjiaba 116 386 886 0 0.0% 2.30 1,400 Tuowu Tuowu 123 516 760 0 0.0% 1.47 1,500 Yihai Yihai 360 1,500 2,100 0 0.0% 1.40 1,740 Yihai Dayanjing 350 1,450 1,800 0 0.0% 1.24 1,740 Yihai Lebai 320 1,500 2,000 0 0.0% 1.33 1,740

19 Caogu Chiyang 581 2,691 1,920 75 3.9% 0.71 1,646 Caogu Dapuzi 410 1,915 1,208 386 32.0% 0.63 1,646 Caogu Damawu 337 1,374 1,218 270 22.2% 0.89 1,646 Chengxiang Chayao 429 1,362 1,327 360 27.1% 0.97 1,826 Chengxiang Xianchao 449 1,760 1,961 1,302 66.4% 1.11 1,807 Chengxiang Jiaguer 170 717 537 425 79.2% 0.75 1,778 Linli Gaoyao 269 1,240 1,780 1,151 64.7% 1.44 2,095 Houshan Ma'an 278 1,184 1,869 574 30.7% 1.58 1,965 Houshan Geli 272 1,332 1,365 440 32.2% 1.03 1,950 Houshan Fuqiang 545 2,410 1,937 1,388 71.7% 0.80 2,172 Houshan Daxing 563 2,470 1,887 1,597 84.6% 0.76 2,212 Houshan Qingquan 254 1,070 926 277 29.9% 0.87 1,980 Houshan Taoyuan 488 2,275 1,658 1,410 85.0% 0.73 2,246 Shilong Heping 1,100 4,900 3,560 2,940 82.6% 0.73 2,230 Shilong Shilong 890 2,800 1,810 1,400 77.3% 0.65 2,230 Shilong Gaoxian 540 1,300 1,030 780 75.7% 0.79 2,230 Lugu Wangjiashi 1,500 4,000 2,000 1,500 75.0% 0.50 2,300 Lugu Xijie 500 3,000 1,200 1,200 100.0% 0.40 2,300 Lugu Wuyi 2,000 5,200 2,800 2,000 71.4% 0.54 2,300 Mianning Total 13,114 49,474 41,659 19,474 46.7% 0.84 2,037 Grand Total 42,792 148,405 102,399 51,996 50.8% 0.73 2,321

20 Table 2-9 Index of of Sample Villages

No County Township Village Reasons for selection

1 Yucheng Duiyan Kanpo Farmland loss 2 Yucheng Duiyan Hulu Farmland loss & relocation 3 Yucheng Babu Fengmu Farmland loss & relocation 4 Yucheng Babu Zhishi Farmland loss & relocation 5 Yucheng Guanhua Guanhua Farmland loss & relocation 6 Yingjing Qinglong Fuxing Entrance of tunnel, farmland loss 7 Yingjing Qinglong Shaheba Farmland loss & relocation 8 Yingjing Qinglong Guihua Farmland loss, relocation, interchange 9 Yingjing Yanzhu Lianhua Farmland loss & relocation 10 Yingjing Fucheng Yanxigou land acquisition & poverty village 11 Yingjing Shizhi Wangnian Farmland loss, relocation, interchange 12 Yingjing Huangyi Yuquan Farmland loss & relocation 13 Hanyuan Jiuxiang Houshan Farmland loss, relocation, interchange 14 Hanyuan Jiuxiang Niangou Farmland loss 15 Hanyuan Fuchun Fuyuan Farmland loss & relocation 16 Hanyuan Tangjia Xinchang Farmland loss & relocation 17 Hanyuan Shirong Gonghe Farmland loss, relocation, Yi minority 18 Hanyuan Qingfu Fuxian Farmland loss 19 Hanyuan Qingfu Xinjian Farmland loss 20 Shimian Xinmian Donghe Farmland loss, relocation, interchange 21 Shimian Xinmian Laojie Farmland loss, relocation, interchange 22 Shimian Chaluoyi Fulong Farmland loss & Yi minorities 23 Shimian Chaluoyi Nanya Farmland loss & Yi minorities 24 Shimian Liziping Liziping Farmland loss, relocation, interchange, and Yi minorities 25 Shimian Liziping Yuangen Farmland loss, Yi minority, relocation 26 Shimian Liziping Menghuo Farmland loss & Yi minorities 27 Mianning Tuowu Luba Farmland loss & Yi minority 28 Mianning Tuowu Tuowu Farmland loss, relocation & Yi minority 29 Mianning Yihai Yihai Farmland loss & Yi minority 30 Mianning Yihai Dayanjing Farmland loss, relocation, Yi minority, interchange 31 Mianning Caogu Cheyang Farmland loss & Yi minority 32 Mianning Chengxiang Jianchao Farmland loss & Yi minority 33 Mianning Linli Fengshou Farmland loss, Yi minority 34 Mianning Linli Baitu Farmland loss, Yi minority 35 Mianning Fuxing Shuangqiao Farmland loss, Yi minority, relocation 36 Mianning Shilong Gaojian Farmland land loss & Yi minority 37 Mianning Lugu Wangjiachi Farmland land loss & Yi minority 38 Mianning Lugu Wuyi Farmland land loss & Yi minority

21

2.6. Basic Profile of Affected Households

In order to have a better understanding of the basic profile of affected households and facilitate the analysis of the impacts of the project and development of resettlement policies and rehabilitation measures, along with project impact survey, a social economic survey was carried out between July and August 2004, which was based on sample survey among affected households and affected villages.

A Sample selection

A total of 600 sample households and 2, 522 persons were selected. Among these sample households, 50 of them or 8% were from Yucheng District; 115 households or 19% from Yingjing County; 115 households or 19% from Hanyuan County; 120 households or 20% from Shimian County, and 200 households or 30% from Mianning County. Such sample distribution is similar as those among affected households distributed in the 5 counties or districts. Of total affected households, 8%were from Yucheng District; 14% from Yingjing County; 17% from Hanyuan County; 39% from Shimian County, and 21% from Mianning County.

B Survey Results

Table 2-11 provides a summary of sample household survey result. According to the survey, among 600 sample households, there are 2,522 persons, averaging 4.2 persons per household, with 50% male and the remaining 50% female. On average, each household has 2.6 laborers. Each household has about 189m2 of housing space. In terms of land holding, on average, each person has about 1.13 mu of cultivated land, ranging from 0.8 mu in Yucheng District to 1.4 mu in Mianning County. Among the total farmland, paddy fields accout for 2%6, ranging from 10% in Shimian County to 63% in Yucheng District. The net income per capita was 3,027 yuan in 2003, including 3,456 yuan in Yucheng District, 3,527 yuan in Yingjing County, 3,059 yuan in HanyuanCounty, 2,413 yuan in Shimian County, and 3,040 yuan in Mianning County. Of the total income, in average, only 1165 yuan or 38% of income is derived from planting, which ranges from 15% in Yucheng District, 25% in Yingjing County, and 32% in Shimian County, to 56% in Hanyuan County, and 46% in Mianning County. For non-agricultural income, it averages 47% for the whole alignment, which includes 72% in Yucheng District, 62% in Yingjing County, 32% in Hanyuan County, 38% in Shimian County and 43% in Mianning County.

(1) Yi Nationality

Among 600 sample households, 143 of them or 24% are of Yi Nationality households. There are 2 households from Hanyuan County, 60 households from Shimian County, and 81 households from Mianning County. Most of these households came from Tuowu mountain area, --the watershed separating Nanya River catchment in Shimian County and the Anning River catchment in Mianning County, where there are no irrigated farmland. Based on data from 143 households, the average size of family among these Yi households is 4.57 persons, which was 9% larger than the average sample households. Of the total Yi Nationality population, 48.4% are male and 51.6% are female. Generally there is no significant difference of housing floor space between Han Nationality and Yi Nationality; however, the floor space in Tuowu Township is observed to be smaller than the average space of surveyed households. In terms of land holding, the average cultivated farmland per capita is 1.5 mu in Shimian County and 2 mu in Mianning County, with 100% being dryland. In terms of income per capita, the average income per capita in 2003 among these 143 households was 3,033 yuan, which seems to have no difference with the average sample household. However, within Shimian County, the average income per capita of the Yi Nationality is significantly higher than the average sample household, which can be attributed to the larger landholding size and animal husbandry operation. In contrast, the situation in Mianning

22 County did not remain in the same trend. The income per capita of the Yi Nationality was slightly lower than the average sample household, particularly the income from non-agricultural activities was significantly lower, or 30% lower than the average sample household. However, the income from cropping of the Yi Nationality was 20% higher than the sample average.

The most unique feature for the Yi Nationality is that they have their own cultural activities, e.g., the “torch festival”, the most popular cultural activity held in June (according to the Yi calender) every year, which attacts a large number of tourists to join their festival.

(2) Vulnerable Population

The sample survey also identified 17 households with income per capita below 900 yuan, which accounted for nearly 3%, ranging from one household for Yucheng District, none for Yingjing County, four households for Hanyuan County, five households for Shimian County and 7 households for Mianning County. This ratio was much lower than reported statistics from affected townships and villages, ranging from 7% in Yingjing County, 13% in Yucheng District, and 22% to 24% in Hanyuan County, Shimian County and Mianning County. One explanation for such disparity is that since the proposed Yalu Expressway will follow national highway No. 108, the alignment tends to pass low land areas with relatively easy access and high yield agricultural production. The poor households among the affected villages tend to live in higher elevation and off the main roads, which will not be affected by the Project.

(3) Roles of Different Gender in the Society

During the survey, the team also conducted participatory interviews among women villagers and identified basic profile of gender in the project areas. In general, the status of women is quite high in the project areas. Important family decisions were made jointly by men and women. Particularly if men leave the village as migrant workers due to household labor division, the women will have more chances to participate in most village meetings. It is reported by village leaders during the survey that the share of household income earned by women ranged from 20% up to 60%.

In terms of land tenure, like other parts in China, when girls get married, her share of land could not be brought to her husband family. Instead, her land share will be left in her parent’s house. She has to share existing land resources from her husband’s family. Since 1982, the family land contract system has remained unchanged; there will be no land readjustment according to the increase of persons in the household. Based on sample household survey, as many as 866 persons or 34.3% of sample people do not have their share of cultivated land. They have to share farmland with the remaining family members. However, among those no-land holders, there is no gender discrimination. In fact, some married women even hold on to their own land in their parents’ house. That some household members (male or female) have not yet been allocated land tenure is not unique to the project area, but is an integral part of rural institutional arrangement particularly at where land is scarce in China.

Regarding education, the opportunities are similar between girls and boys. If the children work hard, the parents would try to support them and keep them in school. However due to relatively poor status, the dropout rate was higher in the project areas than in the province, with 2% to 3% for primary school childrens and about 10% for secondary school children. Usually the dropout rate is higher for girls than boys.

23 Table 2-10 Index of Distribution of 600 Sample Households

Affected Sample Percent Total Affected Percent County Township Sample HHs Villages Villages (%) HHs (%) Duiyan 3 2 66.7% 86 20 23.3% Babu 4 2 50.0% 171 20 11.7% Yucheng Guanhua 4 1 25.0% 195 10 5.1% Total 11 5 45.5% 453 50 11.0% Qinglong 4 3 75.0% 375 50 13.3% Yanzhu 2 1 50.0% 96 15 15.6% Fucheng 2 1 50.0% 52 15 28.8% Yingjing Shizhi 3 1 33.3% 166 20 12.0% Huangyi 3 1 33.3% 121 15 12.4% Total 14 7 50.0% 811 115 14.2% Shuangxi 2 1 50.0% 72 0 0.0% Jiuxiang 6 2 33.3% 114 35 35.1% Fuchun 3 1 33.3% 84 15 17.9% Tangjia 5 1 20.0% 182 15 8.2% Hanyuan Hexi 1 0 0.0% 38 0 0.0% Shirong 1 1 100.0% 30 15 50.0% Qingfu 3 1 33.3% 136 30 22.1% Xiaopu 5 0 0.0% 331 0 0.0% Total 26 7 26.9% 987 115 11.7% Yonghe 4 0 0.0% 136 0 0.0% Xinmian 5 2 40.0% 903 40 4.4% Yilong 1 0 0.0% 110 0 0.0% Shimian Caluoyizhu 3 2 66.7% 295 30 10.2% Liziping 4 3 75.0% 810 50 6.2% Total 17 7 41.2% 2,254 120 5.3% Tuowu 3 2 66.7% 94 30 42.6% Yihai 3 2 66.7% 119 35 29.4% Caogu 3 1 33.3% 244 15 6.1% Chengxiang 3 1 33.3% 300 15 5.0% Mianning Linli 1 1 100.0% 29 30 103.4% Houshan 6 1 16.7% 159 15 9.4% Shilong 3 2 66.7% 113 15 13.3% Lugu 3 2 66.7% 149 30 23.5% Total 25 12 48.0% 1,206 200 16.6% Total 93 38 40.9% 5,711 600 10.5%

24 Table 2-11 Index of Basic Conditions of the 600 Sample Households

Samples Yucheng Yingjing Hanyuan Shimian Mianning Item Unit Total Per household Total Per household Total Per household Total Per household Total Per household Total Per household

I. Family Information

Total of Sample Household 600 50 115 115 120 200

1.Total Population Person 2522 4.2 220 4.4 394 3.4 494 4.3 519 4.4 895 4.5

In which: Male Person 1261 2.1 119 2.4 187 1.6 257 2.2 245 2.1 453 2.3

Female Person 1261 2.1 101 2.0 207 1.8 237 2.1 274 2.3 442 2.2

No.of Children ＜16 Person 655 1.1 45 0.9 80 0.7 106 0.9 142 1.2 282 1.4

No. of Elderly ＞60 Person 264 0.4 26 0.5 49 0.4 54 0.5 53 0.4 82 0.4

2.Total laborers Person 1629 2.7 147 2.9 291 2.5 322 2.8 322 2.7 547 2.7

3. Total house area ㎡ 111913 186.5 16264 325.3 14556 126.6 26572 231.1 16753 140.8 37768 188.8

4. Person 653 0 0 10 257 386

II Agricultural Production

1. Contracted Land Mu 5885 9.8 405.5 8.1 1260.65 11.0 589.1 5.1 1659.9 13.9 1970.3 9.9

(1) Cultivated land Mu 2846 4.7 176.8 3.5 391.4 3.4 430.1 3.7 599.0 5.0 1249 6.2

Irrigated Land Mu 762 1.3 108.4 2.2 165.5 1.4 156.7 1.4 58.7 0.5 272.8 1.4

Dry Land Mu 2084 3.5 68.4 1.4 225.9 2.0 273.4 2.4 540.3 4.5 976.2 4.9

(2) Orchard Mu 266 0.4 19.7 0.4 7.1 0.1 15.8 0.1 105.2 0.9 118.5 0.6

(3) Other land Mu 2773 4.6 209 4.2 862.2 7.5 143.2 1.2 955.7 8.0 602.8 3.0

(4) persons with no farmland 866 41 0.8 126.0 1.1 183 1.6 115 1.0 400.5 2.0

(5) percent 34.3% 18.6% 32.0% 37.0% 22.2% 44.7%

2.Total Agriculture Output Kg

In which : Grain Kg 1091191 1818.7 75960 1519.2 156190 1358.2 200908 1747.0 274765 2308.9 383369 1916.8

25 Samples Yucheng Yingjing Hanyuan Shimian Mianning Item Unit Total Per household Total Per household Total Per household Total Per household Total Per household Total Per household

Others Kg

3.Grain Production per Kg/person person 433 345.3 396.4 406.7 529.4 428

III. Durable properties

1.Electric appliance

(1) TV set Set 548 0.9 69 1.4 114 1.0 122 1.1 69 0.6 174 0.9

(2) Other electric appliance Set 717 1.2 140 2.8 193 1.7 182 1.6 153 1.3 49 0.2

2.Transport & Production tools

(1) Vehicle and Tractor No. 67 0.1 8 0.2 1 0.0 7 0.1 22 0.2 29 0.1

(2) Other Vehicle No. 199 0.3 9 0.2 37 0.3 74 0.6 59 0.5 20 0.1

(3)Grain machine No. 101 0.2 13 0.3 24 0.2 37 0.3 11 0.1 16 0.1

(4) Pump No. 140 0.2 22 0.4 5 0.0 24 0.2 75 0.6 14 0.1

(5) Livestock Head 634 1.1 16 0.3 18 0.2 38 0.3 269 2.3 293 1.5

IV. Total gross income (Yuan) 9414119 15716 143769 28754 1815027 15783 2253091 19592 1382115 11614 2526192 12631

1.Income from crops (Yuan) 2708723 4522 136094 2722 217347 1890 1081871 9408 492105 4135 781306 3907

2.Incom from live stock (Yuan) 1681410 2807 323550 6471 204790 1781 370200 3219 323480 2718 459390 2297

3.Income from non-farm (Y) 5023986 8387 978050 19561 1392890 12112 801020 6965 566530 4761 1285496 6427

V. Total expenditures (Yuan)

1.Living consumption (Yuan) 1575341 2630 147500 2950 456050 3966 347101 3018 184700 1552 439990 2200

2. Gift cost (Yuan) 504551 842 66600 1332 154942 1347 78232 680 56647 476 148130 741

3. Education cost (Yuan) 542457 906 80450 1609 97955 852 149472 1300 83100 698 131480 657

4.Agricultural cost (Yuan) 1404181 2344 271936 5439 186473 1622 476047 4140 129558 1089 340167 1701

5.Taxes (Yuan) 120725 202 8542 171 22902 199 26590 231 49400 415 13291 66

6. Other payout (Yuan) 1575341 2630 147500 2950 456050 3966 347101 3018 184700 1552 439990 2200

26 Samples Yucheng Yingjing Hanyuan Shimian Mianning Item Unit Total Per household Total Per household Total Per household Total Per household Total Per household Total Per household

VI. Net income per capita (Y) 100% 3059 100% 2413 100% 3040 100% 100% 3059 100% 2413 100%

In which：1.Crop Planting (Y) 25% 1705 56% 784 32% 1398 46% 25% 1705 56% 784 32%

2. Live stock-raising (Y) 13% 381 12% 700 29% 330 11% 13% 381 12% 700 29%

3.Non-agriculture (Y) 62% 973 32% 929 38% 1312 43% 62% 973 32% 929 38%

VII Net Income for Yi People 3033 100% 3130 100% 2970 100%

In which：1.Crop Planting (Y) 1544 51% 1261 40% 1729 58%

2. Live stock-raising (Y) 620 20% 1074 34% 327 11%

3.Non-agriculture (Y) 869 29% 795 25% 915 31%

VIII.Poverty HH (< Y900) 10 1 0 3 4(2)* 2(1)

IX.ExtremelyPoor HH

27 Section 3 Impact of the Project The list of entities affected by the project is based on the detailed design, the approved preview of land to be acquisitioned in January 2007 and results of detailed investigation prior to commencement of the project construction in March 2007. Land acquisition commenced in March 2007 but has been staged accordingly to the mobilization of civil works contractors. As of December 2007, 12 of the 27 civil works contracts had not been awarded; land acquisition for these contracts will be carried out in 2008.

3.1 Scope of the Land Acquisition, Demolition and Relocation 3.1.1. Permanent Land Acquisition of the Project

The permanent land acquisition for the Project includes roads, bridge and culvert, interchanges, service facilities, security facilities, traffic maintenance facilities, parking facilities and nursery structures. Regions where the land acquisitioned for the project and construction of roads has seriously affect the lives and production of the residents that is difficult to recover will be included in the scope of seriously affected by land acquisition and relocation.

3.1.2. Temporary Occupation of Land for Construction

Under the Project, the temporary land occupation includes quarries and sandpits, material-mixing factories, spoil area, living and production area during construction and temporary access road for construction. The approximate amount of temporary land occupation for the proposed project has been identified during project deatiled design stage but may be altered somewhat once contractors actually start construction.

3.2. Detailed Measurement Survey

After the project design was completed and the scope of land acquisition approved, a detailed measurement survey has been carried out by selected design institutes and the local governments in March 2007. The inventory survey covers all items affected by the project, including affected population, demolished houses, acquired land areas, attachments and special facilities. The on-site investigation is carried out with village leaders and affected households and covers all aspects of the affected areas: from the area of land acquisition to the types of land; from the area of demolition to the demolition types; and from ground attachments to various public basic infrastructures.

Survey of Land to be Acquisitioned: According to the 1/2,000 land acquisition map and land acquisition boundary determined in the field, the land survey is carried out after the completion of the detailed design. The land survey data is recorded according to the current ownership, land types and the actual cultivating condition, (including cultivated land, garden plot, vegetable land, forest land and house plot, etc.).

Population Census: The population affected by the project is divided into two categories, those affected only by land acquisition, and those affected only by demolition of housing. Based on the actual population affected, sample survey of affected persons has been conducted including their nationality, age, educational level and employment condition. Survey was made from household to household, and the statistics were collected from village to village.

Survey on Housing and Auxiliaries: For demolished housing and auxiliary attachments in the affected area, the survey and register is based on review of their building or land use certificates and on site measurement, with differentiation of different types of structures, such as brick-concrete, brick-wood, earth-wood, etc. The quantity of demolished houses is based on measurement from each affected household and village, while the amount of auxiliaries will be estimated based on survey among affected households.

28 Survey on Scattered Trees: The scattered trees (including fruit trees and other economic trees) in the project affected area is surveyed based on site count and estimate, with different categories and sizes.

Survey on Special facilities: Based on the data offered by the county administrative department, the survey of all the special facilities including water conservancy, power supply and telecommunication is carried out through on site verification by the survey team and local administrative departments.

3.3. Affected Inventory (Project Impacts)

Based on the results of detailed investigations of the land acquisition and demolition of the project, there are 5 counties / districts, 30 townships and 93 administrative villages that are affected by land acquisition and demolition of structures. Among them includes Yucheng District with 3 townships (Duiyan, Guanhua and Babu ), Yingjing County with 5 townships (Qinglong, Yanzhu, Fucheng, Shizhi, and Huangyi), Hanyuan County with 8 townships (Shuangxi, Jiuxiang, Tangjia, Fuchun, Hexi, Shirong, Qingfu and Xiaopu), Shimian County with 6 townships (Yonghe, Xinmian, Huilong, Zaiyang, Chaluo, and Liziping) and Mianning County with 8 townships (Tuowu, Yihai, Caogu, Chengxiang, Linli, Houshan, Shilong and Lugu).

3.3.1. Land Acquisition A. Permanent land acquisition

According to the results of detailed investigation of the land acquisition and demolition of the project, 1016.926 ha of permanently acquisitioned land are required. Among which 439.0998 ha are cultivated land4, taking up 43.18%; 86.8034 ha are garden plots5, taking up 8.54%; 355.6585 are forest lands, taking up 34.97%; 34.6349 ha are other agricultural lands, taking up 3.40%; 33.4369 ha are the lands used for construction, taking up 3.29%; while lands that has not been used are 67.2924 ha, taking up 6.62%. The land acquisition will involve 5 counties, 30 townships and 93 administrative villages. Table 3-1 provides data on total land acquisitioned while Table 3-2 provides data on land acquisitioned in various townships. Annex 3 presents the land acquisitioned in various villages (table revised in December 2007).

B. Temporary Land Occupation

During the period of the construction of the project, it is estimated that a total of 5,214 mu or 347.8 ha of land will be temporarily used, among which includes 14 % of paddy, 32% of dryland and 54% of non-cultivated land. The amount of land used and duration of use will vary by contractor, so the actual impacts will be monitored during implementation.

4 Cultivated land includes both irrigated land and dryland. Ya'an Municipality does not differentiate for compensation but Liangshan Precture does, so detailed tables provide a breakdown for Mianning County only.

5 "Garden plots" refers to vegetable lands. Although these lands are also contracted on 30 year lease, these lands have generally been retained by the same families and represent a key source of cash crop income.

29 Table 3-1 Land Acquisitioned by County/District （Unit: ha） Counties/ No. of No. of Total land Cultivated Garden Forest Other Construction Unused land Districts Townships Villages acquisitioned lands Plots Lands agricultural use land lands Yucheng 3 11 81.6716 46.0161 2.0515 22.5454 4.1733 2.2173 4.668 District Yingjing 5 13 163.7271 58.2023 2.6351 94.2707 5.0608 1.6209 1.9373 County Hanyuan 8 26 197.5931 50.6532 78.5992 24.8155 4.8846 15.1319 23.5087 County Shimian 6 17 245.7718 64.2829 0.4163 130.4788 6.4839 10.2193 33.8906 County Mianning 8 26 328.1623 219.9453 3.1013 83.5481 14.0323 4.2475 3.2878 County Project 30 93 1016.926 439.0998 86.8034 355.6585 34.6349 33.4369 67.2924 Total Note：0.046 hectare (0.69 mu) of land is acquisitioned in Fuqian Town of Hanyuan County. It involves 1 village. When data on affected villages and townships were collected, the data for Fuqian Town and Da Village was not ready.

Table 3-2 Land Acquisition in Affected Townships （Unit：ha） Other No. of Total Land Cultivated Garden Construction County Townships Forest lands agricultural Ununsed land villages acquisitioned lands plots use land lands Yucheng Duiyan Town 3 13.8995 10.8118 0.2019 0.6764 0.9849 0.7616 0.4629 District Babu Township 4 40.2069 29.9946 1.3085 2.1870 2.7354 1.3802 2.6012 Guanhua 4 27.5652 5.2097 0.5411 19.6820 0.4530 0.0755 1.6039 Township Yucheng Sub-total 81.6716 46.0161 2.0515 22.5454 4.1733 2.2173 4.6680 Qinglong Yingjing 4 61.1714 34.3721 2.0512 19.7318 2.9889 1.1329 0.8945 County Township Yanzhu Township 1 6.4790 5.9467 0.0000 0.0153 0.5170 0.0000 0.0000

Fucheng 2 14.7768 7.5574 0.5839 5.6525 0.6570 0.2336 0.0924 Township Shizi Township 3 37.4259 10.2207 0.0000 25.1248 0.8887 0.2413 0.9504

Fengyi Township 3 43.8740 0.1054 0.0000 43.7463 0.0092 0.0131 0.0000

30 Yingjing Sub-total 163.7271 58.2023 2.6351 94.2707 5.0608 1.6209 1.9373 Hanyuan Shuangxi Town 2 17.0686 0.0000 13.1899 2.8597 0 0.2887 0.7303 County Jiuxiang Town 7 50.9099 2.6947 32.7056 7.7401 0.4784 5.3095 1.9816 Fuchun Township 2 12.7725 0.0000 10.8554 0.0264 0.0000 0.3363 1.5544 Tangjia Town 6 34.2956 6.8452 20.5480 0.0000 0.8094 4.4491 0.0000 Hexi Township 1 4.2818 1.3192 0.7962 0.5229 0.1147 0.2734 1.2554 Fuquan Township 1 0.0460 0.0423 0.0000 0 0.0037 0 0 Shirong Township 1 12.6663 9.5777 0.0000 0.4365 0.8329 0.2176 1.6016 Qingfu Township 3 28.9180 16.7188 0.5041 5.6305 1.4756 0.8943 3.6947 Xiaobao 4 36.6344 13.4553 0.0000 7.5994 1.1699 2.0391 12.3707 Township Hanyuan Sub-total 197.5931 50.6532 78.5992 24.8155 4.8846 15.1319 23.5087 Shimian Xinmian Town 5 58.9269 25.5595 0.4163 15.0354 2.5047 6.9688 8.4422 County Huilong Township 1 9.2878 1.5096 0.0000 6.7841 0.1313 0.4208 0.4420 Chaluo Township 3 25.5989 5.9588 0.0000 12.3234 0.8411 1.2567 5.2189 Liziping 4 114.6404 12.9863 0.0000 81.8500 1.4181 1.2841 17.1019 Township Zaiyang Township 1 6.7679 1.8345 0.0000 4.7739 0.1595 0.0000 0.0000 Yonghe Township 3 30.5499 16.4342 0.0000 9.7120 1.4292 0.2889 2.6856 Shimian Sub-total 245.7718 64.2829 0.4163 130.4788 6.4839 10.2193 33.8906 Mianning Tuowu Township 3 65.8118 28.8025 1.8774 20.1179 12.8883 0.3277 1.7980 County Yihai Township 3 46.4684 39.7789 0 4.3066 0.3657 0.5274 1.4898 Caogu Township 3 45.3938 24.1476 0 19.6295 0.3780 1.2387 0 Chengxiang Town 3 47.2583 36.8143 0 10.0663 0.2509 0.1268 0 Linli Township 2 23.2531 9.2824 0 13.8920 0.0787 0 0 Houshan 6 64.9067 55.4769 1.0452 6.9499 0.0419 1.3928 0 Township Shilong Township 3 22.7552 13.6985 0.0915 8.5859 0 0.3793 0 Lugu Town 3 12.3150 11.9442 0.0872 0 0.0288 0.2548 0 Minniang Sub-total 328.1623 219.9453 3.1013 83.5481 14.0323 4.2475 3.2878 Project Total 1016.926 439.0998 86.8034 355.6585 34.6349 33.4369 67.2924

31 3.3.2 Demolished Houses and Auxiliary Facilities

According to the results of detailed investigation of the land acquisition and demolition of the project, the project involves demolition of 207,312 m2 of various types of structures. Among which 42049 m2 are crick-concrete structures, taking up 20.28%; 90391 m2 are brick-wood structures, taking up 43.60%; 74873 m2 are earth-wood structures, taking up 36.12%. 929 households with 3412 people in 56 villages are affected. Table 3-3 provides data on the total area of demolished housing structures, Table 3-4 provides data on the area of demolished housing structures of various villages. Annex 4 presents data on the area of demolished housing structures of various villages (table revised in December 2007). Table 3-5 provides data on demolition of structures of enterprises and institutions; 6 enterprises, 2 primary schools and 2 temples are affected with a total area of 3574 m2. It must be noted in Table 3-3, the total number of the demolished structures includes the number of demolished structures of enterprises.

Table 3-3 Demolished Housing Structures by County/District （Units：Square Meters） No. of No. of Housing Structures Houses County Townships Villages Households People Brick-concrete Brick-wood Earth-wood Total Yucheng District 3 9 8226 7952 4787 20965 73 229 Yingjing County 5 8 403 26971.5 5433 32807.5 107 366 Hanyuan County 7 12 18778 8548 9673 36999 181 614 Shimian County 5 8 11901.89 16144.93 17516.74 45563.56 195 650 Mianning 8 19 2740.02 30774.39 37463.255 70977.665 373 1553 County Project Total 28 56 42048.91 90390.82 74872.99 207312 929 3412

Table 3-4 Data on Demolished Housing Structures by Township (Units：Square Meters) County Townships No. of Housing Structures Houses No. of Households Villages Brick-concrete Brick-wood Earth-wood Total Yucheng District Duiyan Town 2 3300 2250 495 6045 25 Babu Township 3 4926 4701 3390 13017 40 Guanhua 3 1001 902 1903 8 Township Yucheng District Total 8226 7952 4787 20965 73 Yingjing County Qinglong 4 267 19420.5 5286 24973.5 79 Township Yanzhu 1 136 1806 147 2089 10 Township Fucheng 1 1684 1684 6 Township Shizi Township 1 3486 3486 9 Fengyi 1 575 575 3 Township Yingjing County Total 403 26971.5 5433 32807.5 107 Hanyuan County Jiuxiang Town 2 3747 3378 2777 9902 42 Fuchun 1 1761 330 1815 3906 17 Township Tangjia 4 12044 3822 3245 19111 96 Township Hexi Township 1 112 112 1 Shirong 1 281 65 346 4 Township Qingfu 1 528 16 728 1272 8 township Xiaobao 2 417 890 1043 2350 12 Township Hanyuan County Total 18778 8548 9673 36999 180 Shimian County Chaluo 1 952.7 607 1559.7 3 Township Liziping 2 443.19 6433.04 2148.65 9024.88 50 Township Huilong 1 3581.93 2460.84 6042.77 15 Township Yonghe 2 1712 632 4510 6854 36 Township

32 Xinmian Town 2 8794 5497.96 7790.25 22082.21 91 Shimian County Total 11901.89 16144.93 17516.74 45563.56 195 Mianning Duiyan Town 2 County Babu Township 4 Guanhua 3 Township Tuowu 3 3744.22 669.649 4413.869 33 Township Yihai Township 3 12.92 2335.72 2195.7458 4544.3858 35 Caogu Town 2 231.6 8547.21 5892.12 14670.93 100 Chengxiang 2 4884.48 990.45 5874.93 46 Town Linli Township 1 1710.21 165.64 1875.85 8 Houshan 5 1918.55 6740.28 22945.1 31603.93 114 Township Shilong Town 1 576.95 2431.01 2811.67 5819.63 25 Lugu Town 1 0 381.26 1792.88 2174.14 15 Mianning County Total 2740.02 30774.39 37463.2548 70977.6648

Project Total 42048.91 90390.82 74872.99 207312.7 929

Table 3-5 Demolished Structure of Enterprises and Institutions (Units：Square Meters)

Townships Enterprises and Institutions Housing Structures Total Brick-concrete Brick-wood Earth-wood Hanyuan Artificial Rainfall and Hail Suppression Headquarters Wenwupo Shotpoint 118 25 143 Tangjia Hongshui Village Temple Township 238 238 Lizhou Company Xiaoguan Village Lead-Zinc Mine Selection Plant 1120 260 1380 Hexi Xianglin Village Temple Township 112 112 Qingfu Township Fuxian Village Primary School 260 260 Xiaobao Rownship Jiefang Village Primary School 35 476 511 Tuowu Tuowu Ferrosilicon Plant 792.71 792.71 Township Tuowu Tuowu Power Station 70.9 70.9 Township Houshan Linxuwen (Collective Entity) 64 64 Township Total 1533 1974.61 64 3571.61 Note: Data on demolished structures of enterprises has been included in the above data for demolished housing structures

3.3.3 Scattered Trees to be Removed

After completion of the initial investigation of the detailed design, the SYEC has prepared data on the scattered tress to be cut. See Table 3-6 provides data on the affected forest lands.

3.3.4. Affected Special Facilities

Based on the detailed investigation of land acquisition and demolition of the project, special facilities or basic infrastructures affected include power lines, telecommunication lines, etc. Table 3-7 provides data on affected special facilities.

33 Table 3-6 Detail of Affected Forest Lands (Units: ha) Forest Lands Open Underage Suitable Protected Economical Shrub Total Units Land Rights Total for Special Timberland Forest Forest Forest Forest Lands Forest Lands Lands Purposes Lands Lands Lands Total 383.6643 264.3572 13.3579 8.3927 15.2683 0.2757 67.1586 5.4912 9.3627

State-owned 28.9921 27.2361 1.4406 0.3154

Collectively-owned 354.6722 237.1211 11.9173 8.3927 15.2683 0.2757 66.8432 5.4912 9.3627 Ya’an 291.6573 195.5994 13.3579 8.0505 10.8084 0.2757 52.4404 2.8904 8.2346 City State-owned 20.5317 18.9636 1.4406 0.1275

Collectively-owned 271.1256 176.6358 11.9173 8.0505 10.8084 0.2757 52.3129 2.8904 8.2346 Yucheng 22.5434 18.6900 0.0372 1.0776 2.7386 District Collectively-owned 22.5434 18.6900 0.0372 1.0776 2.7386 Yingjing 113.2450 100.0346 8.0133 2.3818 0.2358 1.8778 0.7017 County State-owned 18.9636 18.9636

Collectively-owned 94.2814 81.0710 8.0133 2.3818 0.2358 1.8778 0.7017 Shuangyuan 24.8165 9.6523 1.1141 0.0399 10.3693 3.6409 County Collectively-owned 24.8165 9.6523 1.1141 0.0399 10.3693 3.6409 Shimian 131.0524 67.2225 13.3579 6.2349 37.4547 2.1887 4.5937 County State-owned 1.5681 1.4406 0.1275

Collectively-owned 129.4843 67.2225 11.9173 6.2349 37.3272 2.1887 4.5937 Liangshan 92.0070 68.7578 0.3422 4.4599 14.7182 2.6008 1.1281 Prefecture State-owned 8.4604 8.2725 0.1879

Collectively-owned 83.5466 60.4853 0.3422 4.4599 14.5303 2.6008 1.1281 Mianning 92.0070 68.7578 0.3422 4.4599 14.7182 2.6008 1.1281 County State-owned 8.4604 8.2725 0.1879

Collectively-owned 83.5466 60.4853 0.3422 4.4599 14.5303 2.6008 1.1281

34 Table 3-7 Affected Special Facilities

Electrical Poles Electrical Lines Telecommunication Lines Pipelines Other Facilities

Demolishe Double Tele- Distrib County/ Steel Bar Concrete Wooden Fibre Optic Television Transf d Owner Column Length communication Cables length ution District Tower Tower Bar Bar Cables Cables Diameter ormers Length (m) Concrete Bar Bars Types Bars Types / Radio Lines Types Box (cm)

KVA/ Bases Frames Bars m m m Unit Unit Mianning Mianning China County 13150 Mobile 0 0 0 222 0 0 0 0 43 0 0 0 26650 0 0 0 0 0 0 Mianning Mianning County China 12500 Unicom 0 0 0 210 0 0 0 0 18 0 0 0 14500 0 0 0 0 0 0 Mianning Mianning County Landline 8650 Office 0 0 0 132 20 0 0 0 20 0 0 0 13150 0 0 0 0 0 0 Mianning Mianning County Telecom 16150 0 0 0 273 0 0 0 0 36 0 0 0 20150 0 0 0 0 0 0 Mianning Mianning County Radio & 1000 Television 0 0 0 4 0 0 0 0 3 0 0 0 1500 0 0 0 0 0 0 Yucheng Yucheng China District 2450 Mobile 0 0 0 38 0 0 0 0 6 0 0 0 4900 0 0 0 0 0 0 Yucheng Yucheng District China 2950 Unicom 0 0 0 45 0 0 0 0 4 0 0 0 4450 0 0 0 0 0 0 Yucheng Yucheng District Landline 6500 Office 0 0 0 24 19 0 0 0 10 0 0 0 6500 0 0 0 0 0 0 Yucheng Yucheng District 7150 Telecom 0 0 0 44 0 0 0 0 23 0 0 6500 3200 0 0 0 0 0 0 Yucheng Yucheng District Radio & 0 Television 0 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 Yingjing Yingjing China County 10600 Mobile 0 0 0 196 0 0 0 0 18 0 0 0 19400 0 0 0 0 0 0 Yingjing Yingjing County China 9400 Unicom 0 0 0 186 0 0 0 0 8 0 0 0 9400 0 0 0 0 0 0 Yingjing Yingjing County Landline 8400 Office 0 0 0 16 40 0 0 0 16 0 0 0 8400 0 0 0 0 0 0 Yingjing Yingjing County 3200 Telecom 0 0 0 46 0 0 0 0 8 0 0 3200 0 0 0 0 0 0 0 Yingjing Yingjing County Radio & 0 Television 0 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 Hanyuan Hanyuan China County 1850 Mobile 0 0 0 27 0 0 0 0 8 0 0 0 2850 0 0 0 0 0 0 Hanyuan Hanyuan County China 1600 Unicom 0 0 0 25 0 0 0 0 5 0 0 0 1750 0 0 0 0 0 0

35 Hanyuan Hanyuan County Landline 0 Office 0 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 Hanyuan Hanyuan County 8000 Telecom 0 0 0 43 10 0 0 0 53 0 6700 1600 5800 75 0 0 0 0 0 Hanyuan Hanyuan County Radio & 3200 Television 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 Shimian Yingjing China County 5750 Mobile 0 0 0 59 0 6 0 0 34 0 600 0 10100 0 0 0 0 0 0 Yingjing Shimian County China 4550 Unicom 0 0 0 55 0 0 0 0 15 0 0 0 4750 0 0 0 0 0 0 Yingjing Shimian County Landline 3400 Office 0 0 0 2 68 0 0 0 15 0 0 0 6600 0 0 0 0 0 0 Yingjing Shimian County 5900 Telecom 0 0 0 63 6 0 0 0 47 0 1500 150 8750 0 0 0 0 0 0 Shimian Radio & 0 Television 0 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18

Project Total 136350 0 4 8 1722 179 26 24 28 422 36 8840 11494 172848 127 56 60 64 68 72 China 33800 Mobile 0 0 0 542 0 6 0 0 109 0 600 0 63900 0 0 0 0 0 0 China Unicom 31000 0 0 0 521 0 0 0 0 50 0 0 0 34850 0 0 0 0 0 0 Landline 26950 Office 0 1 2 177 151 5 6 7 69 9 10 11 34662 13 14 15 16 17 18 Category Total Telecom 40400 0 0 0 469 16 0 0 0 167 0 8200 11450 37900 75 0 0 0 0 0 Radio & 4200 Television 0 3 6 13 12 15 18 21 27 27 30 33 1536 39 42 45 48 51 54

136350 0 4 8 1722 179 26 24 28 422 36 8840 11494 172848 127 56 60 64 68 72

36

3.3.5 Number of People Affected

The project needs to demolish and relocate the housing of 929 households. 3412 people will be affected by the relocation within 56 villages. Among which, Yucheng District involves the resettlement of 73 households with 229 people; 107 households with 366 people in Yingjing County; 181 households with 614 people in Hanyuan County; 195 households with 650 people in Shimian County; and 373 households with 1553 people in Mianning County.

In terms of land acquisition, the loss of farmland is equivalent to 7990 people losing all their farmland. However, since land acquisition involves a long linear strip of land crossing 93 villages, the loss of farmland at the household level is partial, averaging btewen 15% and 25% loss. This means the number of persons to be compensated by partial farmland loss is in the order of 32,000. Table 3-8 presents data on the total number of people affected by county/district, while Table 3-9 presents data on the number of people affected by village.

Table 3-8 Number of People Affected by County/District

Cultivated Cultivated Land No. of Total Land No. of People Area of Housing No. of No. of No. of Land (mu) per Capita County Townshi Acquisition Affected by Demolished Households People Villages Acquisition Before ps (ha) Land Loss (m2) Relocated Relocated (ha) Acquisition Yucheng 3 11 81.6716 46.0161 0.8563 3300 20965 73 229 District Yingjing 5 13 163.7271 58.2023 1.1902 3700 32807.5 107 366 County Hanyuan 8 26 197.5931 50.6532 0.5805 5100 36999 181 614 County Shimian 6 17 245.7718 64.2829 0.4749 10300 45563.56 195 650 County Mianning 8 26 328.1623 219.9453 1.2777 9600 70977.67 373 1553 County Project 30 93 1016.926 439.0998 32000 207312.7 929 3412 Total

Table 3-9 Number of People Affected by Township and Village

Cultivated Cultivated Cultivated No. of Area of Total Land Land (mu) Land (mu) No. of No. of Land People Housing County Townships Villages Acquisition per Capita per Capita Households People Acquisition Affected by Demolished (ha) Before After Afftected Affected (ha) Land Loss (m2) Acquisition Acquisition Duiyan 6.2325 5.0727 0.7916 0.7095 390 3927 16 53 Town Hulu Kanpo 0.9817 0.3802 0.7802 0.7536 30 2118 9 29 Duiyan 7.6670 5.7391 0.7859 0.7022 440 Babu 12.6164 10.6592 0.8564 0.7314 740 1807 7 23 Township Fengmu Yucheng Zhishi 14.5986 11.4984 0.8589 0.7691 810 4167 13 39 District Shigang 9.2105 5.7254 0.8756 0.7418 390 5582 15 45 Babu 3.7814 2.1116 0.8974 0.8043 150 1384 5 16 Guanhua 6.2208 0.6074 0.8931 0.8596 40 362 2 6 Township Guanhua Yuanjia 4.2779 2.4451 0.8951 0.8153 170 Zhousha 3.6359 0.8164 0.8904 0.8526 50 376 1 3 Shangheng 13.4306 1.3408 0.8950 0.8670 90 1165 5 15

Yucheng District Sub-total 81.6716 46.0161 3300 20965 73 229

Yingjing Qinglong 20.2880 8.2802 0.817 0.723 570 2235 12 35 County Township Fuxing Shabahe 14.9893 5.2350 0.850 0.710 110 1307 6 18 Guihua 15.7993 14.1154 0.846 0.723 940 17636 69 165

37 Boxiang 10.0948 6.7415 0.878 0.693 470 3795.5 20 51 Yanzhu 6.4790 5.9467 0.890 0.804 410 2089 10 40 Township Lianhua Fucheng 6.7382 4.8954 0.972 0.884 320 Township Nanchunba Yanxigou 8.0386 2.6620 0.913 0.823 170 1684 6 17 Shizi 3.5865 1.2076 0.890 0.825 80 Township Jinghe Wannian 32.5743 7.9215 1.270 1.148 470 3486 9 28 Kuaile 1.2651 1.0916 0.890 0.835 80 Fengyi 20.4579 0.1054 1.902 1.898 80 575 3 12 Township Yangwan Gangshang 10.7838 0.0000 1.550 1.550 0 Yuquan 12.6323 0.0000 2.805 2.805 0

Yingjing County Sub-total 163.7271 58.2023 3700 32807.5 107 366

Shuangxi 5.8907 0.0000 0.723 0.723 0 Township Tujia Muyou 11.1779 0.0000 0.709 0.709 0 Jiuxiang 16.1415 2.6947 0.530 0.396 292 6769 29 98 Town Shangyan Lihua 11.1792 0.0000 0.526 0.526 0 3133 13 46 Sanqiang 3.7401 0.0000 0.533 0.533 0 Hongguang 4.1696 0.0000 0.531 0.531 0 Liangshan 7.3051 0.0000 0.523 0.523 0 Yangou 3.3107 0.0000 0.522 0.522 0 Zhaolin 5.0637 0.0000 0.529 0.529 0 Fuchun 3.4472 0.0000 0.589 0.589 0 Township Gouyun Fuyuan 9.3253 0.0000 0.570 0.570 0 3906 17 58 Tangjia 9.3253 0.0000 0.523 0.480 370 4867 25 91 Township Xiaoguan Hongshui 8.5185 1.3590 0.536 0.518 156 2145 14 47 Xinchang 11.9094 1.8221 0.500 0.487 216 4436 26 98 Hanyuan Hetong 0.1607 0.1478 0.520 0.513 16 County Jixian 0.0812 0.0000 0.515 0.515 0 Wuli 5.2207 0.2757 0.529 0.525 32 6140 30 100 Hexi 4.2818 1.3192 0.671 0.611 116 112 1 3 Township Xianglin Fuquan 0.0460 0.0423 0.642 0.638 4 Township Danong Shirong 12.6663 9.5777 0.569 0.401 1014 346 4 15 Township Gonghe Qingfu 12.8684 5.1868 0.652 0.479 484 1012 7 21 Township Qingfu Xinjian 3.5191 2.6668 0.605 0.295 264 Fuxian 12.5305 8.8652 0.634 0.435 840 Xiaobao 7.7957 3.8394 0.617 0.384 372 1315 7 23 Township Jiefang Tiekou 15.8680 5.2562 0.631 0.411 500 524 4 14 Tuanjie 12.5798 4.3597 0.622 0.498 424 Dingjia 0.3909 0.0000 0.622 0.622 0 4 Entreprises / Schools 0 994 4

Hanyuan County Sub-total 197.5931 50.6532 5100 3699 181 614

Yanzi Xinmian Neighborhood 12.5240 7.2353 0.271 0.029 1495 Town Committee Shimian Xinjie County Neighborhood 5.1859 1.3824 0.230 0.018 360 Committee Laojie Neighborhood 9.5055 3.3968 0.273 0.112 755 Committee Shunhe 16.8068 2.8529 0.291 0.177 585 7042.21 22 80 Dongqu 14.9047 10.6921 0.221 0.034 2905 15040 70 195 Huilong 9.2878 1.5096 0.507 0.445 180 6042.77 15 57 Township Liangqiao Chaluo 6.6552 0.0000 0.559 0.559 0 Township Shangli Fulong 4.9112 1.2069 0.565 0.506 135 1559.7 3 10 Nanya 14.0325 4.7519 0.562 0.384 510 Liziping 13.0931 3.4166 0.6423 0.532 325 Township Gongyi Yuangen 9.3669 2.8890 0.641 0.322 275 8670.13 46 174 Lizi 53.7129 5.6550 0.638 0.518 540 354.75 3 11 Menghuo 38.4675 1.0257 0.632 0.580 95 6.7679 1.8345 0.512 0.373 215 Zaiyang Pingyang 38 Yownship Yonghe 0.9042 0.0000 0.508 0.508 0 Township Baima Dabao 17.0321 6.1666 0.510 0.444 725 3411 21 73 Yulong 12.6136 10.2676 0.511 0.279 1200 3443 15 50

Shimian County Sub-total 245.7718 64.2829 10300 45563.56 195 650

Caogu Cheyang 21.6101 14.2324 1.8 1.8 476 7029.4 47 218 Dabaozi 13.485 5.2887 2.1 2.1 152 1529.03 9 42 Damawu 10.2987 4.6265 1.7 1.7 364 6112.5 42 171 Chengxiang Chayao 8.5949 6.9544 0.89 0.89 420 4110.74 36 114 Jiaguer 5.6195 5.3688 0.81 0.81 152 Jiancao 33.0439 24.4913 0.83 0.83 516 1764.19 9 35 Houshan Daxing 8.6300 8.2275 0.93 0.93 396 8927.4 31 136 Geli 11.6884 7.3645 1.5 1.5 348 766.28 7 34 Mabian 14.4639 14.4077 2 2 304 916.6 5 21 Qingquan 0.9673 0.9673 0.9 0.9 240 Fuqiang 15.6811 11.749 1.1 1.1 420 15316.69 50 221 Taoyuan 13.476 12.7609 0.86 0.86 384 5676.96 21 145 Mianning Linli Gaoyao 21.9198 9.0725 1.8 1.8 304 1875.85 8 37 County Linli 1.3333 0.2099 0.7 0.7 20 Lugu Datian 0.2784 0.2784 0.3 0.3 56 Wangjiaci 7.8622 7.638 0.5 0.5 496 2174.14 15 40 Wuyi 4.1744 4.0298 0.4 0.4 604 Shilong Gaojian 5.2367 3.2094 0.5 0.5 384 5819.63 25 60 Heping 2.9355 2.9234 0.6 0.6 292 Shilong 14.583 7.5657 0.5 0.5 910 Tuowu Huangjiaba 5.758 4.4242 2.6 2.6 104 464.46 4 13 Luba 43.6574 18.382 2.8 2.8 396 1054.15 8 33 Tuowu 16.3964 5.9963 2.8 2.8 164 2895.259 21 88 Yihai Lepa 17.1371 15.1997 1.4 1.4 654 2266.331 19 89 Yanjing 14.5113 13.3223 1.3 1.3 618 1305.105 9 37 Yihai 14.82 11.2569 1.6 1.6 426 972.95 7 19

Mianning County Sub-total 328.1623 219.9453 9600 70977.67 373 1553

Project Total 1016.926 439.0998 32,000 207312.7 929 3412

3.3.6 Affected Ethnic Minorities

There are some ethinic minorities affected in the 93 administrative villages where the expressway passes by. Most of these ethinic minorities are of the Yi Nationality. They are distributed among 38 villages in 15 townships of 3 counties. There are 49,574 people in the 38 villages, 29,904 of them are of Yi Nationality, taking up 60.3%. Assuming the affected Yi Nationality is of the same proportion in these villages, 7869 Yi people will be affected by partial land loss and 1200 Yi people will be relocated. Based on surveying to households, the Yi Nationality is mainly concentrated in some villages or villager groups. 18 of the affected villages are all of Yi Nationality. Other villages are mainly a mix of Yi Nationality and Han Nationality, but the percentage of the ethinic minority is smaller. The source of income for the Yi Nationality is from the planting and breeding industry. In the places where the Yi Nationality and Han Nationality live together, the land distribution, education for the children and other aspects are the same for both of the nationalities. The Yi Nationality still preserves their unique traditions through their religion, festivals and house decorations. On the overall, both the Yi Nationality and Han Nationality live together harmoniously regardless of their ethnic difference. In respect of their customs and traditions, and to maintain their social relations and not increase their farming radius, the affected people were resettled or rehabilitated in their own villages or villager groups. The data on the affected ethinic minorities can be seen in Table 3-106.

6 This data has not been updated yet, but SYEC will monitor during implementation.

39 Table 3-10 Affected Minorities Counties/ Total No. of Ethnic Percent Affected Ethnic Minorities Townships Villages Districts Population Minorities Ethnic Land Loss Relocated Hanyuan Fuchun Zhaye 693 145 20.9% 0 11 Shirong Gonghe 1477 435 29.5% 300 4 Xiaobao Dingjia 450 50 11.1% 0 0 Tuanjie 1350 700 51.9% 220 0 Wangjia 200 50 25.0% 0 0 Tiekou 700 200 28.6% 145 5 Jiefang 700 150 21.4% 90 5 Shimian Yonghe Baima 1720 327 19.0% 0 0 Dabao 1367 368 26.9% 195 20 Yilong 1433 218 15.2% 182 8 Huilong Liangqiao 376 193 51.3% 90 29 Chaluo Shangli 657 72 11.0% 0 0 Fulong 1003 282 28.1% 107 3 Nanya 686 332 48.4% 245 0 Liziping Xichong 870 870 100.0% 0 0 Yuangen 650 650 100.0% 272 174 Lizi 832 832 100.0% 536 11 Menghuo 441 441 100.0% 96 0 Mianning Tuowu Luba 1122 1122 100.0% 396 33 Huangjiaba 386 386 100.0% 104 13 Tuowu 516 516 100.0% 164 88 Yihai Yihai 1500 1500 100.0% 424 19 Dayanjing 1450 1450 100.0% 616 37 Lepa 1500 1500 100.0% 654 89 Caogu Cheyang 2691 2691 100.0% 476 218 Dabaozi 1915 1915 100.0% 152 42 Damawu 1374 1374 100.0% 364 171 Chengxiang Chayao 1362 1362 100.0% 420 114 Jiaguer 717 717 100.0% 152 0 Linli Gaoyao 1240 196 15.8% 48 6 Houshan Mabian 1184 1184 100.0% 304 21 Geli 1332 1332 100.0% 348 34 Fuqiang 2410 274 11.4% 48 25 Qingquan 1070 1070 100.0% 240 0 Lugu Wangjiaci 4000 2000 50.0% 248 20 Xijie 3000 1000 33.3% 0 0 Wuyi 5200 2000 38.5% 233 0 Total 49574 29904 60.3% 7869 1200 Note: ：The population of ethnic minorities affected by land acquisition and relocation is estimated based on the perecentage of ethnic minorities affected in the 38 villages.

40 3.3.7 Vulnerable People7

The vulnerable people affected by the project mainly refer to those who are extremely poor (with income per capita below 637 yuan)8, elderly living alone, disabled, and households headed by women. According to data collected from affected villages and townships, as many as 24781 people or 16.9% of the total population in 93 villages (146,871 people) are considered as poverty-stricken population. However, according to the sample survey of 600 affected households, the number of those extremely poor or economic vulnerable accounts for only 2.83%. The relatively easy access and high yield of affected areas in the 93 villages might explain such disparity. Using the same ratio, the estimated extremely poor and vulnerable would be 162 households and 573 people. For these vulnerable persons, a series of measures will be provided in order to reduce negative impacts and assist their resettlement and rehabilitation (see Section 5.7).

3.3.8 Gender Analysis

To conduct the gender analysis regarding the project, a comprehensive understanding of the background of China is needed. Since early 1980’s, when the ‘household responsibility system’ started, the land usufruct (user right) was contracted to individual households and the land share for each household member is allocated equally. Over time, the population dynamics among households have changed (e.g., new births, death, married-in, married-out and members working in non-rural area after university graduation). In the areas lwhere and is abundant, land redistribution can be conducted every 3-5 years using the village’s reserve land so that each person can get a share of farmland; however, in the areas where land is scarce, land readjustment is not feasible, thus mainly focusing on the initial 15-year contract and the 30-year land use contract signed in the mid 1990s. This situation occurs in the project area. However, it does not mean that discrimination exists between female and male members. In fact, the land tenure is commonly owned by rural household members, and once the household land is acquisitioned, women have the same eligibility and share the same entitlement with men.

The land acquisition for the project is in ‘linear-form’, so most households will only suffer partial loss of farmland. Therefore, even if half of the land is acquisitioned, the remaining half can still be managed by either women and/or men. The key point is whether the family can restore their income after compensation for the acquired land, which depends on two factors: sufficient compensation and practical planning and effective measures on using the compensation for income rehabilitation. The compensation proposed for this project is considered to be adequate and there are general strategies for income rehabilitation, but specifically how to use the money will be further considered during the detailed design stage when resettlement impact assessment and rehabilitation planning can focus at the village level. Such plans will need to consider gender aspects of income rehabilitation, since women go out less frequently than men. Since some farmland will remain, at least one family member will have to continue to manage the farm, unless they rent it to neighbors. These decisions will be formulated by the affected households based on a series of consultations with village groups and village leaders, and advice from local government officials, including the Womens Federation. Rehabilitation plans for severely affected villages are under preparation.

3.4 Analysis of the Impact of Land Acquisition, Demolition and Relocation

In general, the impact of land acquisition is relatively small for each affected county and township as the expressway project is in a linear shape. However, as the average cultivated land holding of the villagers are

7 The subsection has not been updated yet but investigations are underway to enumerate the vulnerable persons and to determine specific support measures. This will be reported to ADB by SYEC by 31 March 2008.

8 In 2004, the poverty line for rural people in Sichuan Province is the same as defined by national government—the annual net income CNY637 per capita. People with net incomes below this standard are called “absolute poor” or extremely poor. Those with the average net income CNY869 are called “poverty population”.

41 small, the land acquisition for Yalu Expressway of 1016.926 ha through 93 villages will cause certain impacts on farmland and forest lands. On average, land acquisition will cause these villages to lose 7% of their cultivated land, but the impacts range up to 50% loss for a few villages. Impacts are more significant where there are flyovers and service stations. The fact that the actual average land holding of the people in the villages are higher than the village statistics, the actual impact on the affected villages may be lower than 7%. For example, according to the survey of 600 sample households, the average land holding per capita is 1.13 mu which is 55% higher than village statistics.

The average loss of cultivated land for each household is estimated to be about 20%. On average, the net income derived from the cultivated land is only 25%9 of the net income of the affected households. Therefore the loss of income for households will only be 4%. At the group or village level, the loss of income for most of the 93 villages will be lower than 5%, but a few will be seriously affected. The land compensation will be utilized to invest in non-land based income generation activities, which will help households to increase their incomes. This idea will be widely implemented in the affected Han Nationality households; however, the loss of land and income are severe for 20%-30% of the affected household, taking uo 10%-50% of their income. For this group, there is a mixture of high, middle and low-income households. If 20% of these household are assumed to be of the low-income, this will mean that 4%-6% of the affected households may be at risk (i.e., will face difficulties to restore their income if only cash compensation is provided). For households who face difficulties in restoring their income, special measures will be taken (see Section 5.6.4) and will be closely monitored (see Section 9).

Table 3-11 presents data on the 17 more severely affected villages (1 village in Yucheng District, 1 village in Yingjing County, 4 villages in Hanyuan County, 2 villages in Shimian County and 2 villages in Mianning County). The next step of work will be a rehabilitation plan report of village level for these 10 villages. This report should be completed tentatively in March 2008. Table 3-12 presents the data on 8 villages that are more severely affected by demolition and relocation. The next step of work for these 15 villages will be a house relocation plan report of village level. This report should also be completed tentatively in April 2008.

9 The social survey estimated only 15%, but we have used 25% to be conservative.

42 Table 3-11 List of Villages Severely Affected by Land Loss

Average Cultivated Existing Area of Area of Average Cultivated Population Land Holding Affected County/District Townships Villages Cultivated Land Cultivated Land Land Holding After of Villages Before Acquisition Percentage Owned (ha) Acquired (ha) Acquisition (mu) (mu) Yucheng Fengyi Group District 26.4 457 9.5596 0.867 0.554 36% Babu No. 2

Shigang 35.7 719 5.7254 0.774 0.624 16% Yingjing Qinglong Guihua Group County No. 2 10.9 228 6.7567 0.72 0.35 51% Fuxing 44.7 1249 8.2802 0.536 0.437 19% Hanyuan Jiuxiang Shangyan 2.6 69 2.0762 0.57 0.11 80% County Shirong Gonghe 5.9 158 5.0958 0.56 0.08 86% Qingfu Qingfu 6.1 144 4.5480 0.64 0.16 74% Jiefang 20.0 700 3.8394 0.429 0.396 19% Xiaobao Tiekou 20.0 700 5.2562 0.429 0.316 26.3% Shimian Chaluo Nanya 10.1 686 4. 7519 0.220 0.120 47.2% County Yonghe Yulong 50.3 1433 10.2676 0.526 0.421 20% Yuangen 7.5 650 2.8890 0.174 0.107 38% Liziping Lizi 17.5 832 5.6550 0.316 0.214 32% Xinmian Yanzi 15.3 2034 7.2353 0.113 0.060 47% Dongqu ??? 10.6921 Mianning Jiagu'er 35.8 717 5.3688 0.749 0.637 15% Chenxiang County Jiancao 130.7 1760 24.4913 1.025 0.833 19%

Table 3-12 List of Villages More Severely Affected by Demolition and Relocation

County Townships Villages No. of Percent of Households Village Total Relocated Yucheng Babu Shigang 15 6.3% District Yingjing Qinglong Guihua 69 8.1% County Hanyuan Tangjia Wuli 30 4.3% County Jiuxiang Shanyan 29 13.3% Shimian County Liziping Yuangen 46 26.7% Huilong Liangqiao 15 15.2% Yonghe Dabao 21 6.1% Xinmian Dongqu 70 12.6% Shunhe 22 6.5% Mianning Caogu Cheyang 47 8.1% County Damawu 42 12.5% Chengxiang Chayao 36 8.4% Houshan Fuqiang 50 9.2% Daxing 31 5.5% Tuowu Tuowu 21 17.1%

43 Section 4. Legal Framework

The preparation and implementation of resettlement for this Project shall follow the laws and regulations of the People’s Republic of China and Sichuan Province, and also meet the requirements of ADB’s relevant policies. The adopted compensation standards and rehabilitation measures in the RP will be followed during implementation of resettlement. When there are any major changes in policies during implementation, the project owner will consult with ADB and seek to reach agreements.

4.1 Basis of Policies

1. The Land Administration Law of the People’s Republic of China (Promulgated by Order No.8 of President of the Peoples’ Republic of China on August 29, 1998, and effective as of January 1, 1999); 2. Implementation Regulations for Land Administration Law of the Peoples Republic of China (Promulgated by Order No.256 of the State Council of the Peoples Republic of China on December 27, 1998, and effective as of January 1, 1999); 3. Decree on Public Hearings regarding State-owned Land and Resources (Order No. 22 of the Ministry of Land and Resources of P.R.China, effective as of May 1, 2004). 4. Sichuan Province Implementation Method of People’s Republic of China Land Administration Law (Promulgated on December 10 1999 by Sichuan Provincial Government). 5. Opinion on How to Regularize and Adjust Land Compensation Standards (Issued in the order of No. 39 2004 by Sichuan Provincial Government) 6. Notice on Issurence of Method of Collection and Use of Forest Restoration (Issued in the order of No.73 2002 jointly by Ministry of Finance and State Forestry Bureau) 7. Method on Cultivated Land Occupation Tax in Sichuan, (Issued by Sichuan Provincial Government on August 14, 1987) 8. ADB’s “Involuntary Resettlement Policy” November 1995 and guidelines - “Handbook on resettlement: A Guide to Good Practice” 1998. And ADB’s new operational policy OM/F2-Involuntary Resettlement issed in 2003. 9. Gender Checklist: Resettlement, Asian Development Bank, February 2003. 10. Circular on Decision to Deepen Reform and Strictly Enforce Land Administration, Document 28 in 2004, PRC State Council. 11. Circular on Problems of Reinforcing Land Reallocation by the State Council (GF[2004] No. 31 12. The People’s Republic of China Law of Property Rights (promulgated on October 2007)

4.2. Relevant Laws and Regulations

4.2.1 Relevant Provisions of The Land Administration Law of the People’s Republic of China

Article 10 Land owned by village collectives that belongs lawfully to village collectives of a village shall be operated and managed by collective economic organizations of the village or by villagers’ committees; land already owned by different village collectives that belong to two or more different collective economic organizations in the village shall be operated and managed by the rural collective economic organizations in the village or by villagers’ groups; land already owned by village collectives of a township (town) shall be operated and managed by rural collective economic organizations of the township (town).

44

Article 47 Land acquisitioned shall be compensated for on the basis of its original purpose of use.

Compensation for acquisitioned cultivated land shall include compensation for land, resettlement subsidies, attachments and young crops on the acquisitioned land. Compensation for acquisition of cultivated land shall be six to ten times the average annual output value of the acquisitioned land for three years preceding such acquisition. Resettlement subsidies for acquisition of cultivated land shall be calculated according to the agricultural population that needs to be rehabilitated. The agricultural population that needs to be rehabilitated shall be calculated by dividing the amount of acquisitioned cultivated land by the average cultivated land per capita in the affected village prior to land acquisition. The standard of resettlement subsidy shall be four to six times the average annual output value of the acquisitioned cultivated land for three years preceding such acquisition. However, the highest resettlement subsidies for each hectare of the acquisitioned cultivated land shall not exceed fifteen times its average annual output value for the three years preceding such acquisition.

Standards of land compensation and resettlement subsidies for acquisition of other types of land shall be prescribed by provinces, autonomous regions and municipalities directly under the Central Government with reference to the standards of compensation and resettlement subsidies for acquisition of cultivated land.

Standards for compensation for attachments and young crops on the acquisitioned land shall be prescribed by provinces, autonomous regions and municipalities directly under the Central Government.

If land compensation and resettlement subsidies paid in accordance with the provisions of the second paragraph of the Article are still insufficient to help the villagers who need economic rehabilitation to maintain their original living standards, the resettlement subsidies may be increased upon approval by people’s governments of provinces, autonomous regions and municipalities directly under the Central Government. However, the total land compensation and resettlement subsidies shall not exceed 30 times the average annual output value of the acquisitioned land for the three years preceding such acquisition.

The State Council may, in light of the level of social and economic development and under special circumstances, raise the standards of land compensation and resettlement subsidies for acquisition of cultivated land.

Article 48 Once a plan for compensation and resettlement subsidies for acquisition land is decided on, the local people’s government concerned shall make it known to the general public and solicit comments and suggestions from the collective economic organizations, the land of which is acquisitioned, and the villagers.

Article 49 The rural collective economic organization, the land of which is acquisitioned, shall accept supervision by making known to its members the income and expenses of the compensation received for land acquisition.

The compensation and other charges paid to the unit for its land acquisition is not to be embezzled or misappropriated.

Article 50 Local people’s governments at all levels shall support the rural collective economic organizations, the land of

45 which is acquisitioned, and the villager in their efforts to engage in development or business operation or to start enterprises.

Article 57 Where land owned by the State or by villager collectives needs to be used temporarily for construction of projects or for geologic prospecting, the matter shall be subject to approval by the land administration departments of people’s governments at or above the county level. However, if the land to be temporarily used is located in the area covered by urban planning, the matter shall be subject to agreement by the urban planning administration department concerned before it is submitted for approval. The land user shall, depending on who owns the land and who has the land-use right, enter into a contract for the temporary use of the land with the land administration department concerned, or the rural collective economic organization, or the villagers committee and pay compensation for it in accordance with the provisions of the contract. The temporary land user shall use the land for purposes stipulated in the contract for temporary use of the land and may not build permanent structures on it. Generally, the period for temporary use of land shall not exceed two years.

Article 22 In the newly issued order No.22 by the Ministry of Land Resources of P.R.China—Decree on Public Hearings regarding State-owned Land and Resources, it stipulated that Land and Resource Bureau would organize public hearings under one of the following situations: Š Determine or amend benchmark land prices; Š Prepare or amend the land use master plan and/or planning for mineral resources; Š Prepare or amend local compensaton rates for land acquisition.

4.2.2 Sichuan Province Implementation Method of People’s Republic of China Land Administration Law

Article 40 Land compensation and resettlement subsidy of cultivated land will follow provisions from Land Administration Law).

(1) Land compensation: the compensation for the acquired cultivated land should be 6 – 10 times of the annual average output value (AAOV) of cultivated land for the past three years. The land compensation for non-cultivated land should be based on half of the compensation for cultivated land.

(2) Resettlement Subsidy: The resettlement subsidy for the acquisition cultivated land should be based number of person required economic rehabilitation, which will be based on dividing acquisitioned land areas and land holding per capita in the affected village. For each person who need economic rehabilitation, the resettlement subsidy will be set at 4 to 6 times of AAOV. However, such resettlement subsidy should not exceed 15 times AAOV. For acquisition of non-cultivated land, the resettlement subsidy should be based on half of the cultivated land.

(3) Compensations for attachment and standing crops to land: for lost of green crop and other attachments, the compensation should be based on actual cost. The detailed compensation standards could be specified by municipal and prefecture governments to be approved by provincial government. If the compensation based on article (1) and (2) could not restore livelihood of the affected people, with provincial government approval, the resettlement subsidy could be further increased. But the combined land compensation and resettlement subsidy could not exceed 30 times of AAOV in the past three years.

46 4.2.3 Circular on Preparing for the Report to Submit for Approval of Land Use for Construction to the State Council

According to the concern of the central government regarding the opinions of the villagers who lost their land, Sichuan Provincial Government issued Circular No. 104 in 2006. Among the provisions, there are a series of standard procedures to ensure villagers who lose their land receive adequate compensation. Article 6 clearly states:

Compensation and subsidies are not to be lower than 16 times. Villagers who lose their land and no longer able to cultivate must all be brought into the town social security system. To conscientiously provide villagers who lost their land with training for employment and social security work. The government must listen to opinions of the villagers and response to their opinions.

4.2.4 ADB Policies on Involuntary Resettlement

ADB’s policy on involuntary resettlement includes the following principles:

(1) Involuntary resettlement should be avoided where feasible.

(2) Where resettlement is inevitable, it should be minimized by exploring all viable project options.

(3) People inevitably resettled should be compensated and assisted, so that their economic and social future would be favorable as it would have been in the absence of the project.

(4) People affected should be informed fully and consulted on resettlement and compensation options.

(5) Existing social and cultural institutions of affected villages and their hosts should be supported and used to the greatest extent possible, and resettlers should be integrated economically and socially into host communities.

(6) The absence of a formal legal title to land by some affected groups should not be a hindrance to compensation; particular attention should be paid to households headed by women and other vulnerable groups, such as indigenous peoples and ethnic minorities, and appropriate assistance provided to help improve their status.

(7) As far as possible, involuntary resettlement should be conceived and executed as a part of the project.

4.3 Compensation Standards

4.3.1 Compensation Standards for Land Acquisition 4.3.1.1 Permanent Land Acquisition

According to the statistical yearbooks among affected counties and discussions with county officials, the average annual output values for farmland in the Ya'an section ranges from 22,740 to 24,885 yuan per ha; and in Mianning section, the average annual output value for irrigated land is 24,844 yuan per ha and for dryland is

47 16,406 yuan per ha. Since most project counties and districts have farmland per capita below one mu, according to the Sichuan Province Department of Land and Resources [2006] No. 104 on Circular on Preparing for the Report to Submit for Approval of Land Use for Construction to the State Council, and through surveying the affected counties and districts, the compensation for acquisition of cultivated land and subsidies for resettlement for the Yalu Expressway should not be lower than 16 times. The compensation for yong crops are based on the average output value of 3 years production. The AAOV for the 5 counties, compensation standards and the amount of compensation can be seen in Table 4-1.

Table 4-1 Index of Compensation Standards (Townships)

Compensation Standards for Land Acquisition（Ten Thousand Yuan/Hectare） Compensation Standard for Young Crops Ten Thousand Counties/ Townships Yuan/Hectare Districts Compensation Annual Average Output Standard for Cultivated Other Types of Forest Land Value Cultivated Land Land Land Duiyan 2.2740 19 43.206 21.603 21.603 1.2 Yucheng Babu 2.2740 17 38.658 19.329 19.329 1.2 District Guanhua 2.2740 16 36.384 18.192 18.192 1.2 Qinglong 2.3715 16 37.944 18.972 18.972 1.2 Yanzhu 2.3715 16 37.944 18.972 18.972 1.2 Yingjing Fucheng 2.3715 16 37.944 18.972 18.972 1.2 County Shizi 2.0751 16 33.201 16.6005 16.6005 1.2 Fengyi 2.0751 16 33.201 16.6005 16.6005 1.2 Shuangxi 2.4885 22 54.747 27.3735 27.3735 1.2435 Jiuxiang 2.4885 28 69.678 34.839 34.839 1.2435 Fuchun 2.4885 28 69.678 34.839 34.839 1.2435 Tangjia 2.4885 28 69.678 34.839 34.839 1.2435 Hanyuan Hexi 2.4885 25 62.2125 31.10625 31.10625 1.2435 County Fuquan 2.4885 25 62.2125 31.10625 31.10625 1.2435 Shirong 2.4885 25 62.2125 31.10625 31.10625 1.2435 Qingfu 2.4885 25 62.2125 31.10625 31.10625 1.2435 Xiaobao 2.4885 25 62.2125 31.10625 31.10625 1.2435 Xinmian 2.4885 30 74.655 37.3275 37.3275 5.1 Huilong 2.4885 25 62.2125 31.10625 31.10625 5.1

Chaluo 2.4885 23 57.2355 28.61775 28.61775 5.1 Shimian County Liziping 2.4885 21 52.2585 26.12925 26.12925 5.1 Zaiyang 2.4885 25 62.2125 31.10625 31.10625 5.1 Yonghe 2.4885 25 62.2125 31.10625 31.10625 5.1 Tuowu Dryland 1.6406 16 26.2496 19.8752 19.8752 1.2 Yihai Dryland 1.6406 16 26.2496 19.8752 19.8752 1.2 Paddy 2.4844 16 39.7504 19.8752 19.8752 1.2 Caogu Dryland 1.6406 16 26.2496 19.8752 19.8752 1.2 Paddy 2.4844 16 39.7504 19.8752 19.8752 1.2 Chengxiang Dryland 1.6406 16 26.2496 19.8752 19.8752 1.2

Paddy 2.4844 16 39.7504 19.8752 19.8752 1.2 Mianning Linli Dryland 1.6406 16 26.2496 19.8752 19.8752 1.2 County Paddy 2.4844 16 39.7504 19.8752 19.8752 1.2 Houshan Dryland 1.6406 16 26.2496 19.8752 19.8752 1.2 Paddy 2.4844 16 39.7504 19.8752 19.8752 1.2 Shilong Dryland 1.6406 16 26.2496 19.8752 19.8752 1.2 Paddy 2.4844 16 39.7504 19.8752 19.8752 1.2 Lugu Dryland 1.6406 16 26.2496 19.8752 19.8752 1.2

4.3.1.2 Temporary Land Occupation

According to the general construction schedule, Yalu Expressway will begin construction in 2005 and will be completed in 2009. The total construction period will be 4 years. The compensation will be based on the actual number of years of the land is occupied. According to Article 23, Implementation Regulation of Land Administration Law for Sichuan Province, the estimation for temporary land occupation is 2 years, and the compensation standard is 2 times of 3 years’ AAOV. The compensation standard for temporary land occupation is presented in Table 4-2.

48

Table 4-2 Index of Compensation Standard for Temporary Land Occupation (Yuan/mu) Annual Average Item Types of Land Timelength of Occupation Total Compensation Output Value 1 Paddy 1,600 2 3,200 2 Dryland 1,000 2 2,000 3 Forest Land 500 2 1,000 Other Types of 4 500 2 1,000 Land Note: The compensation rate does not include the cost of land recovery. The recovery of land will be carried out by contractors after the project has been completed.

4.3.2 Compensation Standard for Houses and Auxiliaries

The compensation rates adopted are in reference to similar expressway projects in these five counties and based on the principle of replacement. Integrating the socioeconomic conditions of the 3 cities, the compensation standards are determined as can be seen in Table 4-3. Compensation standards for other auxiliaries can be seen in Table 4-4 and Table 4-5.

49 Table 4-3 Index of Compensation Standard for Houses (Counties) Compensation Standard (Yuan/m2) Counties/Districts Brick-concrete Brick-wood Earth-wood Simple Yucheng 386 260-300 220-260 80-110 Yingjing 386 300 260 80-100 Hanyuan 386 300 260 110 Shimian 386 300 260 110 Mianning 556 393 338 140

Table 4-4 Index of Compensation Standards for Other Auxiliaries（Yucheng, Yingjing, Hanyuan, Shimian） Item Unit Yucheng Yingjing Hanyuan Shimian Brick Enclosing Yuan/m2 30 15-25 30 30 Walls Earth Enclosing Yuan/m2 20 20 20 20 Walls Cement Yuan/m2 30 30 32 32 Dams Earth Dams Yuan/m2 15 8 8 Stone-board Yuan/m2 3-10 15 15 Dams Water Vats Yuan/each 130 130 130 Cellars Yuan/each 130 130 130 Cesspools Yuan/each 200-300 500-800 1160 1160 Ponds Yuan/m2 20-30 70 70 70 Water Wells Yuan/each 300-500 400-600 650 650 Cooling Yuan/each 105 105 105 105 Stoves Graves Yuan/each 300-600 260-500 260-520 800 Indoor Yuan/m 3 3 3 3 Luminating Lines Outdoor Yuan/m 9 9 9 9 Luminating Lines Water Yuan/m 7 7 7 7 Pipelines Methane Yuan/each 180-240Yuan/m3 1000 1560 1560 Tank Oranges Yuan/Tree Big 100 Big 100 Medium 60 Medium 60 Small 10 Small 10 Loquats Big 40-50 Big 80 Big 80 (Pipa) Medium 20-30 Medium 48 Medium 40 Small 5-15 Small 8 Small 5 Plums Big 40-50 Big 70 Big 90 Medium 10-20 Medium 42 Medium 54 Small 2-4 Small 7 Small 5 Peaches Big 40-50 Big 72 Big 70 Medium 10-20 Medium 42 Medium 36 Small 2-3 Small 7 Small 5

50 Persimmons Big 30-50 Big 120 Big 120 Medium 15-20 Medium 72 Medium 60 Small 4-10 Small 12 Small 8 Pears Big 40-50 Big 120 Big 120 Medium 10-25 Medium 72 Medium 60 Small 2-5 Small 12 Small 6 Apples Big 40-50 Big 100 Big 100 Medium 10-15 Medium 60 Medium 60 Small 2-4 Small 10 Small 5 Chestnuts Big 30-50 Big 105 Big 105 Medium 10-15 Medium 63 Medium 60 Small 2-5 Small 10 Small 5 Figs Big 30-50 Big 80 Big 80 Medium 15-30 Medium 48 Medium 40 Small 1-5 Small 8 Small 5 Walnuts Big 50-80 Big 200 Big 200 Medium 20-40 Medium 120 Medium 120 Small 5-10 Small 10 Small 8 Cherries Big 30-40 Big 80 Big 80 Medium 10-20 Medium 48 Medium 40 Small 2-4 Small 8 Small 5 Other Types Big 10 Big 40 Big 10 of Trees Small 5 Medium 24 Small 1 Small 4

Table 4-5 Index of Compensation Standards for Other Auxiliaries (Mianning) Compensation Compensation Item Unit Item Unit Standard Standard Brick Enclosing Yuan/m2 39 Chestnut Trees Yuan/Tree 200 Walls Earth Enclosing Yuan/m2 26 Pear Trees Yuan/Tree 40 Walls Stone Enclosing Yuan/m2 29 Persimmon Trees Yuan/Tree 60 Walls Cement Dams Yuan/m2 42 Apple Trees Yuan/Tree 45 Luminating Yuan/m 12 Pomegranate Yuan/Tree 80 Lines Trees Power Lines Yuan/m 24 Plum Trees Yuan/Tree 80 Water Lines Yuan/m 9 Cherry Trees Yuan/Tree 50 Water Vats Yuan/m3 90 Grape Trees Yuan/Tree 35 Cesspools Yuan/each 1200 Mulberry Trees Yuan/Tree 5 Water Pools Yuan/m3 90 Bamboos Yuan/Tree 50 Water Wells Yuan/each 600 Pepper Trees Yuan/Tree 50 Motor-pump Yuan/each 800 Medicinal Roots Yuan/Tree 78 Wells Methane Tanks Yuan/each 2000 Castor-oil Yuan/Tree 5 Cooking Stoves Yuan/each 150 Eucalyptus Yuan/Tree 30 Telephones Yuan/each 220 Cedar Yuan/Tree 30 Other Types of Yuan/Tree 30 Big Trees Young Trees Yuan/Tree 2

51 4.3.3. Subsidies Standards for Resettlement

Table 4-6 Index of Subsidies Standards for Resettlement Counties/Districts Item Unit Standards Yucheng Subsidies for Resettlement Yuan/person 358 Yingjing Transition Allowances for Yuan/person/monthly 260 Hanyuan Resettlement Shimian Reward for Resettlement Yuan/household 1500-3000 Recovery Expenses for Basic Yuan/person 3000 Infrastructure of Resettlement of Dispersed Villages Mianning Subsidies for Resettlement Yuan/person 358 Temporary House Rental Expenses Yuan/person 1650 （When the main house is relocated） Subsidies for Reconstruction of Yuan/person 1000 Houses of Village Resettlers

4.3.4 Compensation Standard for Forest Land and Forest Trees

According to provisions of Sichuan Province Price Bureau, Sichuan Province Department of Finance and Sichuan Province Department of Forestry CJZF [1993] No. 4 of Temporary Regulations of the Recovery Expenses of Forest Trees and Compensation for Forest Lands and Forest Trees, Sichuan Province Department of Forestry J [1993] No. 136 on Temporary Methods on the Management of Recovery Expenses of Forest Trees and Compensation for Forest Lands and Forest Trees, the estimated compensation for forest trees and auxiliaries has been determined and are as follows:

1. Compensation for sparsely populated young timber forests and young timber trees will be estimated to be at 5 yuan/tree; in addition, tending and protection expenses will be estimated according to the area and time to become mature forests at 3000 yuan/hm2 per year.

2. Compensation for sparsely populated middle-aged timber forests and near-mature timber trees will be estimated according to the quantity of timber produced at the time of felling at 187.5m3/hm2 (12.5m3/mu) and the purchasing price of the current year.

3. Compensation for sparsely populated mature timber forests and over-mature timber trees will be estimated according to the actual quantity of timber produced and the purchasing price of the current year.

4. Compensation for sparsely populated protected forests will be estimated according to 2 times the standard compensation of timber forests; compensation for other special types of sparsely populated forests will be estimated according to 3 times the standard compensation of timber forests.

5. Compensation for shrubs and fuelwood will be estimated according to 50% of the lowest compensation standards of middle-aged timber and near-mature forest trees. It will be estimated by 75m3/hm2 (5m3/mu) and the purchasing price of the current year.

6. Scattered and living trees will be estimated according to the quantity of material produced and the purchasing price of the current year.

7. Young trees excluding young forests and land that has not become forests will be estimated at 10 yuan/tree.

8. Economic forests will be estimated at 2 times the actual value. The actual value is estimated according to 20000 yuan/hm2for pre-production period, 50000 yuan/hm2 for initial production period, 100000 yuan/hm2 for

52 maturity period, and 50000 yuan/hm2 for yield-reduction period and 20000 yuan/hm2 for declining period; compensation for scattered economic trees and living trees is estimated according to 100 yuan/tree.

9. Bamboo forests will be estimated at 2 times the actual value. The actual value is estimated according to 10000 yuan/hm2 for mao bamboo forests (nan bamboo), 8000 yuan/hm2 for hybrid bamboo forests, ci bamboo forests, ma bamboo forests, mottled bamboo forests, bitter bamboo forest, square bamboo forests, 5000 yuan/hm2 for other small diameter bamboo forests. Scattered bamboo and living bamboo will be according to mao bamboo at 30 yuan/bamboo. Compensation for scattered hybrid bamboo, ci bamboo, ma bamboo, bitter bamboo, square bamboo is estimated at 5 yuan/bamboo. Other small diameter bamboo will be estimated at 2 yuan/bamboo.

10. Ancient and famous trees will be estimated at 200000 yuan/tree; mature protected trees will be estimated at 3000 yuan/tree while young trees with diameter smaller than 5cm will be estimated at 1000 yuan/tree.

11. Compensation for the replanting of newly afforestation land at another place will be according to 50 yuan per mu of seedling cost, 20 yuan per year for medical education subsidies and 210 yuan (Yucheng District, Yingjing County and Hanyuan County) and 240 yuan (Shimian County and Mianning County) per year for grain discount.

4.4 Compensation for Special Facilities

The compensation standard for other facilities, such as powerlines and fibre optical lines, is according to the actual quantity of relocation and the value estimated by the related departments. Therefore, compensation for these special facilities is made after evaluation of each item and without a fixed standard. The owner of the project has estimated in detail the expenses needed for relocating and the recovery of such special facilities. Section 6.2.9 of this RP provides details of the estimation. It must be noted: the construction of this project affects more than 70 divisions and more than 760 thousand metres of powerlines, telecommunication lines and pipelines has to be relocated. More than 10 factories and schools has to be relocated (excluding the demolition and relocation of houses). The relocation of schools, factories, bars, pipes and lines is categorized as “the relocation of bars, pipes and lines” in this project. The estimated expense is calculated to 0.2 billion yuan. In addition, the agent fee for evaluation is 2.5 million yuan. The total of these 2 items is 202.5 million.

4.5 Entitlement Matrix

All the units and individuals affected by the project are entitled with the following right, compensation and rehabilitation measures as indicated in Table 4-8.

53 Table 4-8 Index of Entitlement Matrix of Compensation and Resettlement Policy

Entitled No. of entitled Type of loss Application person/ Compensation policy Compensation Entitlement Implementation issues persons /groups group

Permanent loss Cultivated land a) a) land owning • Land compensation and resettlement subsidies provided Full compensation to entitled groups or villagers for Village meetings are to be responsible for deciding on of cultivated located in the Land-owning groups in 93 respectively*; land passed through by the expressway. Village the allocation of funds, the redistribution of land and land alignment of groups villages • Replacement land and/or cash payments and/or measures meetings will decide how the compensation will be investment in income generating activities such as expressway and for restoration of income sufficient, to ensure existing dicided among the groups and villagers. improved cultivation techniques/ irrigation/ connecting roads. b) Farmers who b) Farmers who economic and social conditions establishing small business / training. use the land lose land • Cash compensation for all types of trees (based on type, Land adjacent to age, and diameter) and crops that has not been harvested Higher level authorities to approve and monitor village expressway for (average output value of last 3 years) level proposals and, if required, to facilitate training construction programs purposes Temporary loss Farmers who • Cash compensation based on AAOV for each year for the Villagers who lose crops will receive full compensation Village Committee/farm owners must be notified in of arable land use the land period of land loss + the land is to be rocovered to according to compensation standard. advance of the compensation and be paid accordingly pre-construction condition

Forest land Forest land within Local Forestry • Cash compensation to the local Forestry Department To be taken care by the forest bureau the alighnment of Department / according to standards and order of business of Sichuan the expressway Forestry Farm Province

Loss of Residential land a) Collective a) 929 households • Cash compensation will be provided if the AP requests for Payment of compensation to owners of the house / Villager groups and APs to decide on the location of residential located in or losses of who lose their a new plot of land construction works new residential plots. Contractors will be responsible to land/ property affected by the villager groups, houses • Cash compensation for using the land for housing fill and level the sites for house construction and make expressway other connections to existing public utilities. • Cash compensation at standards for recovery for all types Affected households + collective losses organizations b) other of houses b) Losses of organizations or Households relocated to nearby towns would be construction • Relocation imbursements- – imbursements for collective groups transportation and temporary housing registered as urban dwellers and enjoy basic privileges works or who lose their for housing, schooling and other social services. houses by houses individuals

Non-cultivated Non-cultivated Land-owning • Cash compensation. All affected villagers groups Compensation based on order of business of Sichuan land loss land along the groups Province alignment of the expressway

Loss of Facilities situated Onwer of 2 schools and 2 • Cash compensation for land or replacement site provided Full compensation based on compensation standards Assistance in finding new site if relocation of facilities institutions within or affected institution temples • Cash compensation for construction works is inevitable. (e.g., affected by the alignment of • Construction of new school by the Executing Agency or New schools must be ready prior to relocation, if any schools and the expressway affected etc) by local government after consultation with beneficiary groups

Business losses State-owned or Owners and 6 enterprises • Losses of businesses / salary will be compensated through Collective affected specific subsidies, to be paid on a monthly basis for up to 6 enterprises employees months after relocation. • The subsidies for losses of businesses will be based on the total profit after tax as declared for six months prior to relocation.

54 Entitled No. of entitled Type of loss Application person/ Compensation policy Compensation Entitlement Implementation issues persons /groups group Small private Owners and (to be determined • Cash compensation to be provided for relocation of shops shops employees during DMS (materials, changes, damage to goods) period) • Assistance to locate new site and obtain related business licence • Compensation for loss of profit and wages of 3 months

Losses of crops Affected All entities who • Losses of crops will be compensated at the market value Compensation will be paid directly to the owners of / Trees people lose unharvested of harvested crops crops and trees crops and trees • Trees will be compensated based on regulated standards

Vulnerable People whose Individuals (the number of • Each community establishes a “vulnerable group Relevant government sectors provide guidance and groups living standards people entitled are assistance team” headed by township and village leaders. supervision on buying insurance when feasible. are below the currently being The team will collect and provide feedback on the needs poverty line, estimated) of vulnerable groups and promptly provide assistance. For people who are ethinic minorities, generally, with the high compensation landless, aged, standards provided by the project, each ethnic group can women, children, benefit from this project (no discrimination). ethnic minorities and people with prolonged ilnesses who have the burden of financing their children’s education fees, etc.

Households Severely affected Severely Estimated to be 4% • Special assistance to restore income, either to remain in • If the AP prefers, an equal amount and quality of • These household will be identified during DMS with households with affected to 6% of all farming or to start a sideline business replacement land will be provided, either from and closely monitored until sustainable restoration difficulties in limited capcity to households affected reserve land or voluntary land adjustment; is achieved restoring their self-recover households • if the AP prepfers to start a sideline business, • Funds has been budgeted for these special income local officials will provide advice and support to measures, but this amount could be increased using identify feasible activities and help to invest the contingencies. compensation wisely; • in special circumstances, the local government or village collective will assist to arrange micro-credit through the Poverty Reduction Office and/or the ACWF; • two household members will receive training skills (agricultural or non-agricultural), of which at least one person must be female; and • these households will be monitored closely and assisted to ensure the restoration of income is timely and sustainable. Reclamation fee for cultivated land is also payable but this does not affect APs. Likewise compensation for public utilities is not shown in this table.

55 Section 5. Resettlement & Rehabilitation

Based on the resettlement schemes proposed by each affected village and current policies, laws and regulations of different levels of governments and the resettlement requirements of ADB, the Resettlement Plan of Yalu Expressway Project was prepared by EA with the assistance of the PPTA consulting team, SPDI and local counties and governments.

5.1. Target and Task

5.1.1 Resettlement Target

The overall objective of resettlement and rehabilitation is to ensure that the affected production base will be restored, the affected labor force will be re-employed, and the income and livelihood of affected people will be improved or at least restored to their previous state before resettlement. At present, the rural population of project impact area is mainly engaged in agricultural activites, with most of their income derived from planting, economic trees and animal husbandry (refer to Table 2-11). According to the actual production and living standard among affected villages, and the approved economic and social development plans for the relevant counties, the target of resettlement and rehabilitation is set as follows:

(1) The grain production level of the relocated villager should be adequate to be self-sufficient after resettlement. (2) The income per capita shall be recovered to the standard before resettlement. (3) The affected public infrastructures, school, hospitals, social welfare level, natural environment and traffic condition etc. shall be improved after resettlement.

5.1.2. Resettlement Task

About 32,000 people (8000 households) will have partial loss of farmland and for some the losses will be significant which requires special attention to livelihood rehabilitation. Also, 929 households with 3412 people have to be resettled after demolition of houses. Various measures of land resettlement will be made according to the conditions of the townships, for example, the adjustment of land, resettlement of developing land, resettlement by currency, returning of land, social security, the changing of agricultural people to non-agricultural people and the establishment of tourism and many other types of resettlement methods. Resettlement after demolition will also be made according to the conditions of the townships, for example, concentrated resettlement, dispersed resettlement and resettlement by currency.

5.2 Resettlement Guideline and Principle

5.2.1. Resettlement Guideline

The basic resettlement policy of Yalu Expressway Project is to respect the wishes of affected people and maintain their current production and living customs. Based on consultation of local affected people, the economic rehabilitation will be based on developing replacement farming resources within their own townships and villages. Planting will be the focus of economic rehabilitation strategy by developing new farmland and improving the remaining farmland in the affected villages, and supplemented by developing various other

56 income generating opportunities in the project areas. In other words, the resettlement and rehabilitation strategy will be to reestablish the physical production bases for the affected persons, which will provide a long-term development potential by fully utilizing local land resources.

5.2.2. Resettlement Principle

Under such policy, a number of resettlement and rehabilitation principles have been formulated for the project: (1) The resettlement plan is based on detailed inventory for land acquisition and houses demolition, and adopted compensation standards and subsidies. (2) Resettlement is combined with the local development, resource utilization and economic growth as well as environment protection. Considering the local conditions, a practical and feasible resettlement plan is developed to restore or improve their economic production and create basic conditions for long-term development. (3) The resettlement plan is based on the principle “Beneficial to the production and convenient for living”. (4) The re-construction standard and scale is based on the principle of recovery to the original state and original scale. Combining the local development, the cost for enlarging the scale, raising the standard and future plan is to be solved independently by local government and relevant department. (5) Making overall plans and taking all factors into consideration, correctly handling the relations between the state, collective and individual. (6) Fully utilize local natural resource, build water conservancy facilites, develop new farmland, improve land quality, and reinforce agricultural strength and make the resettler' living standard reach or exceed the original level step by step. (7) Resettlement Plan will include measures to improve basic livelihood and assist relocation and rehabilitation for those vulnerable persons and extremely poor individuals affected by the Project.

5.3 Overall Scheme of Resettlement

Since the construction of Yalu Expressway Project will only require limited land acquisition and demolition along the alignment, it does not have significant negative impacts on production and livelihood for most affected villages. A series of consultation meetings were held among affected villages and townships. According to the resettler's opinion and suggestion, and combined with the actual condition of affected area, the basic rehabilitation scheme is determined as follows:

(1) Project affected persons will be resettled within their original villages and village groups, so that their way of production, living and social relationship can be maintained, which will be beneficial for them to restore or improve their production and income level after resettlement.

(2) In order to reduce the impacts on the production and livelihood among resettlers, housing will be demolished after the new houses were built. The reconstruction of houses will adopt two approaches. For most relocated households, they will choose to rebuild their houses by themselves, and all salvaged materials will belong to them. The second approach is for those who live near towns, their rehabilitation will be implemented by the local governments in order to promote small town development and save farmland.

(3) The rural relocated households will be resettled within their original villages. For those who lose some farmland, the land-based rehabilitation will be adopted with a combination of developing new farmland, redistributing remaining farmland and receiving their share of resettlement subsidy among

57 affected village groups.

5.4 Analysis of Implementation Capacity of Resettlement

5.4.1 Natural Condition and Land Resource

Since the project affected population will be resettled in their original villages, an analysis of the natural conditions and resources for carrying capacity should be conducted. However, due to lack of actual data on land acquisition, the resettlement planning team has concentrated such analysis on identifying basic land holding and possibilities for land readjustment as well as land development. Through collecting local social and economic data for all affected villages, and conducting social economic survey for the 38 key affected villages, the resettlement planning team has obtained basic demographic profiles and agricultural production conditions among these villages and identified possibilities for economic rehabilitation, including farmland readjustment.

In the affected villages (93), 68 villages or 73% have farmland per capita below 1 mu. Among them, 22 villages (24%) have their farmland per capita below 0.5 mu. Of these 22 villages, 12 of them are located in Shimian County; 5 of them in Hanyuan County, 3 of them in Yingjing County, and 1 in Yucheng District and 1 in Mianning County. Among the 25 villages with farmland per capita above 1 mu, 10 of them are from Mianning County, 7 of them from Yingjing County, 5 of them from Hanyuan County, 3 of them from Shimian County, and none from Yucheng County.

Even with such relative small land holding, for most affected villages, since the amount of land loss will be relatively small, the land acquisition will cause serious impacts in only 17 of the 93 affected villages. For the majority of affected farmers, such amount of land loss will not result in any significant change of their livelihood. On the contrary, the amount of compensation received will allow them to more actively engage in various non-agricultural activities and open up new opportunities. However, for those farmers that lose a significant amount of their farmland and/or incomes, special support in addition to cash compensation will be required to ensure theie livelihood rehabilitation is successful.

To facilitate such transformation, following the new provincial policies on land acquisition, relatively generous compensation rates will be applied (as per Section 4.3). A larger portion of compensation will be delivered to the affected individuals with a relatively small portion to be kept by affected village groups to be used for various public welfare and community services.

5.4.2 Basic Characteristics of Resettlement and Rehabilitation

Since most affected people have formed their unique production tradition and social networks through many generations, in order to avoid changing such custom, and maintaining the same farming distance, all affected villagers will be resettled within their existing villages in the resettlement plan. Most affected people in rural areas will still remain in the agricultural sector. Through improving irrigation and agricultural conditions, reconstructuring planting pattern, it is hoped that their agricultural income could be maintained or even improved even with the loss of limited farmland. In addition, during the construction of the Yalu Expressway, the affected people will be given priority to be employed as low skill laborers in the construction site in order to meet the needs of the employment and daily consumption, which could also bring cash income for most affected people. After completion of the project, the expressway will increase trade and promote regional development. Therefore, in terms of economic rehabilitation, the resettlement plan will encourage the affected people and local officials to develop various non-agricultural activities and increase their income.

58 In addition, among 93 affected villages there are Yi Nationalities living 67 of them, with 38 villages having more than 10% of ethnic minorities. They live relatively concentrated in the same villages or village groups, and have some special traditions in terms of religion, festival, and housing styles. The Yi Nationality have lived together with Han Nationality peacefully for a long time and their relationship is harmonious. In order to avoid any disruption of their customs, social network and to not increase the radius to their fields, all affected persons will be relocated or rehabilitated within their same communities.

5.4.3 Basic Infrastructure Conditions for Production and Living

(1) Transportation

The construction of Yalu Expressway will affect the existing traffic patterns so a corresponding engineering measure have been considered by the designers to minimize such impacts, which include: building pedestrian overpasses or underpasses near the main road of the villages, schools, hospitals and in other crowded areas in order to ensure safety for people and animals. In addition, in order to promote the development of the local economy, about 520 km of rural county to township and township to village roads will be upgraded, which will benefit a large number of people in the project areas. So the construction of Project will not only improve the transportation of the local residents, enhance the circulation of goods and personnel, and accelerate the development of local economy, but will also improve the living environment and the infrastructures of residents after resettlement. The changed transportation conditions will enhance the development of the resettlement area.

(2) Water Supplies

Most of Yalu Expressway is located in the mountain areas of central Sichuan Province. The rural residents are mainly using water from mountain springs or wells, which is very convenient. Some sections of alignment will pass through river valleys with well developed irrigation system. Therefore during the construction of Yalu Expressway, efforts will be made to avoid disruption of key canals and irrigation systems. For the small number of irrigation canals that could not be avoided, the Project will be responsible for relocating and restoring them to the state before construction. This way, irrigation will not be interrupted.

(3) Electric Power Supply

All electric power supply facilities affected by the project will be re-constructed based on the original function and scale before the construction of the expressway, so electric power supply condition of the residents will not be affected.

(4) Medical and Educational Facilities

Yalu Expressway Project will not directly affect any medical, educational or any other social service facilities. These facilities in affected townships and villages could still be used. For facilities near the expressway, access paths will be constructed by the Project to ensure that the affected peope will not be inconvenienced.

(5) Fuel Supplies

The main fuel supply of the local residents is coal and firewood collected from the nearby hills. For the affected villages, the acquisitioned land areas will involve only a small portion of hills or woodland. The fuel supply of residents will not be affected

59

5.4.4 Economic Development Potential of the Affected Area

The rural economy in the project area other than migrant laborers mainly relies on the planting industry. The general economic condition is relatively bad. However, the area has unique climate conditions and is considered as great potential for developing early season vegetables, fruits, animal husbandry and tourism. In the future, with the improvement of transportations, the advantage of the resources in local areas will be fully utilized. According to local conditions, various income generating opportunities will be developed through increased technological investment and improving the technical level for production of the population in order to promote an overall development of agriculture, forestry, sideline activities, as well as industrial, trade and logistics.

5.4.5 Environmental Concerns

Environment assessment may be required for new relocation sites, especially if large sites are to be developed or if people are resettled to host villages. For the Yalu Expressway, this will not be a concern because there will be no reclaimation of land and new housing plots will be situated within the existing villages or groups. Since the affected housing is scattered, and will not require collective resettlement, therefore the impact on the environment will not be significant.

5.5 Resettlement and Rehabilitation Plan

5.5.1 Production Rehabilitation Plan

During the impact survey and the resettlement planning, consultation meetings have been held by the resettlement planning team of SYEC and PPTA consultants in the relevant counties, townships, administrative villages, and villager groups. The participants included officials from different levels of the local government, village leaders and representatives of affected persons. Based on these consultations, indicative resettlement and rehabilitation approaches have been identified for project affected villages.

5.5.1.1 Land Adjustment and Production Development Plan

The impacts of land acquisition for the project on affected villages or village groups are different. Therefore, rehabilitation plans should be based on the degree of such impacts, the availability of land resources, and wishes of affected persons. After extensive consultation with affected villages and individuals during social economic survey, two different approaches for economic rehabilitation has been determined. One is to pay compensation directly to those affected individuals through affected villages or village groups based on compensation rates adopted by the government according to the amount of farmland lost. It seems most villagers interviewed prefer this option. This approach will be appropriate if most of affected households will still have sufficient amount of farmland remaining and can find good non-agricultural income resources, which will ensure their basic grain consumption. This option is feasible and will, on one hand guarantee sufficient grain consumption for the household and also provides additional funds for expansion to other non-agricultural income. To summarize, the compensation funds received could be used to develop other agricultural or non-agricultural based income generating activities, such as economic crops, animal husbandry and other sideline activities.

The second approach is to have farmland readjustment within affected village groups, so that all affected people will have sufficient farmland for their own grain production. In the 5 counties, only Hanyuan County expressed desire to adopt such option. The on-going resettlement preparation and implementation for Pubugou

60 Hydropower Plant made it easier for Hanyuan County to accept such approach. Along with land readjustment, the compensations (land compensation and resettlement subsidy) will be delivered to affected village groups to be used for developing new farmland, improving irrigation conditions or engaging in non-farm activities. This approach will ensure that each village member will still have sufficient farmland remaining after land acquisition and land compensation funds will be managed and used collectively by the affected collectives.

The Land Administration Law includes specific procedures for land transfer, which is managed by the local government and the village collectives. Land compensation is estimated based on AAOV, and not the remaining years on the contract. People who lose land can apply for replacement land, either from land reserves or by readjusting the existing contracted land. In many places, farmers do not wish to readjust the existing contracts, so this option may be rejected. In most cases, affected people prefer cash compensation.

5.5.1.2 Other Insurance Measures for Economic Rehabilitation

In order to ensure that PAPs restore their production and living standard as soon as possible, the following measures will be adopted:

a) During the construction of Yalu Expressway Project, priority will be given for employment of affected people for non-technical position and to provide construction materials, which could generate significant amount of cash income for the affected people.

b) The project affected people will be given priority if there are any labor export opportunities for the project district and counties.

c) For newly developed farmland, agricultural tax and grain supply requirements will be waived for three years.

d) In order to facilitate economic rehabilitation for the affected people, a series of training will be provided by the Project. They include both agriculture technical training and non-agricultural skill training. The agricultural technical training will be made by the county agricultural bureau, animal husbandry bureau, poverty alleviation office or local office of All China Women Federation (ACWF), which will include introducing new economic crops, new planting techniques, new animal husbandry activities, and other land based activities. Relevant personnel from county agriculture technical station will be invited to provide training on farming and cultivation in resettlement areas. Through all these measures, the quality and output of crops, as well as the number of animals will be increased, which will increase income and revenue for the affected persons. For non-agricultural training, they will cover various skill training for local sideline employment and migrant laborers. It is planned that for each affected household, at least three times of training will be provided, covering both agricultural and non-agricultural skills. This training would be funded by the project and made by local county agencies, such as agricultural bureaus, labor bureau, ACWF, and others.

5.5.2 House Relocation Plan

5.5.2.1 House Plot Selection and Standard

In general, house demolition, relocation and resettlement is relatively small for the Project. 929 households distributed in 56 villages have to be resettled after demolition. According to the result of the final survey, 13 villages located at interchanges or along the alignment will have more than 20 relocated households. All relocated households can easily be resettled within their original villages or groups. According to the impact and the actual conditions in each village, the affected households will be relocated along existing roads or on some wasteland in their original group. The relevant villages and

61 townships will provide assistance in approving and selecting housing plots for these villages. The standard plot of land for construction of new houses: 30m2/person and will be provided without charge to the relocated households.

For some households that mainly engage in non-agricultural activities, such as businessmen with some farmland, their economy is better and will have an option to relocate to nearby urban centers, in accordance with the Government policy for micro-urbanization. Such households would be eligible for urban registration and could acquire apartment housing and related social services. They will receive adequate compensation; any additional costs would be borne by the affected household.

5.5.2.2 Land Leveling and Facilities Connection Plan

(1) Land Leveling

Since house reconstruction will be in a scattered manner, relatively flat land can be selected in each village groups where geological conditions are suitable for leveling. After leveling, new houses could be constructed. For isolated households, organized site development is not required, and new plot leveling work will be carried out by the resettlers themselves. For those villages with relatively large number of relocated households (more than 20 households), the local county and township governments will provide assistance in coordinating and developing new housing plots collectively along with required infrastructure facilities. To facilitate the process of obtaining suitable housing site and providing necessary site preparation, the compensation for housing plot will be set the same to that for irrigated land.

(2) Providing Facilities

To assist the relocated households to prepare the housing plot and connect relevant facilities, site leveling and connection to facilities for each relocated household will be provided by the contractors and supervised by the Project supervision company, to IA satisfaction and environmental agencies before relocation. (i) Water supply According to the existing condition of the resettlers, new water supply facilities will be constructed that is connected to the mountain spring, or new wells will be dug by resettlers themselves. (ii) Electric power supply Every relocated household will be connected with existing 220V electrical line. (iii) Access road Because the new house plot will be located near the existing road or residential plots, generally, no new access road will need to be constructed. For those resettlers who are currently living in remote mountain areas, the relocation will enable them to move to more accessible locations. (iv) Broadcasting and television Existing broadcasting utilities in resettlement areas will be used. Television receivers of resettlers can be reinstalled in the resettlement areas or television receivers in the resettlement areas can be used. (v) Hospitals and schools In general, all affected households will be relocated near relatively large village settlements. After relocation, the resettlers can use the existing facilities of school and hospital/clinics, which will be more convenient than they used to.

5.5.2.3 Construction of New Houses

For the construction of houses, local customs, agricultural requirements and future development needs should be taken into consideration. Construction of houses will be according to the wishes of resettlers. Compensation,

62 based on replacement value and amount of demolished area, will be provided directly to the affected households along with various relocation and rehabilitation assistances. Installment payment of compensation will be managed by the local resettlement offices according to preparation of materials and the schedule for construction of houses.

Every household will be provided with transition subsidies of 260 yuan/month to be used for renting temporary housing during the time of demolition of the old adobe and the construction of new house. In principle, the transition period should not be longer than 6 months and 1560 yuan per household. Moving subsidy standards for relocation are 358 yuan/person.

5.5.3 Economic Rehabilitation Plans for Key Villages10

During the period of social economic survey, the resettlement planning team visited 38 key villages in order to identify potential land acquisition and resettlement impacts among affected village groups and develop appropriate economic rehabilitation plans based on extensive consultation in the affected villages.

For each surveyed village, the planning team first held discussions with village officials and representatives in order to identify potential land acquisition and resettlement impacts among village groups. With no markers on the ground and no large scale alignment map, such identification was mainly carried out by identifying those relocated households, general alignment of proposed Yalu Expressway Project, and average width of the alignment. Therefore the result of impact survey among affected groups is just a rough estimate, which is used as the basis for carrying out consultation and discussions on economic rehabilitation. Based on such impact survey, for the 38 sample affected villages, there are 153 village groups to be affected by land acquisition and resettlement, accounting for 62% of the total village groups. Table 5-1 provides a basic social economic profile of these 38 sample villages.

There are 17,967 households and 62,950 people in the 38 villages. About 94% or 59,167 people are farmers. The average family size is 3.5 persons. Among them, 11,547 people or 18.3% are Yi Nationalities. Most of them are concentrated in Shimian County and Mianning County with over 94% are Yi households. In addition, there are 813 extreme poor or economic vulnerable families in these 38 villages, accounting for 4.5% of the total households. In terms of land holding, there are 56,012 mu of farmland in these 38 villages with 41.4% as paddy, 58.6% as dryland. The average farmland per capita in these 38 villages is close to 1 mu (0.95 mu), ranging from only 0.72 mu in Shimian County to 1.39 mu in Hanyuan County. In the 38 villages, 22 villages or 58% have farmland per capita under 1 mu. Most of them did not have any farmland readjustment since early 1980s. As a result, about one quarter of population do not have their share of farmland. They have to rely on the available farmland from their families. This makes it quite difficult to carry out any significant land readjustment in these affected villages.

Based on preliminary consultation and suggested alignment in feasibility study, it seems that the project would affect 152 village groups or 53% of total village groups in these 38 villages. There are 12,531 households and 43,077 people in these 152 village groups. The total farmland is 38,922 mu, averaging 0.9 mu per capita. Given the estimated farmland loss of 7,338 mu among these 38 villages, it would represent loss of 19% of farmland in these villages. If such loss is equally shared by all village group members, then, every household would lose about 0.6 mu of farmland or 0.17 mu per person. However, if such loss is concentrated among one third of total households in these village groups (4,177 households), then each household would lose about 1.76 mu of farmland, which could be a quite significant loss for the affected households.

10 Note, the village planning work is underway and this subsection will be updated when plans are completed.

63 Given the prospect of such a large potential loss and the difficulty of making land comprehensive readjustment among village groups, one basic rehabilitation strategy is to provide generous compensations in accordance with the new provincial regulations. It is hoped that with relatively high compensation rates, the affected households could use such funds to engage in various income generating activities, such as animal husbandry, economic trees, and non-agricultural activities. For most affected people, this approach will ensure all compensations and entitlements could be delivered to them with no deduction or delays. After consultation with affected villages and individuals, this approach is widely accepted as the main approach for economic rehabilitation for the land loss of village groups.

5.5.4 Difficulties Households Face to Restore their Income11

For about 20 to 30% of affected households, the loss of land and income will be significant, ranging for 10 to 50% of their income. For this group12, there will be a mixture of high, middle and low-income households. If we assume that 20% are low-income, this means that 4 to 6% of affected households could be at risk (i.e., will face difficulties to restore their incomes if only cash compensation is provided). For these households at risk, the following measures will be taken: (i) if the AP prefers, an equal amount and quality of replacement land will be provided, either from reserve land or voluntary land adjustment; (ii) if the AP prefers to start a sideline business, local officials will provide advice and support to identify feasible activities and invest the compensation wisely; (iii) in special circumstances, the local government or village collective will assist to arrange micro-credit through the Poverty Reduction Office and/or the ACWF. (iv) two household members will receive skills training (farm or non-farm), of which at least one person must be female; and (v) these households will be monitored closely and supported to ensure their income restoration is timely and sustainable.

For example, households without able laborers to earn non-farm income would face hardships. The cash compensation might not be sufficient for them to restore income and livelihood. For this group of people, it might be necessary to provide them replacement farmland through special arrangement made by affected villages and village groups. Actually, it will be possible for these farmers to lease or even purchase replacement farmland from fellow villagers.

The households at risk are being identified using the following criteria: (i) cultivated land loss and/or orchard loss is greater than 20%; (ii) poverty and low-income households; (iii) more than 50% of income from farming; (iv) households that face heavy debt burden prior to the Project; and (v) lack of higher education or experience in sideline business. Special entitlements will be negotiated and provided at that time.

Table 5-1 Index of Basic Socio-Economic Situations of 38 Sample Villages

County Township Village Total Total Percent of Yi Percent of Total Farmland Per Capita Percent of

Household Population Minority Poor (mu) Farmland (mu) Paddy land (%) 1 Yucheng Duiyan Duiyan 414 1,417 0.0% 0.0% 1028 0.73 64.3% 2 Yucheng Duiyan Hulu 596 2,003 0.0% 5.2% 1480 0.74 76.4%

11 This subsection will also be updated when investigations and plans are completed.

12 The group of households at risk will be identified during the detailed measurement survey using the following criteria: (i) cultivated land loss and/or orchard loss is greater than 20%; (ii) poverty and low-income households; (iii) more than 50% of income from farming; (iv) households that face heavy debt burden prior to the Project; and (v) lack of higher education or experience in sideline business.

64 3 Yucheng Guanhua Guanhua 268 880 0.5% 0.7% 1260 1.43 33.8% 4 Yucheng Babu Fengmu 420 1,358 0.0% 3.6% 1000 0.74 54.6% 5 Yucheng Babu Zishi 786 2,346 0.1% 0.8% 2124 0.91 55.7% 6 Yingjing Qinglong Fuxing 372 1,192 0.0% 4.8% 1188 1.00 42.1% 7 Yingjing Qinglong Shaheba 456 1,157 0.0% 3.5% 1794 1.55 17.4% 8 Yingjing Qinglong Guihua 851 2,031 0.0% 2.0% 1238 0.61 68.0% 9 Yingjing Fucheng Yanxigou 471 1,479 0.0% 1.1% 1225 0.83 73.9% 10 Yingjing Yanzhu Lianhua 733 1,895 0.0% 2.7% 1338 0.71 64.9% 11 Yingjing Huangyi Yuquan 97 362 0.0% 2.1% 912 2.52 39.7% 12 Yingjing Huangyi Wangnian 450 1,400 3.6% 3.6% 2135 1.53 38.9% 13 Hanyuan Jiuxiang Houshan 240 865 0.0% 1.7% 1374 1.59 11.6% 14 Hanyuan Jiuxiang Shannian 370 1,001 9.0% 4.3% 871 0.87 24.9% 15 Hanyuan Tangjia Xinchang 707 2,017 3.3% 2.1% 874 0.43 75.6% 16 Hanyuan Tangjia Xiaoguan 618 2,079 2.5% 2.6% 783 0.38 69.9% 17 Hanyuan Fuchun Fuyuan 600 2,067 0.0% 1.7% 1203 0.58 81.0% 18 Hanyuan Shirong Gonghe 320 1,400 8.6% 4.1% 2900 2.07 13.8% 19 Hanyuan Qingfu Fuxian 1,260 3,640 7.6% 2.4% 5100 1.40 45.1% 20 Shimian Liziping Yuangen 178 678 97.9% 4.5% 838 1.24 0.0% 21 Shimian Liziping Liziping 230 836 97.0% 0.0% 971 1.16 0.0% 22 Shimian Liziping Menghuo 110 425 100.0% 4.5% 1600 3.76 0.0% 23 Shimian Chaluoyi Nanya 197 686 52.2% 5.1% 152 0.22 27.6% 24 Shimian Chaluoyi Fulong 316 1,003 34.9% 3.8% 316 0.32 69.0% 25 Shimian Xinmian Yanzi 723 2,045 9.8% 27.7% 560 0.27 26.8% 26 Shimian Xinmian Shunhe 338 1,233 17.8% 1.8% 559 0.45 57.1% 27 Mianning Tuowu Tuowu 173 778 93.8% 4.6% 1414 1.82 0.0% 28 Mianning Tuowu Luba 258 1,180 100.0% 3.9% 1250 1.06 0.0% 29 Mianning Yihai Yihai 352 1,542 100.0% 29.8% 2040 1.32 0.0% 30 Mianning Yihai Dayanjing 336 1,436 100.0% 1.5% 1878 1.31 0.0% 31 Mianning Caogu Chiyang 586 2,680 100.0% 20.5% 3500 1.31 2.9% 32 Mianning Chengxiang Xianchao 499 1,766 0.8% 0.0% 2062 1.17 76.6% 33 Mianning Linli Fengshou 558 2,487 1.5% 0.0% 1140 0.46 85.4% 34 Mianning Fuxing Batu 411 1,835 4.4% 1.9% 1359 0.74 71.7% 35 Mianning Shilong Gaoxian 420 2,100 0.1% 2.4% 2600 1.24 38.5% 36 Mianning Shilong Shuangqiao 572 2,983 0.0% 3.5% 2421 0.81 76.6% 37 Mianning Lugu Wuyi 1,025 4,015 1.9% 2.4% 1488 0.37 73.9% 38 Mianning Lugu Wangjiashi 656 2,653 3.0% 1.4% 1282 0.48 81.2% Total 17,967 62,950 18.3% 4.5% 57258 0.91 40.5%

5.6 Management of the Administration of Resettlement

Since the affected households will be resettled locally and economic rehabilitation will be carried out within the affected village groups, the administrative structure will remain the same. For those villages adopting land

65 readjustment, after new land development (reclamation or upgrading) and redistribution, the remaining land compensation will be managed by the village groups or shared equally among all members of the village groups. All facilities constructed by using the land compensation will also benefit all the villagers. For those villages where compensation will be paid directly to affected individuals, affected persons will be given advice by local township and villages on how to spend such compensations and identify income generation activities. In addition, in order to further raise the comprehensive quality of resettlers, strengthen their labor skill, and increase their knowledge on agricultural planting and animal husbandry, the Resettlement Office will organize farming technique training with relevant county or city and provide on on-site advice free of charge.

5.7 Gender Considerations

In China, women’s rights and interests are protected through the “Protection Law for Women and Children of the People’s Republic of China”. Whether they live in rural areas or in urban areas, women have the same rights with men, i.e., there should not be any discrimination to women, and their rights and interests shall not be deprived. The All China Women’s Federation has its branches over all the townships and most of the administrative villages. Amongst others, one of its principle objectives is to reduce discrimination towards women. In the process of resettlement and rehabilitation, including selection of new housing sites and finalization of rehabilitation scheme, women villagers’ options should be fully considered. To achieve this objective, village women union representative should organize separate consultation meeting among affected women villagers so that their concerns and expectations could fully reflected.

Low levels of training and education among women limit the choice of alternatives. Choices for exploring alternative income generation options for women are limited because of their low levels of skills, education, and exposure. Planning for occupational and livelihood options for women is crucial. To facilitate restoration of income and livelihood by affected people, extensive training program has been proposed under the Project, which will provide up to 3 training opportunities for each affected household. The training will include both agricultural technical training and non-farm skill training. (see section 5.5.1.2.) Efforts will be made to ensure at least 40-60 percent training opportunities are provided for affected women villagers based on the local situation. This training can be incorporated into local “farmer training” programs, and local Women’s Federation and Labor and Employment Bureau can assist to formulate and deliver training programes. This can be a condition when SYEC signs the resettlement and financing contract with local government.

In addition to the Chinese legal requirementthat women will be eligible for entitlements on an equal basis and equal access to information, the Project will also provide special assistance, compensation payments, and training programs for women. Their livelihood and income restoration should also be integrated into local government organized projects and get government support. Detailed supporting measures are as follows: 1. in combination with the rural industrial structure adjustment, using the existing “women’s quality project” as the model to reinforce women’s training using scientific technologies;

2. to further implement “women’s poverty alleviation project” in order to help women in the poverty area to raise their income;

3. to actively work on the training of women leaders and related recommendations in association with local agencies;

4. to implement “Mother’s Water Cellar” project;

5. to organize propaganda campaign on “P.R.China Marriage Law” and “Protection Law for Women and Children of the People’s Republic of China”;

6. to further implement “revolving fund” and “micro-credit” projects initiated by the Women’s Federation; and

66 7. to fully implement “Female Healthcare Project” in order to improve women’s health.

5.8 Arrangements of Assistance for Ethnic Minorities

An estimated 6,790 Yi minority people will lose a portion of their farmland and some of them will need to be relocated nearby. Along the expressway alignment Yi people account for 22 percent of the total population. The only adverse impact on ethnic minorities relates to land acquisition and resettlement. Among 93 affected villages, about 38 of them have over 10 percent of Yi minority population and 18 of them have 100 percent of Yi population. Since Yi people have been closely integrated in the current social system and receive preferential treatment under Chinese law, the compensation and rehabilitation adopted for affected Yi people will be the same as those for Han people. In order to respect their custom and maintain their social relationship, all affected minority population will be resettled within the same villages and village groups. Funds will be provided to the affected Yi villages to make improvements to their village living environment or other social infrastructure. All vulnerable minority households will receive special assistance for relocation and will have priority of job training. See details in EMDP.

5.9 Arrangements of Assistance for Vulnerable Groups13

For those very vulnerable people, including the elderly living alone, disabled, households headed by women, and rural extremely poor households with per capita income below Y637, the Project will provide additional financial and physical support whenever it is necessary. According to data collected from affected villages and townships, as many as 24,781 persons or 16.9 percent of total population in 93 villages (146,871 persons) are considered as poor persons or poverty population. Using the same ratio, it is estimated that about 965 households and 3,420 persons are considered as poverty population among total affected people for the Project. However, during the sample survey of 600 households, the ratio of those extreme poor or economic vulnerable only accounted for 2.83 percent14. Using this ratio, only 162 households 573 persons are considered as economically vulnerable people among total affected people for the Project. A better estimate will be available after the project detailed design survey, but the actual number will be determined based on the detailed measurement survey. For these vulnerable persons, a series of measures will be provided in order to reduce their negative impacts and assist their resettlement and rehabilitation. They include labor and other assistance during house reconstruction. A special rehabilitation fund at 1 percent of total resettlement budget will be set up, which will be used to provide a range of measures for vulnerable populations. They include (1) provide special consultation; (2) give priority for selecting new housing sites; (3) arrange labor to assist relocated households to rebuild new houses; (4) provide additional allowance for moving and rehabilitation; (5) give priority for obtaining other economic rehabilitation measures; and (6) special education and skill training for the poor, disabled and elderly. Women who are included in the vulnerable groups will receive special attention and priority. Although the specific details how such special fund will be operated needs to be worked out by SYEC and local government, the following special assistance for these vulnerable persons is planned: 1. To those relocated vulnerable households, such as elderly living alone, disabled and households headed by women, the Project will entrust relevant townships or villages to provide substantial help in housing construction and relocation.

13 This subsection is also being updated based on consultations with affected villages and households.

14 There are differences among data obtained from Resettlement village reporting data (16.9%), sampled resettlement social-economic survey (2.83%), and the findings from social and poverty analysis (31%). The obvious reason is that the three sources involved different sample population. Or in other word, the alignment will traverse the relative wealthy area of the project-affected villages.

67

2. To those households which are extremely poor or belong to elderly living alone, disabled, and all women households, a special subsidy will be paid by SYEC to assist them to construct their houses and maintain their living standards. The subsidy criteria will be determined according to the actual condition and their needs. For this purpose, the SYEC has decided to set aside a special fund with Y5 million or 1 percent of the total resettlement cost, which will be used to provide direct and needed help for those vulnerable people, as well as households facing economic hardships for income restoration.

3. Local government has expressed their concern for the vulnerable groups, and they will pay more attention to these groups and be sure to incorpate them into as a integral part of local comprehensive development.

4. Regarding the livelihood rehabilitation, as the financial insurance in China has been socialized, any one can buy insurance either old or young. For the vulnerable groups, relevant governmental sectors should provide guidance and supervision to some vulnerable members in order to avoid spending compensation money witout a plan.

5.10 Rehabilitation Plan for Special Facilities

The special facilities affected by Yalu Expressway Project will include: irrigation canals, tractor roads, electric power lines and telecom lines. Early in the primary study stage, a detailed survey on possible impacts to the livelihood of the affected people will be carried out, along with consultations and interviews to get the opinions and suggestions from local governments, relevant departments, and resettlers. These suggestions will be adopted into the project design and resettlement plan, as noted below.

5.10.1 Irrigation canal restoration plan

Destruction of irrigation canals will be avoided as much as possible during the construction. For those canals that will be affected, a culvert will be built in the roadbed or a parallel open channel will be built in the protection area along the roadbed.

5.10.2 Tractor road restoration plan

The crossroad will be constructed for the tractor roads according to the actual condition of each section. For pedestrian pathways, overpasses or underpasses will be built to solve traffic problems at two sides. The passageway will be built at the section of with relatively dense traffic of people.

5.10.3 Electric power line restoration plan

According to the detailed design, for those power lines crossing the Expressway, the pole height will be increased; for those power lines along the Expressway, the affected section will be relocated and rebuilt. The relevant electricity department shall make the plan and reconstruct the power facilities.

5.10.4 Telecom line restoration plan

For those telecom lines crossing the Expressway, the pole height will be increased; for those telecom lines along the Expressway, the affected section will be relocated. The relevant functional department shall make the plan

68 and reconstruct the telecom facilities.

5.10.5 Specific Measures

After detailed investigation of land acquisition and demolition, the relocation of special facilities and some specific types of establishments, the owner of the project has formulated some rehabilitation measures by using many approaches of relocating and rehabilitating methods. The specifics are as follows:

1. The quantity of local power lines below 10KV, radio and television lines, pipelines and industrial structures to be relocated will be verified and evaluated by agent organization and contracted to the local governments to negotiate the relocation. If the local governments refuse to accept the contract, the relocation will be made by the relevant departments as follows:

a. The relocation of 380V, 200V low voltage lines and some 10KV power lines under the responsibility and jurisdiction of the Electric Power Company will be contracted to the Electric Power Company.

b. The local government is responsible for the relocation of local power lines, radio and television lines, civil pipelines and water supply pipelines for establishments belonging to village communities and individuals.

c. The relocation of industrial structures may be done by the individual organizations or be contracted as per negotiations with the higher level management departments.

d. For the relocation of mines, detailed investigations will be made on the contracted period, the contracted amount, degree of impact of the relocated sections on the rest of the mines. The mines will also be evaluated and the amount of compensation will be negotiated.

e. A great importance will be placed on the relocation of schools and will be handled as the relocation of important project.

2. For the following key important projects, special research will be made before detemining the method of relocation:

a. For inter-connecting flyovers with Shimian County as the central and within the roads K116 to K140+200, there are 11 organizations and schoolds that must be relocated. The specifics are as follows: the residential area of families of the workers of Sichuan Chuanxindian Mine, Shimian County Civil Secondary School, Shimian Urban District Guan Grain Shop, Shimian County Pengcheng Machinery Plant, Sichuan Minery Xinjian Company, Sichuan Minery Water Plant, Shimian County China Unicom, Liziping Xichong Primary School and village committee, Xiangfu Silicon Enterprise, Hongxin Special Alloy Company and Shimian County Sichuan Abrasive Co., Ltd. There are many organizations, schools and houses that must be relocated in the Shimian interconnecting flyovers. There are difficulties in negotiations. Therefore this section is planned to be handed over to the Shimian County government for the cost estimation. Negotiations with the Shimian County will be conducted as soon as possible. The relocation of schools involves the problem of education of the students and must be handled quickly. Negotiations with higher level managing departments must be conducted and obtain their approval. Once approved and with approval documentation, the parties involved will search for a suitable location and provide a

69 construction plan and the compensation agreement will be signed. The funds will be paid in a one time installment and be used for the construction. b. According to the statistics of the use of land of the expressway, Shimian County has 19 small power plants and Mianning County has 5 small power plants whose power lines have to be relocated. Compensation must be according to relevant regulations and negotiated to come to a feasible compensation method. Especially the compensation of losses during the power cut must be according to relevant regulations. For 220KV, 110KV power lines and some 35KV power lines with steel towers, the relocation expenses are high and the period of construction is long. The organizations responsible for these will be contacted and the time of construction will be planned by the designing unit.

70 Section 6. Resettlement Cost Estimate

6.1 Basis and Principles of Cost Estimate

6.1.1 Basis of Cost Estimate

(1) The Land Administration Law of the People’s Republic of China (Promulgated by Order No.8 of President of the Peoples’ Republic of China on August 29, 1998, and effective as of January 1, 1999); (2) Implementation Regulations for Land Administration Law of the Peoples Republic of China (Promulgated by Order No.256 of the State Council of the Peoples Republic of China on December 27, 1998, and effective as of January 1, 1999); (3) Sichuan Province Implementation Method of PRC Land Administration Law (Promulgated on December 10 1999 by Sichuan Provincial Government). (4) Opinion on How to Regularize and Adjust Land Compensation Standards (Issued in the order of No. 39 2004 by Sichuan Provincial Government) (5) Notice on Issurence of Method of Collection and Use of Forest Restoration (Issued in the order of No.73 2002 jointly by Ministry of Finance and State Forestry Bureau) (6) Method on Cultivated Land Occupation Tax in Sichuan, (Issued by Sichuan Provincial Government on August 14, 1987) (7) ADB’s “Involuntary Immigrant Policy” November 1995 and guidelines - “Handbook on resettlement: A Guide to Good Practice” 1998. And ADB’s Operational Handbook/F2-Involuntary Immingrant issued in 2003.

6.1.2 Compensation Principles

(1) The land acquisition cost and resettlement subsidy compensation will be computed in accordance with Sichuan Province Implementation Method of PRC Land Administration Law and Opinion on How to Regularize and Adjust Land Compensation Standards.. (2) The compensation of houses and auxiliaries will be based on the replacement value principle, and compensation rates adopted in three cities for demolished houses and auxiliaries. (3) The compensation of special items shall be estimated based on replacement of their original scale, original standard, and original function. (4) The compensation standard of scattered trees shall be determined according to its actual value or actual cost for transplanting.

6.2 Compensation Cost Estimate

The resettlement compensation cost for Yalu Expressway Project includes land compensation, house and auxiliaries compensation, relocation and transfer allowances, special facilities reconstruction compensation, other cost, contingency and relevant taxes and fees.

6.2.1 Compensation for Cultivated Land

The total area of cultivated land acquisitioned for the project is 439.0998 ha. Compensation for cultivated land is 182.2198 million yuan, among which 18.162155 million yuan for Yucheng District, 22.079282 million yuan for Yingjing County, 32.224822 million yuan for Hanyuan County, 39.6109 millionn yuan for Shimian County

71 and 70.14266 million yuan for Mianning County. The specifics are as follows:

Table 6-1 Index of Calculation of Compensation for Cultivated Land

Counties Townships Cultivated Land Standard of Compensation Compensation for Cultivated Acquisitioned (Ha) for Cultivated Land (Ten Land (Ten Thousand Yuan) Thousand Yuan/Hectare) Yucheng Duiyan 10.8118 43.206 467.1346 District Babu 29.9946 38.658 1159.5312 Guanhua 5.2097 36.384 189.5497 Yucheng Sub-total 46.0161 1816.2155 Yingjing Qinglong 34.3721 37.944 1304.2150 County Yanzhu 5.9467 37.944 225.6416 Fucheng 7.5574 37.944 286.7580 Shizi 10.2207 33.2016 387.8142 Fengyi 0.1054 33.2016 3.4994 Yingjing Sub-total 58.2023 2207.9282 Hanyuan Shuanxi 0.0000 54.747 0 County Jiuxiang 2.6947 69.678 187.7613 Fuchun 0.0000 69.678 0 Tangjia 6.8452 69.678 476.9598 Hexi 1.3192 62.2125 82.0707 Fuquan 0.0423 62.2125 2.6316 Shirong 9.5777 62.2125 595.8527 Qingfu 16.7188 62.2125 1040.1183 Xiaobao 13.4553 62.2125 837.0878 Hanyuan Sub-total 50.6532 3222.4822 Shimian Xinmian 25.5595 54.747 1399.3059 County Huilong 1.5096 69.678 105.1859 Chaluo 5.9588 69.678 415.1973 Liziping 12.9863 69.678 904.8594 Zaiyang 1.8345 62.2125 114.1288 Yonghe 16.4342 62.2125 1022.4127 Shimian Sub-total 64.2829 3961.09 Mianning Tuowu Dryland 28.8025 26.2496 756.0541 County Yihai Dryland 39.7789 26.2496 1044.1802 Caogu Paddy 0.3422 39.7504 13.6026 Dryland 23.8054 26.2496 624.8822 Chenxiang Paddy 22.8757 39.7504 909.3182 Dryland 13.9386 26.2496 365.8827 Linli Paddy 7.3296 39.7504 291.3545 Dryland 1.9528 26.2496 51.2602 Houshan Paddy 43.0599 39.7504 1711.6482 Dryland 12.4170 26.2496 325.9413 Shilong Paddy 6.4476 39.7504 256.2947 Dryland 7.2509 26.2496 190.3332 Lugu Paddy 11.8499 39.7504 471.0383 Dryland 0.0943 26.2496 2.4753 Mianning Sub-total 219.9453 7014.266 Item Total 439.0998 18221.98 Sources: Tables 3-2 and 4-1.

72

6.2.2 Compensation for Garden Plots

The total area of garden plots acquisitioned for the project is 86.8034 ha. The total compensation for garden plots is 55.21808 million yuan, among which 789.947 thousand yuan for Yucheng District, 999.862 thousand yuan for Yingjing County, 52.38628 million yuan for Hanyuan County, 227.912 thousand yuan for Shimian County and 1.269898 million yuan for Mianning County. The specifics are as follows:

Table 6-2 Index of Compensation for Garden Plots

Counties Townships Garden Plots Standard of Compensation for Compensation for Garden Acquisitioned (Ha) Garden Plots (Ten Thousnad Plots (Ten Thousand Yuan) Yuan/Hectare) Yucheng District Duiyan 0.2019 43.206 8.7233 Babu 1.3085 38.658 50.5840 Guanhua 0.5411 36.384 19.6874 Yucheng Sub-total 2.0515 78.9947 Yingjing County Qinglong 2.0512 37.944 77.8307 Yanzhu 0.0000 37.944 0 Fucheng 0.5839 37.944 22.1555 Shizi 0.0000 33.2016 0 Fengyi 0.0000 33.2016 0 Yingjing Sub-total 2.6351 99.9862 Hanyuan County Shuangxi 13.1899 54.747 722.1075 Jiuxiang 32.7056 69.678 2278.8608 Fuchun 10.8554 69.678 756.3826 Tangjia 20.5480 69.678 1431.7435 Hexi 0.7962 62.2125 49.5336 Fuquan 0.0000 62.2125 0 Shirong 0.0000 62.2125 0 Qingfu 0.5041 62.2125 0 Xiaobao 0.0000 62.2125 0 Hanyuan Sub-total 78.5992 5238.628 Shimian COunty Xinmian 0.4163 54.747 22.7912 Huilong 0.0000 69.678 0 Chaluo 0.0000 69.678 0 Liziping 0.0000 69.678 0 Zaiyang 0.0000 62.2125 0 Yonghe 0.0000 62.2125 0 Shimian Sub-total 0.4163 22.7912 Mianning Tuowu 1.8774 26.2496 49.2810 County Yihai 0 26.2496 0 Caogu 0 26.2496 0 Chengxiang 0 26.2496 0 Linli 0 26.2496 0 Houshan 1.0452 26.2496 27.4361 Shilong 0.0915 26.2496 2.4013 Lugu 0.0872 26.2496 2.2890 Mianning Sub-total 3.1013 104.1986 Item Total 86.8034 5521.808 Sources: Tables 3-2 and 4-1.

73 6.2.3 Compensation for Forest Land and Forestry

After estimation, expenses for all items of forest land needed for the construction of the Yalu Expressway is 160.156 million yuan. Among which, compensation for forest land is 35.839 million yuan, compensation for forest trees and auxiliaries is 62.144 million yuan, subsidies for resettlement is 35.839 million yuan, rehabilitation expenses for forest plantation is 26.334 million yuan. The table below provides specifics and among which, the total compensation for collective forests is 122.833885 million yuan and the compensation for state-owned forests is 15.072413 million yuan.

Table 6-3 Index of Compensation for Forest Land and Forestry Types of Counties/Districts Land Rights Compensation Expenses(Ten Thousand Yuan) Compensation Total 16015．6261 Rehabilitation of

Plantation 2633．3957 Forest Land 3583．9389 Forestry 6214．3526 Resettlement

Subsidies 3583．9389 State-owned Sub-total 1507．2413 Rehabilitation of

Plantaion 233．2410 Forest Land 218．1961 Forestry 837．6081 Resettlement

Subsidies 218．1961 Collectively-owned Sub-total 14508．3848 Rehabilitation of

Plantation 2400．1547 Forest Land 3365．7428 Forestry 5376．7445 Resettlement

Subsidies 3365．7428 Ya’an City Sub-total 12283．3885 Rehabilitation of

Plantation 1997．7067 Forest Land 2881．3369 Forestry 4523．0080 Resettlement

Subsidies 2881．3369 State-owned Sub-total 1153．6493 Rehabilitation of

Plantation 166．4973 Forest Land 164．8955 Forestry 657．3610 Resettlement

Subsidies 164．8955 Collectively-owned Sub-total 11129．7392 Rehabilitation of

Plantation 1831．2094 Forest Land 2716．4414 Forestry 3865．6470 Resettlement

Subsidies 2716．4414 Yucheng District Sub-total 1197．8618 Rehabilitation of

Plantation 164．4246 Forest Land 290．2794 Forestry 452．8784 Resettlement

Subsidies 290．2794 Collectively-owned Sub-total 1197．8618 Rehabilitation of 164．4246 Plantation Forest Land 290．2794 Forestry 452．8784 Resettlement

Subsidies 290．2794

74 6.2.4 Compensation for Other Types of Land

The total area of other agricultural land, land for construction and unused land acquisitioned for the project is 135.3642 ha. The compensation standards for these 3 items are the same and will be calculated together. These 3 items will be categorized as other types of land and the total compensation for these other types of land is 37.26668 million yuan, among which, 2.163513 million yuan for Yucheng District, 15.85336 million yuan for Yingjing County, 1354.6543 million yuan for Hanyuan County, 15.684687 million yuan for Shimian County and 4.286604 million yuan for Mianning County. The specifics are as the following:

Table 6-4 Index of Compensation for Other Types of Land

Counties Townships Other Types of Land Standard Compensation Compensation for Other Acquisitioned (Ha) for Other Types of Land Types of Land(Ten (Ten Thousand Thousand Yuan) Yuan/Hectare) Yucheng Duiyan 2.2094 21.603 47.7297 District Babu 6.7168 19.329 129.8290 Guanhua 2.1324 18.192 38.7926 Yucheng Sub-total 11.0586 216.3513 Yingjing Qinglong 5.0163 18.972 95.1692 County Yanzhu 0.517 18.972 9.8085 Fucheng 0.983 18.972 18.6494 Shizi 2.0804 16.6008 34.5363 Fengyi 0.0223 16.6008 0.3702 Yingjing Sub-total 8.619 158.5336 Hanyuan Shuangxi 1.019 27.3735 27.8936 Jiuxiang 7.7695 34.839 270.6816 Fuchun 1.8907 34.839 65.8701 Tangjia 5.2585 34.839 183.2009 Hexi 1.6435 31.10625 51.1231 Fuquan 0.0037 31.10625 0.1151 Shirong 2.6521 31.10625 82.4969 Qingfu 6.0646 31.10625 188.6470 Xiaobao 15.5797 31.10625 484.6260 Hanyuan Sub-total 43.5252 1354.6543 Shimian Xinmian 17.9157 37.3275 668.7483 County Huilong 0.9941 31.10625 30.9227 Chaluo 7.3167 28.61775 209.3875 Liziping 19.8041 26.12925 517.4662 Zaiyang 0.1595 31.10625 4.9614 Yonghe 4.4037 31.10625 136.9826 Shimian Sub-total 50.5938 1568.4687 Mianning Tuowu 15.014 19.8752 298.4063 County Yihai 2.3829 19.8752 47.3606 Caogu 1.6167 19.8752 32.1322 Chengxiang 0.3777 19.8752 7.5069 Linli 0.0787 19.8752 1.5642 Houshan 1.4347 19.8752 28.5149 Shilong 0.3793 19.8752 7.5387 Lugu 0.2836 19.8752 5.6366 Mianning Sub-total 21.5676 428.6604 Item Total 135.3642 3726.668

Sources: Tables 3-2 and 4-1.

75 6.2.5 Compensation for Young Crops

The total area of cultivated land acquisitioned for the project is 439.0998 ha. The compensation for young crops is 7.99826 million yuan, among which, 552.193 thousand yuan is for Yucheng District, 698.427 thousand yuan is for Yingjing County, 629.873 thousand yuan is for Hanyuan County, 3.478423 million yuan is for Shimian County and 2.639344 million yuan for Mianning County. The specifics are as follows:

Table 6-5 Index of Compensation for Young Crops

Standard Compensation Compensation for Cultivated Land Counties Townships for Young Crops (Ten Cultivated Land (Ten Acquisitioned (Ha） Thousand Yuan/Hectare) Thousand Yuan) Yucheng Duiyan 10.8118 1.2 12.9742 District Babu 29.9946 1.2 35.9935 Guanhua 5.2097 1.2 6.2516 Yucheng Sub-total 46.0161 55.2193 Yingjing Qinglong 34.3721 1.2 41.2465 County Yanzhu 5.9467 1.2 7.1360 Fucheng 7.5574 1.2 9.0689 Shizi 10.2207 1.2 12.2648 Fengyi 0.1054 1.2 0.1265 Yingjing Sub-total 58.2023 69.8427 Hanyuan Shuangxi 0.0000 1.2435 0 County Jiuxiang 2.6947 1.2435 3.3509 Fuchun 0.0000 1.2435 0 Tangjia 6.8452 1.2435 8.5120 Hexi 1.3192 1.2435 1.6404 Fuquan 0.0423 1.2435 0.0526 Shirong 9.5777 1.2435 11.9099 Qingfu 16.7188 1.2435 20.7898 Xiaobao 13.4553 1.2435 16.7317 Hanyuan Sub-total 50.6532 62.9873 Shimian Xinmian 25.5595 5.1 130.3535 County Huilong 1.5096 5.1 7.6985 Chaluo 5.9588 5.1 50.3899 Liziping 12.9863 5.1 66.2301 Zaiyang 1.8345 5.1 9.3559 Yonghe 16.4342 5.1 83.8144 Shimian County 64.2829 347.8423 Mianning Tuowu Dryland 28.8025 1.2 34.5630 County Yihai Dryland 39.7789 1.2 47.7347 Caogu Paddy 0.3422 1.2 0.4106 Dryland 23.8054 1.2 28.5665 Chengxiang Paddy 22.8757 1.2 27.4508 Dryland 13.9386 1.2 16.7263 Linli Paddy 7.3296 1.2 8.7955 Dryland 1.9528 1.2 2.3434 Houshan Paddy 43.0599 1.2 51.6719 Dryland 12.4170 1.2 14.9004 Shilong Paddy 6.4476 1.2 7.7371 Dryland 7.2509 1.2 8.7011 Lugu Paddy 11.8499 1.2 14.2199 Dryland 0.0943 1.2 0.1132 Mianning Sub-total 219.9453 263.9344 Item Total 439.0998 799.826 Sources: Tables 3-2 and 4-1.

76 6.2.6 Compensation for Temporary Occupation of Land

According to estimation of actual units, the area of land temporarily occupied is 5214 mu. The compensation for various types of land is according to the 2 years of AAOV: 1600 yuan/mu for paddy, 1000 yuan/mu for dryland, 500 yuan/mu for non-cultivated land. The total compensation for temporary occupation of land is 22.60 million yuan. This does not include expenses for recovery of land which will be made by the contractors.

6.2.7 Compensation for Housing

According to investigation of various villages, there are 929 households affected by demolition and the total area of demolition is 207312.7 m2. The total compensation for housing is 69.06505 million yuan, among which, 6.805456 million yuan for Yucheng District, 9.659588 million yuan for Yingjing County, 12.32769 million yuan for Hanyuan County, 13.99196 million yuan for Shimian County and 26.28037 million yuan for Mianning County. The specifics can be seen in the Table below.

Table 6-6 Index of Compensation for Housing

Compensation for Housing No. of No. of Total Area of Counties/Districts (ten thousand yuan) Households People Housing (m2) Brick-concrete Brick-wood Earth-wood Total Yucheng District 20965 317.5236 238.5600 124.4620 680.5456 73 229 Yingjing County 32807.5 15.5558 809.1450 141.2580 965.9588 107 366 Hanyuan County 36999 724.8308 256.4400 251.4980 1232.769 181 614 Shimian County 45563.56 459.4129 484.3479 455.4352 1399.196 195 650 Mianning County 70977.665 152.3451 1209.4335 1266.2580 2628.037 373 1553 Item Total 207312.7 1669.668 2997.926 2238.911 6906.505 929 3412 Sources: Tables 3-3 and 4-3.

6.2.8 Relocation and Transition Expenses

Other expenses related to relocation are the same as subsidies for relocation. Every person is provided with transition subsidies according to the period of transition which is normally 3 months: reward for relocation is provided to encourage the households to timely plan and set up for relocation. Every household is provided with the reward for relocation and every person is provided with subsidies for village immigrant house construction expenses. Total expenses related to relocation for the project is 14.03197 million yuan.

77 Table 6-7 Index of Relocation and Transition Expenses

Counties/District Item Unit Standards Quantities Subsidies (Ten Thousand Yuan) Yucheng District Subsidies for Relocation Yuan/person 358 229 8.1982 Subsidies for Transition Yuan/person (3 months) 260 229 x 3 17.8620 Reward for Relocation Yuan/household 1500-3000 73 21.9000 Recovery Expenses for Basic Yuan/person 3000 229 68.7000 Infrastructure of Resettling Dispersed Villages Yingjing County Subsidies for Relocation Yuan/person 358 366 13.1028 Subsidies for Transition Yuan/person/month (3 months) 260 366 x 3 28.5480 Reward for Relocation Yuan/household 1500-3000 107 32.1000 Recovery Expenses for Basic Yuan/person 3000 366 109.8000 Infrastructure of Resettling Dispersed Villages Hanyuan County Subsidies for Relocation Yuan/person 358 614 21.9812 Subsidies for Transition Yuan/person/month (3months) 260 614 x 3 47.8920 Reward for Relocation Yuan/household 1500-3000 181 54.3000 Recovery Expenses for Basic Yuan/person 3000 614 184.2000 Infrastructure of Resettling Dispersed Villages Shimian County Subsidies for Relocation Yuan/person 358 650 23.2700 Subsidies for Transition Yuan/person/month (3 months) 260 650 x 3 50.7000 Reward for Relocation Yuan/person 1500-3000 195 58.5000 Recovery Expenses for Basic Yuan/person 3000 650 195.0000 Infrastructure of Resettling Dispersed Villages Mianning County Subsidies for Relocation Yuan/person 358 1553 55.5974 Expenses for Temporary Rental of Yuan/person 1650 1553 256.2450 Housing (when relocating the main house) Subsidies for Village Resettler House Yuan/person 1000 1553 155.3000 Construction Item Total 1403.197 Sources: Tables 3-3 and 4-6.

6.2.9 Compensation for Auxiliaries on the Ground

Compensation related to relocation of housing in villages includes compensation for housing, subsidies for relocation and transition period. Apart from the main houses, compensation is also provided for simple houses, enclosing wall, dams and other appendages. Compensation is also provided for luminating lines, water supply lines, water wells, water ponds, cesspools, scattered and etc. Land acquisition (excluding forest land) also involves the compensation of scattered trees and ground attachments. The estimated value of compensation for housing, relocation, transition, scattered trees, and auxiliaries on the grounds is 114.273637 million yuan. The prior 2 sections calculated the total compensation for housing is 69.06505 million yuan, and compensation for relocation and transition period is 14.03197 million yuan while the compensation for scattered trees and other auxiliaries on the grounds excluding the main house is 31.176617 million yuan.

6.2.10 Compensation for Rehabilitation of Special Facilities

The construction of the project involves the relocation of 70 odd organizations and more than 760 thousand metres of powerlines, telecommunication lines and the demolition of 10 odd factories and schools (excluding the demolition of village houses). The relocation of schools, factories, poles, pipes and lines are categorized in the construction project as the relocation of poles, pipes and lines. The estimated expense is 0.2 billion yuan. In addition, the cost of the evaluation agent of poles, pipes and lines is 2.5 million yuan. The total of these 2 items is 0.2025 billion yuan.

78 6.2.11 Financial Aid for Households Facing Crisis

Financial aid for households facing crisis (including all vulnerable groups) is estimated to be 1% of compensation cost. About 5 million yuan is budgeted for this cost. This cost will be reviewed after the detailed measurement survey is completed so the number of households at risk is clearly identified, and relevant assistance measures formulated. Based on previous resettlement experience with road projects, 1% of the project resettlement budget in addition to the standard compensation entitlements is considered sufficient to ensure these households can be better off.

6.2.12 Assistance for Severely Affected Villages

The revised RP will include the results of village rehabilitation planning for severly affected villages, which are being formulated now. Based on these plans, additional funds may be required to ensure these villages are rehabilitated quickly and offset the lost income. At present, a provisional amount of 1.5 million yuan has been included in the resettlement budget. The new estimate will be included in the revised RP.

6.2.13 Internal and External Monitoring Expenses for Resettlement

The internal and external monitoring expenses for the resettlement of PAPs are estimated to be 2.5 million yuan.

6.2.14 Administration Expenses for Resettlement

Adminstration expenses for the resettlement is 4% (about 4%) of compensation of land acquisition (forest land), young crops, auxiliaries and subsidies of resettlement which is estimated to be 31.668018 million yuan. The administration expense to be mainly used by the resettlement organization to buy equipments, set up offices, paying of wages, official businesses, transportation, administration expenses as well as training of staff..

6.2.15 Land reclamation fee

According to the principle of “reclaiming new land equivalent to the area of land acquisitioned” of the Land Aministration Law, the Project proponent should reclaim new land in the same size and quality as that acquisitioned. In case the unit of land acquisition has no means to reclaim new land or the reclaimed land does not meet requirements, land reclamation fee should be paid. The land reclamation fee should be specially used for this purpose. The land reclamation fee for this project is estimated to be 87.112534 million yuan.

6.2.16 Contingency Funds

The inventory census is based on detailed design byt there may still be revision during construction. Therefore, a physical contingency of 71 million yuan, 9 % basic resettlement costs, is budgeted. Also, a price difference contingency of 3% of basic contingency fund has been budgeted, which is 48 million yuan.

6.3 Total Resettlement Cost Estimate

The total expense for land acquisition, demolition, relocation and resettlement is 910 million yuan. Together

79 with the basic contingency and price difference contingency, the land acquisition and relocation expenses of Yalu Expressway are 1029.0 million yuan. The specifics are provided in Table 6-8.

Table 6-8 Index of Resettlement Cost

Item Expenses (Ten Thousand Yuan) Ratio (%)

1. Compensation for Land Acquisition 46545.8820 45.2

1.1. Compensation for Cultivated Land 18221.9800

1.2 Compensation for Garden Plots 5521.8080

1.3 Compensation for Forest Land and Forestry 16015.6000

1.4 Compensation for Other Types of Land 3726.6680

1.5 Compensation for Yong Crops 799.8260

1.6 Compensation for Temporary Occupation of Land 2260.0000

2. Compensation for Relocation of Housing and Appendages 11427.3600 11.1

2.1 Compensation for Housing 6906.5050

2.2 Relocation and Transition Expenses 1403.1970

2.3. Compensation for Auxiliaries 3117.6617

3．Rehabilitation Expenses for Special Facilities 20250.0000 19.7

4. Rehabilitation Plan at Village Level 650.0000 0.6 4.1 Assistance for Households Facing Difficulties to Rehabilitate and Other Vulnerable Groups 500.0000

4.2 Assistance for Severely Affected Villages 150.0000

5. Monitoring and Administration Expenses 3416.8018 3.3

5.1. Internal and External Monitoring and Evaluation 250.0000

5.2. Administration Expenses for Resettlement Work 3166.8018

6．Land Reclaimation Fee 8711.2534 8.5

Total Resettlement Expenses (1-6) 91001.3010 88.4

8. Contigency Funds 11900.0000 11.6

8.1 Basic Contingency Funds 7100.0000

8.2 Price Difference Contingency Funds 4800.0000

Total Expenses 102901.3010 100.0

80 Section 7. Institutional Arrangements & Implementation Schedule

7.1. Institutional Arrangements

7.1.1. Establishment of Resettlement Organizations

7.1.1.1. Resettlement Organizations

In order to implement the Resettlement Plan in a smooth and effective manner, a resettlement organizational network from higher to lower governmental levels will be established, which will be vested with full responsibility for planning, coordination, implementation and monitoring of resettlement activities. The following institutions are established for or involved in land acquisition and resettlement of the project.

(1) Project Leading Group for Resettlement (2) Project Resettlement Office (PRO) (3) Municipality Leading Group for Resettlement (4) Municipality Resettlement Office (MRO) (5) County Leading Group for Resettlement (6) County Resettlement Office (CRO) (7) Township Resettlement Working Group (8) Villagers’ Committee and Village Groups (9) Independent External Monitoring Organization

The Organization Chart for Relocation and Resettlement Organization and its Staff is shown in Figure 7-1.

81

Project Management Office of SYEC (10)

Project Leading Group for Resettlement (7)

Municipality Office for Resettlement (3*3)

County Leading Group for Resettlement (9)

Land Acquisition External Monitoring County Resettlement Office（5*7） Organization

County Land Administrative Bureau

Township Resettlement Working Group (23 x 3)

Village Committees and Groups

Affected People

Figure 7-1 Resettlement Organization Chart

Table 7-1 Index of Staff of Resettlement Offices of Various Levels

Name of Organization Person-in-charge Main Staff Number

Yucheng District Bureau of Land and Wu Lingfang Wang Xiaohu, Luozong Resources 3

Yingjing County Coordination Yang Zeke Lan Shuming, Zhu Xinyun, Yang Xueyi Headquarters 4

Hanyuan County Expressway Chen Dengfu Liu Dayun, Liping, Luyong Resettlement Office 6 Ye Qilin, Wen Zhibing, Zhang Jiangang, Gou Ruhai, Xia Yunbin, Shimian Resettlement Bureau Cheng Dexin Lijian, Wei Luya, Liu Shiming, Wu Xiaohui, Zhong Xiaoming, 59 Wu Zhongyun and etc Wan Jianglong, Su Zhenqiang, Liao Kaifa, Liu Shichun, Shen Mianning Resettlement Leading Dehua, Chen Zaoming, Mao Jianying, Zhou Shuhua, Yang Jinju, Wangning, Huang Jianhua Group Liqiong 10

82 7.1.1.2 Responsibilities of Organizations

(1) Project Leading Group for Resettlement

The Project Leading Group for Resettlement consists of leaders from Sichuan provincial Government, SPCD and the provincial Land Administration Bureau, etc. The main roles of the Group are to strengthen the leadership over the project and to ensure the land acquisition and resettlement is carried out smoothly. It is also responsible for formulating project resettlement policy, coordinating the activities of land acquisition and resettlement between resettlement organizations at different levels. Project Resettlement Office (PRO) is subordinate to the Leading Group.

(2) Project Resettlement Office (PRO)

Project Resettlement Office will be composed of the responsible staffs from Project Implementation Office and the Sichuan Land Administrative Bureau. PRO’s main responsibilities are to: (1) Entrust the design units to define the project affected scope, and entrust the CRO to conduct impacts survey and socio-economic survey and maintain up-to-date records; (2) To train staff of resettlement offices of all levels； (3) Organize and coordinate preparation and implementation of the RP; (4) Organize public consultation and publicize resettlement policies; (5) Manage resettlement compensation funds and its use; and sign the agreement with CROs; (6) Instruct, coordinate and monitor the resettlement implementation progresses performed by CRO; (7) Take charge of the internal monitoring activities, prepare internal monitoring reports, and participate in annual audit of fund disbursement and utilization.

(3) Municipality Resettlement Leading Group

The municipal or prefecture resettlement leading group will be comprised with leaders from municipal or prefecture government departments, including land administration bureau, communication bureau, financial bureau, agricultural bureau, forest bureau, and urban construction bureau. Their main responsibilities are (1) to provide adequate leadership on the concerned counties during land acquisition and resettlement in order ensure smooth implementation of the RP; (2) to sign compensation agreement with SYEC Project RPO; and (3) to sign general land acquisition and resettlement compensation contracts with relevant county resettlement offices.

(4) Municipality Resettlement Office

The Municipal Resettlement Office will consist of officials from relevant municipal developments, including communication, land administration bureau, financial bureau, agricultural bureau, forest bureau, and urban construction bureau. Their main responsibilities include:

(1) Assist in preparing RP and participate in resettlement implementation; (2) Organize public consultations and publicize the resettlement policy; (3) Assist the application and approval procedures for land acquisition and resettlement; (4) Manage resettlement funds and supervise its disbursement and use; (5) Coordinate the work in handling problems encountered during implementation; (6) Assist in internal and external monitoring activities; (7) Prepare and submit implementation progress report to PRO.

83

(5) County Resettlement Leading Group

County Leading Group for Resettlement consists of the responsible leaders of county communication bureau, land administration bureau, financial bureau, agricultural bureau, forest bureau, and urban construction bureau. The main responsibilities are to strengthen the leadership over the resettlement, to coordinate the working relations of different government departments and the relation between the State, collective and private entities, and to ensure the land acquisition and resettlement is smoothly carried out.

(6) County Resettlement Office (CRO)

CRO will be set up in affected counties or district, which will compose of staffs from relevant county departments, such as communication bureau, land administration, financial bureau, agricultural bureau, forest bureau, and urban construction bureau. The CROs will be the main institutions in charge of resettlement implementation. Their main responsibilities include: (1) Assisit selected design institutes to define the project impact scope and conduct impact and social economic surveys; (2) Assist in preparing RP and participate in resettlement implementation; (3) Organize public consultation and publicize the resettlement policy; (4) Assist the application and approval procedures for land acquisition and resettlement; (5) Manage resettlement funds and supervise its disbursement and use; (6) Train township and village level resettlement workers (7) Supervise the resettlement work at townships and villages; (8) Coordinate the work in handling problems encountered during implementation; (9) Assist in internal and external monitoring activities; (10) Prepare and submit implementation progress report to PRO.

(7) Township Resettlement Working Group

Under the CROs, resettlement working groups will be established among affected townships. The township working group will be led by the relevant responsible leaders, and composed of staff from township governments, land management office and police station as well as relevant village cadres. The main responsibilities include:

(1) Participate in the project investigation and assist in preparation of the RP; (2) Organize public consultation and popularize the resettlement policies; (3) Execute, inspect, monitor and record the resettlement activities within the township; (4) Arrange approval procedures for new housing plots and construction; (5) Be responsible for payment and management of compensation funds; (6) Sign housing removal agreements with resettlers, supervise the land acquisition, removal and construction of houses and auxiliaries; (7) Report to county land administration bureau and resettlement office the progress of land acquisition, housing removal and resettlement; (8) Resolve problems during RP implementation.

84 (8) Villagers’ Committees & Village Groups

The key officials of administrative villages will be involved in resettlement implementation. Their main responsibilities include:

(1) Participate in investigation on social economy and project impact; (2) Organize public consultation and popularize the resettlement policies; (3) Select resettlement sites and provide house plots for the resettlers; (4) Carry out land readjustment and organize activities for economic rehabilitation; (5) Be responsible for funds management, allocation and use; (6) Report to the higher authorities about comments and proposals from the resettlers; (7) Handle grievances, measures for redress and follow-up; (8) Report the resettlement implementation progress; (9) Help vulnerable households in resettlement. Affected people are always represented and will participate directly in the relevant village and village group meetings.

(9) External Monitoring Institution

The Project Management Office will entrust an experienced institute as the external monitoring agency. Its main responsibilities are:

(1) Supervise all aspects of resettlement work and report to ADB, through PRO, every 6 months; (2) Provide technical advice to Project and CROs during the survey and RP preparation.

7.1.2. Working Relations between Organizations

During the course of land acquisition and resettlement, the resettlement organizations at different levels will sign agreements to define their undertakings and responsibilities. The process of signing agreements is as follows:

(1) PRO will sign a “Contract of Land Acquisition and Resettlement with CROs of Yucheng, Yingjing, Hanyuan, Shimian and Mianning

(2) PRO will sign a “Contract of Independent Resettlement Monitoring and Evaluation” with an experienced external institute.

(3) Each CRO will sign a “Contract of Land Acquisition and Compensation” and contract of “houses relocation and compensation” with relevant township governments;

(4) Each Township Government will sign a “Contract of Land Acquisition and Compensation” with each village; and sign a “Contract of House Relocation and Compensation” with each affected household.

(5) In case of direct payment to affected people, the payment sheets will be co-signed by the county and affected individuals. In that case, no agreement is needed.

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7.1.3. Capacity Building Measures

In order to guarantee the resettlement implementation in a smooth and successful manner, the PRO will take the following measures to enhance the capacity of the organizations at all levels:

(1) Optimize the staff structure. The resettlement units at all levels will be manned with administrative and professional personnel who are qualified with professional skills and managerial ability.

(2) With assistance from ADB resettlement specialist, organize a series of resettlement training workshops for resettlement staff in units at all levels. Subjects will include (1) ADB resettlement policy and implementation training for resettlement staff at county, city and provincial levels; and (2) resettlement implementation training for resettlement staff at both township and village levels. All together 300 persons will be provided these trainings. A total of 60,000 yuan will be allocated for these trainings from resettlement administration budget. With such training, both resettlement officials at province, city and county levels as well as local township officials and village leaders will have a better understMianning of the national resettlement policies, requirements of the ADB, and become more familiar with details of the RP, so the objectives and entitlements of the RP could be effectively implemented.

(3) Provide sufficient funds and facilities for relevant organizations.

(4) Establish a database and ensure the information flow from and to the units at all levels. Strengthen reporting and internal monitoring system, to solve problems quickly.

(5) Develop the mechanism of external monitoring and evaluation, and set up a predicting and alarm system to be utilized by the PRO.

(6) Strengthen reporting and internal monitoring system, to solve problems quickly.

7.2. Implementation Scheme

7.2.1. Implementation Procedures

7.2.1.1 Land Acquisition and Compensation

The land acquisition and compensation will be completed under the coordination of relevant organizations. The typical procedures are as follows:

(1) The selected design institutes for project detailed design will define the alignment and work out detailed amount of land acquisition, as well as amount of house removal.

(2) PMO applies for land use certificate from the provincial planning departments, and applies for approval of land acquisition from Sichuan Land Administration Bureau;

(3) Application approval;

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(4) PMO consults with the land administrative bureaus (at various levels) on all matters regarding land acquisition and compensation, and signs compensation agreements and proceeds land acquisition procedures.

(5) The acquisition scope and amount will be defined on site by staff from county land administration departments and other officials from relevant counties, townships and villages;

(6) County government will sign the “Land Acquisition Agreement” with each relevant township and village;

(7) Notification of affected people and holding public hearing upon request by the affected people and communities;

(8) Allocation and distributing the compensation fees;

(9) Legal formalities transaction;

(10) Land acquisition.

Land compensation, including both land compensation and resettlement subsidy will be delivered to affected villages groups or affected individuals. The young crop compensation will be paid directly to the affected individuals by cash. In terms of delivery of land compensation and resettlement subsidies, for those villages where land readjustment will be carried out, the compensation will be paid to affected village groups, and could be used to develop new farmland, improve farming conditions, or distribute part of the funds evenly among village group members. For those villages where impact will be small, land compensation and resettlement subsidies will be paid directly to affected households based on amount of land loss and adopted compensation rates, which could be used to improve their farming condition and engage in various non farm income generation activities.

The rights of APs are clearly stipulated in the Land Administration Law and farmers understand their rights with respect to the village collective. By law, the farmland belongs to the collective and therefore payment is first made to the collective. The collective can then determine whether to readjust the farmland or to make cash payment to affected people, or a combination of these options. The final decision requires a 2/3 endorsement from village representatives.

7.2.1.2 Production Rehabilitation

The specific production rehabilitation measures shall be implemented by the villagers’ committees. The basic procedures are follows

(1) Holding the villagers’ representatives' meeting to study and develop a detailed plan for land reclamation, land adjustment and other economic rehabilitation measures.

(2) Publicize the overall plan for land reclamation, land adjustment and other economic rehabilitation measures (including distributing part of compensation funds evenly among village group members) in order to collect the opinions and comments from all members in the village group.

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(3) Implement land adjustment and land reclamation as well as other economic rehabilitation measures;

(4) Planting on the cultivated land.

7.2.1.3 Houses Demolition and Relocation

The procedures for house demolition and relocation will be implemented as follows:

(1) The Project Design Unit provides the scope of housing removal;

(2) Detailed measurement of housing quantities and qualities will be carried by the CRO, assisted by officials from relevant townships and villages;

(3) PRO will be responsible for finalizing compensation standards for houses and auxiliaries after further consultation with local governments and affected persons. The relevant CROs will prepare compensation agreements for houses relocation after consulting with the relevant townships, villages and individuals;

(4) The staff of CROs will visit every affected village, publicize the relocation compensation scheme, including the quantity, compensation standards and the schedule for demolition and reconstruction of houses, and collect feedback from the affected individuals;

(5) CRO will either directly or designate each township to sign compensation agreement for houses and auxiliaries with the relocated households;

(6) Township and village officials will provide the options of new housing plots for the relocated households and collect their opinions;

(7) The township resettlement officials will deliver compensation funds and transfer allowances to the relocated households;

(8) The relocated households begin the new house construction;

(9) Move into the new houses after completion;

(10) Demolition of old houses.

7.2.1.4 Re-construction of Special Facilities

(1) The selected design institutes will define the affection scope of the Project on special facilities;

(2) PRO and CROs together with the authorities of specific facilities, conduct investigation about types and quantities of such facilities;

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(3) PRO will place relative function departments in charge of special facilities to make restoration plan based on principle of replacement and restoration of existing functions;

(4) PRO will consult and agree on compensation standards and amount for special facilities with relevant function departments, and sign “Compensation Agreement of Special Facilities Restoration” with relevant departments;

(5) The relevant departments for special facilities will be asked by PRO to implement reconstruction of special facilities affected by the Project;

(6) Complete restoration of special facilities and put into operation.

7.2.2 Project Implementation Schedule

The key project milestones achieved or planned are shown in Table 7-2.

Table 7-2 Schedule of Implementation

●The Start of Project Planning July 2003 ●Approval of the Feasibility Study July 2005 ●The Establishment of the Yaxi Company September 2005 ●Approval of the Preliminary Design May 2006 ●Bidding of Contract and the Selection of Contractors October 2006 ●Approval of the Land Acquisition January 2007 ●Detailed Investigation Prior to Commencement of March 2007 Construction (for the 27 civil works contracts) ●Construction Period March 2007 – December 2011

7.2.3 Resettlement Implementation Schedule

Considering various domestic procedures, resettlement was scheduled to commence in March 2007 after the detailed investigation. Controlled constructions like tunnels and bridges were the first activites for construction by December 2006, but these constructions did not involve land acquisition and relocation.

Based on the approved project design, the detailed schedule for land acquisition and resettlement has been determined in an integrated manner with the schedule of Project construction. The following principles will be observed during resettlement implementation:

(1) Housing demolition will be carried out in stages prior to the construction of the project and the demolition of houses shall be completed. (2) Housing demolition date will be informed to the resettlers at least 3 months in advance; another 3 months will be allocated for resettlers to build new houses before the deadline for old house removal. The PAPs can stay in their old houses until completion of the new one.

(3) The relevant resettlement organizations shall fully consult with the PAPs about the house construction schedule; if it is necessary such construction time could be extended.

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(4) The land acquisition shall be completed before the construction commencement of the sub-projects. (5) Land adjustment and distribution will be completed during cropping intervals.

(6) Prior to the land acquisition, the arrangement for labor force shall be completed.

(7) Construction of the special facilities shall be completed before the construction of the project or before the demolition of the old house is completed

Based on the overall project schedule, the plan for land acquisition and relocation and the plan for implementation of work and progress can be seen in Table 7-2.

Table 7-3 Resettlement Implementation Schedule

Work Contents Responsible Agency Progress/Target Date Distribution of Draft Resettlement Plan to SYEC Completed Feb. 2005 affected districts and counties for review Distribution of Information for Resettlement SYEC Completed Feb. 2005 Handbook to affected villages Immigrant Draft Plan to be approved by ADB ADB Completed April 2005 and uploaded to website Establishment of Resettlement Offices in County Government Completed March to various counties/districts, townships and Dec. 2005 villages by the local government Training on implementation of relocation for Design Institute and Completed officials of local governments by the design Consulting institute / consulting professionals Professionals Disclosure of Updated Resettlement Plan to SYEC Completed affected districts/counties and townships Conference for opinion seeking – SYEC, Ya’an SYEC Completed and Liangshan Prefecture, affected cities/counties, townships and villages Distribution of Information for Resettlement SYEC Completed Handbook 2nd Edition to affected village group, County Government villager households and enterprises Establishment of the reviewing and SYEC Completed investigating procedures County Government Implementation of detailed measurement Design Insitute with Completed March 2007 survey (DMS) to make registration of the County Bureau of Land property of the affected persons Management Engagement of the external monitoring SYEC July 2007 and organization for thorough investigation November 2007 Conduct baseline survey and submit report External Monitor March 2008 Conduct monitoring investigations and submit External Monitor March 2008 1st M&E Report •Commence land acquisition SYEC March 2007 •Commence demolition and relocation of Local government March 2007 housing

90 Work Contents Responsible Agency Progress/Target Date Revise the Resettlement Plan based on the SYEC June-December 2007 approved design Submit to ADB the Updated Resettlement Plan SYEC December 31, 2007 including revised statistics on PAPs and detailed estimated expenses (based on DMS) Prepare training plan for PAPs Local government March 2008 Formulate Relocation & Income Rehabilitation Consultant with January-March 2008 Plans for severely affected villages Village Leaders Identify vulnerable households and formulate SYEC with local January-June 2008 the specifix rights and measures to implement government

7.2.4 Disbursement of Relocation Funds 7.2.4.1 Disbursement Principle

(1) All resettlement related costs will be directly paid to the affected collectives and individuals by the CROs.

(2) Prior to construction of the new houses, the compensation fees shall paid to the relocated households; if the payment is in several installments, the last payment shall be made prior the completion of the new house.

(3) The compensation fees for land acquisition and other facilities shall be paid to relevant communities and individuals prior to land acquisition.

(4) In order to ensure a smooth implementation of the resettlement plan, PRO will set up an audit mechanism in the resettlement offices at all levels, so as to guarantee the funds are used accordingly. Also, the utilization of the collective compensation (rehabilitation expenditures) by the village committees will be subject to annual audit.

7.2.4.2 Institutions Responsible for Allocation of Resettlement Fund

(1) For land compensation and resettlement subsidy funds, the responsible agencies include PROs, CROs, township government and villagers’ committee.

(2) For compensations for demolition and relocation, the responsible agencies will be PROs, CROs and township governments.

(3) In order to guarantee compensation funds to be timely allocated and used accordingly, the compensation funds for resettlement shall be allocated from higher level to lower level; each department shall strictly implement the regulations in financial accounting and audit system. The usage and allocation status of funds will be periodically monitored and reported. If unexpected event takes place, the adjustment plan and remedial measures should be submitted without delay.

91 7.2.4.3 Flow of Funds

(1) Based on the compensation policies and standards stipulated in the resettlement plan, the Project Resettlement Office shall sign a “Demolition and Relocation of Housing Agreement” and “Land Acquisition Agreement” with Municipal Resettlement Offices. Following the same principles, the Municipal Resettlement Offices will sign “Demolition and Relocation of Housing Agreement” and “Land Acquisition Agreement” with County Resettlement Offices.

(2) The County Resettlement Office (on behalf of the Project Resettlement Office) shall sign the compensation agreement for land acquisition with Village Committees concerned. (3) In accordance with the contents, amount of compensation and time stipulated in the ’Demolition and Relocation of Housing Agreement”, the compensation will be transferred by the Project Resettlement Office through commercial bank to the County Resettlement Office. Then the County Resettlement Office will distribute the compensation funds to affected villages and households with the assistance of township governments.

(4) According to provision of related policies, the land compensation funds and subsidies will be paid by the Project Office to the County Resettlement Office (via City Resettlement Offices). The County Resettlement Office will distribute the funds to affected villages, village groups and individuals in full amount with the assistance of township governments. The flow of the compensation funds is presented in Figure 7 – 2.

Each village will post a notice, indicating the amount of compensation received. According to the Land Administration Law, the use of compensation by collective groups requires endorsement from two-thirds of the village representatives.

92 Figure 7-2 Flow of Compensation Funds.

Municipal Affected County Resettlement Villages or Land compensation → resettlement office → → → Households Office Groups (MRO) (HHs)

Resettlement subsidy → MRO → CRO → Villages or Groups → AffectedHHs

Young crop compensation → MRO → CRO → Affected HHs

Houses & auxiliaries → MRO → CRO → → Affected HHs or businesses compensation

Temporary land → MRO → → CRO → → Villages or groups or HHs Compensation

Moving and Transfer → MRO → → CRO → → Relocated HHs or businesses Allowances

Assistance for households at → SYEC → Affected HHs risk

Compensation for scattered → MRO → → CRO → → Affected HHs trees

Compensation for new Villages, groups or affected → MRO → → CRO → → settlement infrastructures HHs

Special facilities → PMO → → Relevant line agencies compensation

Resettlement planning & → PMO → Design institutes design fee

Resettlement staff training → MRO → CRO → Trainers cost

M&E cost → PMO → Relevant departments and external monitor

Implementation management fee → PMO → Resettlement Implementation agencies

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In most cases, the resettlement funds are paid by SYEC to local governments at the municipal level, and then allocated to the county resettlement offices (CROs) which are the key agencies for managing resettlement work and accounting for the resettlement budget and expenditures. The prevailing practice is that the CROs disburse payments directly to the bank accounts of village committees (e.g., land compensation) or affected households (e.g., house compensation). In some cases, payments are handled by township officials, but there should be no deduction taken from the compensation (expenses of the township are covered under the administration costs). The disbursement of resettlement funds are audited at each level by the provincial Audit Bureau. For collective compensation (e.g., land acquisition), the funds belong to the collective groups as stipulated in the Land Administration Law. However, affected households that had lost contracted land or orchards are entitled to replacement land or compensation. If replacement land is not provided to the affected households, the affected households are entitled to 100% of the resettlement subsidies; if they still face difficulties in restoring their incomes, they can also receive some of the land compensation (typically up to 80%). These details are worked out during village meetings with the affected groups and households. The funds cannot be disbursed until there is a 2/3 endorsement from village representatives. The use of the the compensation funds must also be publicly disclosed in the village.

94 Section 8. Consultation of opinions, public Participation, Disclosure and Grievances15

8.1 Consultation of Opinions

Consultation is one important procedure in the mechanism of public participation. During preparation of the project, a series of consultation were conducted, and public awareness and information sharing have been achieved.

8.1.1 Consultation during PPTA stage in 2004 Aside from the consultation conducted during the project feasibility study, 1550 persons have been consulted during the PPTA stage regarding resettlement issues. See Table 8-1.

Table 8-1 Index of Consultation conducted during PPTA consultation No. Activities conducted No. of participants 1 Prefecture consultation of opinions meetings 15*2 30 2 County consultation of opinions meetings 10*5 50 3 Consultation of opinions at inter-connecting flyover 60 4 Interviews with village leaders/group meeting 20*38 760 5 Household interviews-- 600 households 600 6 Trained Surveyor for Household interview 10*5 50 TOTAL 1550

8.1.2 Consultation of Opinions Completed in 2005 Starting from Febrary 3-8, 2005, under the leadership of SPCD, a working team, which conducted on-site consultation of opinions, distributed the information booklets to APs. The team consisted of experienced resettlement staff from SPCD, and Chengnan Expressway Company. They chose the time of the Chinese Spring Festival (when most people stay at home) to distribute RP information booklets to all affected APs in the five project district/counties and request for feedback.

The consultation meetings conducted in each county are headed by Mr. Zhao Chuansheng, who had conducted similar consultations for Xichang-Panzhihua Expressway. About 150 farmer representatives participated in the meetings and received 2000 copies of RP booklets for distribution and discussion among all APs. Through the formal and informal approach, every possible AP are aware of the resettlement policy framework and entitlement of compensation, and related opinions have been fed back to respective townships and counties. Finally, each county sent their feedback to SPCD by February 18, 2004. In review of the official feedback, basically, all counties agree on the draft resettlement plan. Based on the concerns from relevant governmental sectors and APs, some general recommendations based on policies of People’s Republic of China have been suggested to ensure APs are resettled properly.

The findings of all the consultation activities have been incorporated into the RP with the exception of compensation standards which has to be reviewed and approved by SPCD. The final approved compensation standards will be included in the revised RP based on detailed design.

8.2 Public Participation

15 This Section was prepared at the time of loan approval. More consultantation and disclosure activities have already occurred and will be reported in the external monitoring reports.

95 8.2.1 Purpose of Participation

Participation of the AP or consultation with the AP is the starting point for all resettlement activities and it is deemed a fundamental approach. AP’s active involvement in the process of resettlement, e.g. project design, plan and implementation and their participation in the formulating of resettlement policies and decision-making of other important issues, can help to select a better resettlement plan, ensure smooth implementation of the project and reduce negative impacts of the project.

8.2.2 Stakeholders in the Process of Participation

Stakeholders are those who have a direct interest in project development, including primary and secondary stakeholders. The primary stakeholders include people affected, the beneficiaries of the project, the host populations at all planned resettlement sites, and the executing agency. Secondary stakeholders are other individuals or groups with interest in the project, such as local or national government, policy makers, advocacy groups, elected officials, and NGOs. For the project, stakeholders involved in consultation process on resettlement are those who are affected by land acquisition and resettlement (including populations relocated and host populations at all planned resettlement sites).

8.2.3 Principles of Participation

The principles of participation include: a. Sharing of information. Sharing of information is the main principle of participation. Project management must be ready to share all project information (planning, design, alternative options, and possible impacts of the project) at the project preparation and identification stage. In preparation, planning and implementation process of the Project, the information that can be disseminated includes: project and its impacts, compensation policies and payments schedules, resettlement planning and possible relocation sites, implementing institutions and timetable, and procedures for grievances. b. Paying attention to key problems. PAP’s participation in preparation of RP helps to understand key problems the PAP are concerned about. c. Participation of the PAP, detailed as below:

z During the design and implementation of RP, the relocated population and the host population at planned resettlement sites shall be consulted and be invited to participate in strategy planning.

z Work with the PAP to make a final choice among the available resettlement options. These options include: different compensation and assistance plans; plans for resettling individual households ; resettlement as a part of a community or family.

z Participate in all stages of the project. All stakeholders, particularly the PAP and their representatives, shall participate in all stages of the project.

z Institutional Framework. To ensure participation of all stakeholders, particularly the PAP and non-governmental organizations in decision making in the whole process of the project, appropriate institutional framework may give the AP the opportunity to speak out problems they are concerned about, and guarantee full embodiment of the opinions of representatives of the ethnic minorities and vulnerable groups such as people without legal entity to land, poverty stricken people and females.

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8.2.4 Participation Plan

All stakeholders, particularly the PAP and non-governmental organizations, shall participate in all stages of the project. In all stages of participation and consultation process, particular attention shall be paid to the functions of non-governmental organizations in social development. Some non-governmental organizations are experienced in planning and implementing socioeconomic development project and may play positive roles in promoting self-reliance, participation and skill development of the community. In this project, involvement of non-government organizations in planning and implementation of land acquisition and resettlement will be very helpful to assist the AP to restore production and livelihood. For example, they can provide training to the AP on how to increase income and promote community development management and enhance capabilities in controling and utilizing of resources. During the detailed design stage, the potential role of NGOs will be investigated further and included in the revised RP, where applicable.

Table 8-1 is the participation plan for AP, non-government organizations and host populations at planned resettlement sites.

8.2.5 Participation Methods during Implementation of the Project

Direct Participation, including: a. Village meetings. Through meetings with villager representatives or village officials, the villager’s problems can be discussed. Opinions of villagers can be collected and suggestions from local governments can be requested. b. Enterprise/Institution Consultation Conference: The problems of relocation sites, compensation rates and etc. of these enterprises and institutions, consultations can be made with the legal representatives of the enterprises / institutions for a final agreement. c. Publicity of the Project: The PRO of SYEC is to formulate Resettlement Information Booklet as part of RP, which will introduce project impacts, compensation standards, resettlement policies, rights and obligations of the PAPs, project management organization and process of participation to the PAPs, to assist in understanding the details of RP.

Indirect Participation: a. The public can express their complaints, opinions and suggestions to the villagers’ committees, resettlement management and monitoring agencies. The PRO and CROs should provide feedback solutions accordingly to redress opinions.

8.2.6 Roles of Independent Monitoring Organization

Independent organizations (organizations independent of project organizations and PAPs, for example, non-government organizations) play roles in:

z Collecting core problems that are highly concerned by the PAPs (e.g. compensation rate, resettlement of labor, arrangement of project implementation schedule, etc) and collecting

97 complaints. z Periodically consulting the PAPs and convening meetings or discussion. z Presenting opinions and suggestions on redressing grievances.

98 Table 8-1 Project Participation Plan

Participation of Host Participation of Project Stages Key Actions Participation of AP Residents at Time Frame Non-governmental Organizations Resettlement Sites

1． Release project intent 1． Participate in public 1． Assist in making assessment 1． Provide all aspects 01-03/2004 information meetings of impact of information

2． Socioeconomic survey on 2． Determine options to 2． Provide assistance to census about the host affected regions and avoid in project design and survey of population. communities

relocated regions or minimize 3． Participate in meetings or 2． Assist to collect data 3． Identify stakeholders and resettlement team discussions. and planning.

groups 3． Assist to formulate and 4． Participate in coordination 3． Provide suggestions 4． Provide options to avoid choose all possible committees. on selection of in project design programs on resettlement sites. Project compensation, 5． Or minimize resettlement Identify all possible Identification, resettlement and conflicts with the Social 6． Formulate and choose all restoration of income. resettlement staff and Assessment possible programs on PAPs. and Survey compensation, resettlement and restoration of income.

7． Set up coordinating committees that consist of project owner, local governments and consulting committee organized by representatives of PAP’s.

1. Take a census of the 1． Help to select 1． Design and implement 1． Identify social 04-06/2004

affected population. compensation information campaign and cultural programs and facilities required 2. Discuss standard, form and 2． Assist the PAP and scope of compensation. resettlement sites. resettlement staff at by resettlement 11/2004-1/2005 sites to accept 3. Discuss the options for 2． Participate in surveys. resettlement sites to set up newcomers. restoration of income. 3． Assist to formulate the representative teams, identify problems and 2． Assist the AP to 4. Submit eligibility and compensation and planning. choose methods entitlement clauses. resettlement programs and options in restoring 3． Plan a process of of restoration of 5. Prepare compensation and income through public participation in the planning, income in host Project RP. regions. Feasibility meetings and implementation and 6. Consult the host residents 03-09/2005 Study and household survey. monitoring stage. 3． Assist to on the programs to reduce Compensation 4． Participate in meetings 4． Plan social preparation, if formulate adverse impacts. & RP with host residents. required. coordinating 7. Release land acquisition procedures for 5． Submit comments on 5． Assist to prepare and resettlement host residents and eligibility and compensation and RP. information. resettlers. entitlement clauses 6． Participate in coordinative 8. Identity the redress 4． Submit 6． Assist to prepare meetings procedures for grievance suggestions on compensation and RP. 7． Submit suggestions on and conflicts. redressing 7． Submit suggestions on redressing grievances and grievances redressing grievances mechanisms to resolve mechanisms and and mechanisms to conflicts. resolve conflicts resolve conflicts.

99 Participation of Host Participation of Project Stages Key Actions Participation of AP Residents at Time Frame Non-governmental Organizations Resettlement Sites

1. Establish a local 1． Join local 1． Assist the implementing 1． Assist the PAP 03/2005-12/200 decision-making representative team and organizations during relocation. 7

committee or local participate in the 2． Provide assistance to 2． Manage pubic representative team with activities at implementation of lands the involvement of the implementation stage. compensation and RP. 3． Participate in PAP. 2． Participate in local 3． Train PAPs to raise their local committees 2. Sign land acquisition and decision-making capacities in restoring their 4． Assist the PAPs to Project resettlement agreements. committee. income. integrate into the Implementatio 3. Non-governmental 3． Sign land acquisition 4． Assist vulnerable groups. host communities. n organizations and and resettlement 5． Assess community 5． Use the community organizations agreement. development progress and established participate in 4． Make decision on implement social mechanisms for implementing of the RP. managing public land. preparation. redressing 4. Ensure the effectiveness of 5． Use the established 6． Provide suggestions on grievances procedures for grievance. mechanisms for continuing mechanisms for redressing grievances. grievances

Monitor and assess the 1． Provide assistance to 1． Provide assistance to survey. 1. Provide 9-11/2005 –

implementation of the RP. survey. 2． Participate in monitoring assistance to 12/2007 Monitoring & 2． Participate in monitoring and assessment survey. Evaluation and assessment 2. Participate in monitoring and assessment

100 8.2.7 Participatory Survey on Opinions and Suggestions of PAPs

During the period of July to August 2004, the resettlement planning team conducted resettlement and socioeconomic surveys and introduced the detailed project information to the people along the alignment. A total of 38 copies of “Village Survey” and 600 copies of “HH Questionnaire” were collected from 38 villages and 600 households in order to understand their attitudes and suggestions. The results are shown in Table 8-2. Table 8-2 AP’s Awareness and Opinions No Questions Answers Persons % . 1 Do you know the project will affect z Yes 344 57.3% your land or houses? z No 256 42.7% 2 By what channel do you know the z Presence of design survey team 173 28.8% project? z Heard from others 366 61.0% z ADB PPTA survey team 44 7.3% z Learnt from local meetings 15 2.5% z TV and newspaper 2 0.3% 3 After land acquisition, how will you z Buy insurance 150 25.0% use the land compensation fee? z For public good construction 12 2.0% z Learn new technology 66 11.0% z Allocate between collective (C) and 372 62.0% individual (I) --of which, C:I＝30%:70% 290 C:I＝0:100% 60 4 How to use resettlement subsidies due z Farming, Animal husbandry 142 23.7% to land loss? z Sub-contract land from others 108 18.0% (This is different from replacement z Improve living conditions 100 16.7% compensation of houses) z Operate business 68 11.3% z Build houses 55 9.2% z Build house＋Business 30 5.0% z Deposit into a bank 39 6.5% z Buy insurance 28 4.7% z Pay for children’s education 15 2.5% z Buy grain 8 1.3% z Other 7 1.2% 5 z Move nearby (out of safety line) 30 11.9% Preference for new housing sites z Other sites in the village group 137 54.2% （253 households responded） z Within the same village 16 6.3% z Within township 21 8.3% z Move to towns (urban area) 49 19.4% 6 1st 2nd 3rd ALL Importance of information 1) Compensation rate 587(97.8%) 5 1 593 98.8% 2) Timing of land acquisition 3 183 91 277 46.2% 3) Process of acquisition 1 51 60 112 18.7% 4) Timing of payment 2 273 159 434 72.3% 5) Allowance for relocation 1 64 103 168 28.0% 6) Help for income restoring 2 18 144 164 27.3% 7) Irrigation reinstatement 0 1 28 29 4.8% 8) Temporary land occupation 0 1 10 11 1.8% 9) Others 4 4 4 12 2.0% Source: PPTA Household Survey, August 2004.

During the survey, the monitoring group convened meetings with the governmental officials at county, township and sub-village levels and meetings with the AP and visited households, so as to know their attitudes and suggestions on the project, compensation, land acquisition and resettlement. (1) Attitudes on the project. It is revealed in survey that:

101 z The governments along the route show strong enthusiasm for construction of this expressway. They expressed that local governments will provide full support during the process of land acquisition and resettlement as well as labor and material during project construction.

z 96.7% of the people surveyed are aware of this project. This survey also improves such awareness. However, since the project alignment has not been pegged, only 57.3% of the respondents knew that the expressway project would affect their property.

z 70.1% of the people surveyed hope this road could be constructed as soon as possible. They hold good wishes for road construction and hope that the road could be put in operation at an earliest date. “Build road if you want to become rich” has become a common awareness among the people along the route. However, 10.3% of the people surveyed recognized that the project would result in land acquisition and resettlement, and wish that the road should not be constructed. They feel that it might be difficult for them to restore their income after land acquisition, and the new expressway would cause inconvenience for them to reach their fields.

(2) Recognition of Project Benefits. The people along the alignment shared the common recognition of positive benefits by the project. 53.8% of the people think that the expressway will be very helpful to local economy.

(3) Opinions towards Land Loss and Utilization of Compensation Funds: Most APs stated that they understand and accept the national and provincial policies on land acquisition and resettlement. However, 10.2% of sample households expressed that it would be difficult to bear the loss of farmland, and hope that full land compensation could be paid to affected individuals instead of allocating the funds to land-owning collectives. These people are concentrated in Yucheng, Yingjing, and Mianning Counties, where land resources are limited, such as Wangjiaci Village in Lugu Township. 62% of respondents expressed that the land compensations should be delivered to both PAPs and related land-owning collectives. Around half of the respondents (290 households) hoped that they could receive 70% of the land compensation. One quarter of the respondents hoped to use the land compensation to buy insurance for their future livelihood. Another 11% wanted the compensation be paid to collectives to help PAPs improve their farming skills.

It should be noted that the representatives from SPCD are aware of the 10.2% of respondents who expressed their worries on land acquisition and resettlement. Since the project impact was assessed based on the survey for Feasibility Study, the alignment will be further optimized in order to minimize the land acquisition and resettlement impacts later during preliminary design and detailed design phases. When inevitable, related mitigation measures such as providing adequate access roads for the people will be adopted in the design of the project, PAPs will be encouraged to participate in income generating activities organized by local government organizations.

(4) Use of Land Compensation and Resettlement Subsidies: The farmers hoped that attention would be paid to their entitled interests and reasonable requests to ensure their future livelihood. 85.9% of the PAPs prefer direct payment of land compensations to affected household; 4.7% prefer unified management by the village groups; and 9.4% prefer reallocation of lands by village groups rather than payment of compensations. Of the total surveyed households, 23.7% think that the resettlement subsidies should be used for improving cropping and animal husbandry production, particularly for those who lose a relative small share of cultivated land. 18% respondents would like to contract land from other farmers particularly from those who obtained migrant work outside the village. Other 100 households said they will use the money improve their livelihood but do not have a detailed plan. The above accounted for more than half of the total surveyed households. The options for the rest are more diversified, such as running a business, building houses, depositing the money in a bank, and using the funds for their children’s education, etc.

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(5) Attitudes to Resettlement. For 235 potential relocated households in the survey, when asked about their opinions on resettlement sites, 72.4% of the people prefer to be resettled in their original villages, 19.4% prefer resettlement in towns16 and only 8.3% prefer resettlement in other villages of the same township. It is found from the survey that the farmers hold a positive attitude on resettlement and are willing to cooperate with the government. But they strongly request payment of resettlement compensations to be delivered directly to them.

(6) Information Needs. Households were asked to rank their information needs in respect of the land acquisition and house demolition process. They were asked to rank three preferences out of nine options. By far the highest option for APs was information about the compensation rates; 97.8% of households mentioned this as the most important information and only 2.2% did not mention it at all. The only other items mentioned by the respondents as their most important requirement were information on the schedule of implementing the resettlement and assistances for restoration of income. There are 72% and 27% of respondents respectively for these two items.

(7) Expectations on Resettlement Sites. 25.3% of the people surveyed prefer overall planning by the collective groups without charge; 60.6% prefer overall planning by the government without charge and 14.1% prefer payment from government and solving by themselves.

Local Government’s Opinion on Alignment Selection

During the county consultation meeting, the Mianning County government has recognized that the suggested alignment (D+C) will pass through nearby the densely populated Anning River Valley, which will involve considerable amount of land acquisition and house demolition. After extensive discussion among different government organizations, Mianning County has submitted a request through Liangshan Prefecture government to SPCD to change the alignment from D+C to A in Mianning County. However, alignment A has to cross several landslide gullies, which will lead to safety problems in the future; meanwhile alignment D+C definitely needs to acquisition more fertile paddy and result in more house demolition. The preferred option from SPDI side is to align the expressway near the Anning River but move further to the east in order to avoid the shortcomings of both alignments A and D+C. Based on this situation, the resettlement consultants suggested that during the Project Preliminary Design stage, a third alignment between A and D+C will be carefully selected in order to avoid land slides in alignment A, and passing Anning River Valley in alignment D+C.

8.2.8 Participation and Consultation completed During Resettlement Planning

A great deal of participation and consultation has been conducted in the affected counties, townships and villages during the process of resettlement identification and resettlement planning.

During the preliminary design survey, the selected design institutes walked through the whole alignment of 244 km, consulted with affected villages and townships, and registered affected houses and properties for each affected household.

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8.2.9 Public Participation and Consultation to be conducted during the RP Implementation

In order to ensure smooth implementation of RP and protect the basic interests of PAPs during the process of

16 Almost all of these respondents have high income from off-faming activities or business, or they live near the town area. In fact they can offer their living costs in towns where there is not much difference currently between their living circumstance in the rural area and that in towns.

103 resettlement implementation, a great deal more consultations and participation will be carried out among the affected people and communities, which will cover various aspects of land acquisition and resettlement. Specifically, they include formulation of compensation, confirmation of impact, selection of new housing sites, development of economic rehabilitation, use of compensation funds, and participation of project related activities.

(1) Formulation of Policies

The compensation rates for land and housing will directly affect the interests of the PAPs. Prior to implementation of resettlement, a series of consultations will take place between provincial project office and affected cities and counties to review and confirm proposed compensation standards. During the process, the opinions of affected villages and individuals will be collected by relevant townships and county departments. The consultation results will be declared publicly through distribution of resettlement information booklet among affected villages or through putting up posters in project areas so as to place the resettlement under public supervision. In Hanyuan County, the compensation standards and entilements had been discussed extensively during the PPTA survey period. The local officials including the county governor and deputy governors responsible for land acquisition and resettlement, and the deputy governor responsible for transportation, have assured that, after detailed planning, there would be no overlap between the PAPs affected by the expressway project and the Pubugou Hydropower Project17.

(2) Confirmation of the Impact of Resettlement

Another important step before implementation of resettlement is for the project owner to carry out detailed measurement survey (DMS). During the DMS, all affected villages and relocated families will be able to witness and confirm the measurement carried out by county resettlement officials. The result of DMS will be publicized in each affected village by relevant counties and townships. Based on the result of DMS, the RP will be updated; and detailed relocation plan and village economic rehabilitation plan will be developed.

(3) Development of Relocation Plan Based on the DMS results, each affected village will develop a relocation plan for the relocated households. Specifically, they will consult with each relocated household in order to identify potential housing sites. According to the survey, most of the affected households are willing to have their houses relocated in their current village groups and to rebuild houses by themselves. The local governments at all levels will provide assistance at different stages for house relocation. All the old houses to be demolished will be compensated at replacement cost without depreciation. Within a specified time period, the villagers can, on their will, demolish their old houses first and then rebuild the new houses or vice-versa. Salvageable material from the old houses can be used by the villagers themselves without deducting from the compensation.

(4) Village Rehabiltation Plans

For the impact of land acquisition, the main activity prior to implementation is to develop a village rehabilitation plan. Based on the result of DMS and compensation standards, the villagers will decide the main economic rehabilitation measures for the farmers who lost their land. There are basically two options based on early consultations. One is to carry out village group land readjustment to ensure sufficient farmland available for each affected farmer, and to use land compensation funds collectively by the group, which could be used to develop new farmland, improve irrigation, and so on. The other option is provide cash compensation directly to affected farmers based on the amount of land acquisitioned.

17 The direct compensation standards for hydropower project are lower than the expressway project, however, after operation, the hydropower project will provide a certain percentage of their income for the migrated APs as subsidies for their production and livelihood rehabilitation. Local officials stated that the compensation standards for both projects would be compatible; otherwise they themselves will get into difficulties in implementing policies.

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If land readjustment is made, all affected individuals in the village groups (including those indirectly affected) will participate in the land re-adjustment and redistribution process. The village group will then decide how to use the compensation funds, by distributing part of them equally among all members and use the remaining to improve farming conditions in the group. According to the ownership of land in affected area, the compensation will be paid to the villager groups and shall not used for other purpose by any individuals without approval fro the group collectives. The compensation will be used in various economic rehabilitation measures, which will be approved by the all members of villager group and under the supervision/ (with the participation) of the villager representatives.

Table 8-3 provides a brief summary of consultation activities carried out prior to resettlement implementation.

Table 8-3 Public Consultation and Disclosure Plan

Activity Task Period No of People Organizations Feedback/Issues/ Concerns Raised Formulating policies and Consultation meetings in 8/2004 to 50 SPCD, MRCs and To obtain feedback before compensation standards cities and counties 12/2004 CROs implementation Informing the public about Distribute resettlement 1/2005 to 2/2005 93 villages & Five CROs compensation booklet in 93 villages APs Confirm the scope of Conducting detailed 11/2004 to 93 villages & Five CROs resettlement impacts measurement survey 3/2005 APs Disclose the impact of Inform DMS result in 93 2/2005 to 3/2005 93 villages & SPCD & CROs Using posters resettlement villages APs Develop village rehabilitation Consutation in villages & 4/2005 to 93 villages CROs and plan groups 6/2005 townships Develop relocation plan Consutation between villages 4/2005 to 93 villages CROs and Site selection and individuals 6/2005 and 790 HH townships

Disclose the Revised RP based Revised RP posted on ADB After ADB on PD on the internet and/or EA website Approval of RP in 11/2005 Disclose information after Disclose impacts and 09/2006 to five counties SPCD and CROs DMS compensation payments after 11/2006 DMS

8.3 Disclosure of Resettlement Policies and RP

8.3.1 Publicize the Impact Survey Results

Once detailed measurement survey (DMS) is completed for the Expressway Project, the inventory of all types of impacts has been publicized to the affected people and communities. Such disclosure will be carried out to all affected people before the payment of compensation is made. This work was carried out between January 2005 and February 2005.

8.3.2 Clarify the Compensation Policies

According to the new Land Administration Law, prior to land acquisition, affected villages should be informed about the compensation scheme, which includes compensation standards for both land acquisition and house demolition. It is agreed that all compensation standards will be publicized prior to the implementation of land acquisition and resettlement.

8.3.3 Prepare and Distribute Resettlement Information Booklet

The Project Resettlement Office has drafted a detailed resettlement information booklet to ensure the local

105 government and people in the affected areas understand the details of the resettlement plan and compensation regulations and standards (see Annex 1 for details). The resettlement information booklet covers main contents of resettlement plan, compensation snatdards and resettlement policy, the entitlements and procedures for grievances. The brochures will be distributed to every household within the project area as soon as the booklet is approved. At least six months before implementation of resettlement, relevant land acquisition and relocation announcements are posted using easy language that villagers readily comprehend through local newspapers, radio and television broadcasting or bulletins to propagate resettlement policies, compensation standards and channels for complaints in towns and villages affected. The Resettlement Plan document has also been made available in county and township offices, and placed in local libraries to facilitate the villagers to read.

8.3.4 Convening Meetings

Public meetings have been held to explain relevant policies, laws and rules and compensation criteria in detail so that the PAPs can understand these policies before the implementation of the land acquisition and resettlement.

8.3.5 Information Feedback of Implementing Agency

Information feedback has: Continued to strengthen consultation and project information publicizing. PRO of SYEC has publicized the road construction plan and national laws & policies on land acquisition to the people by using consultation, broadcasting, TV and other media. Meanwhile, environment protection and engineering departments are closely consulted on better design of environment protection and passages. Helped set reasonable compensation rates for land acquisition, housing, crops and asset loss. SYEC has fully discussed the issue of compensation rate with the MROs and CROs and reached an agreement after consultation with affected villages and enterprises/institutions. Inventory survey of AP. In the survey program for the project impacts on housing, land attachments and assets, the losses of the affected persons are thoroughly reflected.

8.4 Grievances and Redress

To ensure rehabilitation and improvement of the affected persons’ production and livelihood, the PRO of SYEC closely consulted with the affected persons to reduce complaints. But as the losses incurred to the affected persons are diversified, complaints are inevitable. A mechanism should be set up to provide AP with opportunities to complain and to solve problems.

8.4.1 Grievances

Contents of grievances include any aspect of resettlement, for example, house compensation, quantity of assets, land distribution, selection of rebuilding sites, and income loss, relocation fees and compensations during house rebuilding, etc.

8.4.2 Grievance Procedures

Step 1: The affected persons submit oral or written petition/complaint to villagers’ committee or township resettlement team. For oral complaint, villagers’ committee or township resettlement team must make written records properly and give a clear response within 2 weeks. If the complaint involves significant

106 problems, response must be obtained from the higher resettlement department within 2 weeks.

Step 2: If the complainant is not satisfied with the response in Step 1, they can appeal to the CRO within 1 month of reception of the response in Step 1 and the CRO deals with the grievance within 3 weeks. Step 3: If the affected persons are still not satisfied with the response of CRO, they can appeal to the MRO within 1 month of reception of the reply in Step 2, and the MRO gives response within 4 weeks.

Step 4: If the affected persons are still not satisfied with the response of MRO, they can appeal to the PRO within 1 month of reception of the reply in Step 3, and the PRO gives response within 4 weeks.

Step 5: If the affected persons are still not satisfied with the response in step 4, they have the right to appeal to the civil court within 15 days of reception of the response.

The grievance procedures will be operative throughout the entire construction period so that they can be used by villagers to deal with problems relating to rehabilitation of infrastructures, such as the reconstruction of irrigation networks, the positioning and design of drainage culverts and pedestrian underpasses, local road access, the use of temporary land, etc. In this way villagers will have an effective procedure to bring these matters to the attention of SYEC and the contractors, as well as a forum, for their timely resolution. As an additional measure, village leaders will be provided with a name and contact point (eg. telephone number), to whom they can raise matters relating to the expressway's construction as and when they arise.

8.4.3 Grievance Redress Principle

The resettlement offices at each level must perform on site investigations on the complaints from the people and closely consult with them on their opinions before providing practical and justified redress opinions in accordance with the principles and standards specified in national laws and RP. The complaints that could not be solved must be timely submitted to the higher resettlement department, and the PRO offices at each level are required to provide assistance on investigations.

8.4.4 Contents and Form of Reply to Complaints

(1) Contents:

• Description of the complainants’ grievance; • Results of investigations; • National policies, and the principles and standards specified in RP; • Resolution and its basis; • The complainant has the rights to appeal to the higher resettlement department or to the courts, with legal costs to be paid by the project executing agency.

(2) Form of Response:

• For complaint concerning individual case, the response can be directly delivered to the complainant in written form. • For complaints frequently addressed, notify the local village or sub-village by convening village meeting or issuing documents. • No matter what form of response, the responding documents must be delivered to the resettlement department by which the complainant is governed.

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8.4.5 Grievance Report

During implementation of RP, the resettlement department shall make proper records and management of the complaints and solutions, and report them to the provincial LRR office in written form monthly.

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Section 9. Monitoring & Evaluation

In order to guarantee that the RP can be smoothly implemented and the resettlement target suitably realized, the follow-on fact finding and monitoring will be carried out throughout the whole process. Monitoring on the resettlement will be divided into two parts, i.e., internal monitoring (by the resettlement offices) and the external independent monitoring. Due attention should be paid to gender issue and ethnic groups; both internal and independent monitoring should collect gender disaggregated data and report specifically on the findings whenever possible.

9.1. Internal Monitoring

9.1.1. Target and Task

The target of internal monitoring is to maintain supervision of the resettlement organizations as specified in the RP during implementation, and ensure that the project can be constructed smoothly and the resettlers’ legal rights will not be impaired. The auditing department of the provincial government will independently exercise the auditing monitoring function over concerning units under its jurisdiction in accordance with the laws and regulations. The superior units assume the responsibilities for monitoring their subordinates so that the RP principle and schedule can be followed.

9.1.2. Institution and Staff

The internal monitoring for land acquisition and resettlement will be held by the project resettlement office, and be performed by five country resettlement offices, townships and villages. To make the internal monitoring effective, full-time staffs will be assigned within all the resettlement offices at all levels. All of them are those who have participated in the compilation and implementation of the RP, and they will carry out the internal resettlement monitoring during the project implementation.

9.1.3. Monitoring Contents

The main contents to be monitored for internal monitoring are shown as below: (1) Allocation and utilization of the resettlement compensation funds (2) Selection and allocation of new house plots (3) Rebuilding of private houses (4) Support to vulnerable groups and households facing high income restoration hardships (5) Employment of the PAPs (including women) (6) Quality and quantity of new developed land (7) Adjustment and distribution of the remaining farmland (8) Distribution and utilization of land compensation and resettlement subsidy (9) Restoration of special facilities (10) Scheduling of the work above mentioned (11) Implementation of the policies in RP (12) Public participation and consultation during implementation (women’s involvement and their opinions) (13) Grievances and appeals, the process and the results

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(14) Staffing, training, work schedule and working effectiveness of resettlement offices at all levels. (15) Livelihood training by gender and ethnic groups

9.1.4 Monitoring Procedures

(1) The PRO will develop an internal monitoring framework to supervise the resettlement activities, and will establish a database for the land acquisition, housing relocation and resettlement, and will monitor the whole process of the resettlement.

(2) During the implementation stage, the resettlement offices at all levels will establish relevant sections of the database and update them along with the resettlement progress for planning the resettlement work in their own regions. They will also timely transfer the on-going activity records and report the resettlement implementation progress to the resettlement office at above level so that a continuous monitoring can be realized.

(3) In the above internal monitoring system, a set of resettlement information table formats will be developed so that detailed land acquisition and resettlement information could be collected from village to the project resettlement office. The county (city) resettlement offices and township resettlement groups are important chains in the internal monitoring system.

(4) The resettlement work will be periodically checked and inspected by the PRO. It will prepare a quarterly summary progress report which will be submitted to ADB.

9.1.5 Reporting

After starting of the resettlement implementation, resettlement progress reports will be submitted at least once every three months from the lower resettlement offices to the higher resettlement offices; According to the reports submitted from resettlement offices at all levels, and prior to every March 30, June 30, September 30, and December 31, the PRO will submit a report to ADB indicating the resettlement progress. Upon the completion of land acqusition and resettlement, a resettlement completion report will be prepared and submitted to ADB.

9.2. External Resettlement Monitoring and Evaluation

9.2.1. Target and Tasks

The external monitoring and evaluation (M&E) undertaken by an institution independent to the resettlement execution institutions is to monitor and evaluate whether the target of the land acquisition, resettlement and relocation activities are realized. Through the process, evaluation opinions and proposals will be put forward on the resettlement, housing relocation and restoration of the resettler’s living standards, and to provide prediction and alarm system to the project management, and reflecting channel to the resettlers One important criteria for selection of the external M&E team is that experience on gender sensitive projects is preferable; the obvious reason is that all activities related to M&E should be conducted with a gender sensitive perspective. A Terms of Reference for External M&E will be prepared in the revised RP based on detailed design survey.

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The external monitoring institution will report independently to the Project Leading Group for Resettlement and the Project Resettlement Office. It will conduct follow-up investigation, monitoring and evaluation of the resettlement activities according to the RP and provide advice for decision-making and mitigation measures.

9.2.2. Institution and Staff

According to the PMO’s initial arrangement, an experienced and qualified domestic institution will be entrusted to carry out the external M&E works. The institute will provide technical assistance to the PRO and conduct survey of resettlement and living standards of the PAPs as well as all basic monitoring work. The institute will prepare annual and semi-annual report for submission to PRO and ADB.

9.2.3 Main Indicators to be Monitored and Evaluated

A. Main Indicators for Monitoring

(1) Progress: including preparation, implementation of land acquisition, relocation and resettlement. (2) Quality: including civil construction quality and degree of resettlers’ satisfaction. (3) Investment: including allocation and use of the funds. (4) Monitoring compensation payments, identifying adequacy of planning and implementation, restoration of livelihoods, timeliness of corrective actions.

B. Main Indicators for Evaluation

(1) Economic conditions: household economic development before and after resettlement, including assets, production materials, subsistence materials, income, etc. (2) Environmental conditions: living environment before and after resettlement, including traffic, culture and education, sanitation, commercial service facilities, etc. (3) Employment: change in employment, including employment rate, assistance to the different PAPs, especially women, the vulnerable and minority families. (4) Development in community: local economy in resettlement host sites, environmental development, neighborhood relation, and public opinions after resettlement. (5) Conditions of Vulnerable Groups and Minorities: including before and after situations of ethnic minorities, poor households, disabled, elderly, children, women, etc.

9.2.4 Monitoring and Evaluation Methods

Monitoring and evaluation will be performed on the basis of the survey data provided by the survey design institution and resettlement implementation institutions. With an overall understMianning of the situation, the evaluation will be performed by sample survey, key informant interviews and rapid rural appraisal techniques. Typical samples, including resettled households, affected villages and Townships will be selected to establish evaluation index system for different types of PAPs. Experienced experts will be invited to decide in a back-to-back way the weights for different indexes. Referring to the updated research output on living quality both in China and abroad, the indexes will be non-dimensionally treated, and the survey results will be analyzed and the computation results evaluated and compared. In addition to typical samples, there will also be focused investigation of vulnerable groups. Generally, the external monitoring and evaluation institution will carry out

111 the following work.

A. Survey of resettlers’ living standards

A base-line survey will be conducted for this project, including the collection of selected samples of the base-line living standards of the resettlers. (The preliminary samples will be randomly collected). The living standard will be investigated once a year to monitor the variation in the resettlers’ living standards. The necessary data can be obtained by periodical survey, random interview and site visit, based on which statistical analysis and evaluation are performed. There will also be targeted survey of vulnerable groups.

The survey comprises various indicators of living standards. Some of the indicators will be used for weighing the dynamic variation of living standards before and after the land acquisition and resettlement. The selected indicators will be checked to see whether they are reasonable in reflecting the actual production and living levels in the base-line survey and are subject to modification according to the actual conditions, so as to guarantee the message obtained reflects the quality and quantity of the real situation.

Sampling scale: resettlers: 15% (of which 10% is targeted at vulnerable groups), sample villages by land acquisition: 15%.

B. Holding public consultations

The independent monitoring and evaluation institution will participate in the public consultation conferences held by the villages and townships. By this method, the institution can evaluate the effectiveness the public participation and the cooperative attitude of the resettlers towards the RP implementation, particularly among affected women villagers. Such activities will be conducted during and after the resettlement implementation with a gender sensitive perspective.

C. Gathering resettlers’ opinions

The independent monitoring and evaluation institution will often interview the township resettlement offices and villagers to know the opinions (gender specific) collected from the resettlers and interview the resettlers who have grievances. The institution will report the opinions and suggestions from affected individuals and collectives to the Project Resettlement Office, and provide advice for improvement, so that the resettlement implementation can be more smooth and effective.

D. Other responsibilities

The independent monitoring and evaluation institution has provided advice to the project resettlement office in preparation of the RP, and will monitor the following activities in the process of implementation.

(1) Selection of resettlement sites, (2) Construction of houses, (3) Production arrangement and rehabilitation (and use of funds), (4) Support to the vulnerable groups and households facing income restoration hardships, (5) Relocation of private-owned shops, (if there are any) (6) Re-construction of special facilities, (7) Payment and amount of the compensation,

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(8) Resettlers’ transfer, (9) Employment of laborers (by gender and ethnicity), (10) Training (by gender and ethnicity), (11) Schedule of the items above mentioned, (12) Organizational efficiency for the resettlement, (13) Use of compensation of the collective-owned land (14) Resettlers’ income restoration (by gender and ethnicity), (15) Employment of the surplus laborers and income increase of them (by gender and ethnicity).

9.2.5 Working Processes

(1) Preparation of monitoring and evaluating outline, (2) Identify computer software for monitoring and evaluating of the resettlement, (3) Drafting the investigation outline, survey forms, and record cards for sample villages and sample households, (4) Design of the village and household social-economic and opinion surveys, (5) Carry out base-line surveys, (6) Establishing the information system for monitoring and evaluation (7) Investigation for monitoring — Community socio-economic survey — Resettlement implementation institutions — Village survey — Household survey — Survey of other affected objects (8) Sorting of monitoring information and establishment of database (9) Comparison analysis (10) Preparing a monitoring and evaluation report each half a year during implementation, and annual report during two years after the completion of resettlement,

9.3 Reporting

9.3.1 Internal Monitoring Progress Report a. Periodicity

After starting of the resettlement implementation, resettlement progress reports will be submitted every quarter from the lower resettlement offices to the higher resettlement offices; According to the reports submitted from resettlement offices at all levels, and prior to every March 31, June 30, September 30, and December 31, the PRO will submit a report to ADB indicating the resettlement progress. Upon the completion of land acqusition and resettlement, a resettlement completion report will be prepared and submitted to ADB. b. Format and Contents

The format of the resettlement progress report by the PRO will be prepared to meet the requirements of the

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ADB. The format of the report usually comprises of two parts: a) the context describing in detail the resettlement progress and payment and use of compensation, the progress, problems and difficulties met in the implementation, and the corresponding resolutions; and b) forms and lists mainly showing statistical data of previous six months, which reflect the progress by comparison of the actual and planned land acquisition, house removal, reconstruction and use of compensation. Some formats are provided in Table 9-1 and Table 9-2.

Table 9-1 Progress Report of Land Acquisition and Resettlement

Department: ______Deadline for Reporting Contents: Date Month Year Date completed: Date Month Year Planned Items Unit Completed Accum. total Proportion amount Fund allocation Private houses rebuilding PAPs moved to new housing Old houses demolition Reconstructed public buildings Electric line reconstruction Communication lines recovering Land acquisition Land readjustment Reporter: Signature (Person-in-charge)： Official seal：

Table 9-2 Implementation Progress of Resettlement Fund Usage

County (City) Township______Data up to: Date Month Year Date completed: Date Month Year Investment required Compensation /Subsidy Affected unit Description Unit/Quantity (￥) received (￥) village village Reporter: Signature (person-in-charge): Official seal： Notes: “Description” will be filled with such as construction of irrigation facilities (canal (m), pump station (no.)), domestic animals farming (such as sheep, chickens, ducks), land improvement (dry land to paddy field (mu)), establishing of enterprises and labor force employment, etc.).

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9.3.2 Resettlement Completion Report

SYEC will be responsible to prepare a resettlement completion report after the resettlement activities are essentially completed. This report will provide comprehensive details on the implementation of resettlement, including land acquisition, house demolition and relocation, village rehabilitation, livelihood and income restoration measures, resettlement costs, schedules, and grievances. The report will be submitted to ADB prior to the last independent evaluation of resettlement.

9.3.3 Independent M&E Report

Monitoring and Evaluation institution will report on the work that they undertake within one month after completion of the work. When submitting the resettlement progress report to ADB, PMO will attach the resettlement M&E report received from Monitoring and Evaluation institution annually.

1) Periodicity

In accordance with the ADB’s requirement, after commencement of the resettlement, the monitoring and evaluation investigations will be carried out twice a year, and when resettlement activities are completed, annual evaluations work will be carried out twice, or until affected people have fully restored their livelihoods, income levels and living conditions.. Most of work for land acquisition, housing demolition and resettlement of this project will be completed by December 2008, so the work for independent monitoring and evaluation will be conducted 6 times (including baseline survey). In December 2007, the M&E baseline household survey was carried out. Monitoring will commence in December 2007 and the first M&E report will be submitted to SYEC and ADB in March 2008. Subsequently, four M&E reports will be submitted in September 2008, March 2009, December 2009 and December 2010.

2) Contents

(1) Resettlement base-line survey (2) Land acquisition, housing relocation and resettlement schedule (3) Production restoration and rehabilitation (4) Housing demolition, relocation and reconstruction (5) Resettlers’ living standards (6) Availability and utilization of the resettlement funds (7) Evaluation of operation and efficiency of the resettlement implementation institutions (8) Support to vulnerable group and households facing income restoration hardships (9) Problems and recommendations (10) Follow-up on previous problems and mitigation actions.

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Annex 1 - Resettlement Information Booklet (Disclosed in February 2005)

1. Objectives of RP Booklet

The primary objective of the RP Booklet is to provide a brief about the project, particularly the compensation principles and resettlement benefits, and how and when the compensation and other payments will be paid to the project-affected persons/collectives. This is part of the information dissemination work aimed at disclosure of the project policies and procedures regarding land acquisition, resettlement, compensation, payment, and provision of grievance redress and appeal procedures. The EA will distribute the Information Booklet to the APs prior to the detailed measurements survey. Copies of the Booklet would be available at Land Acquisition and Resettlement (LAR) Offices in each District/County, Township and Village Committees.

2. Project Description and Impacts

The Project will involve the construction of Yalu Expressway, with a total length of the around 244 km and related connection roads. The total estimated budget for the project investment is CNY133,000 million. The proposed Yalu Expressway (including connecting roads) will affect 29 townships and 93 administrative villages in 5 counties, namely, Yucheng District, Yingjing County, Hanyuan and Shimian Counties in Ya’an Municipality, and Mianning County in Liangshan Prefecture. According to the impact survey during feasibility study, about 1,400 ha of land will be acquired, about 56 percent of which is farmland, comprising paddy (21 percent) and dryland (35 percent). The remaining 44 percent is forestland, fruit trees, housing plot and wasteland. Approximately 250 ha of land will be occupied temporarily during the construction phase. Based on per capita farmland in affected villages, the farmland acquisition will affect 20,237 persons (losing all their farmland). Assuming each household has 4 persons, the total affected households would be 5,711.

3. Compensation Policy and Rates

Policies regarding compensation and resettlement for the APs in the project are based on a combination of the PRC laws and regulations and ADB’s policy on involuntary resettlement. The primary objective of the RP is to restore the income and living standards of the APs in post-resettlement period and with as little disruption as possible in their own economic and social environment. Particular attention has been paid to needs of the poorest and vulnerable groups to be resettled. The RP has been prepared with this as the guiding principles. The principles are summarized in Table 1. In this project, compensation rates have not been fixed yet, and once these have been fixed, it will be included in this booklet for distribution.

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Table 1. Resettlement Principles

Principles 1 That compensation and entitlements provided to APs are adequate to at least maintain their “without project” standard of living, with prospect of improvement. 2 All APs, titled or non-titled, are taken into account for compensation and resettlement assistance. 3 Land redistribution will ensure per capita minimum holding in post-resettlement period to maintain livelihood standards. 4 Where land acquisition per capita is not sufficient to maintain livelihood, compensation in cash or kind for replacement land for other income-generating activities will be provided for. 5 All APs will be adequately informed on eligibility, compensation rates and standards, livelihood and income restoration plans, project timing, and will be involved in RP implementation. 6 No land acquisition will take place prior to adequate compensation be paid for resettlement of APs. 7 The EA and independent/third party will monitor compensation and resettlement operations. 8 Vulnerable groups should receive special assistance or treatment to ensure they are better off. 9 Resettlement affected people should have opportunities to benefit from the project. 10 Resettlement plan should be combined with the overall county/district or township planning.

4. Payment of Compensation

Compensation for affected land and public infrastructure belongs to farming collectives and will therefore be paid directly to the Villager Committees for the utilization of developing the production, rehabilitating the economic level for affected persons. Where adequate land is not available, cash compensation will be paid to individuals/families affected by loss of cultivable land.

Compensation subsidy due to land loss will be paid to the agency that is responsible for resettling the agriculture population while resettlement subsidy will normally be paid to the Villager Committees/Groups that are affected or redistributed. If they do not receive redistributed land and want to resettle by themselves, it will be paid to affected individuals. The compensation for houses, special purpose facilities, auxiliary facilities and crops not matured will be directly paid to the owners. Compensation for affected enterprises will be paid directly to the respective enterprises. The entitlement matrix in Table 2 contains detailed description of the policy and implementation issues.

5. Transition Allowance

In addition to the compensation for houses and land, the affected persons will also receive allowances for relocation and resettlement. All APs affected by house/apartment/shop will receive the following allowances (the temporary housing will be based on the AP’s needs): (i) material transport expenses, CNY500 per household; (ii) transitional cost for temporary housing, CNY500 per household. There will be no allowance for any households provided with temporary housing by the project LAR agency, or for the households whose existing homes shall not be demolished until after completion of construction of their new houses. Proper allowances will be paid for loss of production or business resulting from the demolition of the houses used for businesses.

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6. Participation in RP Planning & Implementation

The EA already consulted with affected local government at various levels and the representatives of affected persons and enterprises through meeting at the Feasibility Study stage and initial preparation stages. During the survey and design stage, AP will be involved in the following activities: (i) alternative alignment to further minimize impact; (ii) classification and measurement of affected land, houses, enterprises; (iii) survey and inspection of trees, water wells, walled enclosures, graves etc; and (v) survey and reconfirmation of hydrology, electrical supply, communication and other infrastructures.

At the implementation stage, APs will be involved in carrying out the following tasks: (i) determine the scope of compensation and compensation rates; (ii) agreements on compensation; (iii) selection of new resettlement sites; (iv) redistribution of land; (v) utilization of compensation funds at village level; (vi) decision of grievance appeals; and (vii) RP monitoring and investigation.

7. Grievance Procedures

During the actual implementation of the land acquisition and the resettlement of displaced population, if the affected population have any problems, grievances and discontent regarding land acquisition, housing demolition, compensation payment and resettlement, they may appeal to either (1) the project owner, (2) the external independent monitoring institution, (3) the township and the county land administration department, (4) the county government or (5) legal action. Normally the procedures for grievance redress are as follows:

Step 1: The affected persons submit oral or written petition/complaint to villagers’ committee or township resettlement team. For oral complaint, villagers’ committee or township resettlement team must make written records properly and give a clear reply within 2 weeks. If the complaint involves significant problems, reply must be obtained from the higher resettlement department within 2 weeks.

Step 2: If the complainant is not satisfied with the reply in Step 1, it can appeal to the CRO within 1 month of reception of the reply in Step 1 and the CRO deals with the grievance within 3 weeks.

Step 3: If the affected persons are still not satisfied with the reply of CRO, they can appeal to the Municipal Resettlement Office (MRO) within 1 month of reception of the reply in Step 2, and the MRO gives reply within 4 weeks.

Step 4: If the affected persons are still not satisfied with the reply of MRO, they can appeal to the Provincial Resettlement Office (PRO) within 1 month of reception of the reply in Step 3, and the PRO gives reply within 4 weeks.

Step 5: If the affected persons are still not satisfied with the reply in step 4, they have the right to appeal to the civil court within 15 days of reception of the reply.

The grievance procedures will be operative throughout the entire construction period so that they can be used by villagers to deal with problems relating to infrastructure rehabilitation, such as the reconstruction of irrigation networks, the positioning and design of drainage culverts and pedestrian underpasses, local road access, the use of temporary land, etc. In this way villagers will have an effective procedure to bring these matters to the attention of SYEC and the contractors, as well as a forum, for their timely resolution. As an additional measure, village leaders will be provided with a

118 name and contact point (eg. telephone number), to whom they can raise matters relating to the expressway's construction as and when they arise.

Attachment: Decree of No.39 issued by Sichuan Provincial Government on land acquisition (photo copy of original document will be attached when the booklet is distributed to APs).

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ANNEX 2.RESETTLEMENT SURVEY METHODOLOGY AND QUESTIONNAIRES

Field Survey Plan for Resettlement Specialist I. Brief Introduction

During the Feasibility Study phase, no formal draft resettlement plan (RAP) had been prepared by the EA and no social-economic survey conducted. Based on the limited information in the draft RAP provided by EA (six pages), the total affected people (AP) are estimated at 27,565 persons18, of which, 25,000 would be affected by land acquisition, 2,460 persons would be affected by house relocation and 105 persons would be affected by non-residential house/building relocation.

II. Household Survey Sampling

Based on ADB requirement, the survey sample should be no less than 10% of total APs, and no less than 20% of the seriously affected households. To achieve the goal, the total sampled number of households will need to be 600.

The total number of project-affected households is derived from the total affected persons estimated by SPDI -27,565 persons- (including overlap of those people who will be affected from both land acquisition and household demolition) and given that there are an estimated 6 persons19 in each household then the total households to be affected would be 4,594 households, however the Xichang-Panzhihua survey in 2001 showed 4.6 persons in each household so, based on this, the total households to be affected would be 5,992. Using this figure and assuming half of the APs who lose land will also be affected by land loss, then the total number of households to be affected would be 5,725. Therefore, 600 sampled households will be considered sufficient for the RAP preparation.

In the EIA preliminary documents sensitive points where listed that indicated that 750 households would be targeted for protection. Although not all the 750 households will be affected by land acquisition and resettlement, it is most likely the people in these sensitive points will formulate the majority of seriously affected. Thus 200 households will be selected from these areas in order to select no less than 20% of seriously affected.

In addition, large land acquisition and/or resettlement will occur in the areas where interchanges are proposed in the project feasibility study, thus sufficient sample households will be selected in the interchange areas.

18 This estimate was made by SPDI based on a completed Liangping-Wanxian Expressway project, which is similar to this project in terms of topographic and alignment location features. 19 According to SPDI estimation based on their field survey experience, the average members in each household in the project area are 6 persons (it will be verified during the social-economic survey).

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HOUSEHOLD QUESTIONNAIRE Resettlement Socio-Economic Survey-----Ya’an – Lugu Expressway

Interviewer:______, Date:______; Type of surveyed households: Land loss only ( ), House loss only ( ); Both losses ( ) Economic situation of surveyed households: wealthy ( ); average ( ); poor ( )

Note: The information you provide us will be treated with strict confidentiality. The only information to be published will be the aggregation of individual questionnaires.

______County, ______Township, ______Village, ______Village Group

Name of respondent: sex How many people living in your household? ______.

BASIC HOUSEHOLD INFORMATION:

Relationship Current with head of Sex Nationality Age Work Education Occupation Second Residential household Ability occupation Location Head of h.h.

1. Landholding and Farming

Currently, cultivated land allocated to your family under the household responsibility system is ______Mu, Of which, irrigated land ______Mu; Dry land ______Mu; Orchard ______Mu, Other land (eg slope) ______Mu.

Your current household responsibility system contract over land commenced in what year? ______. How many of the household members do not have land.______. How many years is the contract for? ______

Please provide the grain and cash crop yield of your family during the most recent 12 month farming cycle.

Type of Land Type of Output Sold by Household Unit price (Y/Jin) Remark Crop (Jin) (Jin or roughly %) Paddy land

Dry land

Orchard/ Fruit tree

How many non-fruit trees are there on land that you control? ______

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2. Please provide details about your house and outhouse structures.

Assets and Fixtures Types Structure Current Price House a. Concrete and brick Pig Sty or Animal Shed b. Brick and wood Enclosure Walls c. Mud and wood d. Wood e. Simple structu Sunning Ground f. Concrete, Graves g. Stone h. Earth Type of Water Supply i. Tap in house Tap in yard Well in yard Outside Type of Toilets Lavatory Latrin Others/Pigsty Electricity (line) Yes No Cable TV services Yes No

3. Please list equipment and facilities which you own and which you use for your farm production/off-farm income generation.

Items used for Farming Item Numbers Item Numbers Agricultural trucks Hand-drawn carts Large & medium tractors Irrigation pipes/hoses (m) Small size tractors Water pumps Threshers Draft animals Animal-drawn carts Weaving Loom Mechanical Grain Grinder Other (please state)

4. Please indicate the number of durable consumer goods owned by your household

Items Numbers Items Numbers Motor Tricycle Black and White TV Motorcycle Color TV Vehicle VHS/VCD/DVD Player Electric Fan Sofa Washing Machine Solar Energy water heater Refrigerator Others

5. During last Springing Festival, (1) How much money did your household spend? _____(Y).

And (2) during which how many animals did your household slaughtered? ______(Pigs, sheep, cattle, etc)

EXPRESSWAY RELATED QUESTIONS:

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6. Do you know if land acquisition for the Expressway will affect the land you farm and/or your house? Yes/No

7. When and how did your household first learn of the proposed Expressway? Year ______How? ______What do you know?______.

8. If the answer to the previous question is “Yes”, have you been asked by officials for your opinions regarding the Expressway (for example, where the passageways should be put, whether the alignment should change for local geophysical or cultural reasons, etc.) Yes No 9. Only when the Expressway’s Detailed Design is completed and the white lines are marked on the ground, will it be clear which land will be acquired and which houses will have to be demolished. Compensation will be paid according to regulations under the new Land Administration Law.

However, if one quarter or more of your contracted land under the household responsibility system is acquired for the expressway would you want: (i) Your land-owing co-operative to buy insurance for you, OR

(ii) Used for public welfare purposes, OR

(iii) Compensation paid to the co-operative to be used to support you in mastering new income-earning opportunities which will restore the loss in household income due to Expressway land acquisition.

(iv) All the land compensation fees are paid directly to the land losers and their village groups based on the proportion of VILLAGE GROUP:INDIVIDUAL=8:2; 3:7; 4:6; 5:5; 4:6; 3:7.

10. If you prefer 9 (iii) above, which replacement income-earning opportunities would you like to pursue? ______New technology to obtain higher yields from less land. ______Other (Please specify)

11. If you lose land to the Expressway and get paid directly the compensation, what will your household do with the money? ______

12. (Household with house loss only skip this question) Would you wish the co-operative to use part of the land acquisition fees it would receive to reclaim land for cultivation to make up for the land your household may lose? Yes No

13. (Household with land loss only skip this question) If your house falls within the white line, and you have to move to a new house, where would you like your new house to be sited? ______Very close to your old house by moving back a little. ______To another suitable site within the area owned by the co-operative. ______To a suitable site outside my co-operative, but within the administrative village. ______To a suitable site within the “xiang” but outside the village. ______To an urban site.

14. What information would you most like to know about land acquisition and house demolition before the land acquisition process starts? (choose most important 3, ranked 1,2, 3)

(i)______Compensation Rates

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(ii) ______Timing of acquisition (iii) ______Process of acquisition (iv) ______Timing of compensation payments (v) ______Assistance with house relocation (vi) ______Assistance with income restitution (vii) ______Plans to avoid disruption to farming irrigation system. (viii) ______Requirement for temporary occupation of land (ix) ______Other, (Please specify) ______

15. What advantages/issues do you anticipate for your household with the construction and operation of the Expressway? Advantages:______issues:______

Information on household cash income/cash expenditure

16. Please indicate your current household’s Total Cash Income.

Item Cash income (￥) TOTAL cash income during July 2003—June 2004:______Yuan Cash Income from Of which, Cropping: Fishery production: farming Livestock: Dairy production: non-farm business Item Yes / No Amount (￥) Agro-processing (eg grinding grain) Salary from local mines or enterprises Other salary income (e.g., teachers) Migrant Labour Earnings from craftsman Retail Store Income from transportation services Other

17. Please indicate your household’ approximate (annual) cash expenditure in during July 2003—June 2004

Item Amount (￥) Item Amount (￥) Annual total expenditures： 1. Expenditure for food 8. Chemical fertilizer 2. Expenditure for clothing 9. Seeds 3. Expenditure on House (repairs, 10. Other production costs extensions, furniture) 4. Education 11. Levies and taxes 5. Healthcare 12. Cost for animal/ feed 6. Bus fare 13. Buying machinery 7. Cultural Activities (including 14. Others (e.g., fuel spare weddings, funerals) and recreation parts, etc.

If the expenditure in item 17 is greater than the cash income in item 16, then ask whether they have: Money borrowed (from friend or relatives): Yuan Loan borrowed Yuan Thank you for your time!

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Village Checklist for Resettlement Social-Economic Survey Of Ya’an—Lugu Expressway (Part of National highway 108) Project We are working with SPCD for the Ya’an-Lugu Expressway project, we are pleased that you can provide relevant information. Be sure we will keep your information confidential and all the data used in the report will be integrated data. County: Township: Village Committee: Village group: Interviewer Interviewed village leader Date: Note to interviewers: The purpose of these questions is to obtain a general impression of the main social and economic dynamics of the village. In many cases, numeric information is not required or will not be available; in these cases, approximate answers indicating the main trend, or characteristics should be obtained. A conversational approach should be adopted throughout. There is no need to follow the order of the checklist if the conversation goes in different directions.

A. BASIC INFORMATION A1. ACCESS Distance Distance Distance Topographic Distance from from from Road Road from main feature township county nearest Surface condition road town market Valley/gully/ Earth/ Good/ hill/mountain Gravel/ average/ paved poor A2: SOCIAL AND PHYSICAL INFRASTRUCTURE Electricity Access: Yes( ); No( ) Water supply／nearest distance: Kindergarten/Primary school/distance： Middle school／distance to nearest one: ( )/( ) / ( km) Clinic: Telephone (home/mobile) Feul type: firewood( ), coal（ ）,biogas（ ） Distance to obtain fuel: A3: HOUSING New houses in recent 2 years >2 storey building： ；brick structure： ；wood structure: mud adobe:： ；Others: Area approved for housing site: square meters A4: OWNERSHIP OF VEHICLES Cars: Agricultural trucks: Minibus: Tractors: Motor tricycles: Motorcycles

B ECONOMIC ACTIVITY B1 AGRICULTURE Cultivated land Food subsistence households: ； Paddy land mu Food shortage households: ；（shortage for months） Dry land mu Food surplus households: Rotation land mu (Either no. of households or use percentage) Reserved land (if any) mu

Beside cereal crops, what cash crops grow in your village 。 How many households(％) can get income from animal husbandry (for sale)? 。 What are the changes in agriculture in recent years？What causes the changes？（ e.g. new varieties introduced,

125 planting area change, yield change, price change, etc）.

Types of marketing produce? Where and how marketing?

Prices for major agricultural produces paddy corn Potato 2004 2003 Prices for Local major agricultural production inputs carbamide (NH4)2CO3 2004 2003

B2: NON-AGRICULTURAL ACTIVITY Approximately what proportion of households have at least one member working outside the village for months at a time?

Approximately what proportion of these workers are female?

What is the trend for migrant labor working outside (number of persons increase or decrease)? And reasons.

SECONDARY INDUSTRY: quantity and scale

How many migrant labor working in this village (migrant-in from outside)? What are their main jobs？

TERTIARY INDUSTRY: please specify the type of business and scale.

B3: INCOME Note: The objective of this question is to get some idea of the variation in incomes within the village. This information is difficult to obtain and may require more detailed questioning. The respondents are likely to find it difficult to answer so discretion is required.

Please rank in order of importance the following sources of farmers’ income? (insert 1,2,3,4 in appropriate boxes) Grain Cash crops Livestock Migrant Local non-farming Other（specify） production labor activity

What was the per capita net annual income in the village last year? Yuan

Income distribution (result of ranking and discussions) Income <675 675-900 901-1500 1500-2000 2000-2500 >2500 (Yuan/capita/yr.) proportion（%）of all households No. of poor HHs? No. of 5-guarented HHs? What are the characteristics of those low income households (eg. aged, infirmity, lack of land)?

C SOCIAL SECURITY

Except the 5-guarentee system, which social security measures can the farmers benefit from? 1．Rest house for aged 2．Healthcare services

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3．Provide subsidy to or exemption of student fee 4．Buying endowment insurances or accident insurance for each villager 5．Physical examination of villagers yearly 6．Others (please specify)

D ROLE OF WOMEN What are the main differences between the work carried out by men and that carried out by women？

Approximately what is the proportion of women’s income contribution to their total household income?

E ACTIVITIES CONDUCTED IN YOUR VILLAGE CURRENTLY Poverty alleviation（ ）、Micro-credit（ ）、Conversion from slope land to forest ( )、other (please specify)

What are mostly needed?

F IMPACT OF EXISTING AND PROPOSED ROADS What information about the expressway has reached the village, and when?

What are the impacts of the existing roads on your village? Positive: Negative:

Possible impacts of the proposed road?

G VILLAGERS RESPONSES TO LAND ACQUISITION 1、Most accept land redistribution within village groups（ ） 2、Anyway is okay（ ） 3、Most oppose land redistribution（ ）

If land is acquired from the village or from the cooperative for the expressway, how will the village/cooperative handle the reduced farming area of the affected households?

H GENERAL QUESTION In general have social and economic conditions in the village improved, deteriorated or stayed the same in recent years? What are the main reasons?

I VILLAGE DEVELOPMENT NEEDS Ask respondents on their perception of the most important needs

Do you have any question to ask us? Thank you for your time.

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Annex 3 Land Acquisition by AffectedVillages （Updated December 2007） (Units：Ha） Township Total Land Cultivated Garden Other Types Land for Unused Counties Villages Forest Land s Acquisition Land Plots of Land Construction Land Yucheng Duiyan Hulu 6.2325 5.0727 0.0000 0.0923 0.4858 0.5817 0.0000 District Kanpo 0.9817 0.3802 0.0000 0.2622 0.0331 0.1799 0.1263 Duiyan 7.6670 5.7391 0.2019 0.5841 0.4991 0.1799 0.4629 Babu Fengmu 12.6164 10.6592 0.0000 0.4106 1.0543 0.4923 0.0000 Zishi 14.5986 11.4984 0.2960 0.5411 0.9997 0.6170 0.6464 Shigang 9.2105 5.7254 1.0125 0.2072 0.4977 0.2283 1.5394 Babu 3.7814 2.1116 0.0000 1.0281 0.1837 0.0426 0.4154 Guanhua Guanhua 6.2208 0.6074 0.1019 4.6057 0.0528 0.0000 0.8530 Yuanjia 4.2779 2.4451 0.0000 1.5191 0.2127 0.0396 0.0614 Zhousha 3.6359 0.8164 0.4392 1.9852 0.0709 0.0145 0.3097 Shangheng 13.4306 1.3408 0.0000 11.5720 0.1166 0.0214 0.3798 Yucheng Sub-total 81.6716 46.0161 2.0515 22.5454 4.1733 2.2173 4.6680 Yingjing Qinglong Fexing 20.2880 8.2802 0.0000 10.8862 0.7201 0.0508 0.3507 County Shabahe 14.9893 5.2350 0.0000 8.6995 0.4551 0.0559 0.5438 Guihua 15.7993 14.1154 0.0000 0.1461 1.2275 0.3103 0.0000 Boxiang 10.0948 6.7415 2.0512 0.0000 0.5862 0.7159 0.0000 Yanzhu Lianhua 6.4790 5.9467 0.0000 0.0153 0.5170 0.0000 0.0000 Fucheng Nanchunba 6.7382 4.8954 0.0000 1.3495 0.4257 0.0000 0.0676 Yanxigou 8.0386 2.6620 0.5839 4.3030 0.2313 0.2336 0.0248 Shizi Jinghe 3.5865 1.2076 0.0000 2.0469 0.1051 0.0000 0.2269 Wannian 32.5743 7.9215 0.0000 22.9993 0.6887 0.2413 0.7235 Kuaile 1.2651 1.0916 0.0000 0.0786 0.0949 0.0000 0.0000 Fengyi Yangwan 20.4579 0.1054 0.0000 20.3302 0.0092 0.0131 0.0000 Gangshang 10.7838 0.0000 0.0000 10.7838 0.0000 0.0000 0.0000 Yuquan 12.6323 0.0000 0.0000 12.6323 0.0000 0.0000 0.0000 Yingjing Sub-total 163.7271 58.2023 2.6351 94.2707 5.0608 1.6209 1.9373 Shuangxi Tujia 5.8907 0.0000 3.4148 1.8147 0.0000 0.0000 0.6612 Muyou 11.1779 0.0000 9.7751 1.0450 0.0000 0.2887 0.0691 Jiuxiang Shangyan 16.1415 2.6947 9.0259 0.5387 0.4784 1.4133 0.1529 Lihua 11.1792 0.0000 9.8812 0.0806 0.0000 1.2174 0.0000 Hanyuan Sanqiang 3.7401 0.0000 2.3233 0.7996 0.0000 0.3899 0.2273 County Hongguang 4.1696 0.0000 3.7183 0.0000 0.0000 0.4513 0.0000 Liangshan 7.3051 0.0000 4.2825 2.6933 0.0000 0.0000 0.3293 Yangou 3.3107 0.0000 3.3107 0.0000 0.0000 0.0000 0.0000 Zhaolin 5.0637 0.0000 0.1637 3.6279 0.0000 0.0000 1.2721 Fuchun Gouyun 3.4472 0.0000 1.8928 0.0000 0.0000 0.0000 1.5544 Fuyuan 9.3253 0.0000 8.9626 0.0264 0.0000 0.3363 0.0000 Tangjia Xiaoguan 9.3253 0.0000 8.9626 0.0264 0.0000 0.3363 0.0000 Hongshui 8.5185 1.3590 5.3886 0.0000 0.1182 1.6527 0.0000 Xinchang 11.9094 1.8221 6.9810 0.0000 0.3099 2.7964 0.0000 Hetong 0.1607 0.1478 0.0000 0.0000 0.0129 0.0000 0.0000 Jixian 0.0812 0.0000 0.0812 0.0000 0.0000 0.0000 0.0000 Wuli 5.2207 0.2757 4.9210 0.0000 0.0240 0.0000 0.0000 Hexi Xianglin 4.2818 1.3192 0.7962 0.5229 0.1147 0.2734 1.2554 Fuquan Danong 0.0460 0.0423 0.0000 0.0000 0.0037 0.0000 0.0000 Shirong Gonghe 12.6663 9.5777 0.0000 0.4365 0.8329 0.2176 1.6016 Qingfu Qingfu 12.8684 5.1868 0.5041 5.1288 0.4511 0.0543 1.5433 Xinjian 3.5191 2.6668 0.0000 0.5017 0.2537 0.0969 0.0000 Fuxian 12.5305 8.8652 0.0000 0.0000 0.7708 0.7431 2.1514 Xiaobao Jiefang 7.7957 3.8394 0.0000 1.0311 0.3338 0.5893 2.0021 Tiekou 15.8680 5.2562 0.0000 4.8854 0.4569 0.6963 4.5732 Tuanjie 12.5798 4.3597 0.0000 1.4073 0.3792 0.7535 5.6801 Dingjia 0.3909 0.0000 0.0000 0.2756 0.0000 0.0000 0.1153 Hanyuan Sub-total 197.5931 50.6532 78.5992 24.8155 4.8846 15.1319 23.5087 Duiyan Village Xinmian Committee 12.5240 7.2353 0.0000 2.7117 0.6293 1.9477 0.0000 Xinjie Village Shimian Committee 5.1859 1.3824 0.1587 2.9652 0.1863 0.4933 0.0000 County Laojie Village Committee 9.5055 3.3968 0.2576 2.8981 0.4645 1.5013 0.9872 Shunhe 16.8068 2.8529 0.0000 5.3325 0.2949 1.0499 7.2766 Dongqu 14.9047 10.6921 0.0000 1.1279 0.9297 1.9766 0.1784 Huilong Liangqiao 9.2878 1.5096 0.0000 6.7841 0.1313 0.4208 0.4420 Chaluo Shangli 6.6552 0.0000 0.0000 6.5946 0.0000 0.0000 0.0606 Fulong 4.9112 1.2069 0.0000 3.0335 0.1049 0.0787 0.4872 Nanya 14.0325 4.7519 0.0000 2.6953 0.7362 1.1780 4.6711 Liziping Gongyi 13.0931 3.4166 0.0000 6.6248 0.2970 0.2595 1.4952 Yuangen 9.3669 2.8890 0.0000 4.5674 0.2602 0.6435 1.0068 Lizi 53.7129 5.6550 0.0000 39.1152 0.7319 0.3345 8.8763 Menghou 38.4675 1.0257 0.0000 31.5426 0.1290 0.0466 5.7236 Zaiyang Pingyang 6.7679 1.8345 0.0000 4.7739 0.1595 0.0000 0.0000

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Yonghe Baima 0.9042 0.0000 0.0000 0.3316 0.0000 0.0000 0.5726 Dabao 17.0321 6.1666 0.0000 8.6097 0.5363 0.2274 1.4921 Yulong 12.6136 10.2676 0.0000 0.7707 0.8929 0.0615 0.6209 Shimian Sub-total 245.7718 64.2829 0.4163 130.4788 6.4839 10.2193 33.8906 Mianning Caogu Cheyang 21.6101 14.2324 6.5407 0.0827 0.7543 County Dabaozi 13.485 5.2887 7.6466 0.2953 0.2544 Damawu 10.2987 4.6265 5.4422 0.2300 Chengxia Chayao 1.6296 0.0109 ng 8.5949 6.9544 Jiaguer 5.6195 5.3686 0.2509 Jiancao 33.0439 24.4913 8.4367 0.1159 Houshan Daxing 8.6300 8.2275 0.0252 0.0431 0.3342 Geli 11.6884 7.3645 4.1042 0.2197 Mabian 14.4639 14.4077 0.0562 Qingquan 0.9673 0.9673 Fuqiang 15.6811 11.749 0.8015 2.5138 0.0217 0.5951 Taoyuan 13.4760 12.7609 0.2185 0.2888 0.0202 0.1876 Linli Gaoyao 21.9198 9.0725 12.7686 0.0787 Linli 1.3333 0.2099 1.1234 Lugu Datian 0.2784 0.2784 Wangjiaci 7.8622 7.638 0.2242 Wuyi 4.1744 4.0278 0.0872 0.0288 0.0306 Shilong Gaojian 5.2367 3.2094 0.0915 1.5565 0.3793 Heping 2.9355 2.9234 0.0121 Shilong 14.5830 7.5657 7.0173 Tuowu Huangjiaba 5.7580 4.4242 0.6941 0.0464 0.0335 0.5598 Luba 43.6574 18.382 12.7756 11.9285 0.5713 Tuowu 16.3964 5.9963 1.8774 6.6482 0.9134 0.2942 0.6669 Yihai Lepa 17.1371 15.1997 1.1129 0.1032 0.4244 0.2969 Yanjing 14.5113 13.3223 0.9931 0.0929 0.1030 Yihai 14.8200 11.2569 2.2006 0.1696 1.1929 Mianning Sub-total 328.1623 219.9453 3.1013 83.5481 14.0323 4.2475 3.2878 Item Total 1016.926 439.0998 86.8034 355.6585 34.6349 33.4369 67.2924

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Annex 4 Demolition of Housing by Affected Village (Updated December 2007)

Housing Structures (m2) No. of Households Counties Townships Villages Brick-concrete Brick-wood Earth-wood Total Yucheng Duiyan Kanpo 777 1155 186 2118 9 District Hulu 2523 1095 309 3927 16 Babu Fengmu 1128 161 518 1807 7 Zishi 1719 812 1636 4167 13 Shigang 1413 3281 888 5582 15 Babu 666 370 348 1384 5 Guanhua Guanhua 0 214 148 362 2 Zhousha 0 188 188 376 1 Shangheng 0 599 566 1165 5 Yucheng Sub-total 8226 7952 4787 20965 73 Yingjing Qinglong Fuxing 0 1365 870 2235 12 County Shabahe 0 739 568 1307 6 Guihua 99 13689 3848 17636 69 Boxiang 168 3627.5 0 3795.5 20 Yanzhu Lianhua 136 1806 147 2089 10 Fucheng Yanxi 0 1684 0 1684 6 Shizi Wannian 0 3486 0 3486 9 Fengyi Yangwan 0 575 0 575 3 Yingjing Sub-total 403 26971.5 5433 32807.5 107 Hanyuan Jiuxiang Lihua 862 1344 927 3133 13 County Shangyan 2885 2034 1850 6769 29 Fuchen Fuquan 1761 330 1815 3906 17 Tangjia Wuli 3762 939 1439 6140 30 Xinchang 3598 350 488 4436 26 Hanyuan Artificial Rainfall and Hail 143 1 Suppression Headquarters Wenwupo Shotpoint 118 25 Tangjia Hongshui 1180 476 489 2145 14 Tangjia Xiaoguan 2266 1772 829 4867 25 Lizhou Company Xiaoguan Village 1380 1 Lead-Zinc Mine Selection Plant 1120 260 Hexi Xianglin 112 112 1 Shirong Gonghe 281 65 346 4 Qingfu Fuxian 268 16 728 1012 7 Qingfu Township Fuxian 260 260 1 Primary School Xiaobao Tiekou 65 244 215 524 4 Xiaobao Township Jiefang Village 511 1 Primary School 35 476 Xiaobao Jiefang 317 170 828 1315 7 Hanyuan Sub-total 18778 8548 9673 36999 181 Shimian Chaluo Fulong 952.7 607 1559.7 3 County Liziping Yuangen 443.19 6195.34 2031.6 8670.13 46 Lizi 0 237.7 117.05 354.75 3 Huilong Liangqiao 0 3581.93 2460.84 6042.77 15 Yonghe Dabao 1300 456 1655 3411 21 Yulong 412 176 2855 3443 15 Xinmian Dongqu 7965 2065 5010 15040 70 Shunhe 829 3432.96 2780.25 7042.21 22 Shimian Sub-total 45563.56 195 11901.89 16144.93 17516.74 Mianning Tuowu Huangjiaba 0 412.85 51.61 464.46 4 County Luba 0 1054.15 0 1054.15 8 Tuowu 0 2277.22 618.039 2895.259 21 Yihai Yihai 12.92 831.29 128.74 972.95 7 Yanjing 0 846.81 458.295 1305.105 9 Lepa 0 657.62 1608.7108 2266.331 19 Caogu Cheyang 0 4226.31 2803.09 7029.4 47 Dabaozi 231.6 1297.43 0 1529.03 9 Damawu 0 3023.47 3089.03 6112.5 42 Chengxiang Chayao 0 3460.25 650.49 4110.74 36 Jiancao 0 1424.23 339.96 1764.19 9 Linli Gaoyao 0 1710.21 165.64 1875.85 8 Houshan Daxing 131.69 1585.02 7210.69 8927.4 31 Fuqiang 1605.94 4091.62 9619.13 15316.69 50 Geli 0 0 766.28 766.28 7 Mabian 0 157.07 759.53 916.6 5 Taoyuan 180.92 906.57 4589.47 5676.96 21 Shilong Gaojian 576.95 2431.01 2811.67 5819.63 25 Lugu Wangjiaci 0 381.26 1792.88 2174.14 15 Mianning Sub-total 2740.02 30774.39 37463.25 70977.6648 373 Item Total 42048.91 90390.82 74872.99 207312.7 929

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