RP1626 v2 REV World Bank-financed Chongqing Small Towns Water Environment Management Project RAP of the Pengshui County Flood and Wastewater Management Subproject Pengshui Hongyu Water Investment & Construction Co., Ltd June 2014 Letter of Commitment The Pengshui Subproject of the World Bank-financed Chongqing Small Towns Water Environment Management Project involves resettlement. Therefore, this Resettlement Action Plan (RAP) has been prepared as the basis for land acquisition (LA), house demolition (HD) and resettlement in accordance with the Bank policy on involuntary resettlement (OP4.12), and the applicable state and local regulations and policies to protect the basic rights and interests of the affected persons (APs), and restore or even improve their production level and living standard after resettlement. The Pengshui County Government has reviewed this RAP, and agrees to implement resettlement, make resettlement funds available fully and timely, and compensate and resettle the APs properly in light of this RAP. The Pengshui PMO is hereby instructed to implement and manage the resettlement of the Subproject in coordination with the agencies concerned. Pengshui County Government (Official seal) Head (or deputy head in charge): ______ (signature) ______ (date) Pengshui Subproject of the Chongqing Small Towns Water Environment Management Project Foreword I. Purpose of preparing this RAP 1 The RAP is prepared in accordance with the applicable laws of the People’s Republic of China and local regulations and a series of provisions in the Bank Operational Policy OP4.12 on Involuntary Resettlement for the purpose of “developing an action plan for resettlement and restoration for the people affected by the project, so that they benefit from the project, their standard of living is improved or at least restored after the completion of the project”. II. Definitions of terms Displaced persons 2 Based on the criteria for eligibility for compensation, “Displaced Persons” may be classified in one of the following three groups: a) those who have formal legal rights to land (including customary and traditional rights recognized under the laws of the country); b) those who do not have formal legal rights to land at the time the census begins but have a claim to such land or assets-provided that such claims are recognized under the laws of the country or become recognized through a process identified in the RAP; and c) those who have no recognizable legal right or claim to the land they are occupying. 3 Persons covered under paragraphs 2(a) and (b) are provided compensation for the land they lose, and other assistance. Persons covered under paragraph 2(c) are provided resettlement assistance in lieu of compensation for the land they occupy, and other assistance, as necessary, to achieve the objective set out in this policy, if they occupy the subproject areas prior to a cut-off date1 established by the borrower and acceptable to the World Bank. Persons who encroach on the area after the cut-off date are not entitled to compensation or any other form of resettlement assistance. All persons included in paragraph 2(a), (b), or (c) are provided compensation for loss of assets other than land. III. Compensation and resettlement measures 4 To address the following impacts of the involuntary taking of land: (i) displacement or loss of shelter; (ii) lost of assets or access to assets; or (iii) loss of income sources or means of livelihood, whether or not the affected persons must move to another location, an RAP or a resettlement policy framework shall be prepared to cover the following: (a) The Resettlement Action Plan or resettlement policy framework includes measures to ensure that the displaced persons are:  informed about their options and rights pertaining to resettlement;  consulted on, offered choices among, and provided with technically and economically feasible resettlement alternatives; and  provided prompt and effective compensation at full replacement cost2, for losses of assets attributable directly to the project. (b) If the impacts include physical displacement, the RAP or resettlement policy framework includes measures to ensure that the displaced persons are:  provided assistance (such as moving allowances) during displacement; and  provided with residential housing, or housing sites, or, as required, agricultural sites for which a combination of productive potential, locational advantages, and other factors is at least equivalent to the advantages of the old site. (c) Where necessary to achieve the objective of the policy, the Resettlement Action Plan or 1 Normally, this cut-off date is the date the census begins. The cut-off date could also be the date the subproject areas was delineated, prior to the census, provided that there has been an effective public dissemination of information on the area delineated, and systematic and continuous dissemination subsequent to the delineation to prevent further population influx. 2 "Replacement cost" is the method of valuation of assets that helps determine the amount sufficient to replace lost assets and cover transaction costs. In applying this method of valuation, depreciation of structures and assets should not be taken into account. I Pengshui Subproject of the Chongqing Small Towns Water Environment Management Project resettlement policy framework also includes measures to ensure that displaced persons are:  offered support after displacement, for a transition period, based on a reasonable estimate of the time likely to be needed to restore their livelihood and standards of living;  provided with development assistance in addition to compensation measures described in paragraph 4(a)(iii), such as land preparation, credit facilities, training, or job opportunities. 5 Cut-off date: means the date of publication of the announcement of land acquisition and property demolition in this project. After this date, the displaced persons shall not build, rebuild or expand their properties; shall not change the uses of their properties and land; shall not lease their land, lease, sell or purchase their properties; and any person that moves in after this date shall not qualify as a displaced person. II Pengshui Subproject of the Chongqing Small Towns Water Environment Management Project Contents FOREWORD ...................................................................................................................................................................I 1 OVERVIEW OF THE SUBPROJECT ............................................................................................................. 6 1.1 BACKGROUND OF THE SUBPROJECT ............................................................................................................................. 6 1.2 PROGRESS OF PROJECT PREPARATION AND RESETTLEMENT............................................................................. 6 1.3 COMPONENTS ......................................................................................................................................................................... 6 1.4 MEASURES TO REDUCE RESETTLEMENT ..................................................................................................................... 7 2 IMPACTS OF THE SUBPROJECT ................................................................................................................. 8 2.1 OVERVIEW ................................................................................................................................................................................ 8 2.2 IMPACTS..................................................................................................................................................................................... 8 2.2.1 Permanent LA .......................................................................................................................................................................... 8 2.2.2 Temporary Land Occupation .......................................................................................................................................... 8 2.2.3 Demolition of Rural Residential Houses .................................................................................................................. 9 2.2.4 Affected Vulnerable Groups ......................................................................................................................................... 10 2.2.5 Affected Population ........................................................................................................................................................... 10 2.2.6 Affected Ground Attachments ..................................................................................................................................... 10 3 SOCIOECONOMIC PROFILE OF THE SUBPROJECT AREA ........................................................... 11 3.1 SOCIOECONOMIC BACKGROUND OF THE SUBPROJECT AREA .......................................................................... 11 3.1.1 Chongqing Municipality ................................................................................................................................................... 11 3.1.2 Pengshui County................................................................................................................................................................. 11 3.1.3 Affected Sub-district and Community ..................................................................................................................... 12 3.2 BASIC INFORMATION OF AHS ......................................................................................................................................... 12 3.2.1 Demographics....................................................................................................................................................................... 13 3.2.2 Population Composition.................................................................................................................................................. 13 3.2.3 Age Structure ........................................................................................................................................................................ 13 3.2.4 Educational Level ............................................................................................................................................................... 13 3.2.5 Labor Employment ............................................................................................................................................................. 14 3.2.6 Annual Household Income and Expenditure ..................................................................................................... 14 3.2.7 Affected Vulnerable Groups ......................................................................................................................................... 14 4 LEGAL AND POLICY FRAMEWORK........................................................................................................... 15 4.1 Regulations and Policies on Resettlement ............................................................................. 15 4.2 State Laws and Regulations................................................................................................... 16 4.3 Municipal Regulations ............................................................................................................ 21 4.4 County Measures ................................................................................................................... 22 4.5 Bank Policy on Involuntary Resettlement ............................................................................... 23 4.6 Resettlement Principles of the Subproject .............................................................................. 23 5 COMPENSATION RATES FOR LA AND HD ............................................................................................. 25 5.1 Compensation Rates for Permanent LA ................................................................................. 25 5.2 Compensation Rates for Temporary Land Occupation ........................................................... 25 5.3 Compensation Rates for Rural Residential Houses................................................................ 26 5.3.1 Cash Compensation .......................................................................................................... 26 5.3.2 Self-construction on Allocated Land .................................................................................. 26 5.3.3 Preferential Housing Purchase under Property Swap ........................................................ 26 5.3.4 Compensation Rates for Unfinished Houses ..................................................................... 27 5.4 Compensation Rates for Affected Ground Attachments ......................................................... 27 6 PRODUCTION AND LIVELIHOOD RESTORATION PROGRAMS .................................................... 29 6.1.1 Appraisal of Lost Income ............................................................................................................................................... 29 Pengshui Subproject of the Chongqing Small Towns Water Environment Management Project 6.1.2 Income Restoration Program ...................................................................................................................................... 29 6.1.3 Endowment Insurance for Population Converted into Urban Status .................................................. 29 6.1.4 Employment Services for the APs ............................................................................................................................ 31 7 PUBLIC PARTICIPATION AND CONSULTATION .................................................................................... 35 8 GRIEVANCE REDRESS PROCEDURES .................................................................................................. 39 9 ORGANIZATIONAL STRUCTURE AND IMPLEMENTATION PROGRESS .................................... 40 10 BUDGET AND FUNDING SOURCES ........................................................................................................ 45 11 M&E ....................................................................................................................................................................... 48 12 ENTITLEMENT MATRIX ................................................................................................................................. 51 APPENDIX: RESETTLEMENT INFORMATION BOOKLET ........................................................................ 53 Pengshui Subproject of the Chongqing Small Towns Water Environment Management Project List of Tables Table 1-1 Components ................................................................................................................................... 6 Table 2-1 Summary of Permanently Acquired Land .................................................................................. 8 Table 2-2 Summary of Temporarily Occupied Land ................................................................................... 8 Table 2-3 Affected Completed Rural Residential Houses ......................................................................... 9 Table 2-4Affected Unfinished Houses .......................................................................................................... 9 Table 2-5 Information of Affected Vulnerable Groups .............................................................................. 10 Table 2-6 Information of Affected Population ............................................................................................ 10 Table 2-7 Summary of Affected Ground Attachments.............................................................................. 10 Table 3-1 Socioeconomic Profile of Chongqing Municipality and Pengshui County in 2012 ............ 11 Table 3-2 Socioeconomic Profile of the Affected Sub-district in 2012 ................................................... 12 Table 3-3 Socioeconomic Profile of the Affected Community in 2012 .................................................. 12 Table 3-4 Sampling Rates............................................................................................................................ 13 Table 3-5 Survey Data on Affected Population ......................................................................................... 13 Table 3-6 Annual Household Income and Expenditure ........................................................................... 14 Table 4-1 Summary of Applicable Regulations and Policies .................................................................. 15 Table 4-2 Compensation Rates for Houses on Collective Land ............................................................ 23 Table 5-1 Compensation Rates for Permanent LA .................................................................................. 25 Table 5-2 Compensation Multiples for Permanent LA ............................................................................. 25 Table 5-3 Compensation Rates for Temporary Land Occupation .......................................................... 26 Table 5-4 Compensation Rates for HD ...................................................................................................... 27 Table 5-5 Compensation Rates for Unfinished Houses .......................................................................... 27 Table 5-6 Compensation Rates for Affected Attachments ...................................................................... 28 Table 6-1 Land and Income Losses after LA ............................................................................................ 29 Table 6-2 Population Converted into Urban Status .................................................................................. 29 Table 6-3 Endowment Insurance Premiums and Pensions by Age Group .......................................... 30 Table 6-4 Training Courses Offered by the Local Government .............................................................. 31 Table 6-5 Employment Services Offered by the Local Government ..................................................... 32 Table 6-6 Resettlement Program for Demolished Rural Residential Houses ...................................... 33 Table 7-1 Public Participation Activities at the Preparation Stage ......................................................... 36 Table 7-2 Suggestions on and Solutions to Public Participation ............................................................ 36 Table 7-3 Public Participation Plan for the Implementation Stage ......................................................... 37 Table 7-4 Distribution of Ethnic Minorities in the Subproject Area ......................................................... 38 Table 8-1 Contact Information of Agencies Concerned ........................................................................... 39 Table 9-1 Staffing of Resettlement Agencies ............................................................................................ 42 Table 9-2 Heads of Resettlement Agencies .............................................................................................. 42 Table 9-3 Resettlement Implementation Schedule .................................................................................. 44 Table 10-1 Resettlement Budget ................................................................................................................ 45 List of Figures Figure 1-1 Location Map of the Subproject ........................................................................................ 7 Figure 9-1 Organizational Chart ....................................................................................................... 40 Figure 10-1 Disbursement Flowchart of Resettlement Funds .......................................................... 47 Pengshui Subproject of the Chongqing Small Towns Water Environment Management Project ABBREVIATIONS AH - Affected Household AP - Affected Person DMS - Detailed Measurement Survey FGD - Focus Group Discussion HD - House Demolition LA - Land Acquisition M&E - Monitoring and Evaluation PMO - Project Management Office PRC - People’s Republic of China RAP - Resettlement Action Plan RIB - Resettlement Information Booklet Units Currency unit = Yuan (RMB) 1.00 yuan = $0.15 1 hectare = 15 mu Pengshui Subproject of the Chongqing Small Towns Water Environment Management Project 1 Overview of the Subproject 1.1 Background of the Subproject 1 Pengshui Miao-Tujia Autonomous County is located in southeastern Chongqing Municipality, the north edge of the Dalou Mountain, and the lower Wujiang River and Yujiang River, bordered by Qianjiang District on the east, Youyang County on the South, Wulong County on the west, and Shizhu and Fengdu Counties on the north. With the construction of the Three Great Passages (Yuhuai Railway, Yuxiang Expressway and Wujiang River channel), and 8 outgoing highways, the county has entered a strategic period of accelerated development. According to the county’s Twelfth Five-year Development Plan, the county will be built into a demonstration county of characteristic agriculture, a growth pole of energy and mineral industries, an eco-tourism center, a multimodal transport hub, and a pioneering county of the low-carbon economy. 2 In order to accelerate urban construction, the Pengshui County Government has applied for a loan with the Bank for the Subproject, which aims to improve urban flood control capacity, urban waterscape and the living environment, and promote rapid economic and social development through the integrated management of the Wujiang River segment in Dianshui New Town, Pengshui County. 3 The gross investment in the Subproject is CNY344.04million, including a Bank loan of CNY146.40 million, accounting for 42.55%. 1.2 Progress of Project Preparation and Resettlement 4 The owner of the Subproject, Pengshui Hongyu Water Investment & Construction Co., Ltd. has appointed a design agency to prepare the Pre-feasibility Study Report of the Subproject. In May 2013, the preparation of the Feasibility Study Report, RAP, Environmental Impact Assessment, and Environmental Management Plan of the Subproject begun. With the careful planning of the county development and reform bureau, owner and design agency, subproject preparation progressed smoothly. 5 Chongqing SRM Consulting Co., Ltd. was appointed by the Pengshui PMO to participate in the preparation of this RAP as the resettlement consulting agency. Since early June 2013, the RAP preparation team conducted a one-week socioeconomic survey in the subproject area, and extensive public consultation with the Aps, and conducted a further investigation and interviews in October and November 2013. The RAP was completed in March 2014. 6 According to the Bank policy on involuntary resettlement (OP4.12), the cut-off date for the identification of APs and the determination of affected physical quantities of the Subproject will be the beginning date of the detailed measurement survey (DMS), which is expected to begin in April or May 2014. Anyone who moves in after this date will not qualify as an AP, and the APs should not build, rebuild or expand their houses, should not change the uses of their properties and land, and should not lease their land, lease, sell or purchase their houses. Any variation in physical quantity arising from any of the above acts will not be recognized. 1.3 Components 7 The Subproject is located on the left side of the Wujiang River in the Pengshui county town, and consists of river embankment, dike-top roads and pipe works. See Table 1-1. Table 1-1 Components Component Scope Construction of a river embankment of 4.69km on the left side of the Wujiang River to raise River embankment the flood protection level to 1/50 year floods, and 6 cross-embankment culverts Construction of dike-top roads as urban branch roads, with a width of 8m, a design speed Dike-top roads of 30km/h and a total length of 4,762m Construction of pipelines from the terminal of the sewer network of Dianshui New Town to Pipe works (two the subproject area, 1,970m long segments) From the subproject area to planned WWTP, 4.69km long 6 Pengshui Subproject of the Chongqing Small Towns Water Environment Management Project Figure 1-1 Location Map of the Subproject 8 According to the construction schedule, the construction period will be 22 months. 1.4 Measures to Reduce Resettlement 9 At the planning and design stages, the design agency and owner of the Subproject took the following effective measures to reduce the local socioeconomic impacts of the Subproject. For example, the width of the dike-top roads was reduced from 16m to 8m, avoiding the acquisition of over 50 mu of land. 10 At the RAP preparation and implementation stage, when LA or HD is unavoidable, the following measures will be taken to reduce the local impacts of the Subproject:  Strengthen the collection of basic information, make an in-depth analysis of the local present socioeconomic situation and future prospect, and develop a feasible RAP based on the local practical conditions to ensure that the APs will not suffer losses due to the Subproject.  Encourage public participation actively and accept public supervision.  Strengthen internal and external monitoring, establish an efficient and unobstructed feedback mechanism and channel, and shorten the information processing cycle to ensure that issues arising from project implementation are solved timely. 7 Pengshui Subproject of the Chongqing Small Towns Water Environment Management Project 2 Impacts of the Subproject 2.1 Overview 11 The Subproject will affect 5 groups of Linjiang Community, Shaoqing Sub-district. 542.79mu of land will be acquired permanently, including 229.5 mu of rural collective land and 313.29 mu of state-owned river flat; 160.05 mu of land will be occupied temporarily; completed rural residential houses of 4591.64 m2 and unfinished houses of 3,970 m2 will be demolished, affecting 302 households with 1223 persons in total. In addition, 4 types of ground attachments will be affected. 2.2 Impacts 2.2.1 Permanent LA 12 5 groups of Linjiang Community, Shaoqing Sub-district will be affected by permanent LA for the Subproject. 542.79 mu of land will be acquired permanently, including 229.5 mu of rural collective land, including 168 mu of cultivated land, 17.25 mu of woodland, 25.5 mu of garden land, 4.05 mu of housing land and 14.7 mu of unused land, affecting 288 households with 1169 persons, as well as 313.29 mu of state-owned river flat. See Error! Reference source not found.. Table 2-1 Summary of Permanently Acquired Land Rural collective land (mu) Affected State- Non- owned irri Community Group Total river Wood Garden Irrigated gat Housing Unused flat Subtotal land ed la lan land land HHs Population (mu) nd d lan d 1 36.54 21.09 15.45 0.00 14.40 0.00 0.00 0.00 1.05 144 583 7 188.38 108.73 79.65 2.25 57.30 0.00 19.35 0.00 0.90 46 188 Linjiang 8 131.26 75.76 55.50 16.50 24.00 7.95 5.55 0.90 0.60 21 81 9 144.39 83.34 61.05 0.00 37.95 7.20 0.45 3.15 12.15 36 152 10 42.22 24.37 17.85 0.00 15.60 2.10 0.15 0.00 0.00 41 165 Total 542.79 313.29 229.50 18.75 149.25 17.25 25.50 4.05 14.70 288 1169 2.2.2 Temporary Land Occupation 13 160.05 mu of land will be occupied temporarily, including 90.9 mu of cultivated land, 57.45 mu of woodland and 11.7 mu of garden land. See Table 2-2. Table 2-2 Summary of Temporarily Occupied Land Irrigated land Non-irrigated Woodland Garden land Community Group Subtotal (mu) (mu) land (mu) (mu) (mu) 1 55.65 0.00 39.60 4.35 11.70 7 16.65 1.20 15.45 0.00 0.00 Linjiang 8 55.95 2.85 0.00 53.10 0.00 10 31.80 5.85 25.95 0.00 0.00 Total 160.05 9.90 81.00 57.45 11.70 8 Pengshui Subproject of the Chongqing Small Towns Water Environment Management Project 2.2.3 Demolition of Rural Residential Houses 14 50 households with 63 persons in 4 groups of Linjiang Community will be affected by HD for the Subproject, with completed rural residential houses of 4591.64m2, including 499.72m2 in reinforced concrete structure, 3260.96m2 in masonry concrete structure, 811.7m2 in masonry timber structure, 7.56m2 in earth timber structure and 11.7m2 in simple timber structure (see Table 2-3). In addition, unfinished houses of 3,970m2 will also be demolished, affecting 12 households with 42 persons, in which 3 houses have pillars only (350m2), one house is in frame without slab (1,300m2)3, 4 houses are in frame with slabs (1,400m2)4 and 4 houses are largely completed rough houses (920m2) (see Tables 2-3 and 2-4). In addition, interior decoration of 17,161.22m2 will be affected by HD, including floor tiles of 9,327.44m2, wall tiles of 3,797.61m2, ordinary ceilings of 3,740.19m2 and luxury ceilings of 295.98m2. Table 2-3 Affected Completed Rural Residential Houses 2 2 Housing size (m ) Affected Type (m ) Compo nent HH Group Reinforced Masonry Masonry Earth Residential head Subtotal Simple Shed HHs Population concrete concrete timber timber housing 1 ZSG 565.67 0.00 538.87 26.80 0.00 0.00 538.87 26.80 1 4 8 ZZM 463.63 0.00 421.18 42.45 0.00 0.00 421.18 42.45 1 4 8 LXH 102.64 0.00 0.00 102.64 0.00 0.00 102.64 0.00 1 5 8 LXS 686.13 101.56 477.79 106.78 0.00 0.00 632.74 53.39 1 5 9 RHZ 194.66 194.66 0.00 0.00 0.00 0.00 194.66 0.00 1 5 Embankment 9 WYB 588.38 0.00 506.10 74.72 7.56 0.00 580.82 7.56 1 7 9 WYT 124.03 0.00 0.00 124.03 0.00 0.00 124.03 0.00 1 4 9 WSJ 872.08 0.00 762.38 98.00 0.00 11.70 860.38 11.70 1 6 9 XDK 236.28 0.00 0.00 236.28 0.00 0.00 236.28 0.00 1 5 9 ZFP 288.52 0.00 288.52 0.00 0.00 0.00 288.52 0.00 1 6 9 LYJ 231.62 203.50 28.12 0.00 0.00 0.00 203.50 28.12 1 8 9 PYY 238.00 0.00 238.00 0.00 0.00 0.00 238.00 0.00 1 4 Total 4591.64 499.72 3260.96 811.70 7.56 11.70 4421.62 170.02 12 63 5 Table 2-4Affected Unfinished Houses 2 Housing size (m ) Affected Household Frame Frame with head Subtotal Pillars Completed HHs Population without slab slabs CL 200.00 0.00 0.00 0.00 200.00 1 3 RQB 800.00 0.00 0.00 800.00 0.00 1 5 WL 150.00 0.00 0.00 150.00 0.00 1 3 ZKC 300.00 0.00 0.00 0.00 300.00 1 4 DXL 120.00 0.00 0.00 0.00 120.00 1 2 YFQ 300.00 0.00 0.00 300.00 0.00 1 4 XDQ 130.00 130.00 0.00 0.00 0.00 1 3 Dai Quan 1300.00 0.00 1300.00 0.00 0.00 1 6 Dong Qiang 150.00 0.00 0.00 150.00 0.00 1 3 3 A house in frame without slab is one in which the frame has been completed but slabs have not been laid. 4 A house in frame with slabs is one in which the frame has been completed and slabs have been laid, but which has not been fully completed. 5 According to Document PCG [2011] No.165, the county government decided to freeze household registration and house construction on the left side of the Wujiang River for the purpose of urban construction from December 5, 2011 to December 4, 2016. The above houses were suspended of construction after the release of the above document. 9 Pengshui Subproject of the Chongqing Small Towns Water Environment Management Project ZB 100.00 100.00 0.00 0.00 0.00 1 2 DXB 120.00 120.00 0.00 0.00 0.00 1 3 CZJ 300.00 0.00 0.00 0.00 300.00 1 4 Total 3970.00 350.00 1300.00 1400.00 920.00 12 42 15 According to the completed houses area, the average housing size of the affected completed houses is 368.47m2 per household or 70.18m2 per capita. Most of the houses in masonry concrete structure were completed during 2000-2010, and most of those in masonry timber structure were completed in the 1990s. 2.2.4 Affected Vulnerable Groups 16 Vulnerable groups mainly refer to the poor (below the poverty line of 1,944 yuan per household per annum of Linjiang Community), five-guarantee households, the disabled, psychos, women-headed households, etc. According to the DMS, two households with 8 persons affected by the Subproject fall into vulnerable groups, in which one household has a disabled member and the other is an MLS household. See Table 2-5. Table 2-5 Information of Affected Vulnerable Groups Community Group Name Age Family size Type of impact Type 9 ZKC 60 4 LA Poor/disability Linjiang 10 ZZT 78 4 LA Poor/MLS 2.2.5 Affected Population 17 345 households with 1169 persons will be affected by LA and 24 households with 105 persons by HD (including 12 households with 42 persons affected by the demolition of unfinished houses) for the Subproject, in which 14 households with 54 persons affected by HD are not affected by LA, while the other 10 households with 51 persons are also affected by LA. Therefore, 302 households with 1223 persons will be affected by LA and HD in total. See Error! Reference source not found.. Table 2-6 Information of Affected Population Type of impact Subtotal Affected households 288 Permanent LA Affected population 1169 Demolition of completed rural Affected households 12 residential houses Affected population 63 Demolition of unfinished Affected households 12 houses Affected population 42 Affected households 302 Total Affected population 1223 Note: In “Total”, the households and population affected by both LA and HD is deducted. 2.2.6 Affected Ground Attachments 18 The Subproject will affect 4 types of ground attachments. See Error! Reference source not found.. Table 2-7 Summary of Affected Ground Attachments Type Item Spec. Unit Qty. Ground structures Without tombstone / 20 Tombs With tombstone / 21 Ground Special facilities attachments Power lines 0.4KV km 0.385 Power lines 10KV km 1.224 Telecom cables - km 1.75 10 Pengshui Subproject of the Chongqing Small Towns Water Environment Management Project 11 Pengshui Subproject of the Chongqing Small Towns Water Environment Management Project 3 Socioeconomic Profile of the Subproject Area 19 In order to learn the socioeconomic profile of the subproject area, the RAP preparation team conducted a field survey in June 2013 using such method as literature review, door-to-door survey, interview and FGD and conducted a further investigation and interviews in October and November. 3.1 Socioeconomic Background of the Subproject Area 3.1.1 Chongqing Municipality 20 Chongqing Municipality is located in the upper Yangtze River, and the junction of central and western China, being an important central city of China, a historically and culturally famous city, and the economic center and traffic hub of southwestern China, with a land area of 82,400 km 2 and governing 40 districts/counties, 839 townships and 175 sub-districts. At the end of 2012, Chongqing’s registered population was 29.45 million. 21 Since it became a municipality directly under the central government in 1997, significant progress has been made in economic and social development. In 2012, the city’s GDP was 1.1459 trillion yuan, per capita GDP 39,083 yuan, local fiscal general budgetary revenue 170.349 billion yuan and total fixed-asset investment reached 938 billion yuan. With the rapid growth of economic strength, rapid progress has been made in urban and rural infrastructure construction, and social programs, and traffic, educational and medical care systems have been established preliminarily. However, the city’s urban and rural infrastructure, and public service capacity remain weak, restricting the city’s further development to a great extent. Therefore, World Bank loan Chongqing Urban-Rural Development and Reform pilot project three has been implemented to promote infrastructure construction, and promote economic and social development. 3.1.2 Pengshui County 22 Pengshui County is located in southeastern Chongqing Municipality and the lower Wujiang River, and is a minority county and a key state-level poor county. However, the county abounds with natural and tourist resources, such as a freshwater resource of 48.148 billion m3 and a theoretical hydropower reserve of 27.436 billion kW. In addition, since the Pengxiang Expressway, National Highway 319, Yuhuai Railway and the Wujiang River intersect in the county town, the county has become a traffic hub that connects Sichuan, Hubei and Hunan Provinces, and Chongqing Municipality. The county has a land area of 3,903 km2 and a population of 690,800 (end of 2012), and governs 3 sub-districts, 14 towns, 22 Xiangs, 26 communities with 184 groups and 274 villages with 1,785 groups. 23 In 2012, the county’s GDP was 8.578 billion yuan, local fiscal revenue 1.425 billion yuan, general budget revenues 755 million yuan,fiscal expenditure 3.979 billion yuan, balance of personal deposits 6.716 billion yuan, balance of loans 9.722 billion yuan, fixed-asset investment 10.133 billion yuan, gross retail sales of consumer goods 3.828 billion yuan, a year-on-year growth of 16.1%, per capita disposable income of urban residents 16,741 yuan, a year-on-year growth of 14.1%, per capita net income of rural residents 5,960 yuan, a year-on-year growth of 14.3%, and agricultural output value 2.82 billion yuan, a year-on-year growth of 4.9%. See Table 3-1. Table 3-1 Socioeconomic Profile of Chongqing Municipality and Pengshui County in 2012 Division Chongqing Municipality Pengshui County Population (0,000) 2945 69.08 2 Land area (km ) 82400 3903 Per capita GDP (yuan) 39083 16019 Per capita disposable income of urban residents (yuan) 22968 16741 Per capita net income of rural residents (yuan) 7383.27 5960 GDP (00 million yuan) 11459.00 85.78 Agricultural gross output value (00 million yuan) 940.01 28.20 Industrial gross output value (00 million yuan) 13104.02 39.14 General fiscal budgetary income (00 million yuan) 1703.49 14.25 12 Pengshui Subproject of the Chongqing Small Towns Water Environment Management Project Source: Statistical Yearbook of Chongqing Municipality (2012), and Statistical Bulletin of Pengshui County (2012) 24 It can be seen that the per capita GDP and per capita net income of rural residents of Pengshui County in 2012 were much lower than the averages of Chongqing Municipality, and the county’s economic level is below average among all districts and counties of Chongqing Municipality. 3.1.3 Affected Sub-district and Community 25 Shaoqing Sub-district was restructured from former Hanjia Town and Changtan Xiang in the administrative redivision in 2011, and is an important window for opening up and reform of Pengshui County. Shaoqing Sub-district governs 4 villages and 6 committees, with a land area of 122.05 km2 and a population of 52,194. In 2012, the sub-district’s GDP was 229.9383 milllion yuan and per capita net income of farmers 8,456 yuan. See Table 3-2 and Table 3-3. Table 3-2 Socioeconomic Profile of the Affected Sub-district in 2012 Year-end Cultivated area Rural economic income Per capita net income of Sub-district population (mu) (0,000 yuan) farmers (yuan) Shaoqing 33770 42060 22993.88 8456 Source: Rural Economic Statistical Bulletin 2012 of Shaoqing Sub-district Table 3-3 Socioeconomic Profile of the Affected Community in 2012 Five- Per capita Agricultural Poor Poor Community Group HHs Population guarantee cultivated population HHs population HHs area (mu) Overall 950 4900 1470 46 189 10 0.7 1 140 560 110 10 34 1 0.07 7 45 180 69 4 14 0 0.6 Linjiang 8 82 370 114 5 17 1 0.7 9 65 260 126 6 19 4 0.49 10 124 494 147 6 21 2 0.57 Note: The data were provided by the relevant local governments when the interviews with village and group heads were conducted in May 2013. 26 In 2012, the per capita net income of rural residents of Linjiang Community was 6,450 yuan, that of Pengshui County 5,960 yuan, and the per capita net income of rural residents of the subproject area was higher. This community’s economic activities mainly include:  Agricultural income: The main crops in this community are corn, soybean and sweet potato. It is estimated by the community committee that average output value was 1,050 yuan/mu and production cost 500 yuan/mu in 2012, and average output value was 1,100 yuan/mu and production cost 550 yuan/mu in 2013.  Nonagricultural income: Many residents in this community are employed, so employment income is an important part of local household income. With the growth of jobs in Pengshui County, many residents elect to work in nearby places so that they can also take care of families and do farm work, so the number of those working in other provinces has been dropping in recent years. Those employed work in service and engineering industries mainly, including catering, retail and machinery operation. 3.2 Basic Information of AHs 27 In order to learn the socioeconomic profile of the affected population, and their expected resettlement modes, the RAP preparation agency conducted a sampling survey on 64 households affected by LA and HD, including 55valid samples (19.1% of all households affected by LA and HD), in which the sample households affected by HD were all affected by the demolition of completed houses. The households whose houses were unfinished could not be covered by the survey. See Table 3-4. 13 Pengshui Subproject of the Chongqing Small Towns Water Environment Management Project Table 3-4 Sampling Rates Communi Grou AH Sample Sampling rate Affected Sample Sampling rate ty p s HHs (%) population population (%) LA 1 144 29 20.14 583 152 26.07 and 7 46 6 13.04 188 20 10.64 HD Linjiang 8 21 4 19.05 81 12 14.81 impact 9 36 9 25.00 152 38 25.00 s 10 41 7 17.07 165 29 17.58 Total 288 55 19.10 1169 251 21.47 Note: Households affected by the demolition of unfinished houses are not included here. 3.2.1 Demographics 28 65 households with 251 persons were covered in this survey, including 118 females, accounting for 47%. See Table 3-5. Table 3-5 Survey Data on Affected Population Community Linjiang Total HHs 55 55 Population 251 251 Male 133 133 Gender Female 118 118 Percent of females 47% 47% Total 152 152 Farming at home 49 49 Labor force Working outside and 103 103 other Junior college or above 5 5 Senior high school 15 15 Educational level (6 Junior high school 131 131 years or above) Primary school 95 95 Illiterate or semiliterate 5 5 0-6 years 20 20 7-15 years 17 17 Age structure 16-60 years 169 169 Over 60 years 45 45 3.2.2 Population Composition 29 The 55 sample households have a total population of 251, including 118 females, accounting for 47%; 133 males, accounting for 53%, and 152 rural laborers, accounting for 60.5%. 3.2.3 Age Structure 30 Among the 251 samples, 20 are aged 0-6 years, accounting for 8%; 17 aged 7-15 years, accounting for 6.8%; 169 aged 16-60 years, accounting for 67.3%; and 45aged 60 years, accounting for 17.9%. Young people and adults account for over a half in total. 3.2.4 Educational Level 31 Among the 251 samples, 5 have received junior college or above education, accounting for 2%; 15 have received senior high / secondary technical school education, accounting for 6% (mostly aged 25-40 years and working outside); 131 have received junior high school education, accounting for 52%;95 have received primary school education, accounting for 38% (mostly aged above 40 years), and 5 are illiterate or semiliterate (excluding pre-school children), accounting for 2% (mostly old people aged above 60 years). 14 Pengshui Subproject of the Chongqing Small Towns Water Environment Management Project 3.2.5 Labor Employment 32 The sample households have 152 laborers in total, mostly aged 20-60 years, in which 32 laborers do casual jobs locally, mostly in the slack season, accounting for 21% of labor force; 33 work locally all the year round (mostly aged 40-45 years), accounting for 22%; 38 work outside all the year round (mostly aged 25-35 years and working in couples), accounting for 25%, and 49 do farm work at home (mostly aged above 40 years), accounting for 32%. In addition to their normal farming, these farm workers also take care for the elderly and children. 3.2.6 Annual Household Income and Expenditure 33 In the subproject area, household income is from nonagricultural sectors mainly, including employment, sideline, commerce and social insurance income, in which nonagricultural income accounts for 84.5% of household income; nonproductive expenses account for 86% of household expenditure. See Table 3-6. Table 3-6 Annual Household Income and Expenditure Average per household Item Percent (yuan) Agricultural income 4540 15.5% Annual Nonagricultural income 25180 84.5% household 1) Employment income 22360 75.2% income 2) Other income 2820 9.3% Total 29720 100% Productive expenses 3300 14% Nonproductive expenses 19900 86% 1) Food expenses 13500 58% Annual 2) Traffic expenses 1100 5% household 3) Educational expenses 2300 10% expenditure 5) Medical expenses 1550 7% 6) Other expenses 1450 6% Total 23200 100% 3.2.7 Affected Vulnerable Groups 34 Two vulnerable households will be affected by LA. Zhang Kechang in Group 9 of Linjiang Community is 60 years old, disabled. His wife is a psycho, and can do simple physical labor and largely take care of herself. This household’s income is from crop cultivation, odd jobs, child support subsidy and MLS benefit. Zhang Zetian in Group 10 of Linjiang Community is 78 years old. This household is an MLS household. The income of the above two households will be affected slightly due to small amounts of LA. 15 Pengshui Subproject of the Chongqing Small Towns Water Environment Management Project 4 Legal and Policy Framework 4.1 Regulations and Policies on Resettlement 35 The policies of the Subproject have been formulated in accordance with the laws and regulations of the People’s Republic of China (PRC) and Chongqing Municipality, as well as the relevant requirements of the Bank’s conduct. The resettlement work of the Subproject will be conducted in strict conformity with the policies in the RAP, and any change during implementation has to be approved by the Bank. See Table 4-1. Table 4-1 Summary of Applicable Regulations and Policies Effective Level Policy document date August 28, Land Administration Law of the PRC 2004 Notice on Issuing the Guidelines on Improving Compensation and Resettlement November Systems for Land Acquisition (MLR [2004] No.238) 3, 2004 Regulations of the Ministry of Land and Resources on Public Hearing on Land May 1, 2004 and Resources Decision of the State Council on Deepening the Reform and Rigidly Enforcing October 21, Land Administration (SC [2004] No.28) 2004 Notice of the State Council on Issues Concerning the Strengthening of Land August 31, Control and Adjustment (SC [2006] No.31) 2006 Notice of the General Office of the State Council on Forwarding the Guidelines of April 10, the Ministry of Labor and Social Security on Doing a Good Job in the Employment 2006 Training and Social Security of Land-expropriated Farmers (SC [2006] No.29) State Notice on Adjusting Fees for Using Additional Construction Land (CZ [2006] November No.48) 7, 2006 March 16, Real Right Law of the PRC 2007 Notice of the Ministry of Labor and Social Security, and Ministry of Land and April 28, Resources on Doing a Good Job in Social Security for Land-expropriated 2007 Farmers Practically (MLSS [2007] No.14) Notice on small loans to improve financial discount policy and promote women ’s July 27, entrepreneurship Employment ( Choi blond [2009] NO.72) 2009 Notice of the Ministry of Land and Resources on Doing a Better Job in LA June 26, Management (MLR [2010] No.238) 2010 Opinion on Building Clean Party and Corruption Fighting (Ministry of Public January 1, Security Party [2011] No. 590) 2011 Land Administration Regulations of Chongqing Municipality (Decree No.53 of the March 22, Chongqing Municipal Government) 1999 Land Acquisition Compensation and Resettlement Measures of Chongqing January 1, Municipality (Decree No.55 of the Chongqing Municipal Government) 1999 Interim Measures of Chongqing Municipality for Basic Endowment Insurance for January 1, Farmers Converted into Urban States in Land Acquisition after January 1, 2008 2008 Chongqing Notice of the Chongqing Municipal Government on Adjusting Land Acquisition January 1, Municipality Compensation and Resettlement Policies (CMG [2008] No.45) 2008 Notice of the General Office of the Chongqing Municipal Government on January Strengthening Land Acquisition and House Demolition Management Practically 31,2013 (CMGO [2013] No.27) Notice of the Chongqing Municipal Government on Further Adjusting Land January 1, Acquisition Compensation Rates (CMG [2013] No.58) 2013 Notice of the Pengshui County Government on Adjusting Land Acquisition July 9, 2008 Pengshui Compensation and Resettlement Policies (PCG [2008] No.44) County Notice of the Pengshui County Government on Further Adjusting Land January 1, Acquisition Compensation Rates (PCG [2013] No.73) 2013 Operational Policy OP4.12 on Involuntary Resettlement, and Bank Procedure January 1, World Bank BP4.12 on Involuntary Resettlement and appendixes 2002 16 Pengshui Subproject of the Chongqing Small Towns Water Environment Management Project 4.2 State Laws and Regulations Land Administration Law of the PRC (2004) 36 Any organization or individual that need land for construction purposes should apply for the use of land owned by the State according to law. 37 Whereas occupation of land for construction purposes involves the conversion of agricultural land into land for construction purposes, the examination and approval procedures in this regard shall be required. 38 Whereas agricultural land is converted into construction purposes as part of the efforts to implement the general plans for the utilization of land within the amount of land used for construction purposes as defined in the general plans for cities, villages and market towns, it shall be approved batch by batch according to the annual plan for the use of land by the organs that approved the original general plans for the utilization of land. The specific projects within the scope of land approved for conversion shall be approved by the people's governments of cities or counties. 39 In acquiring land, compensation should be made according to the original purposes of the land acquired. Compensation fees for land acquired include land compensation fees, resettlement fees and compensation for attachments to or green crops on the land. 40 Whereas the land compensation fees and resettlement fees paid according to the provisions of the second paragraph of this article are not enough to maintain the original level of living, the resettlement fees may be increased with the approval of the people's governments of provinces, autonomous regions and municipalities. But the combined total of land compensation fees and resettlement fees shall not exceed 30 times the average output value of the three years prior to the acquisition. Notice on Issuing the Guidelines on Improving Compensation and Resettlement Systems for Land Acquisition (MLR [2004] No.238) Provisions on the resettlement of land-expropriated farmers: 41 Agricultural resettlement. When rural collective land out of urban planning areas is acquired, land-expropriated farmers shall be first provided with necessary arable land using mobile collective land, contracted land turned over by contractors and arable land arising from land development so that they continue to pursue agricultural production. 42 Reemployment resettlement. Conditions shall be created actively to provide free labor skills training to land-expropriated farmers and place them to corresponding jobs. Under equal conditions, land users shall first employ land-expropriated farmers. When rural collective land within urban planning areas is acquired, land-expropriated farmers shall be included in the urban employment system and a social security system established for them. 43 Dividend distribution resettlement. When any land with long-term stable income is to be used for a project, the affected rural collective economic organization may become a project shareholder with compensation fees for land acquisition or rights to use construction land in consultation with the land user. The rural collective economic organization and rural households will receive dividends as agreed. 44 Non-local resettlement. If basic production and living conditions are not available locally to land-expropriated farmers, non-local resettlement may be practiced under the leadership of the government in consultation with the rural collective economic organization and rural households. Provisions on information disclosure and supervision: 45 Land acquisition approval shall be disclosed. For any land acquired with approval according to law, the Ministry of Land and Resources, and provincial land and resources department shall disclose land acquisition approval to the public through mass media except where any state secret is involved. The county (municipal) land and resources bureau shall disclose land acquisition approval to the affected village. Decision of the State Council on Deepening the Reform and Rigidly Enforcing Land Administration (SC [2004] No.28) 46 Basic farmland shall be protected strictly, because basic farmland is the basis for national food safety. Once identified, basic farmland shall not be occupied by any organization or individual, or not be reused without the approval of the State Council. Any basic farmland occupied after approval shall be compensated for at the highest applicable rate. 17 Pengshui Subproject of the Chongqing Small Towns Water Environment Management Project 47 Improving measures of compensation for land acquisition. County-level and above local people’s governments shall take practical measures so that the standard of living of farmers affected by land acquisition is not reduced by land acquisition. Land compensation, resettlement subsidy and compensation for ground annexes and crops shall be paid in full and timely pursuant to law. If the land compensation and resettlement subsidy pursuant to the prevailing laws and regulations are insufficient to maintain the former standard of living of the farmers affected by land acquisition or to pay the social security expenses of farmers who lose all land due to land acquisition, the people’s governments of provinces, autonomous regions and municipalities directly under the Central Government shall approve an increased resettlement subsidy. If the sum of the land compensation and the resettlement subsidy attains the statutory upper limit and is still insufficient to maintain the former standard of living of the farmers affected by land acquisition, local people’s governments may pay a subsidy from the income from compensated use of state land. The People’s governments of provinces, autonomous regions and municipalities fix and announce the uniform AAOV rates and location-based composite land prices for land acquisition, land acquisition compensation to do equal price for equal land, the state key construction projects must be included in the budget for land acquisition costs in full. 48 Resettling land-expropriated farmers properly. County-level and above local people’s governments shall take specific measures to guarantee long-term livelihoods of farmers affected by land acquisition. For projects with a stable income, farmers may become a shareholder using the right to use of land used for construction approved pursuant to law. Within the urban planning area, local people’s governments shall bring farmers who lose all land due to land acquisition into the urban employment system, and establish a social security system; out of the urban planning area, in acquiring land collectively owned by farmers, local people’s governments shall reserve necessary arable land or arrange appropriate jobs for farmers affected by land acquisition within the same administrative area; farmers without land who do not have the basic living and production conditions shall be subject to non-local resettlement. The labor and social security authorities shall propose guidelines for the employment training and social security systems for farmers affected by land acquisition as soon as possible. 49 Improving land acquisition procedures. During land acquisition, the ownership of collective land of farmers and the right to contracted management of farmers’ land shall be maintained. Before land acquisition is submitted for approval pursuant to law, the use, location, compensation standard and resettlement mode of the land to be acquired shall be notified to farmers affected by land acquisition; the survey results of the present situation of the land to be acquired shall be confirmed by rural collective economic organizations and farmers to be affected by land acquisition; if necessary, the land and resources authorities shall organize a hearing in accordance with the applicable provisions. The materials for notification to and confirmation by the farmers affected by land acquisition shall be taken as requisite materials for approval for land acquisition. Accelerate the establishment and improvement of the coordination and judgment mechanism for disputes over compensation and resettlement for land acquisition to protect the lawful rights and interests of farmers affected by land acquisition and land users. Approved matters of land acquisition shall be disclosed unless in special cases. 50 Strengthening Supervision over the implementation of land acquisition. If the compensation and resettlement for land acquisition has not been implemented, the acquired land shall not be used forcibly. The People’s governments of provinces, autonomous regions and municipalities directly under the Central Government shall formulate the procedures for the distribution of the land compensation within rural collective economic organizations on the principle that the land compensation is used for rural households affected by land acquisition mainly. Rural collective economic organizations affected by land acquisition shall disclose the receipt, disbursement and allocation of land compensation fees to their members and accept supervision. Guidelines on Doing a Better Job in Employment Training and Social Security for Land-expropriated Farmers (SCO [2006] No.29) Provisions on the issue of landless farmers’ livelihoods: 51 Doing a good job in employment training and social security for LEFs shall be an important part of land acquisition institutional reform. Local governments at all levels shall strengthen employment training and social security, include LEF employment issues in economic and social development plans, and annual plans, establish social security institutions suited to the characteristics and needs of LEFs, take effective measures to secure employment training and social security funds, promote 18 Pengshui Subproject of the Chongqing Small Towns Water Environment Management Project LEFs’ employment and integration into urban society, and ensure that LEFs’ living standards are not reduced due to land acquisition and that their long-term livelihoods are secured. 52 Define the scope, highlight the key points and make unified planning. Subjects of employment training and social security for LEFs shall mainly be registered agricultural population losing all or most of land due to the unified acquisition of rural collective land by the government, and having the right to contract rural collective land upon land acquisition. To do a good job in employment training and social security for LEFs, new LEFs should be the key group, LEFs of labor age be key subjects of employment training, and elderly LEFs be key subjects of social security. For eligible new LEFs, the government shall make employment training arrangements and implement appropriate social security policies upon land acquisition. 53 Conduct classified guidance based on conditions within and out of urban planning areas. Country should be based on the actual situation of landless farmers to properly resolve employment training and social security issues. Within urban planning areas, local governments shall include LEFs in the urban employment system, and establish social security institutions. Out of urban planning areas, local governments shall ensure that cultivated land or jobs is/are reserved for LEFs within their administrative jurisdictions, and that LEFs are included in the rural social security system. LEFs in areas without adequate production and living conditions shall be relocated and included in the social security system of destinations. 54 Promote the employment of LEFs. A market-oriented employment mechanism should be stuck to, urban and rural employment planned in a unified manner, jobs developed in multiple ways, the employment environment improved, enterprises, public institutions and communities encouraged to absorb LEFs, and LEFs supported to find jobs and start up businesses themselves. Within urban planning areas, LEFs shall be included in the uniform unemployment registration system and urban employment service system. Unemployed LEFs may go through unemployment registration with local public employment service agencies, which shall provide employment consulting, guidance, training and referral services to LEFs so that LEFs of labor age and willing to get employed to be employed as soon as possible. Unemployed LEFs of labor age and willing to get employed to be employed shall be entitled to supporting policies on employment promotion and reemployment. 55 Ascertain the responsibility for LEF employment and resettlement. The government shall develop public welfare jobs actively to place LEFs with employment difficulties, and urge and direct land users to employ LEFs with priority. Employment modes may include that land users offer jobs and enter into labor contracts with LEFs directly, or that land users, employment service agencies and LEFs enter into a contract together. 56 Strengthen training for LEFs. Within urban planning areas, all localities shall develop vocational training programs suited to LEFs, and help LEFs get employed by various means, such as order-based training. Out of urban planning areas, all localities shall give vocational training to LEFs actively to improve their employment competitiveness and ability to start up business. 57 Secure basic and long-term livelihoods. All localities shall secure basic and long-term livelihoods of LEFs by various means based on practical conditions. For LEFs within urban planning areas, measures for maintaining basic living standards and old age security shall be developed based on local economic level and for different age groups. LEFs entitled to minimum living security for urban residents shall be included in the minimum living security system for urban residents. In areas where trials on urban medical assistance institutions have begun, LEFs eligible for medical assistance shall be included in the scope of medical assistance. In areas where conditions permit, LEFs shall be included in social insurance for urban employees, such as endowment, medical and unemployment insurance, to solve their basic living security issues through the prevailing urban social security system. In areas where rural social endowment insurance institutions have been established, trials on new-type rural cooperative medical institutions are ongoing, and rural minimum living security institutions are implemented, LEFs out of urban planning areas shall be included in the scope of security. In areas where the above institutions have not been established, local governments may secure LEFs’ basic livelihoods by various means as the case m ay be, provide necessary old age support and medical services, and include eligible LEFs in local social assistance. 58 Determine security levels rationally. Basic living and old age security standards for LEFs shall not be less than local minimum living security standards. 59 Secure employment training and social security funds. Funds for the employment training of LEFs shall be disbursed from local finance; funds for social security shall be disbursed from 19 Pengshui Subproject of the Chongqing Small Towns Water Environment Management Project resettlement subsidies and land compensation fees for land acquisition approved by local governments. If the two fees not enough to pay and it will resolved by the local government from state-owned land use income. In areas where conditions permit, local finance and collective economy shall strengthen support for LEFs to cover urban and rural social insurance. Notice of the Ministry of Labor and Social Security, and Ministry of Land and Resources on Doing a Good Job in Social Security for Land-expropriated Farmers Practically (MLSS [2007] No.14) 60 Subjects, rates and fund raising method of social security for land-expropriated farmers shall be subject to prior disclosure and public hearing to protect their rights of information and participation. Labor and social security, and land and resources departments should work effectively to ensure the proper implementation of social security for land-expropriated farmers. Need to be reported to the provincial government for approval of land acquisition, the above described materials municipal (prefecture) level labor and social security department audit opinion; must be reported to the State Council approved the land proposed audit opinion by the provincial labor and social security department. 61 All income from the transfer of the right to use state-owned land shall be entered into local treasuries, and disbursed from land transfer income under local budgets. Social security costs for land-expropriated farmers shall be transferred fully to the special account, and entered into the individual or pooling account within 3 months of approval of the land acquisition compensation and resettlement program. Notice of the Ministry of Land and Resources on Doing a Better Job in LA Management (MLR [2010] No.238) 62 (1) Apply uniform AAOV rates and location-based composite land prices for land acquisition in all aspects. Fixing uniform AAOV rates and location-based composite land prices for land acquisition are an important measure for improving land acquisition compensation mechanism and realizing equal price for equal land, and also an essential requirement for increasing compensation rates for land acquisition, and protecting farmers’ rights and interests. These rates shall be complied with strictly for rural collective land acquired for all types of construction. For any new construction project, strict control shall be exercised upon land use pre-examination to ensure that land acquisition compensation fees are calculated according to the published uniform AAOV rates and location-based composite land prices for land acquisition, and are included in the budgetary estimates in full. If the construction land is located in an area with the same AAOV or location-based composite land price, the level compensation for land acquisition shall be largely consistent, so as to realize equal compensation for equal land. 63 All localities shall establish a dynamic adjustment mechanism for compensation rates for land acquisition, adjust compensation rates for land acquisition every 2 or 3 years depending on economic level and local per capita income growth, and improve the compensation level for land acquisition gradually. Provinces where prevailing compensation rates for land acquisition have exceeded specified levels shall adjust and amend their compensation rates hereunder. Any province that fails to make timely adjustments shall not be pass land use examination. 64 (2) Explore and improve depository systems for land acquisition compensation fees. In order to prevent the default of land acquisition compensation fees, and ensure that compensation fees are made available timely and fully, all localities shall explore and improve depository systems for land acquisition compensation fees. When organizing land approval, a municipality or county shall estimate land acquisition compensation fees according to the size and compensation rate of land acquisition, and the land use applicant shall deposit land acquisition compensation fees in advance; for urban construction land and land for any construction project selected separately in the mode of transfer, the local government shall deposit land acquisition compensation fees in advance. After the land use has been approved according to law, the deposited land acquisition compensation fees shall be settled timely. 65 Province-level land and resources departments shall establish sound rules and regulations for the deposition of land acquisition compensation fees together with competent authorities based on local conditions, and exercise control during land use examination. 66 (3) Distribute land acquisition compensation fees rationally. After uniform AAOV rates and location-based composite land prices for land acquisition are practiced, province-level land and resources departments shall establish sound measures for the distribution of land acquisition compensation fees together with the departments concerned, and submit them to province-level 20 Pengshui Subproject of the Chongqing Small Towns Water Environment Management Project governments for approval provided compensation fees for land acquisition should be used mainly on land-expropriated farmers. 67 Upon land acquisition, municipal and county land and resources departments shall pay compensation and resettlement fees timely and fully according to determined compensation and resettlement programs for land acquisition; fees payable to land-expropriated farmers shall be paid directly to individual farmers, and the withholding or embezzlement of compensation and resettlement fees for land acquisition shall be prevented or corrected timely. 68 (4) Give priority to agricultural resettlement. All localities shall adopt effective resettlement modes suited to local conditions. In rural areas where cultivated land has been added through land management or much mobile land is reserved by rural collective economic organizations, priority shall be given to the mode of agricultural resettlement upon land acquisition, where newly added cultivated land or mobile land shall be allocated to land-expropriated farmers so that they are able to maintain basic production conditions and income sources. 69 (5) Regulate resettlement on reserved land. Where land acquisition is conducted within the range of urban construction land identified in a master plan for land utilization, the resettlement mode on reserved land may be adopted based on local conditions. However, guidance and management shall be strengthened. Reserved land shall be provided in the range of urban construction land and converted into state-owned land; where farmland conversion is involved, it shall be included in annual land utilization plans to prevent expanding the size of urban construction land due to resettlement on reserved land; reserved land development shall comply with the urban construction plan and pertinent provisions. In areas where resettlement on reserved land is practiced, local governments shall develop strict administrative measures to ensure that reserved land is arranged normatively and orderly, and developed and utilized scientifically and rationally. 70 (6) Ensure social security funds for land-expropriated farmers are available. Including land-expropriated farmers in the social security system is an effective way of solving the long-term livelihood problem of land-expropriated farmers. Land and resources departments at all levels shall promote the building of the social security system for land-expropriated farmers together with the departments concerned under the leadership of local governments. Presently, the key to the social security for land-expropriated farmers is to secure social security funds. All localities are encouraged to expand sources of social security funds from land users in conjunction with compensation and resettlement for land acquisition. During land use examination and approval, all localities shall control the availability of social security funds for land-expropriated farmers. 71 In areas where trials on the new rural social endowment insurance system are conducted, the social security for land-expropriated farmers shall be linked up with the new rural social security system. Where land-expropriated farmers are included in the new rural social security system, the social security system for land-expropriated farmers shall also be implemented, and the new rural social security system shall not be used in place of the social security system for land-expropriated farmers. 72 (10) Conduct notification, confirmation and hearing carefully before reporting for approval. Land acquisition concerns farmers’ immediate interests, and the rights of information, participation, appeal and supervision of farmers shall be protected. Municipal and county land and resources departments shall perform the procedures carefully to listen well to farmers’ opinions before reporting for approval of land acquisition in strict conformity with the pertinent provisions. Land acquisition programs shall be notified practically to village groups and farmers by such means as broadcast, village bulletin board and announcement in conjunction with village affairs disclosure. If any land-expropriated farmer has an objection and proposes a public hearing, the local land and resources department shall organize a hearing timely. Reasonable requirements proposed by farmers must be addressed properly. 73 (11) Simply post-approval implementation procedures. In order to shorten the implementation time after land acquisition approval, where the notification, confirmation and hearing procedures have been performed, and the confirmation of land ownership, land type, size, ground attachments and young crops, and compensation registration have been completed before reporting for approval of land acquisition, the compensation and resettlement program for land acquisition may be drafted upon reporting for approval of land acquisition. After the approval of land acquisition, the land acquisition announcement, and the announcement of the compensation and resettlement program for land acquisition may be posted concurrently. If there is any further public opinion during 21 Pengshui Subproject of the Chongqing Small Towns Water Environment Management Project announcement, the policies shall be publicized and explained carefully to win public understand and support. 74 (12) Strengthen the responsibility of municipal and county governments as the main subject of land acquisition. According to law, municipal and county governments are the main subject of land acquisition, and generally responsible for the fixation of compensation rates for land acquisition, compensation and resettlement for house demolition, the timely and full disbursement of compensation fees, the employment training of land-expropriated farmers, and the inclusion of land-expropriated farmers in the social security system. Land and resources departments shall perform its responsibilities under the unified leadership of the government to ensure that land acquisition is conducted normatively and orderly. 75 (13) Implement a feedback system after approval of land acquisition. Within 6 months of approval of construction land (for urban construction land approved by the State Council, after the approval of farmland conversion and land acquisition programs by province-level governments), municipal and county land and resources department shall submit information on the implementation of land acquisition, including the range and size of land acquisition, the performance of the post-approval procedures for land acquisition, the availability of land acquisition compensation fees, and the resettlement and social security implementation of land-expropriated farmers, to province-level land and resources department, and the Ministry of Land and Resources via the online submission system. Province-level land and resources departments shall urge and direct municipalities and county to submit information properly, check submitted information, correct non-submission, delayed submission and erroneous submission timely. Land and resources departments at all levels shall take full advantage of submitted information to master and analyze the post-approval implementation of land acquisition, strengthen post-approval land regulation, and ensure that land acquisition is implemented as required. 4.3 Municipal Regulations Land Administration Regulations of Chongqing Municipality (Decree No.53 of the Chongqing Municipal Government) 76 Article 19 If farmland is to be converted into construction land for construction purposes, the farmland conversion approval formalities shall be completed according to law. If farmland is to be converted into construction land within the range of construction land in the master land utilization plan, the following conditions shall be met: (1) The master land utilization plan is complied with; (2) The master urban development plan is complied with; (3) An annual quota for farmland conversion is obtained; and (4) A measure for cultivated land replenishment has been taken. 77 Article 22 In case of land acquisition, the acquirer shall pay land compensation fees, resettlement subsidy, and compensation fees for young crops and ground attachments in full within 3 months from the date of approval of the land acquisition compensation and resettlement program. Land Acquisition Compensation and Resettlement Measures of Chongqing Municipality (Decree No.55 of the Chongqing Municipal Government) 78 Article 19 For the following population converted into urban status, administrative authorities for land shall disburse land compensation fees and resettlement subsidies to civil affairs authorities at a time for resettlement or monthly payment of living expenses: (1) Orphans under 18 years; (2) Male widows aged over 60 years and female widows aged over 50 years; (3) Certified disabled persons without a guardian; (4) Certified psychos without a guardian. Notice of the General Office of the Chongqing Municipal Government on Strengthening Land Acquisition and House Demolition Management Practically (CMGO [2013] No.27) 79 (1). Strengthening centralized management on land acquisition; 80 (2). explicitly implementing body, work together to promote land acquisition; 81 (3). Regulating land acquisition and house demolition behavior strictly; 82 (4) Strengthening supervision and inspection to avoid crimes in land acquisition and house demolition Notice of the Chongqing Municipal Government on Further Adjusting Land Acquisition Compensation Rates (CMG [2013] No.58) 22 Pengshui Subproject of the Chongqing Small Towns Water Environment Management Project 83 1. Adjusting the land acquisition compensation rates of the main urban area: Land compensation fees shall be 18,000 yuan/mu based on acquired land area regardless of land type and location. Resettlement subsidy shall be 38,000 yuan per capita based on the agricultural population converted into urban status. Young crops and ground attachments shall be compensated for at 22,000 yuan per mu based on the total acquired land area which is not include rural housing land and wood land. The specific criteria of compensation for the ground attachments within the scope of the rural housing land set by the district and county people’s government in the main urban area. 84 2. District and county governments not in the main urban area shall adjust land acquisition compensation rates by reference to local conditions, and submit adjusted rates to the municipal government for record. 4.4 County Measures Notice of the Pengshui County Government on Adjusting Land Acquisition Compensation and Resettlement Policies (PCG [2008] No.44) Land compensation fees and resettlement subsidy: 85 80% of land compensation fees in land acquisition shall be used to cover basic endowment insurance for urban enterprise employees for land-expropriated farmers, and transferred by the county land and resources bureau to the county labor and social security bureau; the remaining 20% shall be paid to the affected rural collective economic organization for collective economic development, and the production and livelihood restoration of its members. 86 Resettlement subsidy shall be paid based on age group. The resettlement subsidy of any land-expropriated farmer aged under 16 years shall be fully paid to the individual; and 50% of that for one aged 16 years or above shall be used to pay basic endowment insurance premiums for urban enterprise employees, by the land administrative departments on behalf of its resettlement subsidies allocated to the labor and social security department, earmarked for basic endowment insurance of the land-expropriated farmer. and the reminder shall be paid to the individual for production and livelihood restoration. 87 If the sum of 80% of the land compensation and the insurance paid by the individual is less than the pension, the gap shall be paid by the land acquisition department. Determination of population converted into urban status: 88 If all land of a collective economic organization is acquired, all its members shall be converted into urban status; if part of its land is acquired, the population to be converted into urban status shall be acquired cultivated area (including garden and pasture land) plus 0.5 time non-cultivated area divided by the per capita cultivated area of the affected collective economic organization. Per capita cultivated area shall be the cultivated area (excluding acquired cultivated area) recorded on the certificate of title to collective land divided by the population of the affected collective economic organization. 89 If the land of a collective economic organization is partly acquired, and remaining per capita cultivated area is less than 0.5 mu, not only population converted into urban status shall be calculated as above, an affected household may also apply for conversion additionally until its per capita cultivated area reaches 0.5 mu. If any affected household does not apply for conversion, the rural collective economic organization shall allocate cultivated land to it if available. 90 If the house in city planning area to be expropriated and demolished, demolition households can apply for conversion for all household unit. Notice of the Pengshui County Government on Further Adjusting Land Acquisition Compensation Rates (PCG [2013] No.73) Land compensation fees and resettlement subsidy 91 Land compensation fees shall be based on acquired land area, being 15,000 yuan/mu in the downtown area (Hanjia, Shaoqing and Dianshui Sub-districts, and Wanzu, Xintian and Baojia Towns), and 13,000 yuan/mu in the other townships. 92 Resettlement subsidy shall be 35,000 yuan per capita based on agricultural population converted into urban status. Compensation for young crops and ground attachments: 93 Young crops and ground attachments shall be compensated for at fixed rates, based on the total acquired land area not including the rural housing, in which: 23 Pengshui Subproject of the Chongqing Small Towns Water Environment Management Project 94 Young crops and ground attachments on cultivated land shall be compensated for at a fixed rate of 4,000 yuan/mu; 95 Young crops and ground attachments on fruit garden land before fruit bearing shall be compensated for at a fixed rate of 3,200 yuan/mu, those on fruit garden land at the fruit bearing stage at 12,800 yuan/mu, those on other garden land before fruit bearing at 2,900 yuan/mu, and those on other garden land at the fruit bearing stage at 4,800 yuan/mu; 96 Trees and attachments on forest land shall be compensated for at a fixed rate of 4,800 yuan/mu, those on nurseries at 12,000 yuan/mu, and those on other woodland at 2,000 yuan/mu. 97 Due to planning forest reserves, the compensation rate for timber stock : (1) compensation rate for 4800 yuan per mu young forests (plantations less than 10 years, 20 years of natural forests); (2) middle-aged forest compensation rate for 5600 yuan per mu (plantations more than 10 years, natural forests over 20 years). Moving and transition subsidies 98 Moving subsidy: 600 yuan per household with 3 persons or less, 1,000 yuan per household with over 3 persons, paid at a time 99 Relocation allowance: in case of cash compensation, 1,200 yuan per household, 100 Transition subsidy: 200 yuan per capita per month; transition period of property swap is generally not more than two years, over two years, increased by 50% more from the third year. Compensation rates for houses on collective land Table 4-2 Compensation Rates for Houses on Collective Land Structural type Detailed structure Compensation rate Reinforced concrete Frame (shear wall) cast-in-situ roof 660 Masonry concrete Brick wall (ashlar) with prefabricated roof 600 Brick wall (board) with prefabricated roof 480 Masonry timber Brick wall (stone sheet) with tile roof 420 Brick wall, asbestos tile roof (or felt, fiberglass tile) 390 Earth wall with tile roof 360 Earth wall Asbestos tile roof 330 Brick (stone, timber) columns, asbestos tile roof (or felt, 120 Simple fiberglass tile) Simple shed 100 4.5 Bank Policy on Involuntary Resettlement 101 The Bank’s policy and procedure on involuntary resettlement (OP4.12 and BP4.12) issued in December 2001 provide for the following:  Involuntary resettlement should be avoided where feasible, or minimized, exploring all viable alternative project designs.  Where it is not feasible to avoid resettlement, resettlement activities should be conceived and executed as sustainable development programs, providing sufficient investment resources to enable the persons displaced by the project to share in project benefits.  Displaced persons should be meaningfully consulted and should have opportunities to participate in planning and implementing resettlement programs.  Displaced persons should be assisted in their efforts to improve their livelihoods and standards of living or at least to restore them, in real terms, to pre-displacement levels or to levels prevailing prior to the beginning of project implementation, whichever is higher. 4.6 Resettlement Principles of the Subproject 102 According to the above policy framework, the resettlement principles of the Subproject are as follows:  Measures should be taken to minimize negative impacts on the APs;  Community suggestions that can improve the APs’ living standard and livelihoods should be adopted;  Compensation and resettlement programs should improve the APs’ living standard or at least restore it to the pre-project level; 24 Pengshui Subproject of the Chongqing Small Towns Water Environment Management Project  The APs should be meaningfully consulted and should have opportunities to participate in planning and implementing resettlement programs;  Affected properties shall be compensated for at replacement cost;  Identification of APs: The cut-off date for the identification of APs is the date of publication of the announcement of LA and HD. After this date, the APs should not build, rebuild or expand their properties; should not change the uses of their properties and land; should not lease their land, lease, sell or purchase their properties; and any person that moves in after this date should not qualify as an AP. 25 Pengshui Subproject of the Chongqing Small Towns Water Environment Management Project 5 Compensation Rates for LA and HD 103 The compensation rates for different impacts of the Subproject have been fixed according to the above legal framework, and based on the practical situation of the subproject area. The compensation rates for LA and HD will be adjusted in practice, but will not be lower than those specified in this RAP. The cut-off date is the notice release date of land acquisition and demolition. After this date, the relocation households shall not build, expand and rebuild houses; shall not change the uses of the housing and land; shall not perform lease, rental and sale of land and housing, and persons moving into the zone after this date shall not be provided with qualification of compensation. 5.1 Compensation Rates for Permanent LA 104 According to the Land Administration Law of the PRC, Decision of the State Council on Deepening the Reform and Rigidly Enforcing Land Administration (SC [2004] No.28), Notice of the Chongqing Municipal Government on Further Adjusting Land Acquisition Compensation Rates (CMG [2013] No.58), and Notice of the Pengshui County Government on Further Adjusting Land Acquisition Compensation Rates (PCG [2013] No.73), LA compensation includes land compensation fees, resettlement subsidy and young crop compensation fees. Land compensation fees are based on acquired land area regardless of land type. See Table 5-1. Table 5-1 Compensation Rates for Permanent LA 6 Land compensation Resettlement subsidy Fixed compensation rate (yuan/mu) fees (yuan/mu) (yuan per capita) Cultivated land Garden land Woodland 15000 35000 4000 11000 10000 105 In 2012, the average annual output value of cultivated land in the subproject area was 1,200 yuan/mu. Based on the land compensation rate of 15,000 yuan/mu and the resettlement subsidy of 35,000 yuan per capita, LA compensation ranges from 54.17 times the average annual output value of Group 8 of Linjiang Community to 429.17 times that of Group 1 of Linjiang Community, much higher than 14 (it is 14 years from the end of the current round of rural collective land contracting of 2027). Therefore, this compensation rate is sufficient for replacement. Table 5-2 Compensation Multiples for Permanent LA Average Per capita Multiple of land Multiple of Overall Community Component Group output value cultivated compensation resettlement multiple (yuan) area (mu) fees subsidy 7 1 1200 0.07 12.5 416.67 429.17 7 1200 0.6 12.5 48.61 61.11 Linjiang Embankment 8 1200 0.7 12.5 41.67 54.17 9 1200 0.49 12.5 59.52 72.02 10 1200 0.57 12.5 51.17 63.67 Note: Multiple of land compensation fees = land compensation fees / average annual output value; Multiple of resettlement subsidy = resettlement subsidy /per capita cultivated area / average annual output value 5.2 Compensation Rates for Temporary Land Occupation 106 The temporarily occupied land will be compensated for based on the actual period of occupation at compensation rates for different land types. Young crops and ground attachments on cultivated land will be compensated for at a fixed rate of 4000 yuan/mu per annum, those on woodland at 10,000 yuan/mu per annum, and those on garden land at 11,000 yuan/mu per annum. 6 Subjects of fixed rate compensation include young crops and ground attachments on rural collective land (e.g., trees, fruit saplings), excluding ground structures (e.g., protective works, check dams). 7 According to the head of Linjiang Community, after the bankruptcy of the paper mill of Group 1, most workers have moved to Group 1, reducing the per capita cultivated area of this group, which is now 0.07 mu. 26 Pengshui Subproject of the Chongqing Small Towns Water Environment Management Project The owner will pay a reclamation bond for temporary land occupation, and the temporarily occupied land will be reclaimed by the APs. See Error! Reference source not found.. Table 5-3 Compensation Rates for Temporary Land Occupation Item Compensation rate Cultivated land 4000 yuan/mu per annum Young crop compensation fees Woodland 10000 yuan/mu per annum Garden land 11000 yuan/mu per annum Cultivated land 13334 yuan/mu Reclamation bond Woodland and garden land 10000 yuan/mu 5.3 Compensation Rates for Rural Residential Houses 107 The resettlement modes for the households affected by HD include cash compensation, self-construction on allocated land and preferential housing purchase under property swap. 5.3.1 Cash Compensation 1) Overall house compensation rates8 108 HD compensation rates: 860 yuan/m2 for reinforced concrete structure, 800 yuan/m2 for masonry concrete structure, 680 yuan/m2 for masonry timber structure, 560 yuan/m2 for earth timber structure and 320 yuan/m2 for simple structure 2) Moving subsidy 109 1,200 yuan per household, paid at a time 3) Transition subsidy 110 Based on registered population at the time of LA approval, 200 yuan per capita per month, for a transition period of two years 4) Cash compensation rates 111 In case of cash compensation, each AP will receive 35,792.7 yuan in compensation. 112 Based on the above rates, this resettlement mode is sufficient for replacement. 5.3.2 Self-construction on Allocated Land 1) Overall house compensation rates 113 HD compensation rates: 1,190 yuan/m2 for reinforced concrete structure, 1,100 yuan/m2 for masonry concrete structure, 920 yuan/m2 for masonry timber structure, 740 yuan/m2 for earth timber structure and 380 yuan/m2 for simple structure 2) Rates for self-construction on allocated land 114 In case of self-construction on allocated land, each AP will receive 30m2 of housing land. In additions, each Ah will pay 48 yuan/m2 for housing land. 3) Moving subsidy 115 600 yuan per household with 3 persons or less, 1,000 yuan per household with over 3 persons, paid at a time 4) Transition subsidy 116 Based on registered population at the time of LA approval, 200 yuan per capita per month 117 Based on the local self-construction cost of 800-900 yuan/m2, the mode of self-construction on allocated land is sufficient for replacement. 5.3.3 Preferential Housing Purchase under Property Swap 1) Overall house compensation rates 8 According to Document PCG [2013] No.73, “overall house compensation rate” in this report includes house compensation rate, incentive and residual value subsidy. “House compensation rates” are subject to 150% of 2 the compensation rates specified in PCG [2013] No.73, and incentive is 200 yuan/m . 27 Pengshui Subproject of the Chongqing Small Towns Water Environment Management Project 118 HD compensation rates: 1,190 yuan/m2 for reinforced concrete structure, 1,100 yuan/m2 for masonry concrete structure, 920 yuan/m2 for masonry timber structure, 740 yuan/m2 for earth timber structure and 380 yuan/m2 for simple structure 2) Moving subsidy 119 600 yuan per household with 3 persons or less, 1,000 yuan per household with over 3 persons, paid at a time 3) Transition subsidy 120 Based on registered population at the time of LA approval, 200 yuan per capita per month, transition period of property swap is generally not more than two years, increased by 50% more beyond two years from the third year. 4) Preferential purchase prices 121 Resettlement housing will be purchased at the compensation rate for masonry concrete structure for not more than 30m2 per capita, or the purchase price of masonry concrete structure for any excess of not more than 5m2 per capita, or the construction cost for any excess of more than 5m2 per capita. 122 This resettlement mode is sufficient for replacement. 123 According to the local policy, each household affected by HD will receive compensation for interior decoration at 125 yuan/m2 for floor tiles, 50 yuan/m2 for wall tiles, 25 yuan/m2 for ordinary ceilings and 100 yuan/m2 for luxury ceilings. 124 See Table 5-4. Table 5-4 Compensation Rates for HD 2 Overall compensation rate (yuan/m ) Other compensation Transition Moving subsidy Cash Reinforced Masonry Masonry Earth Mode Simple subsidy (yuan/ compensation concrete concrete timber timber Interior decoration structure (yuan/ month (yuan per structure structure structure structure household) per capita) capita) 2 Cash 125 yuan/m for 860 800 680 560 320 1200 35792.7 compensation floor tiles, 50 2 Self-construction 3 persons yuan/m for wall 2 on allocated or less: - tiles, 25 yuan/m 200 land 600 yuan; for ordinary 1190 1100 920 740 380 over 3 ceilings, 100 2 Property swap persons: - yuan/m for luxury 1000 ceilings 5.3.4 Compensation Rates for Unfinished Houses 125 The 12 unfinished rural houses affected by the Pengshui Subproject will be compensated on the basis of the construction status and the local compensation policy. See Table 5-5. Table 5-5 Compensation Rates for Unfinished Houses Structure Pillars Frame without slab Frame with slabs Completed Compensation rate 2 750 750 1090 1190 (yuan/m ) 5.4 Compensation Rates for Affected Ground Attachments 126 Young crops and ground attachments affected by the Subproject will be compensated for at fixed rates, based on the total acquired land area not including the rural housing. Ground attachments (excluding ground structures) compensation, together with the young crops included in the consolidated fixed compensation, which do not include special facilities. For affected special facilities, 0.4KV power lines will be compensated for at a fixed rate of 100,000 yuan, 10KV power 28 Pengshui Subproject of the Chongqing Small Towns Water Environment Management Project lines at 150,000 yuan and telecom cables at 80,000 yuan9. In addition, tombs without tombstone will be compensated for at 2,300 yuan and those with a tombstone at 3,200 yuan, which are sufficient for replacement. See Error! Reference source not found.. Table 5-6 Compensation Rates for Affected Attachments Item Spec. Unit Rate (yuan) Cultivated land and ground attachments mu 4000 Fixed rate Garden land and ground attachments mu 11000 compensation Trees and ground attachments on woodland mu 10000 Without tombstone / 2300 Tombs With tombstone / 3200 Power lines 0.4KV km 100000 Power lines 10KV km 150000 Telecom cables - km 80000 9 The Subproject will affect such special facilities as power lines and telecom cables. Through consultation with the power and telecom authorities, such special facilities will be subject to one-time fixed-rate compensation. 29 Pengshui Subproject of the Chongqing Small Towns Water Environment Management Project 6 Production and Livelihood Restoration Programs 6.1 Restoration Program for Permanent LA 6.1.1 Appraisal of Lost Income 127 5 groups of Linjiang Community, Shaoqing Sub-district will be affected by permanent LA for the Subproject. 338.48 mu of rural collective land will be acquired permanently, including 248.85 mu of cultivated land. The acquired land is mostly beside the river and rarely used to grow commercial crops due to frequent floods, so income loss rates are low. Through calculation based on local average annual output value (see Table 6-1), per capita income loss rates range from 3% to 13%. Table 6-1 Land and Income Losses after LA Average Per Acquired per Land Per capita Per capita Acquired annual capita Affected capita loss income Community Group cultivated cultivated output lost population cultivated rate loss rate area (mu) area (mu) value income 10 area (mu) (%) (%) (yuan) (yuan) 1 583 0.07 14.4 0.02 0.35 1200 423.43 6.6 7 188 0.6 59.4 0.32 0.53 1200 631.91 9.8 Linjiang 8 81 0.7 40.5 0.50 0.71 1200 857.14 13.3 9 152 0.49 37.95 0.25 0.51 1200 611.44 9.5 10 165 0.57 15.6 0.1 0.18 1200 210.53 3.3 6.1.2 Income Restoration Program 128 LA compensation includes land compensation fees, resettlement subsidy and young crop compensation fees. Compensation fees for permanently acquired rural collective land (land compensation fees) are based on acquired land area regardless of land type, being 15,000 yuan/mu. For population converted into urban status, resettlement subsidy is 35,000 yuan per capita. Young crop and ground attachments will be compensated for at fixed rates. 80% of land compensation fees will be used to cover endowment insurance for land-expropriated farmers, and the remaining 20% will be paid to the affected rural collective economic organization for payment to the AHs. 6.1.3 Endowment Insurance for Population Converted into Urban Status 1) Population converted into urban status 129 The population to be converted into urban status will be acquired cultivated area (including garden and pasture land) plus 0.5 time non-cultivated area divided by the per capita cultivated area of the affected collective economic organization. The population to be converted into urban status in the Subproject is528. See Table 6-2. If the remaining cultivated area of an AH is less than 0.5 mu per capita after LA, the AH may apply for increasing population to be converted into urban status until its remaining cultivated area reaches 0.5 mu per capita. In addition, since the Subproject is located in the planning area of the county town, an AH may apply for full conversion by returning all contracted land. Table 6-2 Population Converted into Urban Status Acquired Acquired non- Per capita Population converted Community Group cultivated cultivated land cultivated into urban status land (mu)(1) (mu)(2) area (mu)(3) (4)=[(1)+(2)*0.5]/(3) 1 14.4 1.05 0.07 213 Linjiang 7 59.55 20.25 0.6 116 10 Per capita income loss rate = per capita lost annual income on cultivated land / per capita net income (the per capita net income of local farmers is about 6,450 yuan/year 30 Pengshui Subproject of the Chongqing Small Towns Water Environment Management Project Acquired Acquired non- Per capita Population converted Community Group cultivated cultivated land cultivated into urban status land (mu)(1) (mu)(2) area (mu)(3) (4)=[(1)+(2)*0.5]/(3) 8 40.5 15 0.7 69 9 37.95 22.95 0.49 101 10 15.6 2.25 0.57 29 Tatol 168 61.5 - 528 2) Endowment insurance for population converted into urban status 130 The population to be converted into urban status of each village will be determined at a village meeting based on acquired land area. All households affected by HD may apply for conversion into urban status voluntarily. Most of the AHs prefer to convert old or 40s-50s family members into urban status. The resettlement subsidy of any land-expropriated farmer aged under 16 years will be fully paid to the individual; one aged 16 years or above will pay endowment insurance premiums voluntarily. The population to be converted into urban status to participate in endowment insurance is divided into three age groups, individuals of all ages assume different payment amounts. Personal funds paid by the administrative department of Homeland withhold from personnel resettlement fee. According to the compensation standard of the project, each of the Peasants were able to get 35,000 yuan of resettlement allowance, this allowance sufficient for payment of old-age insurance Peasants bear 50% of their needs; government pension commitments 50%. 80% of the land compensation fees from charged, not part of the overall costs of the withdrawal from the land.See Table 6-3. Table 6-3 Endowment Insurance Premiums and Pensions by Age Group Endowment Pension Starting age of pension Age group Population insurance premium receivable payment paid at a time (yuan) (yuan) 80 years or more 4 7500 750 75-79 24 7500 650 Old Month following the approval of 70-74 29 8150-10750 550 people LA compensation & Male 60-69 100 11400-20500 500 resettlement program Female 55-69 40s-50s Male 50-59 Month following the attainment 199 20500 500 people Female 40-54 of statutory retiring age Male 40-49 Middle- 98 11532 500 Female 30-39 aged or Month following the attainment Male 20-39 young 32 5766 500 of statutory retiring age Female 20-29 people 16-19 42 1153.2-4612.8 500 Note: The resettlement subsidy of any land-expropriated farmer aged under 16 years shall be fully paid to the individual. 131 Old people having attained retiring age will receive pensions from the month following the approval of the compensation and resettlement program after paying endowment insurance premiums at a time (According to 2013 standards, the basic pension is 500 yuan/month, and starting from January 1, 2013, increase the monthly pension benefit per person 35 yuan, on the basis, and in line with personnel pay period (excluding converted seniority) per year plus three yuan. For December 31, 2012 and before the age of 75 years old people, will increase the monthly pension benefit per person 50 yuan. After January 1, 2013 the age of 75 years old people, from the age of 75 years old of month, will improve the original standards from 50 yuan to 100yuan per person per month for elderly people.), so that each person converted into urban status will receive an annual pension of at least 6,420 yuan. 132 Among the 251 samples, 11 can receive pensions after covering endowment insurance, 81 are 40s-50s people who mostly do odd jobs locally, such as bricklaying and carpentry, and would do farm work at home in the busy season, and 63 are middle-aged or young who mostly deal with services in the Pengshui county town and the urban area of Chongqing. 31 Pengshui Subproject of the Chongqing Small Towns Water Environment Management Project 6.1.4 Employment Services for the APs 133 In order to improve the production level and living standard of the APs, the local competent authorities offer a number of employment promotion policies, including labor skills training and employment assistance.  Labor skills training 134 During project implementation, the county government will organize skills training for LEFs to help them find suitable jobs. Currently, there are 6 appointed training agencies in Pengshui County, which are the Employment Training Center, Vocational Education Center, Yucai Vocational Training School, Hengyuan Vocational Training School, Xinhai Vocational Training School and Rongyu Vocational Training Center. Training offered includes business startup and skills training. Most of training courses are for free or subsidized. Training is focused on highly demanded jobs, such as medicinal material cultivation, embroidery, computer, machinery and services. Qualified trainees will receive certificates and be recommended by training agencies. 135 As of the first half of 2013, 7,230 men-times in 138 sessions had been trained under the county’s special employment funds, and over 20,000 men-times in over 400 sessions trained under the Sunshine Program. See Table 6-4. Table 6-4 Training Courses Offered by the Local Government Authority Scope of training Scope of training 1) SIYB startup training; over 450 men-times trained in the first half of 2013; Reemployed rural laborers, Employment 2) Micro-enterprise startup training; 718 men-times registered unemployed urban bureau trained in 2012; residents, fresh graduates, 3) Skills improvement training; returned laborers 4) Pre-job training Poverty reduction 1) Poor household training Poor farmers, registered office 2) Rain and Dew Program unemployed urban residents 1) Sunshine Program, including state laws and Stockbreeding regulations on animal disease prevention and control, Pig, cattle, sheep, bee and poultry bureau animal quarantine, and veterinary diagnosis, vocational breeding households protection, etc. Construction 1) Farmer-benefiting training Farmers mainly committee 1) Knowledge update training for agricultural technicians: over 100 men-times trained per annum; 2) 100 science book houses for farmers by 2012; Agriculture 3) New-type farmer training: over 10,000 men-times Farmers mainly bureau trained per annum 4) Practical skills training: over 50,000 men-times trained per annum 1) Practical skills training for disabled rural residents, Disabled people’s pig, chicken and duck raising, mushroom and taro Disabled persons federation cultivation, etc. 1) Employment and startup knowledge training for women Women’s 2) Basic employment and startup skills training Women, laid-off workers federation 3) Rural labor transfer training (together with the county agriculture school)  Employment assistance and unemployment insurance 136 Farmers converted into urban status of labor age (16-60 years for men and 16-55 for women) may apply for an unemployment certificate with the county labor and social security bureau, and enter the labor market. The county government will help them get employed through job referral, job fair, etc. 137 The county employment bureau urban and rural employment and business startup through “four enhancements”: 1) Enhance startup training, including SYB and micro-enterprise startup training, with over 450 men-times trained by the end of June 2013; 2) Enhance the employment and business startup platform and implement preferential policies to promote employment and business 32 Pengshui Subproject of the Chongqing Small Towns Water Environment Management Project startup, with over 6,500 persons assisted in employment and business startup by the end of 2013; 3) Enhance lending support by optimizing the disbursement procedure of small-amount secured loans, with over 16.79 million yuan granted to 212 households in total by the end of June 2013, driving the employment or reemployment of 424 laborers; and 4) Enhance employment services, assistance and guidance for college and university graduates, unemployed residents, returned migrant workers and residents having difficulty in employment. See Table 6-5. Table 6-5 Employment Services Offered by the Local Government Authority Program Details Employment and College and university graduates, unemployed residents, returned business startup migrant workers and residents having difficulty in employment platform For returned migrant workers starting up businesses independently, Small-amount 50,000-80,000 yuan per capita, or not more than 1 million for secured loans Employment partnerships bureau A job fair held around the Spring Festival, involving extensive Spring Action job fair industries and numerous enterprises Job fair for private Inviting local private enterprises to participate enterprises Job fair for returned Machinery, electronics, commerce, construction, logistics, property migrant workers management, marketing, accounting, etc. Farmer business startup, biogas, animal quarantine, machinery Agriculture Sunshine Program operation ad repair, fishery, rural tourism, marketing, feed processing, committee vegetable and fruit cultivation, etc. An expert team will be established to cooperate with agricultural Science Science and enterprises and cooperatives, covering cured tobacco, taro, sweet committee technology assistance potato, bee, goat, vegetables, fishery, medicinal materials and rural tourism 1) Granting a subsidy of 200 yuan per sow if 5 or more sows are introduced at a time; Live stock supporting 2) Granting a subsidy for large-scale, standard live stock farms; policy 3) Granting a subsidy of 100 yuan to each breeding sow; 4) Project subsidy 1) Granting a subsidy of 300,000 yuan to each of the 6 beef cattle Stockbreeding Beef cattle supporting farms in the county; bureau policy 2) Granting a subsidy of 300 yuan per head of cattle to major cattle breeding households Goat supporting 1) Granting a subsidy of 90,000 yuan, 60,000 yuan and 30,000 yuan policy to goat farms of Types A, B and C respectively 1) Granting a subsidy of 200 yuan to each major bee breeding Bee supporting policy household 138 LEFs will be included in the basic endowment insurance system for urban enterprise employees after registration as urban residents. LEFs of labor age converted into urban residents may cover unemployment insurance. In addition, LEFs converted into urban residents starting up business independently will be entitled to applicable preferential policies, such as tax reduction or exemption, and small-amount secured loans. 139 The Subproject will generate some job opportunities for local laborers. These jobs will be first made available to the APs to increase their income.  Small-amount secured loans for women 140 Local women starting up business individually or together may apply for small-amount secured loans with the local women’s federation. 6.2 Restoration Program for Temporary Land Occupation 141 The temporarily occupied land will be compensated for based on the actual period of occupation, including compensation for young crops and ground attachments, and reclamation 33 Pengshui Subproject of the Chongqing Small Towns Water Environment Management Project costs. The temporarily occupied land will be restored by the APs. The compensation rates can cover young crop losses and reclamation costs. 6.3 Resettlement Program for Demolished Rural Residential Houses 142 The resettlement modes for the households affected by HD include cash compensation, self-construction on allocated land and preferential housing purchase under property swap. Most of the AHs choose self-construction on allocated land and cash compensation. Table 6-6 Resettlement Program for Demolished Rural Residential Houses Self-construction on allocated land Cash compensation Preferential housing purchase under property swap √ √ √ 6.3.1 Self-construction on Allocated Land 143 In case of self-construction on allocated land, the county land and resources bureau will allocate 30m2 of state-owned land per capita on the opposite side of the Wujiang River for housing construction. Each AH will pay a land cost of 48 yuan/m2. The compensation rate for housing land is sufficient to cover this land cost. In addition to house compensation, each AH will receive an incentive, and moving and transition subsidies. 144 For example, a household with 4 members and a house (masonry concrete) of 120m 2 will receive house compensation of 132,000 yuan (1,100*120). Based on the local self-construction cost of 800-900 yuan/m2, this amount can be used to construct a new house of over 120 m 2, so this mode is sufficient for replacement. In addition, the transition subsidy is sufficient for transition. 145 The replacement cost of the rural house self-construction is shown in Table 6-7. Table 6-7 Replacement Cost of the Rural House Self-construction Masonry concrete Masonry timber Earth wall Unit Unit Unit Amou value Amoun value value Item Unit price price Amount price nt per (yua t per (yuan (yuan (yuan (yuan/ per unit (yuan/ unit n) unit ) ) /unit) unit) unit) A. main materials 395.5 275 73.25 3 Wood m 0.02 1000 20 0.05 1000 50 0.03 1000 30 Cement kg 60 0.9 54 35 0.9 31.5 5 0.9 4.5 Brick Piece 270 0.5 135 260 0.5 130 5 0.5 2.5 Steel kg 21 5 105 5 5 25 1.5 5 11.25 Lime kg 45 0.3 13.5 35 0.3 10.5 10 0.3 3 3 Gravel m 0.4 60 24 0.3 60 18 0.3 60 18 3 Sand m 0.2 60 8 0.25 60 10 0.1 60 4 Asphalt kg 6 6 36 0 A. other 120 102.9 80 80 B. labor costs 3 100 300 3 100 300 2 100 200 Total 815.5 677.9 353.25 6.3.2 Cash Compensation 146 In case of cash compensation, the county land and resources bureau will enter into a compensation agreement with each AH, and pay compensation at a time at 35,792.7 yuan per capita and a one-time moving subsidy of 1,200 yuan. For example, a household with 4 members 34 Pengshui Subproject of the Chongqing Small Towns Water Environment Management Project and a house (masonry concrete) of 150m2 will receive overall cash compensation of 143,170.8 yuan (35,792.7*4), and house compensation of 120,000 yuan (150*800), totaling 263,170 yuan, which may buy a commercial house of 130-150m2 locally based on the local commercial housing price of 1,800-2,000 yuan/m2. Moreover, the new house will be much better than the old one in structure, location and supporting facilities. 6.3.3 Preferential Housing Purchase under Property Swap 147 Resettlement housing will be purchased at the compensation rate for masonry concrete structure for not more than 30m2 per capita, or the purchase price of masonry concretestructure for any excess of not more than 5m2 per capita, or the construction cost for any excess of more than 5m2 per capita .Two resettlement places are available for the affected people,, which are located in the center of Linjiang Community. 148 For example, a household with 4 members and a house (masonry concrete) of 150m2 may purchase one or two units of resettlement housing in reinforced concrete structure (the available sizes include 80m2, 95m2, 105m2 and 115m2) voluntarily. If the size of resettlement housing is less than former housing size, it will receive compensation at 1,100 yuan/m2. The new housing will be much better in structure, location and supporting facilities. 6.3.4 Resettlement Program for Unfinished Houses 149 The 12 unfinished rural houses affected by the Pengshui Subproject will be compensated on the basis of the construction status and the local compensation policy. 6.4 Affected Vulnerable Groups 150 The income of the two vulnerable households will be affected slightly due to small amounts of LA. The MLS household receives a subsidy of 180 yuan per capita per month. Each disabled person or old person aged over 70 years will receive an extra subsidy of 30 yuan per capita per month. These households will have priority in conversion into urban status, and their members having attained retiring age will receive a monthly pension of at least 550 yuan from the following month of covering endowment insurance, which will improve their living quality greatly. In addition, the laborers in these households will have priority in employment at the construction and operation stages. 6.5 Affected Ground Attachments 151 The ground attachments affected by the Subproject mainly include young crops, scattered trees, ground structures and special facilities. 152 Affected young crops and tombs will be compensated for at replacement cost, and scattered trees and ground structures compensated for at fixed rates. Special facilities will be restored to the former size, standard and function, or compensated for at certain rates. 35 Pengshui Subproject of the Chongqing Small Towns Water Environment Management Project 7 Public Participation and Consultation 153 According to the policies and regulations of the state, Chongqing Municipality and the Bank on LA, HD and resettlement, great importance will be attached to the participation of and consultation with the APs at the resettlement policy-making, planning and implementation stages in order to protect the lawful rights and interests of APs and entities, reduce grievances and disputes, and realize the resettlement objectives properly by developing sound policies and implementation rules on displacement and resettlement, preparing an effective RAP, and organizing implementation properly. 7.1 Means of and Measures for Public Participation 7.1.1 Means of Participation 154 Before the survey, terms of reference were prepared to specify the scope, methods and requirements of survey, listen to comments of local governments, and had local governments assign representatives to the survey team. During the general survey, town, village and group heads, and AP representatives were invited to participate, the necessity, benefits and impacts of the Subproject, principles for compensation and resettlement progress were communicated to them, and the survey team discussed possible resettlement sites with them. At the RAP preparation stage, the resettlement planning staff discussed with county and town leaders, listened to their comments, requirements and issues, and selected resettlement sites. During the field survey, local residents and staff of departments concerned were involved in site selection. These consultation activities will be meaningful for the successful implementation of the RAP. 155 At the preparation stage, many public participation activities were conducted in such forms of meeting, FGD, interview and questionnaire survey, including 16 men-times with the owner and government departments, two village group FGDs, and survey on 55 AHs, with 310 men-times of participants in total. 156 On the basis of effectiveness and feasibility, public participation activities were conducted in the following manners:  FGD: FGDs covering all affected population were organized at the village groups, including ordinary residents affected by LA and HD, old people, women and other special groups.  Structured questionnaire survey: At the preparation and design stages of the Subproject, a structured questionnaire was designed to fully understand the expected resettlement modes of the affected population.  Discussion meeting and personal interview: Depending on public participation activity, discussion meetings and personal interviews were organized to collect relevant information. 7.1.2 Measures for Participation and Consultation 157 Public participation and consultation activities were conducted in the form of discussion meeting and sampling willingness survey to explain the purpose, scope and importance of the Subproject, and discuss resettlement programs with AP representatives. Through the survey, public opinions will be well considered, and incorporated into house reconstruction and production resettlement programs as where possible without breach of the overall plan so as to satisfy the APs. 158 At the resettlement implementation stage, the above two forms will be still used to collect resettlement information, investigate expectations of the APs, and further improve resettlement programs. In addition, the APs may reflect grievances, comments and suggestions to village committees, resettlement agencies and M&E agencies, which will be handled according to the established procedures. 159 In order that the APs and the affected local governments are fully aware of the RAP, and the compensation and resettlement programs under the Subproject, the state laws and regulations on resettlement, and the Bank’s policy on involuntary resettlement through public participation (in the form of discussion meeting, etc.) or local news media (e.g., TV) to the APs from the beginning of the Subproject to the whole process of resettlement implementation, so that the APs know the compensation calculation method, compensation measures of physical indicators, resettlement 36 Pengshui Subproject of the Chongqing Small Towns Water Environment Management Project measures, the disbursement and use of resettlement funds, and the rights and preferential policies to which they are entitled. Resettlement information will also be disclosed to the residents of the resettlement communities, so that they know information on LA, land compensation rates and fund uses. This will increase the transparency of the resettlement work, win the support of the APs for resettlement and ensure the successful completion of resettlement. 7.2 Public Participation Activities at the Preparation Stage 160 At the preparation stage, the following public participation and consultation activities were held to provide a basis for subproject design and implementation:  Community meetings: Before the fieldwork, the background information of the Subproject was communicated to community residents, including the Subproject’s scope, necessity, possible impacts, and potential compensation and resettlement programs, involving representatives of APs and women, town and community officials, etc.  FGD with the owner: learning the background, scale and impacts of the Subproject  Sampling questionnaire survey: learning local socioeconomic profile and attitudes to the Subproject, expected resettlement and livelihood restoration measures, etc. 251 people in 55 households were surveyed in June 2013 and in October and December, further investigation and interviews were conducted.  FGDs with community officials: learning local socioeconomic profile, expectations for the Subproject, comments and suggestions on LA compensation and resettlement, etc.  Interviews with heads of enterprises: learning their basic information, attitude to the Subproject, and expected compensation modes and restoration measures;  Government interviews: Heads of the county development and reform bureau, water resources bureau, land and resources bureau, labor and social security bureau, women’s federation, ethnic and religious affairs bureau, and statistics bureau were interviewed, acquiring some information and policies related to the Subproject, and learning their comments and suggestions on the Subproject. Table 7-1 Public Participation Activities at the Preparation Stage Item Mode Time Participants Topic Community Two community officials and Communicating background information Meeting Jun. 2013 meetings 37 residents of the Subproject FGD with the Learning the background, scale and Meeting Jun. 2013 6 persons from the owner owner impacts of the Subproject Sampling Door-to Learning local socioeconomic profile, 55 households with 251 questionnaire -door Jun. 2013 expected resettlement and livelihood persons survey survey restoration measures, etc. FGDs with Jun. – Learning local socioeconomic profile 4 officials from the affected community Meeting Sep. community officials 2013 Jun. – 10 staff members of Acquiring information and policies Government Interview Nov. government departments related to the Subproject interviews 2013 concerned 161 Through extensive public participation and consultation, the Pengshui PMO and departments concerned have learned the AHs’ comments and requirements, and developed appropriate measures, which have been incorporated into this RAP. See Table 7-2. Table 7-2 Suggestions on and Solutions to Public Participation No. Main suggestion Solution The land and resources bureau promises to pay compensation 1 Timely payment of compensation fees fees to the APs timely and fully. 2 Outgoing road The owner will consider this as much as possible. 3 Clothes washing platforms The design agency will consider this as the case may be. 37 Pengshui Subproject of the Chongqing Small Towns Water Environment Management Project 7.3 Public Participation Plan for the Next Stage 162 With the progress of project preparation and implementation, the Pengshui PMO will conduct further public participation. See Table 7-3. Table 7-3 Public Participation Plan for the Implementation Stage Purpose Mode Time Agencies Participants Topic Village bulletin Dec. RAP disclosure board, village All APs Disclosing the RAP 2013 meeting Mar. RIB Distribution All APs RIB distribution 2014 County Village bulletin Disclosure of LA area, Apr. land and LA announcement board, village All APs compensation rates and 2014 resources meeting resettlement modes, etc. bureau, Announcement of Village bulletin Shaoqing compensation and Apr. Compensation fees and board, village Sub-district All APs resettlement 2014 mode of payment meeting Office program for LA Determination / Discussing the final income Village May implementation of restoration program and the meeting –Dec. All APs income restoration program for use of (many times) 2014 program compensation fees Project IAs, 2015-cl Shaoqing Public participation Village Income restoration;house osure of Sub-district during the meeting\interv All APs restoration; compensation the Office, construction iews on the temporary impacts project E&M institution 7.4 Women’s Participation 163 The implementing agencies and the local governments have attached special importance to the role of women in resettlement implementation, and cared about their personal and household needs from the beginning of the Subproject. 164 In the subproject area, women enjoy the same rights and status as men, and play a crucial role in economic activities and housework, especially in rural areas, where most women stay at home. Except family responsibility, women play a crucial role in farming and nonagricultural operations. Therefore, in the subproject area, women even show greater enthusiasm about the Subproject than men. They not only participate actively in all stages of resettlement, but also play an outstanding role in the consultation about resettlement sites and modes. All women support the Subproject. In particular, in a public participation activity in Linjiang Community, some women expected the Subproject to break ground, and some women expected their needs, such as improving the outgoing road and providing clothes washing platforms to them during embankment construction. 165 During the general survey, the women representatives of all affected villages were invited to the survey team to ensure communication with the affected women. At the small-scale discussion meetings of all villages, over 40% of attendees were women. They not only showed great support for the Subproject, but were also concerned about the accuracy of DMS results, the rationality of compensation rates, and if compensation fees could be available timely. At the resettlement planning stage, the design agency invited women representatives to discuss the project design, and listened to their comments, requirements and issues about production resettlement, relocation and resettlement housing construction. These consultation activities have positive significance in addressing women’s worries about livelihoods and traditional production patterns, and ensuring that women benefit equally from the Subproject. 166 In addition, each resettlement implementation and management agency has at least one female official. Priority will be given to women during resettlement, especially in livelihood 38 Pengshui Subproject of the Chongqing Small Towns Water Environment Management Project restoration and project construction activities, to provide them with more job opportunities and relevant skill trainings. 7.5 Ethnic Minorities 167 Pengshui County is a minority autonomous county. In 2012, the county had a minority population of 414,400, accounting for 60% of the county’s population. Linjiang Community is a community composed of Han people mainly, and Miao people accounts for 16% while Tujia people only 3%. See Table 7-4. Table 7-4 Distribution of Ethnic Minorities in the Subproject Area Gross Miao Tujia Division population Population Percent Population Percent Pengshui County 690800 310800 45% 103600 15% Shaoqing Sub-district 52000 18500 35% 13000 25% Linjiang Community 4900 784 16% 147 3% Group 1 976 246 25.20% 68 6.97% Group 7 333 30 9.01% 35 10.51% Group 8 376 24 6.38% 61 16.22% Group 9 482 23 4.77% 11 2.28% Group 10 438 26 5.94% 30 6.85% 168 It can be seen from Table 7-4 that the percentage of minority population in the subproject area is much lower than those of Pengshui County and Shaoqing Sub-district. 169 In order to protect the rights and interests of minority population in LA and HD, the survey team has attached importance to their impacts in the Subproject from the very beginning, and learned their needs adequately. It is found that local minority population has been significantly integrated with the Han people in terms of religion, culture, language, residence and marriage. 170 It can be seen that the minority population affected by the Subproject does not trigger OP4.10. However, attention should still be paid to their participation in practice. Interviews with minority households were held during the survey, and minority people were involved in FGDs in the affected community. In addition, priority will be given to minority people in livelihood restoration and employment under the Subproject. 39 Pengshui Subproject of the Chongqing Small Towns Water Environment Management Project 8 Grievance Redress Procedures 171 During LA, HD and resettlement, the following measures shall be taken to reduce grievances and appeals: 1) The implementing agencies and the local governments will give extensive publicity to the LA, HD and resettlement policies in such forms as meeting, discussion and door-to-door survey so that the APs can understand the LA, HD and resettlement policies and principles, and compensation rates; 2) Disclose information on LA and HD losses, resettlement agreements, compensation fee disbursement, the construction progress of resettlement housing, and the resettlement agencies through mass media and bulletin boards to accept public supervision; 3) Strengthen communication and consultation with the APs. The implementing agencies and the local governments will listen to the APs’ comments and requirements carefully, conduct honest communication and consultation with them, help them solve difficulties and problems encountered during resettlement, and meet their reasonable requirements where possible. 172 During preparation and implementation of the RAP, consistent attention will be paid to the participation of the APs and the affected entities, and an appeal mechanism established. If any AP is dissatisfied with any compensation arrangement or thinks that he/she is treated unfairly or unreasonably during resettlement, he/she may seek a solution through the appropriate procedure. 8.1 Grievance Redress during LA and HD 173 Since the resettlement work is conducted with the participation of APs, no substantial dispute will arise. However, to ensure that APs have a channel to file an appeal on any issue concerning land acquisition and resettlement, a four-stage grievance redress mechanism has been established during the preparation and implementation the RAP:  Stage 1: If any AP is dissatisfied with the RAP, he/she can file an oral or written appeal to the community committee, which shall make a disposition within two weeks.  Stage 2: If the AP is dissatisfied with the disposition of Stage 1, he/she may file an appeal to the Shaoqing Sub-district Office orally or in writing. In case of an oral appeal, the office shall handle such appeal and keep written records. Such appeal should be solved within two weeks.  Stage 3: If the AP is still dissatisfied with the disposition of Stage 2, he/she may file an appeal to the county land and resources bureau or HD management office after receiving such disposition for arbitration, which shall make an arbitration award within four weeks.  Stage 4: If the AP is still dissatisfied with the arbitration award, he/she may file a suit in a civil court in accordance with the Administrative Procedure Law of the PRC after receiving such judgment. 174 The APs may file an appeal about any aspect of resettlement, including compensation rates, etc. The above appeal channel will be notified to the APs at a meeting or otherwise, so that the APs are fully aware of their right of appeal. Mass media will be utilized for publicity, and opinions and advice about resettlement will be compiled into messages for study and disposition by the resettlement agencies. All agencies will accept grievances and appeals from the APs for free, and costs so reasonably incurred will be disbursed from contingency costs. 175 See Table 8-1. Table 8-1 Contact Information of Agencies Concerned Agency Name Title Tel County land and resources bureau Chen Yong Section Chief 023-85020713 PMO Chuan Tianxue Department head 13594980918 Shaoqing Sub-district Office Liu Chaoquan Director 023-78853002 Linjiang Community Committee Zhang Dingshu Head 023-78413286 8.2 Grievance Redress during Construction 176 At the implementation stage, the APs may file an appeal directly to the owner or construction agency, which should make a disposition as soon as possible, The disposition could be delay if difficulty, but the delay may not exceed more than two weeks. The owner or construction agency should keep records on such appeals for future evaluation. 40 Pengshui Subproject of the Chongqing Small Towns Water Environment Management Project 9 Organizational Structure and Implementation Progress 9.1 Organizational Structure 177 In order to organize the preparation and construction of the Subproject, the Pengshui County Government has established the Subproject Leading Group as the decision-making and management agency of the Subproject. The leading group is responsible for coordination, management, supervision and service in project implementation, reporting the progress of project implementation to the Pengshui County Government and Bank, coordinating agencies concerned, organizing bid invitation and procurement, preparing annual financial plans, project quality control, and coordinating technical assistance, etc. 178 Each affected village has 1-2 chief leaders responsible for resettlement. See Figure 9-1. County subproject leading groups Coordinating agencies: Pengshui Hongyu Water Internal Resources Development Co., Ltd. External monitorin Resettlment Agency: County land and resources M&E g bureaus agency agencies Township governments/sub-district offices Village/community committees APs Proprietors of ground attachment Figure 9-1 Organizational Chart 9.2 Organizational Responsibilities 1) Subproject Leading Group 179 Responsible mainly for organizing the resettlement of the Subproject, formulating policies on resettlement activities of the Subproject, and coordinating relations among the resettlement agencies at all levels  Coordinating the work of the government agencies concerned at the preparation and implementation stages;  Making decisions on major issues during project construction and resettlement. 2) Pengshui PMO 180 Responsible mainly for handling day-to-day affairs in resettlement planning and implementation, and exercising the management, planning, implementation, coordination, supervision and monitoring functions of resettlement as the project management agency  Coordination, management, supervision and service in project implementation; 41 Pengshui Subproject of the Chongqing Small Towns Water Environment Management Project  Reporting the progress of project implementation to the Chongqing Municipal Government and the Bank;  Preparing annual financial plans;  Organizing the preparation of the RAP;  Project quality control;  Coordinating technical assistance, research and training;  Leading and inspecting internal monitoring activities, and preparing resettlement progress reports;  Assisting in external M&E 3) Owner 181 The owner is Pengshui Hongyu Water Investment & Construction Co., Ltd. Its main responsibilities are:  Organizing bid invitation and procurement;  Appointing a consulting agency to prepare the RAP;  Coordinating the DMS;  Coordinating resettlement implementation;  Supervising and managing resettlement activities;  Reporting resettlement progress and submitting internal monitoring reports to the Pengshui PMO 4) County land and resources bureau 182 The resettlement implementing agency is PengShui county Land Bureau:  Participating in the preparation of the RAP;  Conducting resettlement activities according to the RAP approved by the Bank;  Going through LA and HD formalities;  Communicating the resettlement policies;  Organizing public participation;  Entering into compensation agreements with the AHs, and submitting to the PMO for reference;  Implementing resettlement programs, and submitting to the PMO for reference;  Disbursing funds, and submitting copies of payment vouchers to the PMO for reference;  Handling issues arising from resettlement 5 ) Sub-district office 183 Street project implementation office is a government agencies, consisting of civil servants from the street government .Its main responsibilities are:  Conducting LA and HD;  Settling disputes arising from project implementation;  Supervising the payment of compensation fees 6) Community committee and groups 184 The resettlement working team of a community or group is composed of its key officials. Its main responsibilities are:  Participating in the socioeconomic survey and DMS;  Organizing public consultation, and communicating the policies on LA and HD;  Organizing the implementation of resettlement activities;  Disbursing and managing relevant funds of the village level;  Reporting APs’ opinions and suggestions to the competent authorities;  Reporting the progress of resettlement implementation 7) Design agency 185 The design agency of the Subproject is Chongqing Water Resources and Hydropower Survey and Design Institute, responsible mainly for:  At the planning and design stage, it will survey the physical indicators of LA and HD, the environmental capacity, the usable resources, etc. accurately, and assist the governments in the subproject area in formulating resettlement programs, preparing budgetary investment estimates for compensation for LA and HD, and drawing the relevant drawings.  At the implementation stage, it will submit the design documents, technical specifications, drawings and notices to the owner timely, make design disclosure to the PMOs of all levels, assist in the implementation of the relocation and resettlement for production of the APs, and improve the resettlement programs based on the practical situation. 42 Pengshui Subproject of the Chongqing Small Towns Water Environment Management Project 8) External M&E agency 186 The Pengshui PMO will appoint a qualified M&E agency as the external resettlement M&E agency. Its main responsibilities are:  Observing all aspects of resettlement planning and implementation as an independent M&E agency, monitoring and evaluating the resettlement results and the social adaptability of the APs, and submitting resettlement M&E reports to the PMO and the Bank; and  Providing technical advice to the PMO in data collection and processing. 9.3 Staffing and Equipment 187 To ensure the successful implementation of the resettlement work, all resettlement agencies of the Subproject have been provided with full-time staff, and a smooth channel of communication has been established. Each resettlement agency is composed mainly of administrative staff and specialized technicians, all of whom have certain professional and management skills, and considerable experience in LA, HD and resettlement. See Table 9-1 and Agency Workforce Composition Subproject Leading Group 2 Government officials Owner 2 Government officials, civil servants County land and resources bureau 10 Civil servants Shaoqing Sub-district Office 3 Civil servants Community committee and groups 6 Officials and AP representatives Design agency 2 Senior engineers, engineers External M&E agency 4-6 Resettlement experts 188 Table 9-2. Table 9-1 Staffing of Resettlement Agencies Agency Workforce Composition Subproject Leading Group 2 Government officials Owner 2 Government officials, civil servants County land and resources bureau 10 Civil servants Shaoqing Sub-district Office 3 Civil servants Community committee and groups 6 Officials and AP representatives Design agency 2 Senior engineers, engineers External M&E agency 4-6 Resettlement experts Table 9-2 Heads of Resettlement Agencies Agency Responsibility Head Title County development Coordinating the Subproject on behalf of the Wang Chuanjun Director and reform bureau Subproject Leading Group County finance bureau Financial management Ran Longchao Director-general County water resources Conducting preparatory coordination, assisting Xie Chenghong Director-general bureau the owner in implementation, reporting, etc. County land and Guiding policy advice and guidance on LA Yan Hailin Director-general resources bureau compensation Owner Owner, implementing the Subproject Xie Chenghong General Manager Sub-district office Implementing LA and other preparatory work Liu Chaoquan Head Community committee Implementing LA and other preparatory work Zhang Dingshu Head 9.3.1 Equipment 189 All county and sub-district resettlement agencies of the Subproject have been provided basic office, transport and communication equipment, including desks and chairs, PCs, printers, telephones, facsimile machines and vehicles. 43 Pengshui Subproject of the Chongqing Small Towns Water Environment Management Project 9.3.2 Training Program 190 Purpose of training: to train the management staff and technicians related to LA and HD in the Subproject, so that they understand and master information on LA and HD, and ensure that the action plan for LA and HD of the Subproject is fully implemented. 191 Trainees: There are two types of training:  For management staff of LA and HD—The purpose is to train the management staff of the Subproject on LA, HD and emergency measures, so that they learn experience in highway resettlement and management from advanced countries, and communicate it to all LA and HD staff of the Subproject.  Resettlement staff—The purpose is to make them understand the scope of construction, resettlement policies and restoration measures of the Subproject, and ensure the successful implementation of the RAP. 192 Mode of training: Training is divided into two levels: The management staff training will be given by the Chongqing PMO, and World Bank officials, government officials and experts will be invited to give lectures; the resettlement staff training will be given by the district/county PMOs under the direction of the Chongqing PMO at the district/county level. 193 Scope of training: overview and background of the Subproject, applicable laws and regulations, details of the RAP, management and reporting procedures, cost management, M&E, reporting, and grievance redress, etc. 9.4 Implementation Progress 194 According to the implementation schedule of the Subproject, the LA, HD and resettlement schedules of the components will be linked up with the construction schedules of the components; the main part of LA, HD and resettlement will begin in April 2014 and end in December2014. 195 The basic principles of scheduling are as follows: (1) The LA, HD and resettlement work shall be completed at least one month before the commencement of construction so that the APs have sufficient time to prepare for production resettlement and income restoration; (2) During resettlement, the APs should have opportunities to participate in the Subproject; the range of land acquisition should be published, the Resettlement Information Booklet (RIB) issued, and public participation should be carried out before the commencement of construction; and (3) all kinds of compensation should be paid directly to the affected proprietors within 3 months from the date of approval of the RAP; no organization or individual should use property compensation fees on their behalf, and such compensation should not be discounted for any reason. 196 The overall resettlement schedule of the Subproject has been drafted according to the progress of preparation and implementation of LA, HD and resettlement. The times listed in the table are subject to adjustment with actual progress, as shown in Table 9-3. 44 Pengshui Subproject of the Chongqing Small Towns Water Environment Management Project Table 9-3 Resettlement Implementation Schedule 2013 2014 2015 2016-19 No. Resettlement activity 4 5 6 8 10 11 12 3 4 5 6 7 8 10 12 2 4 6 8 10 12 1-12 1 RAP preparation 1.1 Appointing the RAP preparation agency 1.2 Conducting the socioeconomic survey 1.3 Preparing the RAP 2 RAP finalization and disclosure Consulting with agencies concerned and 2.1 APs 2.2 RAP finalization 2.3 Disclosing the RAP on the Bank’s website 2.4 Disclosing the RAP to APs 3 RAP approval 4 Construction land application 4.1 Preliminary land examination 4.2 Land approval 5 Implementation stage 5.1 RIB distribution Entering into land compensation 5.2 agreements and paying compensation fees 5.3 HD Determination of income restoration 5.4 measures 5.5 Commencement of construction 5.6 Skills training 6 M&E 6.1 Baseline survey 6.2 Internal monitoring 6.3 External M&E Note: In the above table, an item in black is completed, one in dark gray is ongoing and one in light gray is not started. 45 Pengshui Subproject of the Chongqing Small Towns Water Environment Management Project 10 Budget and Funding Sources 10.1 Budget 197 The general resettlement budget of the Subproject is 54.2445 million yuan, including compensation fees for permanent LA of 23.1225 million yuan (land compensation fees 3.4425 million yuan, resettlement subsidies 18.48 million yuan and fixed-rate compensation 1.2 million yuan), compensation fees for temporary land occupation of 2.9704 million yuan, compensation fees for demolished rural residential houses (based on the self-construction mode) of 10.5925 million yuan, compensation fees for ground attachments of 443,200 yuan, taxes and fees on LA of 9.7712 million yuan, and other costs (including planning and design costs, implementation management costs, skills training costs, M&E costs, basic contingencies, etc.) of 7.3447 million yuan. See Table 10-1. Table 10-1 Resettlement Budget Compensation No. Item Unit Qty. Total rate (yuan) Part 1 Permanent LA 1.1 Land compensation fees mu 15000 229.5 3442500 1.2 Resettlement subsidy Person 35000 528 18480000 Fixed-rate compensation Cultivated land mu 4000 186.75 747000 1.3 Woodland mu 10000 17.25 172500 Garden land mu 11000 25.5 280500 Subtotal yuan 23122500 Temporary land Part 2 occupation Cultivated mu 4000 90.9 363600 Young crop land 2.1 compensation Woodland mu 10000 57.45 574500 fees Garden mu 11000 11.7 128700 land Cultivated mu 13334 90.9 1212061 land Reclamation 2.2 Woodland, bond garden mu 10000 69.15 691500 land Subtotal yuan 2970361 Demolition of rural Part 3 residential houses 3.1 Completed houses House compensation Reinforced concrete 2 m 1190 499.72 594666.8 structure Masonry concrete 2 3.1.1 m 1100 3260.96 3587056 structure 2 Masonry timber structure m 920 811.7 746764 2 Earth timber structure m 740 7.56 5594.4 2 Simple structure m 380 11.7 4446 Interior decoration 2 Floor tiles m 125 9327.44 1165930 2 3.1.2 Wall tiles m 50 3797.61 189880.5 2 Ordinary ceilings m 25 3740.19 93504.75 2 Luxury ceilings m 100 295.98 29598 Other compensation 3.1.3 Transition subsidy Person 4800 63 302400 46 Pengshui Subproject of the Chongqing Small Towns Water Environment Management Project Compensation No. Item Unit Qty. Total rate (yuan) Moving subsidy Household 1200 12 14400 Unfinished houses 2 Pillars m 750 350 262500 2 3.2 Frame without slab m 750 1300 975000 2 Frame with slab m 1090 1400 1526000 2 Completed m 1190 920 1094800 Subtotal yuan 10592540.45 Affected ground Part 4 attachments Tombs 4.1 Without tombstone / 2300 20 46000 With tombstone / 3200 21 67200 Power facilities 4.2 0.4KV power lines km 100000 - 100000 10KV power lines km 150000 - 150000 4.3 Telecom cables km 80000 - 80000 Subtotal yuan 443200 Subtotal of Parts 1-4 yuan 37128601.05 Percent of Part 5 Other costs subtotal of Parts 1-4 Planning and design 5.1 yuan 0.02 37128601.05 742572.021 costs Implementation 5.2 yuan 0.03 37128601.05 1113858.032 management costs 5.3 Skills training costs yuan 0.005 37128601.05 185643.0053 5.4 M&E costs yuan 0.01 37128601.05 371286.0105 Subtotal yuan 2413359.068 Part 6 Taxes and fees 6.1 LA management fees yuan 0.027 37128601.05 1002472.228 6.2 Land reclamation fees m² 27 112005.6 3024151.2 6.3 Farmland occupation tax m² 10 112005.6 1120056 6.5 LA planning fees mu 20000 229.5 4590000 Vegetation restoration 6.6 m² 3 11500.057 34500.171 fees Subtotal 9771179.599 Part 7 Basic contingencies yuan 0.1 49313139.72 4931313.972 Total yuan 54244453.69 10.2 Funding Sources 198 According to the construction plan of the Subproject, the resettlement funds of the Subproject are from county finance. 10.3 Fund Flow and Disbursement Plan 10.3.1 Disbursement Process 199 During the implementation of the Subproject, the county land and resources bureau will pay compensation fees for LA and HD directly to the affected entities/households according to compensation agreements with the affected entities/households under the compensation policies and rates specified in the RAP under the supervision of the Subproject Leading Group. See F Figure 10-1. 47 Pengshui Subproject of the Chongqing Small Towns Water Environment Management Project Figure 10-1 Disbursement Flowchart of Resettlement Funds 10.3.2 Disbursement Plan 200 Compensation fees will be disbursed by the PMO and used under the supervision of the internal monitoring agency and the auditing of the external M&E agency:  All costs related to resettlement will be included in the general budget of the Subproject;  LA: The PMO will enter into LA and ground attachment compensation agreements with the village/community committees, and disburse compensation fees to the village/community committees according to such agreements, and pay compensation fees for ground attachments to proprietors through the village/community committees.  Other costs: The owner has the right to use contingencies. If contingencies are insufficient due to price rise, a notice should be given to the competent authority immediately. 48 Pengshui Subproject of the Chongqing Small Towns Water Environment Management Project 11 M&E 201 In order to ensure the successful implementation of the RAP and resettle the APs properly, periodic M&E of LA, HD and resettlement activities will be conducted in accordance with the Bank Operational Policy OP4.12 on Involuntary Resettlement and the Operational Guide to the Monitoring and Evaluation of Resettlement of World Bank Financed Projects in China. Monitoring is divided into internal monitoring of resettlement agencies and external independent monitoring. M&E will begin in March 2014, and end half a year after the completion of resettlement activities and, production and livelihood restoration. According to the construction and resettlement schedule of the Subproject, internal and external monitoring reports will be submitted to the Bank semiannually, and an evaluation report on overall resettlement prepared upon completion of the Subproject. 11.1 Internal Monitoring 202 The Pengshui PMO will establish an internal monitoring mechanism to monitor resettlement activities. It will also establish a database of LA, HD and resettlement, and use it to prepare the RAP, monitor all displaced households and entities, and conduct internal supervision and inspection of the whole process of resettlement. 11.1.1 Procedure 203 During implementation, the owner will establish a corresponding resettlement database, collect and record information on the resettlement of APs from the monitoring sample, and report real-time activity records to the PMO timely to maintain continuous monitoring. The PMO will inspect implementation regularly. 11.1.2 Scope  Payment of compensation fees  House reconstruction  Staffing, training, working schedule and efficiency of the resettlement organization  Registration and handling of grievances and appeals of APs 11.1.3 Reporting 204 The owner will prepare an internal monitoring report semiannually, and submit it to the Pengshui PMO, which will in turn submit it to the Chongqing PMO and be included in the project progress reports. 11.2 Independent External Monitoring 11.2.1 Purpose and Task 205 Independent monitoring is conducted on all resettlement activities by an agency independent of resettlement implementation with a comprehensive, long-term point of view. The external M&E agency will follow up the resettlement activities to see if the state laws on resettlement, and the Bank’s operational policy on involuntary resettlement (OP4.12) are complied with, and if the production level and living standard of the APs are improved or at least restored to pre-project levels. The external M&E agency will give suggestions to the implementing agencies based on issues found during monitoring so that such issues can be solved timely. 11.2.2 External M&E Agency 206 As required by the Bank, a qualified agency will be appointed as the external M&E agency, which will provide technical assistance to the implementing agencies, and implement basic monitoring through resettlement survey and standard of living survey. 49 Pengshui Subproject of the Chongqing Small Towns Water Environment Management Project 11.2.3 Procedure and Scope  Preparing the terms of reference of M&E  Preparing a survey outline, survey form and record card of affected residents and typical affected entities  Design of sampling survey plan and sample size: If households affected by LA is less than 100, the sampling ratio should not less than 20%; case where households affected by LA is between 100 to 500, according to 15% of the sample; case where more than 500 households affected by LA, according to 10% of the proportional sampling; not less than 50% of households affected by HD; all affected entities  Baseline survey: A baseline survey required for the independent M&E of the households affected by land acquisition will be conducted to acquire baseline data on the standard of living (livelihood, production and income levels) of the monitored displaced households.  M&E survey - Capacity evaluation of resettlement implementing agencies; - Monitoring of resettlement progress, compensation rates and payment to typical displaced households; - Public participation and consultation; - Monitoring the registration and disposition of appeals of APs  Compiling monitoring data, and establishing a database  Comparative analysis  Preparing M&E reports according to the monitoring plan 11.2.4 Monitoring Indicators 207 According to the purpose of M&E, the main monitoring indicators are as follows: 1. Resettlement agencies  Consistency between the resettlement activities and policies;  Organizational management and internal control of resettlement agencies, and appropriateness thereof;  Accuracy of internal monitoring reports 2. Resettlement progress  Adequacy and timeliness of preparation of the resettlement site and compensation fees;  Relocation progress of APs;  Reasonableness and timeliness of compensation to APs and affected entities;  Reasonableness house allocation (including location, floor, size, etc.) 3. Production and livelihood restoration  Livelihood restoration of APs, especially vulnerable groups;  Use of compensation fees;  Relocation, replacement and reconstruction of infrastructure;  Availability of other subsidies 4. Other  Adequacy and rationality of public participation and consultation;  Response to appeals from Aps  The satisfaction of the Aps 11.2.5 Reporting 208 The external M&E agency will prepare external monitoring reports based on its observations and survey findings, and report independently to the Chongqing PMO and PMO submits the reports to the Bank after the review. 209 M&E will begin in April 2014, and end half a year after the completion of resettlement activities and, production and livelihood restoration. As required by the Bank, external monitoring will be conducted twice a year since the beginning of resettlement, i.e., in the middle and at the end of each year; after the completion of resettlement and before the completion of the project, external monitoring will be conducted once a year. 50 Pengshui Subproject of the Chongqing Small Towns Water Environment Management Project 11.3 Post-evaluation 210 After the completion of the Subproject, the resettlement activities will be subject to post-evaluation using the theory and methodology for post-evaluation on the basis of M&E. The resettlement performances, successful experience and lessons of land acquisition will be evaluated to provide experience that can be drawn on for future resettlement. Post-evaluation will be conducted by an external independent M&E agency appointed by the PMO. The post-evaluation agency will prepare terms of reference for post-evaluation to establish a system of evaluation indicators, conduct socioeconomic analysis and survey, and prepare the Resettlement Post-evaluation Report for submission to the Chongqing PMO and Bank. 51 Pengshui Subproject of the Chongqing Small Towns Water Environment Management Project 12 Entitlement Matrix Type of Entitled persons / Affected Degree of impact Compensation policy Implementation impact entities population Permanent 229.5 mu of rural collective 1) Collective 288households 1) Land compensation 1) A certain portion of land compensation fees in land LA land, 168 mu of cultivated economic with 1169 fees: 15,000 yuan/mu acquisition will be used to cover basic endowment land, 17.25 mu of woodland, organization persons in 5 (downtown area) insurance for urban enterprise employees for LEFs, and 25.5 mu of garden land, owning the land; groups of 2) Resettlement subsidy: transferred by the county land and resources bureau to the 4.05mu of housing land and 2) Households Linjiang 35,000 yuan per capita county labor and social security bureau; the remaining 20% 14.7 mu of unused land have the right to Community, based on agricultural will be paid to the affected rural collective economic use the land Shaoqing population converted organization for payment to the AHs; Sub-district into urban status 2) Resettlement subsidy will be paid based on age group. The resettlement subsidy of any LEF aged under 16 years will be fully paid to the individual; and a certain portion of that for one aged 16 years or above will be used to pay basic endowment insurance premiums for urban enterprise employees voluntarily, and the reminder will be paid to the individual for production and livelihood restoration. Temporary 160.05 mu, including 90.9 mu 1) Collective 4 groups of The owner will 1) The temporarily occupied land will be compensated for land of cultivated land, 57.45 mu of economic Linjiang compensate for based on the actual period of occupation. occupation woodland and 11.7 mu of organization Community, economic losses of the 2) The temporarily occupied land will be restored by the garden land owning the land; Shaoqing APs based on local APs. 2) Households Sub-district conditions, and be have the right to responsible for land use the land reclamation. Demolition Completed rural residential Proprietors 24 households Compensation fees for 1) Self-construction on allocated land 2 2 of rural houses of 4591.64m , with 105 demolished rural House compensation rates: 1,190 yuan/m for reinforced 2 2 residential including 499.72m in persons residential houses will be concrete structure, 1,100 yuan/m for masonry concrete 2 houses reinforced concrete structure, paid directly to the AHs structure, 920 yuan/m for masonry timber structure, 740 2 2 2 3260.96m in masonry based on the local yuan/m for earth timber structure and 380 yuan/m for 2 concrete structure, 811.74m compensation rates. simple structure; moving subsidy: 600 yuan per household in masonry timber structure, with 3 persons or less, 1,000 yuan per household with over 2 7.56m in earth timber 3 persons, paid at a time. transition subsidy, 200 yuan 2 structure and 11.7m in per capita per mon. simple timber structure; 2) Cash compensation 2 interior decoration of House compensation rates: 860 yuan/m for reinforced 2 2 17161.22m , including floor concrete structure, 800 yuan/m for masonry concrete 2 2 tiles of 9,327.44m , wall tiles structure, 680 yuan/m for masonry timber structure, 560 52 Pengshui Subproject of the Chongqing Small Towns Water Environment Management Project Type of Entitled persons / Affected Degree of impact Compensation policy Implementation impact entities population 2 2 2 of 3,797.61m , ordinary yuan/m for earth timber structure and 320 yuan/m for 2 ceilings of 3,740.19m and simple structure 2 luxury ceilings of 295.98m .In Cash compensation: 35792.7 yuan per capita addition, unfinished houses of Moving subsidy: 1,200 yuan per household 2 3,970m . Transition subsidy: 200 yuan per capita per month 3) Preferential housing purchase under property swap 2 House compensation rates: 1,190 yuan/m for reinforced 2 concrete structure, 1,100 yuan/m for masonry concrete 2 structure, 920 yuan/m for masonry timber structure, 740 2 2 yuan/m for earth timber structure and 380 yuan/m for simple structure; moving subsidy: 600 yuan per household with 3 persons or less, 1,000 yuan per household with over 3 persons, paid at a time; transition subsidy: 200 yuan per capita per month 2 4) Compensation for interior decoration: 125 yuan/m for 2 2 floor tiles, 50 yuan/m for wall tiles, 25 yuan/m for ordinary 2 ceilings, 100 yuan/m for luxury ceilings 5) Compensation fees will be paid to the AHs directly according to the above rates. Ground Ordinary attachments, special Proprietors All AHs with Paying compensation Former attachments will be disposed of by the owner. attachments facilities ground fees directly to attachments on proprietors acquired land Conversion 528 APs All persons All persons Document PCG [2013] The county land and resources bureau, and town into urban converted into converted into No.73 government will handle this; and the county labor and social status urban status urban status security bureau will be responsible for their social insurance. 53 Pengshui Subproject of the Chongqing Small Towns Water Environment Management Project Appendix: Resettlement Information Booklet 1. Background of the Subproject The Subproject is a subproject of the World Bank-financed Chongqing Small Towns Water Environment Management Project, and consists of river embankment, dike-top roads and pipe works, . 2. RAP The RAP has been prepared in accordance with the applicable policies of the PRC and Bank, and based on the DMS and in consultation with the APs. The RAP outlines the policy framework, and proposes effective measures to mitigate the Subproject’s negative impacts based on adequate public participation and consultation. For the Chinese government and Bank, the primary goal of the RAP is to ensure that those losing land or assets inevitably in the Subproject enjoy production level and living standard that are at least equivalent to pre-project levels. All policies, suggestions and measures in the RAP are designed to fulfill this goal. 3. Basis for preparation  The Bank’s policy and procedure on involuntary resettlement (OP4.12 and BP4.12);  Applicable laws and regulations of the PRC;  Local regulations and policies of Chongqing Municipality and Pengshui County;  Feasibility Study Report and Environmental Impact Assessment;  Field survey of the subproject area;  Interviews with municipal, county, town and village/community officials;  Socioeconomic survey and resettlement willingness survey;  FGDs with representatives of APs and village/community officials on compensation policies and rates, resettlement modes, restoration measures, etc.;  Interviews with vulnerable groups. 4. Information disclosure Great importance will be attached to the participation of and consultation with the APs at the resettlement policy-making, planning and implementation stages. The APs will be fully informed of the grievance redress mechanism through an information release conference, RIB or otherwise, and their grievances and appeals will be handled timely. An independent M&E agency will be appointed to supervise and report resettlement progress. 5. Impacts of the Subproject The Subproject will affect 5 groups of Linjiang Community, Shaoqing Sub-district. 542.79 mu of land will be acquired permanently, including 229.5 mu of rural collective land (168 mu of cultivated land, 17.25 mu of woodland, 25.5 mu of garden land, 4.05 mu of housing land and 14.7 mu of unused land), and 313.29 mu of state-owned river flat; 160.05 mu of land will be occupied temporarily; completed rural residential houses of 4591.64 m2 and unfinished houses of 3,970 m2 will be demolished, affecting 302 households with 1223 persons in total. In addition, 4 types of ground attachments will be affected. 6. Compensation rates The compensation rates for different impacts of the Subproject have been fixed according to the above legal framework, as shown in Tables 1-5 Table 1 Compensation Rates for Permanent LA Land compensation Resettlement subsidy Fixed compensation rate (yuan/mu) fees (yuan/mu) (yuan per capita) Cultivated land Garden land Woodland 15000 35000 4000 11000 10000 Table 2 Compensation Rates for Temporary Land Occupation Item Compensation rate Young crop compensation fees Cultivated land 4000 yuan/mu per annum 54 Pengshui Subproject of the Chongqing Small Towns Water Environment Management Project Woodland 10000 yuan/mu per annum Garden land 11000 yuan/mu per annum Cultivated land 13334 yuan/mu Reclamation bond Woodland and garden land 10000 yuan/mu Table 3 Compensation Rates for Completed Houses 2 Overall compensation rate (yuan/m ) Other compensation Transition Moving subsidy Cash Reinforced Masonry Masonry Earth Mode Simple subsidy (yuan/ compensation concrete concrete timber timber Interior decoration structure (yuan/ month (yuan per structure structure structure structure household) per capita) capita) 2 Cash 125 yuan/m for 860 800 680 560 320 1200 35792.7 compensation floor tiles, 50 2 Self-construction 3 persons yuan/m for wall 2 on allocated or less: - tiles, 25 yuan/m 200 land 600 yuan; for ordinary 1190 1100 920 740 380 over 3 ceilings, 100 2 Property swap persons: - yuan/m for luxury 1000 ceilings Table 4 Compensation Rates for Unfinished Houses Structure Pillars Frame without slab Frame with slabs Completed Compensation rate 2 750 750 1090 1190 (yuan/m ) Table 5 Compensation Rates for Affected Attachments Item Spec. Unit Rate (yuan) Cultivated land and ground attachments mu 4000 Fixed rate Garden land and ground attachments mu 11000 compensation Trees and ground attachments on woodland mu 10000 Without tombstone / 2300 Tombs With tombstone / 3200 Power lines 0.4KV km 100000 Power lines 10KV km 150000 Telecom cables - km 80000 The cut-off date for the identification of APs is the date of publication of the announcement of LA and HD. After this date, the APs should not build, rebuild or expand their properties; should not change the uses of their properties and land; should not lease their land, lease, sell or purchase their properties; and any person that moves in after this date should not qualify as an AP. See Table 7. 7. Resettlement and income restoration The compensation rates will be based on the Land Administration Regulations of Chongqing Municipality, Notice of the Chongqing Municipal Government on Further Adjusting Land Acquisition Compensation Rates (CMG [2013] No.58), Notice of the Pengshui County Government on Further Adjusting Land Acquisition Compensation Rates (PCG [2013] No.73) and the Bank’s policy on involuntary resettlement. LA compensation includes land compensation fees, resettlement subsidy and young crop compensation fees. Land compensation fees are based on acquired land area regardless of land type, being 15,000 yuan/mu. For population converted into urban status, resettlement subsidy is 35,000 yuan per capita. Ground attachments will be compensated for at fixed rates of 4,000 yuan/mu for cultivated land, 10,000 yuan/mu for woodland and 11,000 yuan/mu for garden land. 55 Pengshui Subproject of the Chongqing Small Towns Water Environment Management Project Table 6 Entitlement Matrix Type of Entitled persons / Affected Degree of impact Compensation policy Implementation impact entities population Permanent 229.5 mu of rural collective 1) Collective 288 households 1) Land compensation 1) A certain portion of land compensation fees in land LA land, 168 mu of cultivated economic with 1169 fees: 15,000 yuan/mu acquisition will be used to cover basic endowment land, 17.25 mu of woodland, organization persons in 5 (downtown area) insurance for urban enterprise employees for LEFs, and 25.5 mu of garden land, owning the land; groups of 2) Resettlement subsidy: transferred by the county land and resources bureau to the 4.05mu of housing land and 2) Households Linjiang 35,000 yuan per capita county labor and social security bureau; the remaining 20% 14.7 mu of unused land have the right to Community, based on agricultural will be paid to the affected rural collective economic use the land Shaoqing population converted organization for payment to the AHs; Sub-district into urban status 2) Resettlement subsidy will be paid based on age group. The resettlement subsidy of any LEF aged under 16 years will be fully paid to the individual; and a certain portion of that for one aged 16 years or above will be used to pay basic endowment insurance premiums for urban enterprise employees voluntarily, and the reminder will be paid to the individual for production and livelihood restoration. Temporary 160.05 mu, including 90.9 mu 1) Collective 4 groups of The owner will 1) The temporarily occupied land will be compensated for land of cultivated land, 57.45 mu of economic Linjiang compensate for based on the actual period of occupation. occupation woodland and 11.7 mu of organization Community, economic losses of the 2) The temporarily occupied land will be restored by the garden land owning the land; Shaoqing APs based on local APs. 2) Households Sub-district conditions, and be have the right to responsible for land use the land reclamation. Demolition Completed rural residential Proprietors 24 households Compensation fees for 1) Self-construction on allocated land 2 2 of rural houses of 4591.64m , with 105 demolished rural House compensation rates: 1,190 yuan/m for reinforced 2 2 residential including 499.72m in persons residential houses will be concrete structure, 1,100 yuan/m for masonry concrete 2 houses reinforced concrete structure, paid directly to the AHs structure, 920 yuan/m for masonry timber structure, 740 2 2 2 3260.96m in masonry based on the local yuan/m for earth timber structure and 380 yuan/m for 2 concrete structure, 811.74m compensation rates. simple structure; moving subsidy: 600 yuan per household in masonry timber structure, with 3 persons or less, 1,000 yuan per household with over 2 7.56m in earth timber 3 persons, paid at a time; transition subsidy: 200 yuan per 2 structure and 11.7m in capita per month simple timber structure; 2) Cash compensation 2 interior decoration of House compensation rates: 860 yuan/m for reinforced 2 2 17161.22m , including floor concrete structure, 800 yuan/m for masonry concrete 2 2 tiles of 9,327.44m , wall tiles structure, 680 yuan/m for masonry timber structure, 560 2 2 2 of 3,797.61m , ordinary yuan/m for earth timber structure and 320 yuan/m for 2 ceilings of 3,740.19m and simple structure 56 Pengshui Subproject of the Chongqing Small Towns Water Environment Management Project Type of Entitled persons / Affected Degree of impact Compensation policy Implementation impact entities population 2 luxury ceilings of 295.98m .In Cash compensation: 35792.7 yuan per capita addition, unfinished houses of Moving subsidy: 1,200 yuan per household 2 3,970m .. Transition subsidy: 200 yuan per capita per month 3) Preferential housing purchase under property swap 2 House compensation rates: 1,190 yuan/m for reinforced 2 concrete structure, 1,100 yuan/m for masonry concrete 2 structure, 920 yuan/m for masonry timber structure, 740 2 2 yuan/m for earth timber structure and 380 yuan/m for simple structure; moving subsidy: 600 yuan per household with 3 persons or less, 1,000 yuan per household with over 3 persons, paid at a time; transition subsidy: 200 yuan per capita per month 2 4) Compensation for interior decoration: 125 yuan/m for 2 2 floor tiles, 50 yuan/m for wall tiles, 25 yuan/m for ordinary 2 ceilings, 100 yuan/m for luxury ceilings 5) Compensation fees will be paid to the AHs directly according to the above rates. Ground Ordinary attachments, special Proprietors All AHs with Paying compensation Former attachments will be disposed of by the owner. attachments facilities ground fees directly to attachments on proprietors acquired land Conversion 528 APs All persons All persons Document PCG [2013] The county land and resources bureau, and town into urban converted into converted into No.73 government will handle this; and the county labor and social status urban status urban status security bureau will be responsible for their social insurance. 57 Pengshui Subproject of the Chongqing Small Towns Water Environment Management Project Compensation for temporary land occupation includes compensation for young crop and a reclamation bond (13,334 yuan/mu for cultivated land, and 10,000 yuan/mu for woodland and garden land). Young crops will be compensated for at 4,000 yuan/mu for cultivated land, 10,000 yuan/mu for woodland and 11,000 yuan/mu for garden land. The temporarily occupied land will be restored by the APs. The resettlement modes for the households affected by HD include cash compensation, self-construction on allocated land and preferential housing purchase under property swap. All LEFs converted into urban status will be included in basic endowment insurance for urban enterprise employees, and provided job opportunities and skills training at the construction and operation stages. 8. Organizational structure and implementation plan The resettlement implementing agency of the Subproject is the county land and resources bureau, which is responsible for project preparation and coordination, and resettlement implementation. The affected town government and village/community committees will have staff members responsible for resettlement coordination. 9. Grievance Redress A grievance redress mechanism will be established during RAP preparation and implementation, so that any AP may resort to this mechanism when he/she is dissatisfied with compensation, or thinks that he/she is unfairly treated during resettlement. 1) Grievance Redress during LA and HD  Stage 1: If any AP is dissatisfied with the RAP, he/she can file an oral or written appeal to the community committee, which shall make a disposition within two weeks.  Stage 2: If the AP is dissatisfied with the disposition of Stage 1, he/she may file an appeal to the Shaoqing Sub-district Office orally or in writing. In case of an oral appeal, the office shall handle such appeal and keep written records. Such appeal should be solved within two weeks.  Stage 3: If the AP is still dissatisfied with the disposition of Stage 2, he/she may file an appeal to the county land and resources bureau or HD management office after receiving such disposition for arbitration, which shall make an arbitration award within fourweeks.  Stage 4: If the AP is still dissatisfied with the arbitration award, he/she may file a suit in a civil court in accordance with the Administrative Procedure Law of the PRC after receiving such judgment. The APs may file an appeal about any aspect of resettlement, including compensation rates, etc. See Table 3. Table 7 Contact Information of Agencies Concerned Agency Name Title Tel County land and resources bureau Chen Yong Section Chief 023-85020713 PMO Chuan Tianxue Department head 13594980918 Shaoqing Sub-district Office Liu Chaoquan Director 023-78853002 Linjiang Community Committee Zhang Dingshu Head 023-78413286 2) Grievance Redress during Construction At the implementation stage, the APs may file an appeal directly to the owner or construction agency, which should make a disposition as soon as possible. The disposition could be delayed if difficulty, but the delay may not exceed more than two weeks. The owner or construction agency should keep records on such appeals for future evaluation. 58