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Resettlement Plan March 2014

PRC: Integrated Development of Key Townships in Central Liaoning Prepared by Housing and Construction Bureau of Xinmin City for the Asian Development Bank. This is an updated version of the draft originally posted in June 2012 available on http://www.adb.org/projects/documents/integrated-development-key-townships-central-liaoning-xinmin-subproject

Integrated Development of Key Townships in Central Liaoning

Xinmin Subproject

Resettlement Plan

Housing and Construction Bureau of Xinmin City

27 March 2014

TABLE OF CONTENTS

ABBREVIATIONS AND ACRONYMS ....................................................................................................... 1

EXECUTIVE SUMMARY ............................................................................................................................ 2

1. INTRODUCTION ................................................................................................................................ 5

1.1 INTRODUCTION .................................................................................................................................... 5 1.2 SUBPROJECT DESCRIPTION ................................................................................................................. 5

2. LAND AQUSITION AND RESETTLEMENT IMPACT ....................................................................... 2

2.1 IDENTIFICATION OF IMPACTS ................................................................................................................ 2 2.2 SUBPROJECT IMPACTS ........................................................................................................................ 2 2.3 AFFECTED VULNERABLE GROUPS ........................................................................................................ 6

3. SOCIO-ECONOMIC STATUS AND IMPACT ANALYSIS ................................................................. 7

3.1 OVERVIEW OF XINMIN CITY .................................................................................................................. 7 3.2 SOCIO-ECONOMIC CONDITION OF AFFECTED COMMUNITIES/VILLAGES ................................................... 7 3.3 SOCIO-ECONOMIC SURVEY .................................................................................................................. 7 3.4 SOCIOECONOMIC STATUS OF AFFECTED PERSONS ............................................................................... 8 3.5 GENDER ANALYSIS ............................................................................................................................ 10 3.6 IMPACT ASSESSMENT ........................................................................................................................ 12

4. PUBLIC PARTICIPATION, CONSULTATION AND APPEAL REDRESS ...................................... 14

4.1 IDENTIFICATION OF STAKEHOLDERS ................................................................................................... 14 4.2 PUBLIC CONSULTATION AND PARTICPATION ........................................................................................ 14 4.3 RESETTLEMENT PLAN DISCLOSURE ................................................................................................... 18 4.4 APPEAL AND GRIEVANCE REDRESS .................................................................................................... 18

5. LEGAL FRAMEWORK AND RESETTLEMENT POLICY ............................................................... 20

5.1 INTRODUCTION .................................................................................................................................. 20 5.2 SUMMARY OF ADB'S POLICY REQUIREMENTS ON INVOLUNTARY RESETTLEMENT ................................. 20 5.3 LAWS, REGULATIONS AND POLICIES OF PRC AND LIAONING PROVINCE ............................................... 21 5.4 POLICY GAP AND RESOLUTION ......................................................... ERROR! BOOKMARK NOT DEFINED. 5.5 COMPENSATION STANDARDS ............................................................................................................. 24 5.5 COMPENSATION ENTITLEMENTS ......................................................................................................... 26

6. RELOCATION AND RESETTLEMENT ........................................................................................... 28

6.1 AQUSITION OF RESIDENTIAL HOUSES ................................................................................................. 28 6.2 AFFECTED ENTERPRISES, INSTITUTIONS AND SHOPS .......................................................................... 29

7. INCOME REHABILITATION PLAN .................................................................................................. 31

7.1 NON-FARM EMPLOYMENTS ................................................................................................................ 31 7.2 LABOR AND SERVICE PROVISONS FOR SUBPROJECT CONSTRUCTION .................................................. 31 7.3 PLANNED COMPENSATION UTILIZATION OF AP .................................................................................... 32 7.4 SKILL TRAINING ................................................................................................................................. 32 7.5 UTILIZATION OF COMPENSATION RETAINED BY VILLAGES ..................................................................... 33

8. INSTITUTIONAL ARRANGEMENT ................................................................................................. 34

8.1 INSTITUTIONAL SETUP ....................................................................................................................... 34 8.2 RESPONSIBILITIES ............................................................................................................................. 34 8.3 CAPACITY BUILDING .......................................................................................................................... 35

9. MONITORING & EVALUATION ...................................................................................................... 36

9.1 INTERNAL MONITORING & EVALUATION ............................................................................................... 36 9.2 EXTERNAL MONITORING AND EVALUATION .......................................................................................... 37 9.3 POST-RESETTLEMENT EVALUATION .................................................... ERROR! BOOKMARK NOT DEFINED.

10. RESETTLEMENT IMPLEMENTATION SCHEDULE ................................................................... 40

10.1 PRINCIPLES FOR RESETTLEMENT IMPLEMENTATION ....................................................................... 40 10.2 IMPLEMENTATION SCHEDULE ........................................................................................................ 40

11. RESETTLEMENT BUDGET ......................................................................................................... 42

11.1 BASIC COST ................................................................................................................................ 42 11.2 COSTS RELATED RP IMPLEMENTATION ......................................................................................... 42 11.3 TAXES AND FEES ......................................................................................................................... 43 11.4 CONTINGENCY ............................................................................................................................. 43 11.5 SOURCE OF BUDGET AND FUND FLOW .......................................................................................... 44

ANNEX I RESETTLEMENT INFORMATION BOOKLET ........................................................................ 45

ANNEX II CHINESE RELEVANT LAWS AND REGULATIONS ............................................................. 49

ANNEX III TOR OF EXTERNAL M&E ..................................................................................................... 57

LIST OF TABLES AND FIGURES

Table 1-1 Subproject Components .......................................................................................... 5 Table 1-2 Comparison between Alternative and Design Schemes .......................................... 1 Table 2-1 Details of Land Acqusition and Resettlement Impacts ............................................. 3 Table 2-2 Permanent Collective Land Acquisition .................................................................... 4 Table 2-4 Acquistion of Rural Residential Houses and Structures ........................................... 4 Table 2-5 Impacts on Enterprises/Institutions and Shops ........................................................ 5 Table 2-6 Basic Information of Affected Enterprises/Institutions .............................................. 5 Table 2-7 Basic Information of Affected Shops ........................................................................ 5 Table 2-8 Land Attachements .................................................................................................. 6 Table 3-2 Sapmle Distribution .................................................................................................. 8 Table 3-3 Laborforce, Education and Occupation of AP .......................................................... 8 Table 3-4 Housing Condition of Surveyed HH ......................................................................... 9 Table 3-5 Land Holidngs of Surveyed Households (Unit: mu/HH) ........................................... 9 Table 3-6 Income Levels of Surveyed Households in 2010 ................................................... 10 Table 3-7 Income Sources of Surveyed Households in 2010 ................................................ 10 Table 3-9 Gender Difference on Education ............................................................................ 11 Table 3-10 Gender Difference on Occupation........................................................................ 11 Table 3-11 Income Contribution of Females .......................................................................... 11 Table 3-12 Different Opinions on Resettlement ..................................................................... 12 Table 3-13 Impacts Analysis of Land Acquisition in 2 Affected Villages ................................. 12 Table 4-2 Perception of the Affected Persons for the subproject ........................................... 16 Table 4-3 Consultation and Particpation Plan ........................................................................ 17 Table 5-1 Collective Land Acquisition Compensation Standards ........................................... 24 Table 5-2 Tentative Compensation Standards for Residential Houses .................................. 25 Table 5-3 Tentative Compensation Standards of Enterprises, Institutions and Shops ........... 25 Table 5-4 Compensation Standards of Attachements and Public Facilities ........................... 26 Table 5-5 Entitlement Matrix .................................................................................................. 27 Table 6-2 Imprpovements after Relocation ............................................................................ 29 Table 7-1 Land Compensation to the Affected HH ................................................................. 32 Table 7-2 Skill Training Plan .................................................................................................. 33 Table 8-1 Responsibilities of Relevant Agencies ................................................................... 35 Table 9-2 Fund Use ................................................................. Error! Bookmark not defined. Table 9-3 Repporting Schedule of External Monitor .............................................................. 39 Table 10-1 Resettlement Implementation and supervision Milestones .................................. 40 Figure 1-1 Roads and Bridge of Subproject ............................................................................ 1

Figure 3-1 Houses To be Demolished ..................................................................................... 9 Figure 6-1 Relocation Sites ................................................................................................... 28 Figure 11-1 Compensation Fund Flow Chart ......................................................................... 44

ENDORSEMENT LETTER OF RESETTLEMENT PLAN

Asian Development Bank:

The Resettlement Plan (hereinafter referred to as RP) of the Xinmin Environmentally Sustainable Urban Infrastructure Development Subproject of ADB Financed Integrated Development of Key Townships in Central Liaoning Project (Project) is prepared and compiled in accordance with relevant involuntary resettlement policies of ADB Safeguard Policy Statement (2009) and relevant laws and regulations of the China Central Government and Liaoning and Xinmin governments. During implementation of the Project, we will strictly abide by this RP.

Date: March 2014

Signature:

Deputy Mayor: Xinmin Municipal Government

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ABBREVIATIONS AND ACRONYMS

ADB Asian Development BankAP Affected Persons DI Design Institute DMS Detailed Measurement SurveyEA Executive Agency FSR Feasibility Study ReportGDP Gross Domestic Product HH Household IA Implementing Agency LPMO Liaoning Project Management OfficeM&E Monitoring and EvaluationPPTA Project Preparation Technical AssistancePRA Participatory Rapid AppraisalPRC People’s Republic of ChinaRIB Resettlement Information BookletRP Resettlement PlanTA Technical AssistanceToR Terms of ReferenceXCAB Xinmin City Civil Affairs BureauXHCB Xinmin Housing and Construction Administration Bureau XLRB Xinmin City Land Resource BureauXLSSB Xinmin City Labor and Social Security BureauXPG Xinmin City People’s GovernmentXURO Xinmin City Urban Resettlement Office

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Executive Summary

A. Subproject Description

ES1. The proposed Xinmin Subproject of ADB Financed Integrated Development of Key Townships in Central Liaoning Project (Project) consists of (i) construction and upgrading of 43 roads with the total length of 49.64km including (a) new construction of 6 urban roads with the total length of 12.23km; and (b) upgrading of 37 roads with the total length of 37.41km including 4 trunk roads, 8 secondary roads and 25 alley roads with the drainage and lamps along the roads, (ii) construction of one (1) bridge and (iii) three (3) pumping stations.

B. Land Acqusition and Resettlment Impact

ES2. According to the preliminary design documents, seven (7) villages/communities in three (3) subdistricts will be affected by land acquisition and resettlement. The detailed impacts are shown as follows:

(i) The total collective land to be acquired is 193.6mu1 including 185mu of farmland, 5.6mu of housing plots and 3.0mu of enterprises land.

(ii) The total occupation of state owned land is 349.64mu, including 301.65mu of existing roads, 47.99mu of wasteland and 4.95mu of other land.

(iii) The total area of houses to be affected is 25,233.2m2.

(iv) Other attachments (See Table 2-1 for details). and

(v) The total number of households to be affected is 327 and the total number persons to be affected is 1,080, including (a) 107 households with 340 persons affected by land acquisition; (b) 222 households with 748 persons affected by house demolition; and (c) two (2) households with eight (8) persons affected by both land acquisition and house demolition.

Table A1: Summary of Land Acquisition and Resettlement Impacts

Items Unit Total Subdistrict

Dongcheng Xicheng Liaobin

A. Permanent Collective Land Acquisition mu 193.6 0 21 172.6

A1. Farmland mu 185 0 21 164 A2. Housing Plots mu 5.6 0 0 5.6 A3. Enterprise Used Land mu 3 0 0 3 B. House Demolition m2 25,233.2 10,969.0 11,606.0 2,658.2 B1. Urban Residential m2 20,224.0 9,888.0 10,336.0 0 B2. Rural Residential m2 1,094.2 0 0 1,094.2 B3. Enterprise m2 3,915.0 1,081.0 1,270.0 1,564.0 C. Affected People person 1,080 364 396 320 HH 3271 110 115 1021 C1. By Land Acquisition HH 107 0 14 93 C1.1 Landloss in <10% HH 0 0 0 0 C1.2 Landloss in 10-30% HH 32 0 4 28 C1.3 Landloss in 30-50% HH 67 0 9 58

1 1 mu = 666.7 square meters, and = 0.0667 acre.

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C1.4 Landloss in 50-70% HH 8 0 1 7 C2. By House Demolition HH 222 110 101 11 C3. BY both HH 2 0 0 2 D.Vulnerables2 HH 11 5 6 0 E. Enterprise/ Institution/ Shop unit 15 4 8 3 E1. Enterprise/ Institution unit 9 4 2 3 E1.1. Affected Partially3 unit 5 3 2 0 E1.2. Affected Totally4 unit 4 1 0 3 E2. Shop unit 6 0 6 0 E2.1. Affected Partially unit 0 0 0 0 E2.2. Affected Totally unit 6 0 6 0

Notes: 1. Two households affected by both land acquisition and housedemolition are deducted from total affected households (persons) in order to avoid double accounting.

2. All vulnerable households are urban residents to be affected by house demolition only.

3. “Partially” means the affected enterprises or institutions can be rebuilt on current place if they operate their business continually. They don’t need to relocate in a new place.

4. “Totally” means the affected enterprises or institutions or shops have to relocate in new places because the project will acquire all of their land or demolish all of their house structures.

C. Policy Frameworks

ES3. The Resettlement Plan (RP) is based on national, provincial and local relevant laws and regulations, and ADB’s Safeguard Policy Statement. Compensation and entitlement policy is designed to cover compensation for lost land and non-land assets, including assistance to restore or enhance livelihoods of all affected persons (APs). APs will receive compensation for land and non-land assets in cash according to latest land acquisition and resettlement policy of Xinmin City Government and the adoption of the principle of replacement cost. Moreover, various assistances will be available to severely APs and vulnerable groups. An entitlement matrix is prepared and included in the RP.

D. Public Consultations and Participation

ES4. A series of consultation meetings were held from August to October 2011. Agencies and individuals involved in consultation meetings include Xinmin Government, Xinmin Housing and Construction Bureau (the IA of this subproject), affected communities and villages, Xinmin Land Resource Bureau, Xinmin Civil Affairs Bureau, Xinmin Labor and Social Security Bureau, Xinmin Urban Resettlement Office, representatives of APs, and cosnultants. A socioeconomic survey, for the sake of preparing this RP, had been conducted in all affected villages/communities. These consultation meetings and survey strongly influenced the formation of resettlement policies and compensation entitlements of the subproject. The APs were fully encouraged to participate in the RP preparation and their opinions and comments have been incorporated into the RP. More such consultation and particpatrion activities wiil be organized during the RP updating and implementation. A consultation and participation plan is included in the RP.

E. Appeals and Grievance Redress

ES5. The procedures on appeals and grievance redress have been included in the RIB. Before the land acquisition and resettlement implementation, they will be further explained in the public meetings by the implementing agenc (IA) and the relevant resettlement agencies.

ES6. APs can appeal on any aspect of resettlement to VC or township office. If they are not satisfied with the decision of the above, they can appeal to XHCB and then PMO or

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directly to ADB. The civil division of a people’s court will be the last if necessary. Also, APs can take their case to the civil division of a people’s court at any time.

F. Resettlement Budget

ES7. The resettlement budget for the subproject is about CNY83.6477 million, which accounts for 14.4% of the total investment of the subproject. The resettlement budget can be adjusted when finalizing the RP upon the completion of detailed design and detailed measurement survey. The IA will ensure providing sufficient resettlement funds to meet unforeseen requirmemts, if any.

G. Implememtation Schedules

ES8. The land acquisition and resettlement activities are planned to start in January 2014 and end in December 2015. According to the latest stipulation in No.31 Decree by the State Council, no construction will commence before the APs obtaining full compensation.

H. Monitoring and Reporting

ES9. The IA, under the coordination of LPMO and with the assistance of various local agencies and APs, will carry out internal M&E. LPMO prepare and report to ADB on the implememtation progress of this and all other subprojetcs quarterly. Meanwhile, LPMO will engage an independent monitor to carry out external M&E for this and all other subprojetcs. This external monitor will report to LPMO and LPMO will forward the semi-annual external monitoring reports to ADB.

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1. Introduction

1.1 Background

1. This resettlement plan (RP) was based on: (i) ADB “Safeguard Policy Statement” (Requirements 2: Involuntary Resettlement) (June 2009); (ii) Gender Checklist: Resettlement, March 2003; (iii) Chinese relevant laws and regulations; and (iv) Local relevant policies and regulations. All these formed policy framework for ensuring the incomes of the affected persons (APs) could be at least restored or improved and minimizing negative impact.

2. For both ADB and People’s Republic of China (PRC), the purpose of the RP is to ensure full assistance can be provided to persons who are affected by lands or assets loss due to subproject construction and to ensure their comfortable living as “without subproject”. Xinmin Housing and Construction Bureau (XHCB) is implementation agency (IA) of the subproject.

3. The RP was developed according to (i) the preliminary design ( May 2013); (ii) field survey (August 2013); (iii) consultation meetings with the affected households (October 2011); and (iv) socio-economic survey (October 2011).

1.2 Subproject Description

1.2.1 Scope and Components

4. The proposed subproject consists of new construction and upgrading of 43 roads with the total length of 49.64km (drainage systems and lamps along the roads will also be installed), new construction of three (3) pumping stations and one (1) bridge (see Table 1-1 and Figure 1-1) .

Table 1-1: Subproject Components

No. Components Description If

Resettlement Involved

1 Road Construction

New construction of 6 urban roads with the total length of 12.23km. Upgrading of 37 roads with the total length of 37.41km including 4 trunk roads, 8 secondary roads and 25 alley roads.

Yes

2 Pumping Station

Construction New construction of 3 pumping stations with 40.5mu land to be used. Yes

3 Bridge Construction New construction of one bridge. No

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Figure 1-1: Roads and Bridge of Subproject

Laodongwei Community

Taiping Communit

Hougangzi Village

Dongjiao Communit

Shaoguo Community

BeidingweiCommunity

Xinjian Village

Constructio of new main roadConstruction of new branch roads Reconstruction of roads Reconstruction of sidewalks Widen of road

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1.2.2 Measures to Minimize Resettlement Impact

5. Ximin Housing and Construction Bureau (XHCB) and the Design Institute (DI) have taken some effective measures to minimize the resettlement impacts of the subproject wherever feasible. Table 1-2 summarized the alternative schemes and their resetttlement impacts.

Table 1-2: Comparison between Alternative and Design Schemes

Item Scheme 1 Scheme 2 Imapct comparison

Road Construction

Widened existing axis to both sides based on the current road network planning

By altering the route and shifting the centerlines of the existing roads to one side.

Selected scheme 2 and it reduced the house demolition by about 10,000m2.

Pumping Station Construction

Build on farmland

Shifting the Nanjiao pumping station from north side to south side of the existing road, only flooding land will be used

Selected scheme 2 and it reduced farmland acquisition of 13.5mu.

6. Meanwhile, efforts and measures will be taken during construction period to reduce subproject impact, including (i) minimizing the temporary land use; (ii) reducing the impacts on the local traffic and surrounding environment; (iii) restraining dust; (iv) controlling and lowering down noise; and (v) proper disposal for waste in the construction sites.

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2. Land Aqusition and Resettlement Impact

2.1 Identification of Impacts

7. Project impacts are identified by site visits, surveys and meetings conducted by Xinmin PMO and DI:

(i) The subproject implementation agency (IA) - XHCB. From August to September 2011, the Xinmin PMO and XHCB conducted the survey on subproject impacts together with three (3) subdistrict offices. During the survey, they discussed with local Statistic Bureau and other relevant departments, consulted with the affected communities/villages’ leaders and representatives of APs on land acquisition, viable resettlement options and compensations.

(ii) The Design Institute. The DI, as consultant to XHCB for RP preparartion, made three field visits to the subproject area and collected relevant information in August-October 2011.

8. Additionally, the DI consulted with the Urban Resettlemnt Office of Xinmin City in terms of compensation policies, measures and legal issues in August 2011. They also consulted with Xinmin City Land Resource Bureau regarding the requirement of land use, reviewing procedure and timing, the relevant costs, the collective land acquisition process and procedures etc.

2.2 Subproject Impacts

9. Table 2-1 shows detailed impacts of the subproject and these will be further verified in the detail design stage.

10. Permanent land to be used by the subproject because of the new construction of six (6) roads and three (3) pumping stations is 548.19mu, among which (i) 349.64mu of state-owned land including 301.65mu of existing roads, 47.99mu of wasteland and 4.95mu of other land; and (ii) 193.6mu (equivalent to 12.9ha.) of collective land including 185mu of farmland, 5.6mu of housing plots and 3mu of enterprises lands. In total 340 persons from 107 households will be affected by land acquisition (See Table 2-2 for details), including eight (8) persons from two (2) households that will be affected by both land acquisition and house demolition. Along with land acquisition, (i) 20,224m2 of urban residential houses will be demolished that will affect 712 persons from 211 households (See Table 2-3 for details); and (ii) 1,094.2m2 of rural residential houses will be demolished with 36 persons from 11 households being affected (See Table 2-4 for details). So the totally affected households and affected persons (APs) are 327 and 1,080 respectively, including eight (8) persons from two (2) households that will be affected by both land acquisition and house demolition. The affected households account for 2.9% among the total households in the seven (7) villages/communities.

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Table 2-1: Details of Land Acqusition and Resettlement Impacts

Items Unit Total

Dongcheng Subdistrict Xicheng Subdistrict LiaobinSubdistrict

Sub total

Laodongwei

community

Taiping Comm.

Sub total

Beidingwei

community

Shao guo

Comm.

Dong jiao

Comm.

Hou gangzi Village

Sub total

Xin jian

Village

A. Permanent Collective Land Acquisition mu 193.6 21 21 172.6 172.6

A1. Farmland mu 185 21 21 164 164 A2. Housing plots mu 5.6 5.6 5.6 A3. Enterprise used land mu 3 3 3

B. Urban Residential House Demolition

B1. Houses m2 20224 9888 6545 3343 10336 3190 1845 5301 1. Brick-Concrete m2 5108 3128 1860 1268 1980 1980 2. Brick-Wood m2 15116 6760 4685 2075 8356 3190 1845 3321

B2. Land attachments

1. Fencing Walls m 2471 627 381 246 1844 104 160 1580 2. Gates set 147 78 54 24 69 32 17 20 3. Water Wells set 8 8 8 4. Auxiliary House m2 8158 3030 1980 1050 5128 2407 670 2051

Brick-Wood m2 5248 3030 1980 1050 2218 560 480 1178 Simple m2 2910 2910 1847 190 873

C. Rural Residential House Demolition

C1. House m2 1094.2 1094.2 1094.2 1. Brick-Concrete m2 430 430 430 2. Brick-Wood m2 664.2 664.2 664.2

C2. Land attachments

1. Fencing Walls m 519 519 519 2. Gates set 10 10 10 3. Water Wells set 1 1 1 4. Auxiliary House (illegal) m2 1017 1017 1017

Brick-Wood m2 420 420 420 Simple m2 597 597 597

D. Builidng Demolition of Enterprise

D1. Enterprise/institution house and shops (Brick-Concrete)

m2 3915 1081 1081 1270 900 370 1564 1564

D2. Land m2 8400 600 600 3400 2800 600 4400 4400 E. Affetced People

E1. Total Households HH 327 110 75 35 115 32 21 48 14 102 102

E2. Total AP person 1080 364 246 118 396 106 71 171 48 320 320 E3. AP by Land Acquisition only

1. Households HH 107 14 14 93 93 2. AP person 340 48 48 292 292

E4. AP by House Demolition only

1. Households HH 222 110 75 35 101 32 21 48 11 11 2. Population person 748 364 246 118 348 106 71 171 36 36

E5. AP by both 1. Households HH 2 2 2 2. AP person 8 8 8

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Items Unit Total

Dongcheng Subdistrict Xicheng Subdistrict LiaobinSubdistrict

Sub total

Laodongwei

community

Taiping Comm.

Sub total

Beidingwei

community

Shao guo

Comm.

Dong jiao

Comm.

Hou gangzi Village

Sub total

Xin jian

Village

F. Affected Enterprises and Institutions

F1, Qty 9 2 2 4 2 2 3 3 F2. AP person 110 11 11 86 10 76 13 13

G. Affected Shops G1. Qty 6 6 6 G2. AP person 10 10 10

H. Attachments H1. Peach tree 183 12 12 38 38 133 133 H2. Hawthorn tree 155 29 29 126 126 H3. Apple tree 227 17 17 210 210 H4. Jujube tree 18 18 18 H5. Grape tree 367 32 32 102 102 233 233 H6. Poplar tree 132 132 132 H7. Power Pole pole 38 38 38 H8. Telecom Pole pole 50 50 50

Note: 1 mu = 666.7 square meters, and = 0.0667 acre.

Table 2-2: Permanent Collective Land Acquisition

Subdistrict Village Collective Land Acquisition (mu) Affected Persons

Sub-total Farmland Housing

Plot Enterprise

land HH

(farmland) Person

Dongcheng Hougangzi 21 21 14 48 Liaobin Xinjian 172.6 164 5.6 3.0 93 292

Total 193.6 185 5.6 3.0 107 340 Note: The land to be acquired belongs to Class 2 area.

Table 2-3: Acquistion of Urban Residential House/Structures

Subdistrict Community HH AP Residential Houses (m2)

Other Structires

Wall (m) Gates Wells

(Set)

Auxiliary Houses

Total Brick- concrete

Brick- wood

Brick- wood Simple

Xicheng Laodongwei 75 246 6545 1860 4685 381 54 1980

Taiping 35 118 3343 1268 2075 246 24 1050

Dongcheng

Beidingwei 32 106 3190 3190 104 32 560 1847

Shaoguo 21 71 1845 1845 160 17 480 190

Dongjiao 48 171 5301 1980 3321 1580 20 8 1178 873

Total 211 712 20224 5108 15116 2471 147 8 5248 2910 Note: Houses to be demolished are all single storey ones and will be relocated to other sites. Auxiliary houses are all illegal.

Table 2-4: Acquistion of Rural Residential Houses and Structures

Subdistrict Village HH AP Residential Houses (m2) Other Structires

Wall (m) Gates Wells

(Set) Auxiliary Houses

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Total Brick- concrete

Brick- wood

Brick- wood Simple

Liaobin Xinjian 11 36 1094.2 430 664.2 519 10 1 420 597

Total 11 36 1094.2 430 664.2 519 10 3 420 597 Note: Houses to be demolished are all single storey ones and will be relocated to other sites. Auxiliary houses are all illegal.

11. The subproject will affect nine (9) enterprises/institutions with 3,290m2 of building/structure demolition and 6 shops with 625m2 of building/structure demolition (see Table 2-5, 2-6 and 2-7 for details). All the affected shops are being operated by using residential houses.

Table 2-5: Impacts on Enterprises/Institutions and Shops

Subdistrict Community/Village Impacting Type Quantity AP

Impacted Area (m2)

Land House (Brick-

concrete)

Dongcheng Beidingwei comm. Enterprise 2 10 2800 900 Dongjiao comm. Enterprise 2 76 600 370

Xicheng Laodongwei comm. Enterprise/Institution 2 11 600 456

Shop 6 10 625 Liaobin Xinjian Village Enterprise/Institution 3 13 4400 1564

Total 18 129 8400 4265

Table 2-6: Basic Information of Affected Enterprises/Institutions

No. Enterprises/ Institutions

Land Property Main BusinessAffected

Land (m2)

Affected Buildings

(m2) RelocationEmployees Male Female

Average Salary

1 Liaohe Spring Factory

State-owned Steel plate

spring 200 56 No

8 6 2 1800

2 Pharmaceutical Factory State-owned Closed 1000 300 No 0 0 0 0

3 Petroleum Company State-owned Petroleum 1800 600 No 10 5 5 2500

4 Furniture factory State-owned Closed 300 220 No 0 0 0 0

5 Saibosi floor factory Collective Closed 2000 673 No 0 0 0 0

6 Agricultural Machine management station

State-owned Water Station

1800 323 Yes 8 6 2 1000

7 Landscaping Department

State-owned Board

Factory 600 568 Yes

5 4 1 2000

8 Warehouse of Materials Administration Bureau

State-owned Steel

Warehouse 400 400 No

3 3 1000

9 Salt Industry Company State-owned Salt Industry 300 150 No 76 36 40 3500

Table 2-7: Basic Information of Affected Shops

No. Owner Type Land Monthly Profits (CNY)

Demolition Area Employees

Average Salary (CNY)

Note

1 Zhou Baogui

Vehicle Repair State-owned 2000 120 2 1500

2 Tian Shulin Haircut State-owned 100 0 Permanetly

closed 3 Wang Welding State-owned 5000 80 5 1800

6

Lianyou

4 He Yan Snack bar State-owned 85 0 Closed

5 Qiu Fengshui

Snack bar State-owned 150 0 Closed

6 Zhao Rongxin Grocery State-owned 6000 90 3 1000

12. The attached items affected are given in the table below. Power and telecomunication poles belong to local Power Bureau and the Unicom Company respectively. Trees are owned by individual rural households.

Table 2-8: Land Attachments

Subdistrict Community/Village Peach Hawthorn Apple Jujube Grape Poplar Power Pole

Telecom Pole

Dongcheng Dongjiao Comm. 38 29 18 102 38 50

Xicheng Laodongwei

comm.. 12 17 32

Liaobin Xinjian Village 133 126 210 233 132 Total 183 155 227 18 367 132 38 50

2.3 Affected Vulnerable Groups

13. Definition of vulnerable groups for the subproject: (i) rural poor with annual per capita income of below CNY 2000 in 2010; (ii) urban poor receiving the minimum living stardard security allowance recorded by the Civil Affairs Bureau; and (iii) households with disabled, elderly living alone or women headed households. In total, the subproject will affect 11 vulnerable HHs2, including eight (8) HHs of urban poor, two (2) households of elders alone; and one (1) HH that has disabled family’ member. There are no single-woman headed households among the affected. There is no ethnic minority households affected.

2 3 HHs in Laodongwei Community, 2 HHs in Taipingwei Community, 2 HHs in Shaoguo Community, 2 HHs in Beidingwei Community and 2 HHs in Dongjiao Community.

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3. Socio-economic Status and Impact Analysis

3.1 Overview of Xinmin City

14. Xinmin, as a county-level city, is a subordinate of Shenyang Municipality and is about 60km away from Shenyang downtown. The total territory of Xinmin is 3,318 square kilometers and total population is 670,000 persons. The average population density is 209.9 persons/km2 in the whole city and and 2,541 persons/km2 in urban area. The ratio of urbanization is 44.2%. It includes 30 townships and subdistricts (25 townships and 5 subdistricts) and 335 villages.

15. The GDP of Xinmin was 26.32 billion CNY in 2010 (37,571 CNY per capita), which was 4.4 times of that in 2005. Government budgetary revenue achieved 1.185 billion CNY in 2010, which was 8.15 times of that in 2005. Famers’ per capita net income reached 9,495 CNY in 2010, which is 2.12 times of that in 2005.

3.2 Socio-economic Condition of Affected Communities/Villages

16. The proposed subproject will affect 7 communities/villages. The basic information of affected communities/villages is shown as Table 3-1.

Table 3-1: Basic Information of the Affected Communities/Villages

No. Subdistrict Community/ Village

Household(HH) Population

Net Income Per Capita in 2010 (CNY)

Industrial Structure (%)

1st 2nd 3rd

1 Xicheng

Laodongwei Comm. 3178 7080 10000 30 70 2 Taiping Comm. 1020 3066 9200 20 80 3

Dongcheng

Beidingwei Comm. 1680 3985 9800 40 60 4 Shaoguo Comm 2540 5770 9000 30 70 5 Dongjiao Comm. 1950 5210 13200 50 50 6 Hougangzi Vil. 325 1082 10000 50 20 30 7 Liaobin Xinjian Vil. 400 1500 10000 30 20 50 Total 11093 27693

Note: Due to lack of reliable statistics at village level, income and industrial structure are indicative. Source Source: socioeconomic survey.

3.3 Socio-economic Survey

17. The DI conducted socioeconomic survey of the APs and their willingness for land acquisition and resettlement under the support of Xinmin PMO and XHCB in October 2011. The objectives of the survey are (i) to collect the socio-economic information of APs; (ii) to learn about what are the most concerns of AP on land acquisition, replacement houses and livelihood rehabilitation measures, etc.

18. The survey also includes the collection of baseline data of affected villages. Two survey methods were adopted: (i) interview with village leaders; and (ii) questionnaire survey of individual households.

19. The sampling principles are:

(i) Coverage of all affected rural villages and urban communities; (ii) Typical and representative households were sampled for survey and the

sampling percentage of those affected households affected by land acquisition and house demolition both should at least be 10%; and

(iii) Samples include low income and vulnerable households.

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20. The socio-economic survey covered all 7 villages to be affected by the subproject. The survey summary is shown in Table 3-2. Totally, 50 households (15.3%) and 172 persons (15.9%) were interviewed and surveyed.

Table 3-2: Sapmle Distribution

Subdistrict Communities/villages Affected HH Surveyed HH Sampling(%)

Xicheng 110 15 13.6 Laodongwei Comm. 75 8 10.7 Taiping Comm. 35 7 20.0

Dongcheng 115 18 15.7 Beidingwei Com. 32 5 15.6 Shaoguo Comm 21 4 19.0 Dongjiao Comm. 48 6 12.5 Hougangzi Village 14 3 21.4

Liaobin 102 17 16.7 Xinjian Village 102 17 16.7

Total 327 50 15.3Source: socioeconomic survey.

3.4 Socioeconomic Status of Affected Persons

3.4.1 Education and Occupation

21. The laborforce, educational levels and occupation status of affected people are shown in Table 3-3. As indicated (i) labors, defined as men of 16-60 year old and women of 16-55, accounts for 77.0% of total population among surveyed HHs; (ii) most peole (66.8%) received junior high school education and above and the illiteracy is as low as 1.2%; and (iii) 65.7% of the labors are either full-time workers or migrant workers.

Table 3-3: Laborforce, Education and Occupation of AP

Urban Rural Total Persons % Persons % Persons %

HH size 3.3 3.4 Children 1 0.9 1 1.7 2 1.2 Students 9 7.9 4 6.9 13 7.6

Laborforce 88 77.2 46 79.3 134 77.9 Retired 16 14.0 7 12.1 23 13.4 Total 114 100 58 100 172 100

Education 2 1.8 Illiterate 36 31.6 0 0.0 2 1.2

Pri. school 48 42.1 19 32.8 55 32.0 Junior high school 21 18.4 29 50.0 77 44.8

High school 5 4.4 7 12.1 28 16.3 College 2 1.8 1 1.7 6 3.5

University 114 100 2 3.4 4 2.3 Total 58 100 172 100

Occupation Farmer 3 3.4 21 45.7 24 17.9

Migrant work 36 40.9 18 39.1 54 40.3 Business 18 20.5 4 8.7 22 16.4 Worker 31 35.2 3 6.5 34 25.4 Total 88 100 46 100 134 100

Farming+2nd occupation 2 2.3 14 30.4 16 Source: Socio-economic survey

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3.4.2 Housing Conditions

22. The current housing conditions of some households to be affected by house demolition are shown in table 3-4. Most surveyed houses are single storey brick-concrete or brick-wood structures and were constructed in 1970’s and 1980’s. The residential conditions and the supporting facilities are relatively poor (see Figure 3-1).

Table 3-4: Housing Condition of Surveyed HH

Subdistrict Ownership Surveyed HH Hosuing Area (m2/HH) Min. Max. Average

Xicheng Self Owned 15 60 130 88 Dongcheng Self Owned 15 60 150 102

Liaobin Self Owned 4 50 120 96 Source: socioeconomic survey.

Figure 3-1 Urban Houses To Be Demolished

3.4.3 Land Resource

23. The average farmland area per household is 3.8mu in Hougangzi village and 4.9mu in Xinjian village (see Table 3-5 for details).

Table 3-5: Land Holidngs of Surveyed Households (Unit: mu/HH)

Villages Surveyed HHs Min. Max. Average Hougangzi Village 3 3.2 4.2 3.8

Xinjian Village 15 1.68 9.0 4.9 Source: socioeconomic survey.

24. By discussing with staffs of Xinmin Land Resource Bureau and affected villagers, the second round of or latest land redistribution and re-contracting for collective land in Xinmin

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City was implemented in 1999. However, it is confirmed that all the affected peri-urban villages are within the urban planning area3 where per capita farmland is rather limited and many villagers are not dependent on farming. It was found about 60% farmers are leasing their lands to other farmers so as to enable them to be migrant worker for better incomes. Land lease contracts are often signed year by year and the rent is merely about 500CNY/mu. At present, the main crop in the 2 villages is rice, along with some vegetables. Net income is about 1,000 CNY/mu for cultivating rice and 3,000 CNY/mu for planting vegetables.

3.4.4 Economic Status

25. The income levels, main income sources and expenditures of surveyed households in 2010 are shown in Tables 3-6, 3-7 and 3-8, respectively.4

Table 3-6: Income Levels of Surveyed Households in 2010 Unit: CNY/HH

Indicator Surveyed HH Min. Max. Average

Urban Net Income 30 6000 120000 37600 Expenditure 30 5000 60000 24200 Net Saving 30 0 60000 13400

Rural Net Income 20 5000 100000 38200 Expenditure 20 4000 60000 25600 Net Saving 20 0 50000 12600

Source: socioeconomic survey.

Table 3-7: Income Sources of Surveyed Households in 2010 Agriculture Migrant Work Salary Business Others Total

Urban 42.6% 22.9% 25.1% 9.4% 100%

Rural Xinjian Village 18.6% 35.6% 16.8% 19.4% 9.6% 100%

Hougangzi Village 27.5% 32.2% 15.3% 16.8% 8.2% 100%

Source: socioeconomic survey. Note: Others include house lease, land lease and security investment.

Table 3-8: Expenditure of Surveyed Households in 2010

Food Clothing Education Healthcare Cultural/Entertainment

Traffic/Communication Gifting Production Total

Urban 42.6% 8.8% 4.7% 7.2% 5.9% 5.8% 25% 100%Rural 32.8% 8.6% 5.2% 7.3% 5.8% 5.3% 25% 10% 100%Source: socioeconomic survey.

3.5 Gender Analysis

26. No single-woman headed households among the affected households.

3.5.1 Education

27. Table 3-9 shows that adult female’s educational levels, in both urban communities and rural villagfes, are substantially lower than males’: (i) 29.9% of urban males attended high schools and above, while it is only 19.3% for urban females; and (ii) 21.5% of rural males got high school education and above, while it is only 13.3% for rural women.

3 Area to be fully urbanized soon and all farmland will be acquired and be converted into state land for urban construction/expansion. 4 Average annual HH income is CNY 8,000 for the 3 vulnerable HHs in Laodongwei Community, CNY 6,000 for the 2 HHs in Taipingwei Community and the 2 HHs in Beidingwei Community, CNY 5,000 for the 2 HHs in Shaoguo Community and 2 HHs in Beijiao Community,

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Table 3-9: Gender Difference on Education

Level of education Male Female Male FemalePersons % Persons % Persons % Persons %

Illiterate 0 0.0 0 3.5 0 0 0 0 Pri. School 15 26.3 15 36.8 8 28.6 11 36.7

Junior high school 25 43.9 25 40.4 14 50.0 15 50.0 High school 13 22.8 13 14.0 4 14.3 3 10.0

College 3 5.3 3 3.5 1 3.6 0 0 University 1 1.8 1 1.8 1 3.6 1 3.3

Total 57 100.0 57 100.0 28 100 30 100 Source: socioeconomic survey.

3.5.2 Occupation

28. Table 3-10 presents the employmemt status of males and females of both urban communitie sand rural villages. As indicated, high and equal prortion of urban and rural males (both are 45.5%) are migrant workers who are mostly working outside Xinmin City. This further means that more adult women, not surprising, are engaged in home area based employmmets so as to better playing their traditional roles of looking after their families. Again, as mentioned earlier, the peri-urban villages are no longer dependent on farming, 75% of males and 61.5% of females who are engened in farming are also seasonal migrant workers locally.

Table 3-10: Gender Difference on Occupation

Occupation Urban Rural

Male Female Male FemalePerson % Person % Person % Person %

Farmer 1 2.3 2 4.5 8 36.4 13 54.2 Migrant worker 20 45.5 16 36.4 10 45.5 8 33.3

Business 9 20.5 9 20.5 2 9.1 2 8.3 Full time worker 14 31.8 17 38.6 2 9.1 1 4.2

Total 44 100 44 100.0 22 100 24 100Farming+2nd occupation 1 2.3 1 2.3 6 27.3 8 33.3


3.5.3 Income

29. As a result of educational and occupational differences, there are also differcnes in earning income between men and women. In general, as indicated in the table below, women’s contributions to household incomes are generally smaller. However, as a universal phenomenon in China, urban women are doing better than rural women.

Table 3-11: Income Contribution of Females Location Surveyed Household (HH) Min. Max. Average

Urban 30 0% 70% 40% Rural 20 0% 60% 30%


3.5.4 Opinions on Resettlement

30. Men and women’s opinions on house demolition and land acquisition are shown in Table 3-12. As indicated: (i) fair and timely compensation are the top concerns of all men and women; (ii) future employment is concerned by 72% of females and 63% males, this 9% of difference reflects that women worry more about livelihood rehabilitation; (iii) 83% of males and 78% of females disconcern about farmland relocation (i.e., replacement land); and (iv)

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opinions on education, occupation, business capacity and interests between women and men are similar and consistent.

Table 3-12: Different Opinions on Resettlement

Item Male (N=23) Female (N=27) Total (N=50)

Major Minor Major Minor Major Minor 1 Justice and reasonable compensation 100% 0% 100% 0% 100% 0% 2 Timely compensation 100% 0% 100% 0% 100% 0% 3 Do their own business 39% 61% 33% 67% 36% 64% 4 Cultivation on reallocated land 17% 83% 22% 78% 20% 80% 5 Income losing 65% 35% 63% 37% 64% 36% 6 Future employment 63% 37% 72% 28% 68% 32% 7 Children’s education 43% 57% 48% 52% 46% 54%

8 Support and Assistance during relocation

period 39% 61% 44% 56% 42% 58%

9 Separation with kins and relatives 9% 91% 11% 89% 10% 90% Source: socioeconomic survey.

3.6 Impact Assessment

3.6.1 Farmland Loss

31. Collective land acquisition of the subproject will affect 2 villages. Total collective land acquisition is 193.6mu, including 185mu farmland that account for 4.51% of total farmland of the 2 villages. Land loss impacts on the 2 villages are shown in Table 3-13, as indicated, the overall impacts are minor.

Table 3-13: Impacts Analysis of Land Acquisition in 2 Affected Villages

Hougangzi Village Xinjian Village Total

1 Total households 325 400 725 2 Agricultural population 1082 1500 2582 3 Farmland (mu) 1100 3000 4100 4 Land to be acquired (mu) 21 164 185 5 Per capita farmland before land acquisition (mu) 1.02 2.00 1.59 6 Per capita farmland after land acquisition (mu) 1.00 1.89 1.52 7 Village level land loss (%) 1.91 5.47 4.51 8 Village level income loss (%) 0.96 1.64 1.71


32. Although impacts on 2 villages are limited, but impacts on some individual households are considerably severe. 107 households with 340 people will lose land and the average per capita loss is 0.54mu. Land loss of affected households is shown in Table 3-14. As indicated, all affected HH will lose more than 10% of of their farmland, but 87.9% of the affected HHs will not lose 10% of their income. According to the survey, average agricultural income of AHs in Hougangzi Village accounted for 27.5% of total income in 2010, while it accounted for 18.6% for AHs of Xinjian Village. This is in consintent with facts that farming is no longer the major source of income (see Table 3-7).

Table 3-14: Land and Income Losses of Affected HHs

Level of Loss Hougangzi Village Xinjian Village TotalHH % HH % HH %

Farmland Loss

< 10% 0 0.0 0 0.0 0 0.0 10-30% 4 28.6 28 30.1 32 29.9 30-50% 9 64.3 58 62.4 67 62.6 50-70% 1 7.1 7 7.5 8 7.5

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70-90% 0 0.0 0 0.0 0 0.0 Total 14 100.0 93 100.0 107 100.0

Income Loss <10% 8 57.1 86 92.5 94 87.9 10-30% 6 42.9 7 7.5 13 12.1 Total 14 100.0 93 100.0 107 100.0

Average farmland per HH before LAR

4.21 5.26

Average farmland per HH after LAR

2.71 3.50


3.6.2 House Demolition and Relocation

33. The relocation is a key activity for both urban and rural households affected by acquisition of housing. There are 221 urban households with 20,224m2 of houses and 11 rural households with 1,094.2m2 of houses that will have to be demolished by the subproject. All affected houses are privately owned and are single storey brick-concrete and/or brick-wood structures. Most of these houses were built in 1970’s and 1980’s. These affected households will need to be resettled.

3.6.3 Resettlement of Enterprises, Institutions and Shops

34. There are 15 entities that will be affected, including 5 enterprises, 4 institutions and 6 shops. The basic information and relocation requirements of these entities are given in Tables 2-5, 2-6 and 2-7, respectively, in the previous section.

35. Among the 5 affected enterprises, 4 enterprises (Liaohe Spring Factory, Pharmacy Factory, Petroleum Company and Carpentry Factory) are partially affected and will not need relocation to other places. One enterprise, Saibosi Floor Board Factory, will be affected entirely, but relocation is also not needed since the owner had already constructed a new factory in Hutai New Town of Xinmin City in 2007 and the buildings to be affected have remained unused for 4 years.

36. Among the 4 affected institutions, 2 (Agricultural Machine Administration Station and Landscape Administration Department) will need to be relocated entirely, and other 2 (Material Administration Bureau and Salt Industry Company) will not need relocation elsewhere as they will only be partially affected. Properties of these 4 institutions belong to the Xinmin City Government, who agreed to be responsible for the resettlement of the 4 affected institutions. So there is also no high risk on institution demolition in the subproject.

37. All the 6 affected shops utilized residential houses for business, among which 3 shops were closed and 3 are under operations.

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4. Public Participation, Consultation and Appeal Redress

4.1 Identification of Stakeholders

38. Public participation and consultation are important processes according to ADB policies and Chinese laws and regulations. To carry out public consultation and partication, primary and secondary stakeholders, relevanet to land acquisition and resettlement, should be identified.

39. The primary stakeholders are those who directly suffered from the negative impact of the subproject or directly benefited from the subproject. They are: (i) APs losing land, housing and other properties; (ii) public institutions affected by land acquisition and resettlement; (iii) rural villages and urban communities affected; and (iv) organizations and companies who are directly involved in construction and operation of the subproject, for instance, the construction contractors.

40. The secondary stakeholders are those who indirectly benefited from the subproject, including the construction material supplier, the government agencies and any other persons who have interest in the subproject and are involved and/or benefited from the subproject activities.

41. The objective of identifying stakeholder is to ensure the affected persons, especially those who suffered from the negative impacts, have been fully participated and consulted so as to smoothly implement land acquisition and resettlement. The ultimate goal is ensure that the living standards of affected persons can be at least restored or improved.

4.2 Public Consultation and Particpation

42. Public participation and consultation have been given priority during the resettlement policy formulation and RP preparation. Social organizations, government agencies, communities and the affected persons have been fully consulted and encouraged to participate in the resettlement and rehabilitation activities. The consultation and participation will also be continued during implementing the RP.

4.2.1 Public Consultation during RP Preparation

43. XHCB and DI have conducted a series of surveys and consultation meetings during the RP preparation. At least five consultation meetings have been held and at least 225 persons including 103 women have participated in the consultation. Key surveys and consultation activities are listed in Table 4-1.

Table 4-1: Summary Consultation Records

Agency Date Institutions

Number of Participants (female)

Purpose Major

Discussion/suggestions

Discussion Results

IA August 18 2011 DI, XLRB 10 (4)

To discuss the survey scheme.

- XHCB prepared the detailed survey scheme; -Held coordination meeting.

DI and XHCBwill propose the detailed survey scheme

IA September 6 2011

DI, XLRB, XLSSB, XURO and 3 subdistrict offices. 12 (5)

To understand resettlement policies as well as the social security policies for farmers

-Discussed the policy gap between Xinmin and ADB. -Identified the survey areas.

Project scope was identified, and the LA&R impacts will be surveyed by subdistrict offices.

15

To discuss the survey plan.

IA

October 11~12 2011

DI, ADB experts, Affected enterprises/institutions/sho

ps, Comm/Vill and AP

68 (33)

To conduct the surveys; To collect the information for RP preparation; To prepare for the compensation and rehabilitation plans.

-Understood AP’s attitudes; -Collected the baseline data; -Recommended compensation standards; -Recommended rehabilitation plans; - Developed compensation and resettlement plans; - AP provided their comments on rehabilitation plans; -Discussed the advantages and disadvantages of various compensation approaches.

Learnt about socio-economic status and concerns of APs..

IA January 2012

TA consultants, Xinmin PMO, RP preparation

agency, VCs, APs 65 (29)

Discussion on training plan; Discussion on grievance address channels; and introduction of ADB’s resettlement policies

Reflected the result of the discussion in the RP.

All are incorporated in the RP

IA Feb. 2012 Xinmin PMO, VCs, APs 70 (32)

Further defining the compensation rates including various house structures and illegal structures, and resettlement plan

The affected households accepted the RP The affected households suggested that extensive consultation be conducted at the implementation stage


IA August 2013 Xinmin PMO, VCs, APs All APs

Deliver resettlment information handbook, DMS

The affected households accepted the RP



44. During activities of the public participation and consultation and household survey, most of affected households received the project information and possible impacts directly. All village committees participated in the participation and consultation and have known the project impact scopes. The village committees notified the impact scopes to all villagers.

45. In addition, in October 2011, the DI conducted the public participation & resettlement surveys under the support of the XHCB. Totally 55 questionnaire surveys, with 50 valid, were carried out. The survey covered all affected villages and communities. Through the survey and consulttaions, the affected people understood the proposed subproject better (see Table 4-2), and XHCB and DI also understood concerns and worries of the affected persons better.

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46. Main concerns by the affected people are: (i) fair and reasonable compensation; (ii) timely payment of compensation; (iii) beginning a new business; (iv) income loss; (v) future employment; (vi) children’s education; and (vii) assistances during resettlement.

Table 4-2: Perception of the Affected Persons for the subproject

Questions Reply %

(1) Do you know the subproject? I know

I know a little bit I know nothing about it

54.0% 46% 0%

(2) If you know, when Less than half year ago;

One year ago; Two year ago.

100% 0% 0%

(3) How do you know the subproject?

Newspaper TV

Village meetings Heard news from neighbors,

relatives and friends; Social surveyor

0% 0% 0%

10.0%

90.0%

(4) When do you first know that your land will be acquired or your house will be dismantled?

Less than half year ago; One year ago; Two years ago.

100%0% 0%

(5) Through which way do you know that your land will be acquired or your house will be dismantled

Social surveyor Town/village leaders disclosed the

information; Town/village meetings

Heard news from neighbors, relatives and friends;

88.0% 0%

0%

12.0%

(6) Do you support the subproject?

Yes No

Don’t care I don’t know

94.0% 2.0% 4.0% 0%

(7) Do you think that the subproject will increase the employment opportunities for the local people?

Yes No

I don’t know

86.0% 0%

14.0%

(8) Do you think the subproject will improve the water and air quality of the local area, which will improve the health?

Yes No

I don’t know

88.0% 0%

12.0%

(9) Do you think the subproject will improve the local environment?

Yes No

I don’t know

92.0% 0.0% 8.0%

(10) Do you think the subproject will promote the local economic development?

YesNo

I don’t know

100%0% 0%

(11) Do you think the subproject will promote the local tourism development?

YesNo

I don’t know

100%0% 0%

(12) Do you think the subproject will stimulate the local housing price uprising?

Yes No

I don’t know

94.0% 0.0% 6.0%

(13) Do you think the subproject will improve the local investment?

YesNo

I don’t know

100%0% 0%

(14) Do you think the poverty people will benefit from the subproject?

Yes No

I don’t know

84.0% 0.0%

16.0%

(15) Do you think women will benefit from the subproject? Yes No

I don’t know

76.0% 0.0%

24.0%

(16) What impacts will be brought by the subproject for your family?

My life will become better and better My life will become worse

My life will remain unchanged I don’t know

86.0% 0%

8.0% 6.0%

(17) As a whole, do you think if you will benefit from the Yes 74.0%

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subproject? Suffered lossest I don’t know

10.0% 16.0%

(18) Are you fully aware of the impacts brought by out by the subproject?

Yes No

I don’t know

86.0% 0%

14.0% (19) Do you know Notice on Implementation Land Acquisition Area Comprehensive Land Price Standards by Liaoning Provincial People's Government Office?

I know I know a little bit

I know nothing about it

52.0% 30.0% 18.0%

(20) Do you think you will be fairly compensated?

Yes No

I don’t know

94.0% 0%

6.0% (21) Besides the compensation, do you think you will get the support from other government agencies during RP implementation?

Yes No

I don’t know

88.0% 0.0%

12.0%

(22) Your farmland will be acquired; do you agree to adopt cash compensation?)

Agree Do not agree I don’t know

89.0% 0%

11.0% (23) If your house is demolished, which way would choose for resettlement? (urban house)

Cash Resettlement houses

0% 100%

(24) If your house is demolished, which way would choose for resettlement? (rural house)

Cash Cash+Housing plot

Resettlement houses

0% 50.0% 50.0%

Source: socioeconomic survey. Note: 50 households were interviewed. The percentage is calculated based a total 50 people interviewed.

47. The compensation standard and resettlement policies contained in this RP have been greatly influenced by the results of these meetings and surveys, particularly on the determination of the compensation rates and the formulation of an income restoration strategy based on cash compensation and livelihood/training programs. All surveyed people voiced their major concerns: the compensation standards and the compensation delivery. The land compensation standards determined follows the Liaoning Provincial Regulation on Implementing the Land Administration Law of P.R.C. The comprehensive land compensation is determined based on the local actual conditions of the affected areas as well as the fully consultation with the affected village leaders and AP. Compensation for affected houses and buidlings is in accordance with “Bylaws on the Demolition and Compensation of the Houses on State-own Lands” (No. 590 order issued by the State Council), “Notice on Further Improve Demolition, Compensation and Resettlement of Urban Houses Issued by Shenyang People’s Government General Office”, and “Acquisition, Compensation and Resettlement Scheme of Houses in Xinmin City” and under full consultation with affected people. Actual compensation standards for house demolition will be determined based on replacement costs that are to be evaluated by an independent House Evaluation Agency during DMS and the RP finalization.

4.2.2 Consultation and Participation Plan

48. Notwithstanding a series of public consultation and participation activities have already been carried out during the preparation of the RP, the LPMO/XHCB and local government fully accepted that additional consultations should be conducted during the RP implemention. The additional consultation and participation activities are planned in Table 4-3. The principal activities to be undertaken in the future are: (i) publication and dissemination of a Resettlement Information Booklet (RIB, see Annex 1) in standard Chinese, summarizing the policies, entitlements, compensation standards and rates, grievance procedures and resettlement/land acquisition schedule, (ii) formal village/community meetings to ratify the options relating to compensation disbursement and utilization, and (iii) detailed measurement survey (DMS) and agreements with each affected household and entity. Table 4-3 presents the consultation and prticpation plan (C&P Plan). All these planned activities will have fully participation of communities, villages and local Women’s Federation etc. All the affected persons will be encouraged to participate in the whole RP implementation.

Table 4-3 Consultation and Particpation Plan

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Purpose of Event Tasks Date Agencies invloved Target

1. Publicity of LA&R RIB distribution along with consultation meetings

June 2012

XHCB, subdistricts, communities and villages, Village

All affected HHs

2. DMS and finalization of RP

Notifciation of cut-off date through consutation meetingsParticpation of AP in inventoryof losses Partciaption of AP in finalization of rehabilitation plans Publicty of DMS results

TBD XHCB and DI, subdistricts, communities and villages, Village

All affected HHs

3. Disclosure of final RP Distribution of Chinese RP TBD XHCB All affected subdistricts, villages and communities

4. Negotiation and agreements with affected HHs

Agrrements based on consutation meetings TBD

XHCB, subdistricts, communities and villages, Village

All affected HHs

4.Implementation of final RPl

Consutation meetings Partciaption in project construction Internal and exyternal monitoring Redress resolutions

TBD XHCB, subdistricts, communities and villages, Village

All affected HHs

49. Participation in the subproject construction. In order to enable the affected persons benefit from the subproject, opportunities or priorities will be given to the local people in terms of construction material supply and employment as unskilled labors.

50. Participation by women. Since the very beginning of the subproject preparation, the XHCB and varipus government agencies have paid special attention to women’s roles and needs so as to ensure their participation played during RP prepration and implementation. Within the subproject area, women have the equal rights and similar social status with men and they play very important roles in local economic development and family affairs. Most of women, as discussed earlier, stay at home or work near their families while many men work outside the city as migrant workers. Therefore, women are more interested in the subproject and concered more about resettlement and rehabilitation.

51. During RP preparation, the XHCB and DI had invited the females to discuss about the rehabilitation plans, aquistion of housing and relocation. These consultations had basically dispeled their worries.

52. Moreover, XHCB has at least assigned one female staff, for better communications between the project and affected women, to handle resettlement issues organization. During RP implementation, the XHCB and various government agencies will continue to encourage women’s involvement, especially in rehabilitation scheme. Priority on employment will also be given to women in the subproject construction.

4.3 Resettlement Plan Disclosure

53. The information disclosure should be proceed in advance to ensure all the relevant people understand the subproject purpose, land acquisition, resettlement, compensation, compensation delivery and the appeal and grievance redress procedures. The XHCB have disseminated the RIB in August 2013 (see annex 1) to all the affected persons and publicize the RP to all the affected communities/villages.

4.4 Appeal and Grievance Redress

54. The public participation is always encouraged in the process of preparing and implementing of the RP. There will be always some unforeseeable problems occurring in the

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process of RP implememtation. In order to solve problems effectively and ensure the project construction and land requisition are carried out successfully, a transparent and effective grievance and appeal channel has been set up. The basic procedures for grievance include the following:

(i) If any APs are aggrieved by any aspect of the resettlement, he/she can state his/her grievance and appeal to the village/community committee in oral or in written form. If an oral appeal is made, the village/community committee will record it on paper and process it. Village/community committee will make a decision on or resolve it in two weeks. AND/OR

(ii) The aggrieved APs can state the grievance and appeal to the subdistrict office in oral or in written form. The subdistrict office will make a decision on or resolve it in two weeks.

(iii) If the aggrieved APs are not satisfied with the decision of the subdistrict office, he/she can appeal to XHCB (the IA) after receiving the decision; the IA will reach a decision in two weeks.

(iv) If the aggrieved APs are still not satisfied with the decision of the XHCB, he/she will appeal to the Liaoning Provicncial Project Management Office (LPMO, i.e., EA for all subprojects). After receiving the appeal, the LPMO will reach a decision in two weeks.

If the APs are still dissatisfied with the above decisions, he/she will appeal to the civil division of a people’s court according to the civil court procedure at any stage.

55. Also, APs can take their case to the civil division of a people’s court at any time. APs can appeal on any aspect of resettlement, including compensation criteria and price. APs will be apprised of their rights for lodging appeals during participation in the public meetings and by receiving the RIB. At the same time, the grievance and appeal process will be publicized among the APs through media. The relevant authorities will sort out the opinions and proposals of the AP and IA will process the information in a timely and effective manner.

The organizations will accept the grievance and appeals of the AP free of charge, and the reasonable expenses incurred there will be covered by contingency of the RP budget.

56. The aggrieved persons may also express grievance to the external monitor, who would then report it to the XHCB and LPMO.

57. Alternatively, the aggrieved person(s) may submit a complaint to the ADB’s Project Team to try to resolve the problem. If good faith efforts are still unsuccessful, they may submit their complaint to ADB's Accountability Mechanism (2012).5 The first step requires good faith efforts to resolve the problem with the ADB Project Team.

5 http://www.adb.org/Accountability-Mechanism/default.asp.

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5. Legal Framework and Resettlement Policy 5.1 Introduction

58. P.R.C has prepared its resettlement laws and regulations regarding the infrastructure projects. The proposed subproject will follow all the relevant national, provincial and local laws, regulations and policies in combination with consultation with all the affected persons. It will also follow ADB’s “Safeguard Policy Statement” (Requirements 2: Involuntary Resettlement) June 2009

59. All the relevant national, provincial and local laws, regulations and policies include:

(i) Land Administration Law of P.R.C (2004 revision); (ii) Real Estate Management Law of P.R.C (take effective on January 1, 1995); (iii) “Bylaws of the Demolition and Compensation of the Houses on State-own

Lands” (No. 590 order issued by the State Council); (iv) Decision on deepening Reform and Strengthening Land Management by the

State Council ( No.(2004) 28 by the State Council); (v) The Guiding Principle on Improving the Land Acquisition and Compensation

regulations (No. [2004] 238 by Ministry of Land Resources); (vi) Liaoning Provincial Implementation Regulation of Land Administration Law of

P.R.C( take effective on April 1, 2002); (vii) Notice on Implementation Land Acquisition Area Comprehensive Land Price

Standards by Liaoning Provincial People's Government Office, No.2 [2010] Document, take effective on January 7, 2010;

(viii) “Liaoning Provincial Farmland Occupancy Tax Implementation Method” (Liaoning Provincial People’s Government, No. 249 order, take effective on February 20, 2011)

(ix) Notice on Guiding Principle on the compensation of Rural Housing Plot made by Provincial Land Resources Department and Issued by the Administration Office of Provincial Government (No. 2007) 128 Document);

(x) “Notice on Further Improvement on Acqusition, Compensation and Resettlement of Urban Houses” issued by Shenyang Municipal People’s Government” (No. 98 [2010);

(xi) “Acquisition, Compensation and Resettlement of Houses in Xinmin City” (Xinmin City People’s Government discussed and adopted in the 35th executive meeting, in December 2011).

60. All these will ensure the living standards of the affected persons at least be restored or improved.

5.2 Summary of ADB's Policy Requirements on Involuntary Resettlement

61. Displaced persons in a project area could be of three types: (i) persons with formal legal rights to land lost in its entirety or in part; (ii) persons who lost the land they occupy in its entirety or in part who have no formal legal rights to such land, but who have claims to such lands that are recognized or recognizable under national laws; and (iii) persons who lost the land they occupy in its entirety or in part who have neither formal legal rights nor recognized or recognizable claims to such land. The involuntary resettlement requirements apply to all three types of displaced persons.

62. The rate of compensation for acquired housing, land and other assets will be calculated at full replacement costs. The calculation of full replacement cost will be based on the following elements: (i) fair market value; (ii) transaction costs; (iii) interest accrued; (iv) transitional and restoration costs and v) other applicable payments, if any.

63. In the case of physically displaced persons, the borrower/client will provide i)

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relocation assistance, secured tenure to relocation land, better housing at resettlement sites with comparable access to employment and production opportunities, and civic infrastructure and community services as required; ii) transitional support and development assistance, such as land development, credit facilities, training, or employment opportunities; and iii) opportunities to derive appropriate development benefits from the project.

64. In the case of economically displaced persons, regardless of whether or not they are physically displaced, the borrower/client will promptly compensate for the loss of income or livelihoods sources at full replacement cost. The borrower/client will also provide assistance such as credit facilities, training, and employment opportunities so that they can improve, or at least restore, their income-earning capacity, production levels, and standards of living to pre-displacement levels. The borrower/client will also provide opportunities to displaced persons to derive appropriate development benefits from the project. The borrower/client will compensate economically displaced people for lost assets such as crops, irrigation infrastructure, and other improvements made to the land (but not for the land) at full replacement cost. Special attention will be given to ensure women and vulnerable persons are better off.

65. Involuntary resettlement should be conceived of and executed as part of a development project or program.

66. The borrower/client will provide relevant resettlement information, including information from disclosing on ADB’s website in a timely manner, in an accessible place and in a form and language(s) understandable to affected persons and other stakeholders. For illiterate people, suitable other communication methods will be used.

5.3 Laws, Regulations and Policies of PRC and Liaoning Province

67. Table 5-1 gives a comparison between ADB and P.R.C. policy and states the difference in contents.

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Table 5-1: Gaps between ADB and PRC Policy Regarding the Involuntary Resettlement

No. ADB Policy on Involuntary Resettlement Comparison with PRC Policies Actual Experience in the

PRC Gap-filling Measures

1 Avoid resettlement if possible. Similar. Normally, it can be achieved through alternative options of technical and financial schemes.

In practice, the quantity of land acquired in the PRC each year is very large due to the broad scope and use of eminent domain.

Efforts were made to minimize LAR impacts during FSR and further efforts will be made during detailed design.

2

If unavoidable, the provision of rehabilitation measures should be implemented to restore incomes and livelihoods.

Similar. People’s Governments at the county level and above shall adopt practical measures to ensure that the farmers whose land is acquired shall not be made worse off.

In practice, cash compensation is provided rather than rehabilitation support. Specific rehabilitation and support

measures are included in this RP.

3 The lost property should be compensated at the replacement value.

Similar.

Provision of compensation and subsidies. Land value is based on a multiple of annual gross output value and housing is assessed based on appraisal

Sometimes, housing appraisal include depreciation based on age.

No depreciation based on age will be permitted for house valuations.

4

The affected persons are fully aware of the resettlement and land acquisition and they are fully consulted with.

Difference. In the PRC, the information disclosure usually takes place after RP approval.

APs want to have better information at earlier stages to ensure compensation and rehabilitation measures are acceptable.

ADB procedural requirements for consultation and disclosure are being followed.

5 Social and cultural sensitive

Similar. The policy has been trialed before being applied. The PRC is very experienced in this regard.

The PRC approach is equal treatment based on physical losses rather than socio-cultural impact. Normally, vulnerable groups are assisted through existing local

This RP follows ADB policy to conduct social impact assessment and formulate measures based on degree of impacts, particularly for women and vulnerable groups.

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government programs.

6

APs with lack of land or property ownership rights should still be eligible for compensation and rehabilitation; although ADB does not require compensation for land in such cases, solutions must be found to ensure APs are no worse off

Some difference. In the PRC, people without land ownership for house plots do not get compensated for land, but the structure compensation is negotiated, if the rates under the legal provisions are not adequate.

This is one of the most difficult LAR issues to address. Practical solutions must be found in lieu of local regulations. Some municipalities are more progressive.

This project doesn’t have this issue.

7 Confirmation of the compensation entitlement Similar.

Sometimes, no cut-off date is stipulated or it is not adequately disclosed or enforced.

This RP includes a cut-off date. Two notifications will be given to APs, and the entitlements will be disclosed prior to LAR and results of compensation agreements and fund use made transparent in each village.

8 All the resettlement costs should be included into the project cost.

Some differences. Also refer to Article 12 of No.28 Decree. The total resettlement cost of the national key development project should include in the total project cost estimate.

All compensation and administrative costs are included. Some rehabilitation measures are covered by local government. There is no requirement or budget for external monitoring.

All the related resettlement costs and sources of funding are specified in the RP. External monitor costs have been added as per ADB requirements.

9 Monitoring and evaluation on resettlement

Although the policy states the Project should assist the affected people for their housing and income recovery, there is no requirement for socio-economic monitoring.

Often, the government’s responsibility for rehabilitation ends when compensation is paid. There is no follow-up monitoring to assess whether APs are better off.

This RP includes a rigorous monitoring and evaluation process, including internal and independent (external) processes.

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5.4 Compensation Standards

68. The legal framework on resettlement for the proposed subproject is based on the national, provincial and even local laws and regulations, which have no substantial difference with ADB relevant polices. The compensation standards in this RP were based on review of relevant documents of XMG and fully consultation with government agencies and staffs.

5.4.1 Collective Land Acquisition

69. The compensation standards are in accordance with the Liaoning Provincial Implementation Regulation of Land Administration Law of P.R.C and the Notice on Implementation Land Acquisition Area Comprehensive Land Price Standards by Liaoning Provincial People's Government as well as the actual land values in Xinmin City. The land compensation standards are shown in Table 5-2.

70. All the farmland to be acquired will be additionally compensated for 1,500CNY/mu as for standing crops.

71. The relevant taxes and fees are: (i) 21 CNY/m2 for farmland occupancy tax; (ii) 10 CNY/m2 for farmland reclamation fee; (iii) 24 CNY/m2 for the utilization fee of new construction land, and (iv) 1.5 CNY/m2 for land acquisition management fee.

Table 5-2: Collective Land Acquisition Compensation Standards

Land Types Area Class Land Compensation(CNY/mu)

Resettlement Subsidy (CNY/mu) Total (CNY/mu)

Farmland 2 18,750 11,250 30,000

Housing Plot 2 30,000 Enterprise 2 30,000

5.4.2 Affected Houses

72. All types of residential houses affected by the subproject shall be compensated at replacement and/or market values. The compensation standards for residential houses are based on the stipulations in “Acquisition, Compensation and Resettlement Scheme of Houses in Xinmin City” and “Notice on “Further Improvement of Acquistion, Compensation and Resettlement of Urban Houses” issued by Shenyang City People’s Government. The actual compensation will be determined by independent asset evaluation according to replacement cost princinple and negotiation with affected persons.

73. There are 2 types of compensations in practice: (i) cash compensation at market values; and (ii) replacement houses (or house property exchange in the direct Chinese way of expression). For cash compensation, the affected houses (including house plot) will be valuated by an independent agency according to relevant stipulations of Xinmin City. Then the final compensation standard will be 30% higher than the valuated price. For replacement houses, in case of affected people being relocated from single-storey houses to multi-storey ones, the new housing areas will be 5% more than the acquired areas as an improvement measure; and this additional 5% will not be charged. If APs choose replacement houses that exceed 1.05 times of the acquired areas, charge will be imposed for the exceeding area. For the exceeding area of less than 10m2 (including 10m2), charge will be the same as the cash compensation standard of the acquired houses; for the exceeding area of 10m2, charge will be at market prices6.

6 The current market price is ranging from CNY 3000 to CNY 4,000 /m2

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74. Compensation and relevent subsidies paid to the APs include: (i) house compensation, (ii) attachment compensation, (iii) temporary transition subsidy; and (iv) moving subsidy. The detailed and tentative compensation rates are shown as Table 5-3.

Table 5-3: Tentative Compensation Standards for Residential Houses

Items Unit Compensation

standards (CNY/unit)

Note

House Brick-Concrete m2 2,000

House plot has been put into land acquisition compensation. Compensation standard is more than the valuated house price by 30%. Brick-Wood m2 1,800

Attachment

Fencing Wall m 130 Gate Set 500 Well Set 1,500

Auxiliary House (illegal)

Brick -Wood

m2 600

Simple structure 300

Others Moving subsidy HH 800

Temporary transition subsidy HH/month 800 4 months of transition period Award fee m2 300

Note: the compensation standard in the table is the indicative price in 2011; concrete compensation price will be determined when finalizing this RP.

75. According to the stipulations of “Acquisition, Compensation and Resettlement Scheme of Houses in Xinmin City, compensation for demolition of auxiliary houses (illegal) is 350 CNY/m2 for brick-wood structure and 100 CNY/m2 for simple structure. With considering the Involuntary Resettlement policy requirements of ADB and the actual situation of the affected people, the IA determined that compensation for illegal house will be at replacement value, namely 600 CNY/m2 for brick-wood structure and 300 CNY/m2 for simple structure. The actual compensation standard will be finalized by evaluation.

5.4.3 Afffected Enterprises/Institutions and Shops

76. The compensation standards for affected enterprises, institutions and shops will be determined according to the stipulations of “Acquisition, Compensation and Resettlement of Houses in Xinmin City” and “Notice on Further Improvement on Acquistion, Compensation and Resettlement of Urban Houses” of Shenyang Municipal People’s Government:.

(i) Affected enterprises/institutions/shops should be relocated at the original places if possible or at other places. Economic compensation for enterprises/institutions/shops will be determined by assessment of relevant Assessment Agency.

(ii) The compensation for dismantling, installing and relocating facilities is paid based on the replacement cost.

(iii) The temporary transition subsidy is: 25CNY/m2/month for 3 months. (iv) The salary subsidy for transition period will be determined and paid according

to the social average salary information (official average salary levels based on local different industry or commercial sectors) from the local price department in combination with the number of employees registered in the local social insurance department.

77. The detailed, yet tentative compensation rates are shown in Table 5-4. Table 5-4: Tentative Compensation Standards of Enterprises, Institutions and Shops

Item Unit Compensation Standard (CNY/unit) Note

Buildings (brick-concrete) m2 2000

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Facility Compensation Based on negotiated agreement

Others s

Temporary Transition Subsidy Month,m2 25 3 months

Salary Subsidy person 800 One time

Award fee m2 300

Land

State-owned Enterprise Land m2 240 To affected enterprise

State-owned Institution Land m2 0 To be appropriated for free

Collective Land mu 30000 To affected village

Note: the compensation standard in the table is the indicative price in 2011; concrete compensation price will be determined when finalizing this RP.

78. According to the socio-economic survey and consultations during the RP preparation, the nine (9) affected enterprises and institutions will not be paid for temporary transition subsidy and salary subsidy; among the affected 6 shops, 3 closed shops will not be paid for temporary transition subsidy and salary subsidy. The one-time salary subsidy of CNY 800 will go directly to the affected employees.

5.4.4 The Compensation Standards for Attachments and Public Facilities

79. The compensation standards for land attachements and public facilities are shown in Table 5-5.

Table 5-5: Compensation Standards of Attachements and Public Facilities

Item Unit Compensation Rate (CNY/unit) Peach7 tree 85

Hawthorn tree 90 Apple tree 90 Jujube tree 50 Grape tree 60 Poplar tree 40

Power Pole tree 10,000 Telecom Pole pole 3,000

5.5 Compensation Entitlements 80. All affected people or institutions are entitled to get compensations for the affected properties (land, houses, buildings, crops or income sources), no matter what type of impact and the amount of losses, which are included into the final DMS or temporarily affected during construction.

81. The cut off date for eligibility of entitlement is set on the date of conducting detailed measurement survey. All the eligible property losses will be compensated based on replacement cost. Table 5-6 is the entitlement matrix.

82. Special attention should be paid to the vulnerable groups. Besides the compensation, the special assistances should be provided during the resettlement. During income rehabilitation period, the local governments and community/village committees should be responsible for providing assistences to vulnerable groups.

7 Compensation for fruit trees were discussed and agreed with the people as they reflect the current local prices.

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Table 5-6: Entitlement Matrix

Project Impact Purpose Entitled Unit or Individual Compensation Policies Implementation Measures

1. Permanent Farmland Acquisition

Production land located within the red lines of construction

a) 2 villages b) Affected farmer HHs

Farmland compensation standard is 18750CNY/mu and the resettlement subsidy is 11250CNY/mu. No less than 80% of the land compensation fund and 100% of resettlement subsidy should be delivered to the affected HHs directly while the remaining 20% retain in the villages for public welfare. Compensation for standing crops and attachemenst on ground will be paid to the owners.

The village committees will be responsible for the utilization of remaining land compensation. The subdistrict offices will supervise and the utilization.

2. Rural house plots losses

Housing plot located within the red lines of construction

a) 1 village b) House owners

Land compensation is 30000CNY/mu; each affected household will get the land compensation for 300m2, and compensation for the exceeded part of land will belong to the village.

3. Building/ house + property losses

Houses located within the red lines of construction

Urban and Rual Affected House owners

The AP can choose cash compensation and replacement houses.Cash compensation is based on the replacement values: 2000 CNY/m2 for brick-concrete houses and 1800 CNY/m2 for brick-wood houses. For replacement houses, in case of affected people being relocated from single-storey houses to multi-storey ones, the new housing areas will be 5% more than the acquired areas as an improvement measure; and this additional 5% will not be charged. Moving subsidy is 800CNY/HH and temporary transition subsidy is 800CNY/HH/month for 4 months; Award fee is 300CNY/m2. Attachments: (i) 500CNY/set for gate; (ii) 130CNY/m for fencing wall; (iii) 1500CNY/set for well; (iv) 600 CNY/m2 for brick-wood auxiliary houses; and (v) 300CNY/m2 for simple auxiliary houses.

IA will provide assistance for identifying site and construction of relocation houses.

4. Enterprises, Institutions and Shops

Enterprises, Institutions and Shops within the redlines of construction

Legitimate owners

Buildings: 2000CNY/m2 for brick-concrete houses. The economiccompensation and equipment restoration subsidy will be determined by negotiation between IA and the affected parties. Other compensations: (i) temporary transition subsidy 25CNY/month/m2 for 3 months; (ii) salary subsidy 800CNY/person; (iii) award fee 300CNY/m2; (iv) transferring fee of state-own land: 240 CNY/m2; (v) compensation for land acquisition of collective enterprise: 30000 CNY/mu.

If relocation is inevitable, the IA is responsible for finding the relocation site.

5. Attachment losses

Practicality on the ground (trees and power pole)

The property owner

Cash compensation: (i) 30CNY/tree for poplar; (ii) 85CNY/tree for peach; (iii) 50CNY/tree for jujube; (iv) 60CNY/tree for grape; (v) 90CNY/tree for apple and hawthorn; (iv) 10000CNY/power line pole, (vi) 3000CNY/telecom pole

Notice should be informed at least one month before the land acquisition.

6. Vulnerable Group

Poor HHs, the disabled etc affected

11 HHs Besides the compensations for property losses, special assistance includes: (i) provision of social security system; (ii) provision of support during the relocation, such as labor forces and transportation.

The subdistrict offices,, community/village committees, Women Federation, the IA and various government agencies will provide various other assistances acoording to needs of the vulunerable groups.

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6. Relocation and Resettlement

6.1 Relocation of Residential Houses

6.1.1 Resettlement Options

83. There are 2 resettlement options for the 222 urban and rural households that will lose housing: (i) cash compensation; and (ii) replacement hosues (house property exchange). For cash compensation, the replacement values of affected houses will be evaluated by an independent evaluation agency. Then the IA will determine the compensation standard by adding an extra 30% of the replacement values and will pay the compensation to the affected households in one time. However, according to the socioeconomic surveys, all the 222 affected households will choose replacement houses.

84. Currently three relocation sites (residential complexes), one in each subdistrict, have been identified by XHCB and agreed with by APs. Table 6-1 and Figure 6-1 presents the three relocation sites.

Table 6-1 Basic Information Relocation Sittes for Affected HH

Subdistrict Relocation Site

Construction Area (m2)

No. of Apartments

No. of Relocation

Houses Available

Relocation Apartment

Area (m2/set)

Distance from

Original Site (km)

Construction and

Completion Date

Xicheng

Ruihuayuan Residnetial Complex (Phase II)

81000 144 110 45, 65 & 90 0.5 Complete in Nov 2012

Dongcheng Binhuxincun Residential Complex

240000 288 101 45, 60 & 90 1.0 Completed in Phase I in Oct

2013

Liaobin Yilinshangcheng

Residential Complex

230000 216 121 45, 60 & 90 1.5 Completed

Figure 6-1 Relocation Sites

Ruihuayuan (II)

Binhuxincun

Yilinshangcheng

New Trunk RoadNew 2ndary Road

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6.1.2 Relocation Plan

85. All the 222 affected households selected replacement houses. Same resettlement policy will be applied for acqusition of both urban and rural houses within the urban planning area. APs will be relocated from single-storey houses to multi-storey apartments. Area of new apartments will be at least 105% of the originally acquired area (floor space), among which the 5% is an improvement/encouragement measure. This 5%, as imprpovement measure, will not be charged. If the relocation house area exceeds 105% of the acquired house, charge will be imposed to the exceeded area. For exceeded area part of less than 10m2 (including 10m2), charge will be the same as the cash compensation standard of the acquired houses; for the exceeded area of over 10m2, charge will be the market price.

86. The house compensation, attachments compensation, temporary transition subsidy, moving subsidy and award fee will be paid to the affected HHs directly. Affetced HHs would choose one of the three relocation sites at own willingness (Table 6-1). The sizes of replacement apartments are 45, 60, 65 and 90m2. Apart form additional hosuing area; there are also other improvements for affected HHs after relocation (see Table 6-2).

Table 6-2: Improvements after Relocation

Infrastructure Before resettlement After resettlement Tap Water Yes Yes Drainage No Yes Heating Own stove Central heating

Comm/vill Road 3 meter in widrh, unpaved Asphalt road

Comm/vill Environemnt In bad conditions and poorenvironment Good conditions and environment

6.1.3 Special Assistances

87. There are 11 vulnerable households to be affected. These vulnerable groups will get special assistances during relocation. The subproject will: (i) relocate a vulnerable HH to an apartment with at least 45m2 without any additional charges if the acquired area is less than 45m2, (ii) the communities and villages will provide necessary assistances before, during and after relocation; and (iii) The rural vulnerable HH will be included in the the urban minimum living standard security program once they are relocated/urbanized.8

6.2 Affected Enterprises, Institutions and Shops

88. There are 15 entities to be affected, including 5 enterprises, 4 institutions and 6 shops.

89. Among the 5 affected enterprises, 4 (Liaohe Spring Factory, Pharmacy Factory, Petroleum Company and Carpentry Factory) will be partially affected by acquisition of land and buildings and will not need to be relocated elsewhere. Initial negotiations had been made with these 4 enterprises for compensation at replacement costs; while the enterprises will make their own reconstructions within their premises (remaining land). One enterprise, the Saibosi Floor Board Factory, will be affected entirely. However, it had constructed a new factory in Hutai New Town of Xinmin City in 2007, and its original factory had been leaved unused since then. The factory has agreed on cash compensation at replacement cost. In addition, compensation for the land used by Saibosi Floor Board Factory, rented from the Xinjian village, will be paid to the village.

90. Among the 4 affected institutions, 2 fully affected ones (Agricultural Machine Administration Station and Landscaping Administration Department) will need be relocated elsewhere and 2 partialy affected ones (Material Administration Bureau and Salt Industry Company) will not need be relocated elsewhere. Properties of these 4 institutions belong to Xinmin Government, and the government will arrange all relocation or resettlement at own

8 The urban HHs are under the program already according the socioeconomic survey.

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cost.

91. All the 6 affected shops utilized residential houses for business. Three of them have stopped their operation, and will not open again. They will receive compensation for house demolistion including the house area for business operation. For three other shops, according to the Provision of the Compensation and Subsidy Standard for the Urban Houses Demolition of Xinmin City, besides compensation and resettlement for residential houses used by shops, income loss of owners will be compensated at 25 CNY/m2/month for the operating area for 3 months. In addition, salary loss of employees of these shops will be compensated with 800 CNY each in one time. Dismantling of enterprises will not start before replacement structures/buildings are built, therefore the transition period will not exceed on month. Meanwhile, replacement houses in the first floor will be arranged for affected three shops in order to continue their business according to their choice.

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7. Income Rehabilitation Plan 92. The objective of income rehabilitation activities is to ensure all APs could maintain their before subproject income level and living standard at least. Income and livelihood restorartion will mainly be achieved through non-farm employments with various supportive measures like skill training, policy intervention, etc. The income restoration and the training plan were prepared based on the socio-economic survey and discussions held with the affected persons, relevant government departments and the implementing agency (IA). The IA will help APs in accessing employment information and training assistance, as described in the sections below.

7.1 Non-farm Employments

93. Given that the affected villages will be urbanized sooner or later, swithing to non-farm employments of APs will have to be the major or even the only way for rehabilitation of income although they could still enage in farming for a couple of years or so.

94. Luckily, Xinmin City had newly established its industrial park named as “Xinmin Economic and Technical Development Zone”. There are about 20 enterprises in the park by 2011 and many more are either under construction or under planning. The main types of the enterprises in the industrial park are pharmacy, paper making and breeding, such as Sanjiu Medicine Corporation, Xiuzheng Medicine Corporation, Linjiang Paper-making Company, Chengda Food Chicken Company and etc. These enterprises are facing a difficulty of hiring enough skilled employees at present. Currently the shortage of labors for unskilled posts in the industrial park is 400 including 250 for man, and 150 for woman.

95. Rural laborforce affected are about 260 persons including 140 males and 120 females. The city government will make relevant arrangements to enable them to work in these enterprises. So it is expected that living standards of the affected farmers with land loss can be restored very soon. For example, if two labors work in industrials, with an average salary of 2,000 CNY per month per person, the family’s total income in a year is 48,000 CNY, higher than the current income level of about CNY38,000/HH (see Table 3-6). Currently, only about 17 farmers are employed in these enterprises (6.5% of all labors, see Table 3-3).

96. According to the “Poverty of Social Analysis” report of the PPTA consultants, the planned industrial and commercial enterprises in Xinmin could absorb as many as 5,000 employees in a few years. Therefore, many future APs resulting from urbanization could also get non-farm employments provided there are skill training and policy promotions.

97. Xinmin City Labor and Social Security Bureau will regularly publish information of laborforce demands of these enterprises, as its routine duty. This could enable AP to better access such employment opportunities.

7.2 Labor and Service Provisons for Subproject Construction

98. During construction period of the subproject, APs could obtain income through providing unskilled labors. According to the preliminary estimates, the subproject construction will provide about 300 unskilled positions with an average salary of 2,000 CNY per person per month. The IA will coordinate contractors to give first priority to the APs, especially women and the vulunerable ones.

99. APs could also obtain income through providing relevant services to construction workers. For example, if affected households have free rooms available for renting, it could be contractor’s temporary office or labor’s temporary dormitory, or its owner could use it to do catering business.

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7.3 Planned Compensation Utilization of AP

100. Given that the income levels of affected households are very high (Table 3-6, CNY38,000/HH/year), compensations might be limited to individual HHs in most cases due to small land holdings. However, the compensations would still be used as investments for small business. It is learnt about some of farmers with land loss intended to do some small businesses, such as small grocery, vegetable trading etc by using the compensations. Also the scale of business can be expanded gradually in the future by accumulating experiences and earnings. Some affected people hope the government providing technical training to enable them to master certain skills for job seeking (see next subsection).

101. Table 7-1 presents the available compensation to each HH on average.

Table 7-1: Land Compensation to the Affected HH

Village

Farmland to be

acquired (mu)

Affectd HH

Compensation Standard (CNY/mu) Compensation Funds (CNY)

80% of the Land Compensation

100% of Resettlement

Subsidy Total Average

per HH

Hougangzi 21 14 15,000 11,250 551,250 39,375 Xijian 164 93 15,000 11,250 430,500 46,290

102. Among the 14 affected households in Hougangzi Village: (i) 6 households plan to deposit the compensation in bank and to do more migrant works such as construction, transportation, housekeeping, repairing, weaving and etc.; (ii) 5 households plan to invest their compensation in agricultural activities, such as vegetable greenhouses and breeding on remaining land before being acquired by other activities; and (iii) 3 households plan to do their own business, such as grocery and vegetable trading because they live nearing the urban area. Normally, the initial investment in greenhouses or breeding will be about 20,000 CNY and the average annual earnings could be around 20,000 CNY. As for small business, the annual earnings from these businesses could reach 10,000 CNY.

103. For Xinjian Village, among the 93 affected households: (i) 35 households plan to deposit the compensation in bank and to do more migrant works; (ii) 42 households plan to invest their compensation in agricultural activities; and (iii) 16 households plan to do your own business.

7.4 Skill Training

104. Although APs will bear main responsibilities to rehabilitate their income, a series of skill trainings will be organized and provided. The training will be conducted for (i) employment in enterprises in the industrial park of Xinmin Economic and Technical Development Zone, and (ii) skill training including high value agriculture, female orient work and small business investment.

105. The training for employment in enterprises in the industrial park will be conducted by Xinmin City Labor & Social Security Bureau (XLSSB) with support of XHCB and enterprises in the inductrial part. XHCB will provide information on labor resource of affected farmers to XLSSB. XLSSB will keep close connect with enterprises in the park, including existing enterprises and newly entering enterprises and provide the labor information to them. XLSSB will conduct relevant training according to requirements of enterprises. Enterprises can provide necessary financial support for the training according to current practice. Currently the shortage of labors for unskilled posts in the industrial park is 400 including 250 for man, and 150 for woman. With new enterprises open in the park, more labors will be required. In future three years from 2013 to 2015, XLSSB will provide the training for at least 1,500 laborers for enterprise development in the park.

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106. For skill training, a sum of 200,000 CNY training budget has been set in the RP. All APs could obtain training on:

(i) Livestock raising; (ii) High efficiency/profit agriculture; (iii) Weaving and sewing (for women); (iv) Cooking and dessert making; (v) Building construction;

(vi) Office cleaning; and

(vii) Homecare.

107. Table 7-2 presents the training plan. As indicated, 200 APs will get trained, of which more than 50% are women. The skill training will be started at once when land acquisition and resettlement are completed. It is expected that the training will commence in October 2013. Women could master a few special skills for income generation through such training. For example, a sewing job could provide a salary of 2,000 CNY in a month or 24,000 CNY per year.

108. XLSSB together with the Women’s Federation will be responsible for organizing and implementing the skill training. Training funds will be delivered directly to the organizer of training. Inaddition, government subsidies will also be provided to those trainings.

Table 7-2: Skill Training Plan

Training course Organizer Trainees Location where AP live

1. Livestock raising

Xinmin City Labor & Social Security Bureau

20 (5 female)

2 villages

2. High efficiency agriculture 20 (10 female)2. Weaving and sewing skill training 40 (female)3. Cooking and dessert-making 20 (5 female)4. Building construction 605. Office cleaning 20 (female)6. Homecare 20 (female)

Total 200

7.5 Utilization of Compensation Retained by Villages

109. According to Liaoning Provincial Implementation Regulation of Land Administration Law of P.R.C. and the Notice on Implementation Land Acquisition Area Comprehensive Land Price Standards by Liaoning Provincial People's Government Office, the compensation paid to village collectives should be mainly used for gricultural improvememnt and for the welfare of the villagers, including APs. Given that it is unrealistic to redistribute land and/or provide replacement land, yet the remaining land in the villages will also be acquired sooner or later according to local urban development planning. Therefore, the 20% of land compensation retained by affected villages will be used for the welfare of all villagers (including the affected people) with decisions by the villagers’ representative meetings. The retention fee in Hougangzi Village will be CNY162,000, while it will be as much as CNY1,035,600 in Xinjian Village.

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8. Institutional Arrangement

8.1 Institutional Setup

110. A subproject leading group for the proposed subproject was set up by Xinmin Government in August 2011 and Xinmin Housing and Construction Administration Bureau (XHCB) is the implementation agency.

111. Under XHCB, a resettlement department was established. The institutional setup for land acquisition and resettlement is shown in Figure 3.

Figure 8-1 Resettlement Institutional Setup

112. The resettlement taskforce will play a key role for carrying out land acquisition and resettlement. Apartment from theinstitutional setup shown in the figure above, there is also be an external minitor.

8.2 Responsibilities

113. The responsibilities of relevant agencies are shown in Table 8-1.

Administration Department

Leading Group

Engineering Department

Resettlement Department

Planning & Financial

Department

Xinmin Housing and Construction Administration Bureau (IA)

Resettlement Taskforce (Subdistrict Office, Staff of LRSB and other government agencies)

Sffected Communities and villages, AP

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Table 8-1: Responsibilities of Relevant Agencies

Agency Responsibilities

Liaoning Project Management Office (LP MO/EA)

Coordinating subprojects to prepare RPs and carry out internal M&E Submitting implementation progress reports to ADB Entrusting external monitor Submit/forward internal and external monitoring reports to ADB. .

Xinmin Housing and Construction Bureau (IA)

Preparing RP Organzing public consultation and participation Disclosing resettlement information, including distribution of RIB Supervising resettlement fund payment Coordinating and supervising resettlement activities and progress Carrying outinternal M&E and report the PMO Settling conflicts and problemsPreparing subproject resettlement plan and implementing

Xinmin Land Resource Bureau

Making relevant LA&R polices Take part in RP preparation Issue land occupation license for the subproject Directing, coordinating and monitoring land acquisition and resettlement activities Settling conflicts and problems

Xinmin Urban Resettlement Office

Take part in RP preperation, reviewing and approving RP Comforting AP’s grievance Implementing RP Applying relevant resettlement procedures Signing resettlement compensation agreements with APs

Subdistrict Office Assisting IA, XLRB and XURO to carry out LA&R in a transparent way Sloving conflicts and problems Reorting to XURO/XLRB on problems without resolution at subdistrict level

Community/Village Committees

Participating in socio-economic survey Participating in preparation of resettlement plan Assisting IA for public consultation, Assisting LA&R Office to implement RP Reporting Ap’s opinions and suggests to authorities Providing assistance to vulunerable HHs

External Monitor Providing technical support to land acquisition and resettlement. Monitoring RP implementation Reporting to PMO

8.3 Capacity Building

114. The EA will provide assistance to train the staffs who will be engaged in resettlement activities for the subproject. ADB will strengthen institutional capacity building through special training course by ADB resettlement specialists before and during resettlement implementation.

8.3.1 Staff Training

115. The LPMO will organize a series of training of resettlement staff of Xinmin and other subprojetcs on: (i) ADB’s policy rrequirements on involuntary resettlement, (ii) national polices; and (iii) good practices of similar projects in Liaoning and other provinces. The training will start in January 2013.

8.3.2 Measures to Strengthen Capacity Building

116. In additional to the various training arrangements, the following measures will be taken to strengthen the capacity building:

(i) LPMO and XHCB will have sufficient staff, fund and equipment; (ii) LPMO and XHCB will establish resettlememnt related database. (iii) Quarterly coordination meeting will be organized by XHCB among all involved

agencies.

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9. Monitoring & Evaluation 117. LPMO and XHCB will undertake the monitoring and evaluation (M&E) on the implementation of RP according to the ADB requirements. There will be both internal (undertaken by Xinmin PMO and XHCB) and the external (undertaken by an independent agency) M&E.

9.1 Internal Monitoring & Evaluation

118. Internal monitoring will be basically focused on resettlement progress. XHCB, as the impImenattaion agency of this subproject, will carry out internal monitoring with the assistances of XLRB, XURO, subdistrict offices, affected communities and villages. LPMO will coordinate and supervise the internal monitoring.

119. During RP implementation, XHCB will report to LPMO quarterly and the latter will then submit an internal monitoring report or prigress report that covers all subprojects to ADB quarterly. In such reports, the statistical data of the past 3 months will be tabulated to reflect progress through comparison of the actual and planned use of the land acquisition, resettlement and compensation fees.

120. Upon completion of all resettlement avtivities and before closing ADB loan account, XHCB will prepare a resettlement completion report which will then be forwarded to ADB by LPMO after its review and approval.

9.1.1 Contents of Internal Monitoring

121. Generally, the internal monitoring shall include the followings:

(i) Organization: The establishment and assignment of resettlement and relevant organizations and their personnel assignment and capability development;

(ii) Resettlement policy and compensation rate: The design and implementation of resettlement policy; the actual implementation of compensation rates of various losses caused by the resettlement (permanent land acquisition, temporary land occupation, house relocation, store relocation, the relocation of public institution and enterprise and the relocation of specific facility) and specific identification of whether the rates in the RP is implemented and the causes of any changes occurred;

(iii) Progress of relocation and resettlement: The general schedule and the yearly schedule, the progress of personnel assignment of the resettlement agency, the progress of land acquisition and temporary occupation, the progress of adjustment, acquisition (or transfer) and assignment of the land of resettlement area (including land for production, residential building and public facility), the progress of house relocation, the progress of the construction of resettlement house, the progress of the moving of displaced persons, the progress of production development project, the progress of the construction of public facility, the progress of the recovery, removal and reconstruction of specific facilities, the progress of the removal and reconstruction of enterprises and public institutions, the progress of the employment-related action and the progress of other resettlement activities;

(iv) Resettlement budget and implementation: The amount and time of payment of resettlement fund to various levels, the use and management of resettlement fund of ROs at various levels, the amount and time of payment of compensation fund to the proprietor of affected property (house) and the proprietor (village and group) and the user of affected land, the use and management of compensation

37

fund of the collective land at village level, the supervision and audit of the use of fund;

(v) Production and employment rehabilitation of economically displaced/affected persons: The main measures for the rehabilitation of rural persons, the number of persons, the employment of the staff of affected enterprises, the support measures for vulnerable groups (household of women, household of old persons and the disabled), the recovery of the land occupied temporarily and the results of rehabilitation on APs’ incomes and livelihoods;

(vi) The restoration of affected enterprises and public institutions and various specific facilities (power supply, water supply, communication, traffic and pipelines);

(vii) Complaint, appeal, public involvement, negotiation, information publicity and independent monitoring: The channel, procedure and responsible organization of complaining and appealing, the main complaints and appeals and their handling, main content and means of public involvement and negotiation, the effect of public involvement and negotiation, resettlement information brochure and information publicity and their effectiveness, the activities and results of independent monitoring organization;

(viii) Effectiveness and results of handling of relevant grievances raised by APs; and

(ix) Existing problems and solutions.

9.2 External Monitoring and Evaluation

122. LPMO will engage an independent agency to carry out the external monitoring and evaluation for this and all other subprojects as per ADB requirement. The external monito will make follow-up monitoring and evaluation of resettlement activities and provide advisory opinions. It will also make follow-up monitoring of the level of production and livelihood rehabilitation of AP, and semi-annual reports to the LPMO and ADB. The TOR (terms of reference) for external monitoring is presented in Annex III.

9.2.1 Procedure

123. The external monitor shall undertake the followings:

(i) Before the resettlement, the living standard baseline survey shall be carried out to document the basic living and production conditions of the displaced persons.

(ii) In the process of the resettlement, the external monitor shall follow up and monitor the implementation of the resettlement, collect the comments and complaints of the displaced persons and report them to the resettlement division of the XHCB and local RO timely. And the external monitor shall submit monitoring report to the resettlement division of the XHCB and ADB.

(iii) The external monitor shall investigate the living and production conditions of the displaced persons periodically and evaluate the resettlement activities and relevant measures.

(iv) Upon survey, research and discussion with the displaced persons, the external monitor shall propose constructive comments to the resettlement division of the RO of the XHCB and local RO to ensure the smooth implementation of the resettlement and fast recovery of the living and production conditions of the displaced persons.

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9.2.2 Contents of External Monitoring

9.2.2.1 Land Acquisition

124. The external monitoring on the land acquisition and production resettlement shall be focused on the following:

(i) Whether the compensation rates of various lands are determined in accordance with relevant laws of the state, and whether they represent adequate replacement cost;

(ii) Whether APs received the amount of land compensation and resettlement compensation stated in compensation standards;

(iii) Whether the amount of land acquired, compensation rate, compensation amount are publicized in the village, by which means they are publicized and the effectiveness of disclosure and consultation;

(iv) Whether a definite and feasible plan is made for the collective use of land compensation, and whether is implemented effectively;

(v) Whether the plan of the use of land compensation is designed after the collection of the comments of related villagers and how the fund use plan is finally determined; and

(vi) How the benefit brought by land compensation is distributed and how the actual economic benefit of the displaced persons is guaranteed.

9.2.2.2 Resettlement of Affected Enterprises

125. The following will be most concerned about:

(i) Whether the time of land acquisition and the resettlement is arranged reasonably;

(ii) Whether the losses of the affected enterprises are compensated;

(iii) Whether the staff of the enterprises are compensated properly;

(iv) Whether the production of the enterprises is resumed in time; and

(v) Whether the affected enterprise transfers the compensation of any lost wages to their staff.

9.2.2.3 Monitoring of ROs

126. Capable, specialized and efficient ROs may assure the success of resettlement. The monitoring on the operation of ROs is an important part of independent monitoring. The means of monitoring are mainly visits to the ROs and the inspection on the working data and record. The main content of monitoring on ROs includes:

(i) Whether the personnel structure of the ROs at various levels meets the requirements of the resettlement;

(ii) Whether necessary working conditions are provided for the ROs at various levels;

(iii) Whether the quality of resettlement personnel meets the requirements of the resettlement;

(iv) Whether adequate resettlement staff training is conducted; and

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(v) The internal data and information management of the ROs is established and functions effectively.

9.2.2.4 Living Standard Baseline Survey of Affected Persons

127. Before the formal commencement of the resettlement, the external monitoring organization shall collect the basic information for the resettlement of the project using sampling survey. Structured questionnaires are adopted for the sampling survey. Cluster sampling shall be carried out, taking all the affected households involved in the socioeconomic survey at the preparation phase of the project as the database. The sampling proportion for living standard baseline survey is determined to be 20% of affected households.

128. The living standard baseline survey of the affected households covers: family structure, production conditions, gross floor area of the houses, annual income of the household, employment structure, annual expenditure of the household, traffic conditions, water supply, power supply and heat supply conditions, living environment, subjective appraisal of production and living conditions.

9.2.3 Reporting

129. Internal M&E reports will be submitted to LPMO quarterly by the XHCB while the external monitoring and evaluation reports will be submitted to LPMO and ADB every six months by the external monitor. The external monitoring and evaluation (M&E) reports will be continued once every six months after the completion of the resettlement until the resettlement tasks are completed. These reports will also be submitted to ADB every six months and uploaded onto the ADB website. Annual evaluation reports will also be prepared by the external monitor once every 12 months until the project completion. After the project completion, PMO should submit to ADB the resettlement completion report. See table 9-3.

Table 9-1: Repporting Schedule of External Monitor No. Report Date 1 Baseline survey report April 2014 2 1st monitoring report July 2014 3 2nd monitoring report Feb. 2015 4 3rd monitoring report Aug. 2015 5 4th monitoring report Feb. 2016 6 5th monitoring report Aug. 2016 7 6th monitoring report Feb. 2017 8 Evaluation report Aug. 2017 9 Evaluation and completion report Dec. 2017

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10. Resettlement Implementation Schedule

10.1 Principles for Resettlement Implementation

130. According to the implementation schedule of the subproject, the construction works will commence in later 2013 and be completed in 2015. To ensure that the resettlement implementation is linked up to the project construction schedule, land acquisition, houses demolition and monitoring will start from January 2013 and end in Dec 2015. The basic implementation principles of resettlement are:

(i) Land acquisition should be completed 3 months before the commencement of construction.

(ii) During resettlement, AP should have opportunities to participate in the activities. Before the commencement of construction, the scope of land acquisition will be disclosed, and a resettlement information booklet will be distributed for the purpose of public participation.

(iii) All types of compensations should be paid to property owners directly in full within 3 months from the date of approval of the land acquisition compensation and resettlement plans. No entity or individual should use the compensation fees for properties on their behalf, and such fees should not be discounted during disbursement for any reason.

10.2 Implementation Schedule

131. The general resettlement implementation schedule of the subproject has been developed and the specific arrangements may be adjusted in case of variations. The implementation and supervision milestones are shown in Table 10-1.

Table 10-1: Resettlement Implementation and supervision Milestones No. Resettlement Tasks Target Responsible

Agency Deadline

1. Consultation and disclosure 1.1 Draft RP circulation and

endorsementXCG XHCB June 2012

1.2 RIB distribution All likely affected villages, communities and HHs

XHCB, subdistrict offices June 2012

1.3 Consultations for updating RP Seriously affected HHs XHCB, resettlement taskforce

Nov-Dec 2013

2. RP & Budget 2.1 Final design completion XHCB & DI May 2013 2.2 DMS XHCB, resettlement

taskforce, AP, viilages and communities

Aug. 2013

2.3 Updating RP based on DMS XHCB March 2014 2.4 Review and approval of final RP

& budget XCG, LPMO, ADB April 2014

3. Capacity Building 3.1 Establishment of resettlement

division in XHCB and resettlement taskforce

XCG Done by 2011

3.2 Establishment of resettlement taskforce

XCG Nov 2013

3.3 Capacity building 30 staff LPMO, Consultant Nov. 2013 4. Resettlement Implementation 4.1 Agreements affected enties and

households All affected villages, comunitues,HHs and entities

XHCB May 2014

4.2 Payment of compensations Ditto XHCB May 2014

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No. Resettlement Tasks Target ResponsibleAgency

Deadline

4.3 Commence LA&R HCB, resettlement taskforce

Before May 2014

4.4 Completion of LA&R HCB, resettlement taskforce

April 2017

4.5 Move into new houses All relocation HHs Ditto May 2017 4.6 House demolition All relocation HHs Ditto May-Aug 2017 5. Monitoring & Evaluation 5.1 Internal monitoring reports 8 quarterly

reports XHCB & LPMO Attach to quarterly

progress Reports 5.2 Contracting external monitor LPMO March 2014 5.3 Baseline survey 10-20% of seriously

affected HHs All affected communities and villages

External monitor April 2014 (shortly after DMS)

5.4 External monitoring report 4 semi-annual report followed by 2 annual evaluation reports

External monitor 2 weeks after each half year

5.5 Resettlement completion report 1 report XHCB December 2017 6. Civil Works 6.1 Commencement of civil works XHCB and Contractors May 2014 6.2 Completion of construction Contractors Dec 2017

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11. Resettlement Budget

132. The total resettlement budget of the subproject is 83.6477 million CNY, accounting for 14.4% of the total investment of 581.3381 million CNY. The detailed resettlement budget is shown in Table 11-1.

11.1 Basic Cost

133. Basic cost refers to all the compensations: (i) compensation for land acqustion and standing crops; (ii) compensation for affected houses and buildings; and (jjj) cpmpensation to land attachemnsts. The basicrsettlement cost of the subproject is CNY 68.21 millions.

10.1.1 Compensation for Permanent Collective Land Acquisition

134. Permanent collective land to be acquired by the proposed subproject is 193.6mu including 185mu of farmland, 5.6mu of housing plots and 3mu of enterprise used land. The compensation rate is 30000CNY/mu for the three types of land The total compensation for permanent land acquisition is 5.808 million CNY then.

135. The compensation for standing crops is 0.2775 million CNY.

10.1.2 Compemsation for Affected Houses and Structures

136. Urban houses: urban houses to be affected are 20224m2 with 2000 CNY/m2 for brick-concrete house and 1800 CNY/m2 for brick-wood house. The total house compensation is 37.4248 million CNY. In addition, there are 4.4285 million CNY of compensation for affected attached facilities and 6.9112 million CNY of other compensatios. The total resettlement cost for affected urban houses is 48.7645 million CNY.

137. Rural houses: houses to be affected are 1094.2m2 with 2000 CNY/m2 for brick-concrete and 1800 CNY/m2 for brick-wood houses. The total house compensation is 2.0556 million CNY. In addition, there are 0.5051 million CNY of compensation for attached items/facilities and 0.3723 million CNY of other compensations. The total resettlement cost for affected rural houses is 2.933 million CNY.

138. Affected enterprises, institutions and shops: buildings to be affected are 3915m2 with 2000 CNY/m2 of compensation standard. The total compensation is then 7.83 million CNY. In addition, there are 1.2043 million CNY of other compensation and 0.792 million CNY of state-owned land transferring fee (rate of 240 CNY/m2). The total resettlement cost for affected enterprises, institutions and shops is 9.8263 million CNY.

10.1.3 Compensation for Land Attachments and Public Facilities

139. There are 3 kinds of land attachments and public facilities to be affected by the subproject which are power poles, telecommunication poles and trees. Total compensation for them is 0.6082 million CNY.

11.2 Costs Related RP Implementation 140. There are the follwin costs related to the preparation and implememation of the RP:

(i) Internal M&E and preparation of RP. It is calculated as 0.5% of the basic cost. (ii) External M&E. It is calculated as 0.25% of basic resettlement cost. (iii) Administartion cost for implementing the RP (including the training cost for

resettlement staffs, carrying out consultations and grievance redress). It is calculated as 1% of basic resettlement cost.

(iv) Skill traiong. Cost assigned for implementing two phases of skill trainings for

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AP is 0.2 million CNY.

11.3 Taxes and Fees 141. The total taxes and fees (including arable land occupation tax, arable land reclaiming fee, fee for new construction land, land mapping fee, management fee) are 7.2146 million CNY.

11.4 Contingency 142. The contingency is calculated as 10% of basic resettlement cost.

Table 11-1 Resettlement Budget

Items Quantity Unit Compensation

Standard (CNY)

Cost (104 CNY)

A. Basic Cost 6821.75I. Land acquisition & resettlement 608.55

1. Land compensation 193.6 mu 580.80

1.1 Farmland compensation 185 mu 30000 555.00

1.2. Housing plot compensation 5.6 mu 30000 16.80

1.3 Enterprise land compensation 3 Mu 30000 9.00

2. Standing crops compensation 185 mu 1500 27.75

II. House Demolition and Relocation 6152.38

1. Urban residential houses compensation 4876.45

1.1 House compensation 20224 m2 3742.48

Brick-concrete 5108 m2 2000 1021.60

Brick-wood 15116 m2 1800 2720.88

1.2 Attached facilities 442.85

Wall 2471 m 130 32.12

Gate 147 Set 500 7.35

Well 8 Set 1500 1.20

Auxiliary house Brick-wood 5248 m2 600 314.88Simple 2910 m2 300 87.30

1.3 Other compensation 691.12

Moving subsidy 211 HH 800 16.88

Temporary transition subsidy 211 HH 3200 67.52

Award 20224 m2 300 606.72

2. Rural residential houses compensation 293.30

2.1 House 1094.2 m2 205.56

Brick-concrete 430 m2 2000 86.00

Brick-wood 664.2 m2 1800 119.56

2.2 Attached facilities 50.51

Wall 519 m 130 6.75

Gate 10 set 500 0.50

Well 1 set 1500 0.15

Auxiliary house Brick-wood 420 m2 600 25.20Simple 597 m2 300 17.91


Moving subsidy 11 HH 800 0.88

Temporary transition subsidy 11 HH 3200 3.52

Award 1094.2 m2 300 32.83

3. Enterprises, institutions and shops 982.63

3.1 House compensation (Brick-concrete) 3915 m2 2000 783.00


Temporary transition subsidy 290 m2 75 2.18

Salary subsidy 10 person 800 0.80

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Award 3915 m2 300 117.45

3.3 Land compensation (state-owned land transferring) 3300 m2 240 79.20

III. Land attachements and public facilities 60.82

1. Peach 183 tree 85 1.56

2. Hawthorn 155 tree 90 1.40

3. Apple 227 tree 90 2.04

4. Jujube 18 tree 50 0.09

5. Grape 367 tree 60 2.20

6. Poplar 132 tree 40 0.53

7. Power pole 38 pole 10000 38.00

8. Telecom pole 50 pole 3000 15.00

B. Other cost for resettlement 139.381. Internal M&E and preparation of RP 0.5% of A 34.11

2. RP implementation management cost (including staff training, carrying out consultations and grievance redress)

1% of A 68.22

3. Skill training for AP 20.00

4. External M&E 0.25% of A 17.05

C. Taxes 721.461. Arable land occupation tax 185 mu 14000 259.00

2. Arable land reclaiming fee 185 mu 6667 123.34

3. Fee for new construction land 193.6 mu 16000 309.76

4. Management fee for Land acquisition 193.6 mu 1000 19.36

5. Land mapping fee 193.6 mu 10.00

D. Contingency 10% of A 682.18Total (A+B+C+D) 8364.77

11.5 Source of Budget and Fund Flow 143. Xinmin City Financial Bureau will provide the resettlement funds of the proposed subproject. According to implementation schedule of the subproject, all resettlement budgets will be used in 2013. XHCB will be responsible for paying compensation funds to affected people within 3 months since resettlement agreement being signed. Figure 11-1 shows the flowing of the compensation funds.

Figure 11-1 Compensation Fund Flow Chart

Xinmin City Financial Bureau

Xinmin City Housing and Counstruction Bureau (Subproject Resettlement Division)

Community /Village

Owners of Infrastructures and Ground Attachments

Affected HH

Related Tax Collection Agencies

Owner of Affected Enterprises,

Institutions and Stores

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ANNEX I Resettlement Information Booklet

(Name of AP)

Xinmin Subproject is part one of subprojects of the ADB financed Integrated Development of Key Townships subproject in Central Liaoning Project. You or unit where you work will be affected by land acquisition and resettlement of the subproject. The objective of distributing the RIB is to enable you unserstand about the basic information, impacts on you or your family, compensation standards, resettlement policies and appeals and redress procedures of the subproject.

1. Subproject Description The proposed subproject consists of (i) construction and upgrading of 43 roads with the total length of 49.64km including (a) new construction of 6 urban roads with the total length of 12.23km; and (b) upgrading of 37 roads with the total length of 37.41km including 4 trunk roads, 8 secondary roads and 25 alley roads with the drainage and lamps along the roads, (ii) construction of one (1) bridge and (iii) three (3) pumping stations. The basic objective of the RP is to ensure APs in the subproject suffering land and/or asset loss inevitably can obtain full assistance to rehabilitate their living to the level as without the subproject, or even better.

2. Subproject Impact The impacting area of the subproject covers 7 villages/communities of 3 subdistricts. They are the Laodongwei community and Taiping community of Xicheng Subdistrict, Beidingwei community, Shaoguo community, Dongjiao community and Hougangzi village of Dongcheng Subdistrict, and Xinjian village of Liaobin Subdistrict.

The permanent collective land acquisition of the subproject is 193.6mu (12.9ha) including 185mu farmlands, 5.6mu housing plot and 3mu enterprise lands, with 340 persons from 107 households to be affected. 20,224m2 urban houses will be demolished with 712 persons from 211 households affected. 1,094.2m2 rural houses will be demolished with 36 persons from 11 households affected. In addition, the subproject will affect 9 enterprises/institutions with demolition of 3,290m2 of buildings and 6 shops with 625m2 of house demolition. Moreover some infrastructures and land attachments will be affected, such as power poles and trees.

3. Compensation Standards The Resettlement Plan (RP) is based on national, provincial and local relevant laws and regulations, and ADB’s Safeguard Policy Statement. Compensation and entitlement policy is designed to cover compensation for lost land and non-land assets, including assistance to restore or enhance livelihoods of all affected persons (APs). APs will receive compensation for land and non-land assets in cash according to latest land acquisition and resettlement policy of Xinmin City Government and the adoption of the principle of replacement cost.

The compensation standards for the subproject are presented in the following tables. Table 1 Collective Land Acquisition Compensation Standards

Land Types Region Land Compensation (CNY/mu)

Resettlement Subsidy

(CNY/mu)

Total Land Compensation and

Resettlement Subsidy (CNY/mu)

Farmland Class 2 18,750 11,250 30,000

Housing Plot Class 2 30,000

Enterprise land Class 2 30,000

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Table 2 Compensation Standards for Residential Houses and Attached Facilities

Items Unit Compensation

Standards (CNY/unit)

Remarks

House Compensation

Brick-Concrete m2 2,000 The compensation standard is for house compensation; the compensation for housing plot has been put into land acquisition compensation. Compensation standard is 30% more than the evaluated price.

Brick-Wood m2 1,800

Attachments

Fencing Wall m 130 Gate set 500 Well set 1,500

Auxiliary House (illegal)

Brick -Wood m2 600

Simple 300

Others

Moving subsidy HH 800 Temporary

Transition subsidy HH/month 800 Cash compensation based on 4 months of transition period

Award m2 300 Note: The compensation standard listed in the table is indicative price in 2011; the actual compensation standard will

be identified according to future evaluation.

Table 3 Compensation Standard of affected Enterprises/Institutions and Shops

Item Unit Compensation Standard (CNY/unit) Remarks

Houses Compensation (brick-concrete) m2 2,000

Facility Compensation Based on actual quantity

The final compensation should be agreed by relevant parties

Other Compensa

tion

Temporary Transition Subsidy

month,m2 25 Based on 3 months of transition period

Salary Subsidy person 800 In one time

Award m2 300

Land Compensa

tion

State-owned Enterprise Land

transferring m2 240 Paid to the affected enterprise

State-own Institution Land m2 0 Appropriate for free

Collective Land mu 30,000 Paid to affected villages

Note: The compensation standard listed in the table is indicative price in 2011; the actual compensation standard will be identified according to future evaluation.

Table 4 Compensation Standards of Land Attachments and Public Facilities Name Unit Amount Peach CNY/tree 85

Hawthorn CNY/tree 90 Apple CNY/tree 90 Jujube CNY/tree 50 Grape CNY/tree 60 Poplar CNY/tree 40

Power Pole CNY/tree 10,000 Telecom Pole CNY/pole 3,000

Note: The compensation standard listed in the table is indicative price in 2011; the actual compensation standard will be identified according to future evaluation. 4. Implementation Schedule

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Table 5 Implementation Schedule No. Resettlement Tasks Target Responsible

Agency Deadline

1. Consultation and disclosure 1.1 Draft RP circulation and

endorsementXCG XHCB June 2012

1.2 RIB distribution All likely affected villages, communities and HHs

XHCB, subdistrict offices June 2012

1.3 Consultations for updating RP Seriously affected HHs XHCB, resettlement taskforce

Nov-Dec 2013

2. RP & Budget 2.1 Final design completion XHCB & DI May 2013 2.2 DMS XHCB, resettlement

taskforce, AP, viilages and communities

Aug. 2013

2.3 Updating RP based on DMS XHCB March 2014 2.4 Review and approval of final RP

& budget XCG, LPMO, ADB April 2014

3. Capacity Building 3.1 Establishment of resettlement

division in XHCB and resettlement taskforce

XCG Done by 2011

3.2 Establishment of resettlement taskforce

XCG Nov 2013

3.3 Capacity building 30 staff LPMO, Consultant Nov. 2013 4. Resettlement Implementation 4.1 Agreements affected enties and

households All affected villages, comunitues,HHs and entities

XHCB May 2014

4.2 Payment of compensations Ditto XHCB May 2014 4.3 Commence LA&R HCB, resettlement

taskforce Before May 2014

4.4 Completion of LA&R HCB, resettlement taskforce

April 2017

4.5 Move into new houses All relocation HHs Ditto May 2017 4.6 House demolition All relocation HHs Ditto May-Aug 2017 5. Monitoring & Evaluation 5.1 Internal monitoring reports 8 quarterly

reports XHCB & LPMO Attach to quarterly

progress Reports 5.2 Contracting external monitor LPMO March 2014 5.3 Baseline survey 10-20% of seriously

affected HHs All affected communities and villages

External monitor April 2014 (shortly after DMS)

5.4 External monitoring report 4 semi-annual report followed by 2 annual evaluation reports

External monitor 2 weeks after each half year

5.5 Resettlement completion report 1 report XHCB December 2017 6. Civil Works 6.1 Commencement of civil works XHCB and Contractors May 2014 6.2 Completion of construction Contractors Dec 2017

5. Rights and Obligations of APs (i) Rights

APs can obtain all kinds of deserved compensation according to the above compensation standard. APs can raise their opinions and suggestions to the resettlement office and village committee on the cardinal amount of compensation, compensation standard and compensation payment schedule etc. The resettlement office must give their reply to APs

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timely according to the appeal and grievance redress mechanism in the subproject.

(ii) Obligations

AP should cooperate with the land acquisition and resettlement activities in the subproject.

6. Appeals In case APs are dissatisfied with compensation arrangements (including relocation site, amount of compensation, and compensation standard) made by the resettlement agencies, or they feel being treated unfairly or unreasonably, they can seek settlement through grievance or appeal redress procedures. Generally there are five channels for grievance redress in Xinmin City.

(i) If any APs are aggrieved by any aspect of the resettlement, he/she can state his/her grievance and appeal to the village/community committee in oral or in written form. If an oral appeal is made, the village/community committee will record it on paper and process it. Village/community committee will make a decision on or resolve it in two weeks. AND/OR

(ii) The aggrieved APs can state the grievance and appeal to the subdistrict office in oral or in written form. The subdistrict office will make a decision on or resolve it in two weeks.

(iii) If the aggrieved APs are not satisfied with the decision of the subdistrict office, he/she can appeal to Xinmin Housing and Construction Bureau (XHCB or the IA) after receiving the decision; the XHCB will reach a decision in two weeks.

(iv) If the aggrieved APs are still not satisfied with the decision of the XHCB, he/she will appeal to the Liaoning Provicncial Project Management Office (LPMO, i.e., EA for all subprojects). After receiving the appeal, the LPMO will reach a decision in two weeks.

(v) If the APs are still dissatisfied with the above decisions, he/she will appeal to the civil division of a people’s court according to the civil court procedure.

Also, APs can take their case to the civil division of a people’s court at any time. APs can appeal on any aspect of resettlement, including compensation criteria and price. APs will be apprised of their rights for lodging appeals during participation in the public meetings and by receiving the RIB. At the same time, the grievance and appeal process will be publicized among the APs through media. The relevant authorities will sort out the opinions and proposals of the AP and IA will process the information in a timely and effective manner.

The organizations will accept the grievance and appeals of the AP free of charge, and the reasonable expenses incurred there will be covered by contingency of the RP budget.

The aggrieved persons may also express grievance to the external monitor, who would then report it to the XHCB and LPMO.

Alternatively, the aggrieved person(s) may submit a complaint to the ADB’s Project Team to try to resolve the problem. If good faith efforts are still unsuccessful, and if there are grievances that stemmed from a violation of ADB's safeguard policy, the APs may appeal directly to ADB in accordance with ADB's Accountability Mechanism (2012).9

9 Before submitting a complaint to the Accountability Mechanism, the affected people should make a good faith

effort to solve their problems by working with the concerned ADB operations department. Only after doing that, and if they are still dissatisfied, should they approach the Accountability Mechanism - http://compliance.adb.org/.

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ANNEX II Chinese Relevant Laws and Regulations

(i) The relevant regulations in Land Administration Law of the P.R.C Article 47: Land expropriated shall be compensated for on the basis of its original purpose of use.

Compensation for expropriated cultivated land shall include compensation for land, resettlement subsidies and compensation for attachments and standing crops on the acquired land. Compensation for expropriated of cultivated land shall be six to ten times the average yearly output value for the expropriated land, calculated on the basis of three years preceding such acquisition. Resettlement subsidies for expropriated cultivated land shall be calculated according to the agricultural population needing to be resettled. The agricultural population needing to be resettled shall be calculated by dividing the area of expropriated cultivated land by the average area of the original cultivated land per person of the unit the land of which is expropriated. The standard resettlement subsidies to be divided among members of the agricultural population needing resettlement shall be four to six times the average yearly output value of the expropriate cultivated land calculated on the basis of three years preceding such expropriation. However, the maximum resettlement subsidies for each ha of the expropriated cultivated land shall not exceed fifteen times its average yearly output value calculated on the basis of three years preceding such expropriation.

If land compensation and resettlement subsidies paid in accordance with the provisions of the second paragraph in this Article are still insufficient to enable the peasants needing resettlement to maintain their original living standards, the resettlement subsidies may be increased upon approval by people’s governments of provinces, autonomous regions and municipalities directly under the Central Government. However, the total land compensation and resettlement subsidies shall not exceed 30 times the average yearly output value of the expropriated land calculated on the basis of three years preceding such expropriation.

(ii) The relevant regulations in Bylaws of Acquisition and Compensation for Houses Demolition on State-own Land” Article 10 Departments being responsible for houses acquisition should prepare compensation scheme, and submit to the government of city or town for approval.

The government of city or town should organize related departments to demonstrate the compensation scheme and publish, to obtain the public opinions. The term of obtaining opinions should not be less than 30 days.

Article 17 The compensations should be given to the affected people by the government of city or town where decided to acquire houses, the compensation includes:

1) Price difference of the acquired houses;

2) Compensation for the removal to the relocatee and temporary resettlement;

3) Compensation for income loss caused by production interruption.

Article 19 The compensation for the value of the acquired houses, should not be less than the market price of the similar real estate properties on the day that houses acquisition published. The value of the acquired houses should be evaluated according to the houses acquisition evaluating methods by the qualified real estate property institution.

Article 21 The affected people have rights to choose the compensation means of either cash compensation or property exchange.

For the affected people chose property exchange, the government of city and town should provide the houses for property exchange, and calculate the amount of compensation for demolished houses and the price of houses to be exchanged, and shall settle up the price difference in the exchange of property right.

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Article 27 Compensation should be paid before house demolition during the implementation of houses acquisition.

(iii) The regulations in the Decision on Deepening Reform and Strictly enforcing Land Management issued by the State Council Article 12: Improving the land compensation. Governments of county level or above must take practical measures to ensure the living standards of the affected persons can at least restored. The Provincial Government must make and publicize the AAOV and the comprehensive land prices for each county and city. The compensation for the same types of land should keep consistent. All the relevant resettlement cost in the national key development project should include into the total project cost estimates.

Article 13: Proper Rehabilitation measures for the farmers with the lost land. The county government or above must take the concrete measures to ensure the living sustainability of the affected persons. The local government must put the farmers with lost land into the urban employment system and provide the social security system for them if the lands are in the planned urban area; if the lands are outside of the planned urban area, the local government must retain the certain areas of farmland for the farmers with lost land within its jurisdictions or provide the employment for them.

Article 14: Improvement of land acquisition procedures. The information disclosure to the affected persons and their consent should be documented and submitted as part of the land acquisition application portfolio.

Article 15: strengthening the supervision and management in the land acquisition process. Land should not be acquired before the AP obtain the replacement land or sufficient compensation. The provincial government must make the compensation allocation schemes for the collective-owned land. The principle is that the major compensation fund should be allocated to the affected households. The affected villages must publish, and supervise by their representatives the compensation fund and its allocation. The relevant government agencies, such as agricultural, civil affairs and others, should strengthen supervision of the compensation fund delivery and utilization.

(iv) The regulations in Liaoning Provincial on the Implementation of Land Administration Law of P.R.C Article 23: The compensation standards for farmland and the resettlement subsidy are:

• The land compensation standards are 6-7 times of AAOV calculated on the basis of three years preceding such land acquisition for the urban infrastructures listed as one of public purpose projects, if land to be acquired lies in outside of urban planning area. While the land compensation standards are 8-10 times of AAOV calculated on the basis of three years preceding such land acquisition for other purposes of the project.

• The resettlement subsidies for each person needing to be resettled are 4-6 times of AAOV calculated on the basis of three years preceding such farmland acquisition. However, the maximum resettlement subsidies shall not exceed 15 times calculated on the basis of three years preceding such farmland acquisition.

• In case of land compensation and resettlement subsidies provided pursuant to the provisions of the above-mentioned Article cannot maintain their original living standard, after approval of provincial people’s government, the total of land compensation and resettlement subsidies can be increased, however, shall not exceed 30 times of the average annual output value calculated on the basis of three years preceding such farmland acquisition.

Article 24: The land compensation and resettlement subsidies for other types/purpose of land should be identified on the basis of the following stipulation:

• For types of forestry land, grassland, reed pond and breeding aquatics pond and land

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for water resources infrastructures, the land compensation standards should be 4-6 times of AAOV of adjacent dry land calculated on the basis of three years preceding such land acquisition.

• For lands used by public facilities owned by town/township or village, township enterprises and rural housing plot, the land compensation standards are 5-7 times of AAOV of adjacent dry land calculated on the basis of three years preceding such land acquisition.

• For lands of idle land, waste stack, wasteland, waste plain and unutilized land, the land compensation standards are 2-3 times of AAOV of adjacent dry land calculated on the basis of three years preceding such land acquisition.

• The compensation for village threshing floor and bleachery etc are based on the compensation standards for their original types of land.

As for forestry land, grassland, reed pond, breed aquatics pond and land for water resources infrastructures, and rural construction land, Resettlement subsidies for per agricultural person shall be 4 times the average annual output value calculated on the basis of three years preceding such land acquisition. However, the maximum resettlement subsidies for cultivated land per hectare shall not exceed 10 times of the average annual output value calculated on the basis of three years preceding such land acquisition.

No resettlement subsidies are provided for the land acquisition of idle land, waste stack, waste land, waste plain and unutilized land since no agricultural taxes are levied to these lands.

Article 25: The compensation standards for land attachments and standing crops are:

• The land attachments are compensated based on their values and actual costs;

• The compensation standards for standing crops are calculated based on the output value of single season cropping.

Any trees, standing crops planted and the buildings are not entitled to be compensation after the land acquisition notice is publicized.

Article 45: The state-owned land rights or the collective land rights could be taken back subject to the approval of the People’s Government under the conditions of serving public purposes, the old city rebuilding as part of implementing the urban planning and construction of town/village public infrastructures.

However, the original landowners should be compensated. The specific compensation standards are made based on the local actual conditions.

(v) The regulations in the Notice on Implementing Land Acquisition Area Comprehensive Land Price standard issued by Liaoning Provincial People's Government Office 1) This land acquisition area comprehensive land price standard refers to the summation of the compensation fees and resettlement subsidy fee for acquiring general agricultural land; the other land type should be adjusted according to the following coefficient based on the comprehensive land price standard: constructive land 1.0; unused land 0.8. Any units or individuals are not allowed to change or reduce the land acquisition area comprehensive land price standard without approval.

2) If there are fixtures and standing crops on the acquired land, there should be other compensation for the owners. The detailed compensation standard (except for the compensation for tress) should be prepared by the local municipal government, and reported to the provincial government for record. The compensation for standing crops should be calculated according to the output value of seasonal crops while implementing land acquisition.

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3) Acquiring peasant family land according to law, 80% of land acquisition compensation fee is owned by farmers, 20% owned by the collective economic organizations; acquiring the land not contracted or contracted in other ways by the collective economic organizations, land acquisition compensation fee is owned by the collective economic organizations, distributed or used according to law.

4) If the project construction or geological survey need to use country collective or state-own lands temporarily for 1 year, the compensation standard account for 15% of the land acquisition area comprehensive land price; the compensation standard account for 20% of the land acquisition area comprehensive land price for 2 years.

5) If the project construction is approved to utilize state-own agricultural and unused lands, the compensation for which should refer to the comprehensive land price of collective agricultural and unused lands within the area.

(vi) The regulations in the “Notice on Further Improve Demolition, Compensation and Resettlement of Urban Houses” Issued by Shenyang City People’s Government General Office 1. Practicality Resettlement for Implementing Demolition 1) Resettlement at original site or close site

For demolition project with resettlement at original site or close site being feasible, resettlement houses should be constructed by the demolition project areas or the related units according to land planning. The size of resettlement houses is mainly medium and small, in principle, the minimum construction area is not less than 45m2, and the maximum construction area is not more than 90m2, which should be selected when the affected residents signed resettlement agreement. If there is difference between the actual resettlement area and the area selected by the relocated residents, the actual area of resettlement will be in priority.

For the affected people that be relocated from multi-storey (including bungalow) to high-storey, according to the different types of houses, the improved areas will be based on 10%-20% of the acquired houses; for the affected people that be relocated from high-storey or multi-storey to multi-storey (including bungalow), the improved areas will be based on 5% of the acquired houses; the reductive areas and improved areas of the resettlement houses will not be charged, for the part exceeds the summation of reductive and improved areas, with the area less than 15m2 (including 15m2), will be calculated according to cash compensation of the acquired houses, with the area over 15m2, will be calculated according to the market price of the resettlement houses.

The construction area of the houses to be demolished is less than 45m2, enjoy the area subsidy policy prescribed in “Shenyang Urban Houses Demolition Management Regulations” (Municipal Government Order No. 31 [2004]), the area subsidy should be deducted from the settled amount of the relocated residents.

3) Non-residential Resettlement

For demolition of non-residential houses, resettlement at original site or close site will be applied if it is feasible in land planning, otherwise resettlement at other sites will be applied. For resettlement at other sites, if property exchange is chosen by affected people, the price difference between acquired house and relocated house will be settled according to the market evaluation price. If practicality resettlement can not be applied due to the limitation of environmental protection, industrial development planning and other conditions, in principle, cash compensation will be applied.

4) Resettlement Houses Construction

The resettlement houses should be given priority on planning, approval and construction. The related agencies or units should intervene early, to develop planning and construction scheme

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of resettlement houses together with land planning and other related departments, to ensure the relocated people would be resettled within the deadline stipulated in resettlement agreement. The construction of resettlement houses should in accordance with the national criteria of house type and construction standards.

2. Cash Compensation for House Demolition For demolition of residential houses with cash compensation applied, the compensation standard should be 20%-30% higher than the market evaluation price of the demolished houses. The specific proportion should be confirmed by the related departments or units according to the location, type and other actual situation of demolished house.

3. Standards of Award and Subsidies 1) Award

For demolition of residential houses, the award will be 300-500CNY/m2 according to the locations of the demolished houses; the total amount of award per household won’t be less than 10000 CNY based on the area of the demolished houses. For the households removed in the first 15 days or one month within the first demolition period (one month for municipal infrastructure project, three months for other projects), the full award will be given; for the households removed in the second 15 days or 2 months, 70% award will be given; for the households removed beyond the first demolition period, no award will be given, excluding the case of households can not be removed within the first demolition period due to the faulty and obligation of house demolition implementation agency, such as compensation funds shortage.

2) Temporary Transition Subsidy

For demolition of residential houses, the temporary transition subsidy is 18CNY/m2, based on the area of the demolished houses, the minimum amount is not less than 600CNY/month/household, and the maximum amount is not more than 1000CNY/month/household. For practicality resettlement, the temporary transition period will be identified according to resettlement agreement. The transition subsidy will be calculated as 1 month if actual transition period is less than 1 month. For resettlement at original site, close site and other site, the temporary transition subsidy should be paid in advance, and should be paid semiannually. For cash compensation, the temporary transition subsidy calculated by 4 months of transition period will be paid in one time.

3) Moving Subsidy

For demolition of residential houses, moving subsidy is 800CNY/household and would be paid in one time.

The standard of temporary transition subsidy and moving subsidy would be adjusted by government according to change of market conditions and the adjusted standards will be published.

(vii) The regulations in the “Acquisition, Compensation and Resettlement of Houses in Xinmin City” C. Compensation Method

Two compensation methods for house acquisition: as cash compensation and property exchange, either one could be selected.

Cash compensation or property exchange will be given according to the purpose and construction area of the houses to be acquired. The purpose and construction area of the houses would be identified according to ownership certificate; for the houses without ownership certificate, records and archive in house license management department will be applied. If there is dispute for the construction area, the affected people could apply for verification to the House License Management Department, verified construction area will be applied.

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The acquisition of illegal houses and expired temporary houses will not be compensated. The illegal houses should be demolished by the relevant departments assigned by the government according to relevant legal procedure before issuing the acquisition decision and demolition notice.

1) Cash Compensation

The compensation of the houses to be acquired should be evaluated by the House Acquisition Compensation Evaluation Agency selected in accordance with relevant laws. The actual compensation standard should be 30% higher than the evaluated price.

2) Property Exchange

1. Property exchange for acquisition of residential houses

Area improvement method: for resettlement from multi-storey (including bungalow) to high-storey (seven storey and above), the improved area should be calculated as 20% of the construction area of the acquired houses; for resettlement from multi-storey (including bungalow) to multi-storey (six storey and below), the improved area should be calculated as 5% of the construction area of the acquired houses. The reductive area and improved area of the resettlement houses will not be charged. The part exceeding the summation of reductive and improved areas, with the area less than 10m2 (including 10m2), will be calculated according to cash compensation of the acquired houses, with the area over 10m2, will be calculated according to the market price of the resettlement houses.

If the summation of construction area and improved area of legal houses is less than 45m2, the acquired houses are independent, and the owner of the house don’t has other legal residential house within the planning area, the area of the property exchange house should not be less than 45m2, the balance within 45m2 will be free, and the part exceeding 45m2 should be charged according to the market price. The acquired houses with a construction area less than 45m2 will not enjoy the improved area.

2. Property exchange for acquisition of non-residential houses

For commercial and office houses, property exchange will be given according to the registered construction area registered in ownership license of the acquired houses in principle, and the balance between the acquired houses and property exchange houses should be settled according to the evaluated market price. If the area of property exchange houses is bigger than the original ones, the exceeding part should be charged according to evaluated market price; if the area of property exchange houses is smaller than the original ones, the overplus part should be compensated in cash according to evaluated market price.

For acquisition of industrial and enterprise lands, if reconstruction is suitable, the government should provide the land with the same area as original site for reconstruction. After negotiation and agreement being reached and after approval by the relevant departments, the reconstruction can be started.

3. The construction of property exchange houses should comply with the master planning, site closing to original site will be selected for construction. Relevant supporting facilities and infrastructure should be improved to ensure the benefits of the affected people.

4. The building number, apartment number, room number and construction area of the resettlement houses should be confirmed in the signed property exchange agreement.

3) Other Compensation

1. For acquisition of residential houses, the acquisition implementation unit should bear the following costs:

(i) For the houses without license: the houses that can be showed on the aerial map of 1989 should be compensated according to the cash compensation; the houses that can be showed on the aerial map of 1997 should be compensated with 400 CNY/m2; the houses that can not

55

be showed on the aerial map in 1989 and 1997 should be compensated with 350 CNY/m2; shed houses should be compensated with 100 CNY/m2. The illegal houses that have been prohibited or houses without licenses constructed after measurement will be demolished without any compensation.

(ii) Except for the house compensation, land attachments on ground should be compensated based on standards in the attached tables.

(iii) The moving subsidy as 800 CNY/HH should be paid in one time.

(iv) For property exchange and transitional house solved by APs, since the day signed the resettlement agreement, the tentative transition period should be 18 months, during the period, the acquisition implementation unit should pay transition subsidy of 12 months according to the standard of 800 CNY/HH/month in advance, and the rest part should be paid according to actual transition period. For cash compensation, temporary transition subsidy of 4 months of transition period should be paid in one time according to the same standard as above.

(v) Compensation for ammeter, CATV, mutual TV, air conditioner, computer network, equipment transit and others will be given in one time according to replacement cost.

(vi) For business by using residential houses, salary subsidy of 800 CNY/person should be paid in one time according to the number of employees.

2. For cash compensation of non-residential house acquisition, the following compensations should be paid by the acquisition implementation unit:

(i) For equipments that can not be restored, compensation will be identified based on replacement cost with considering depreciation;

(ii) Costs for freightage, dismantling and installation of equipments;

(iii) The costs for restoring water supply, power supply, heating, gas, drainage, communication and other supportive facilities to original scale;

(iv) Temporary transition subsidy of 3 months should be given according to the standard stipulated in section (i) of Article 18 of this provision.

3. For property exchange of the acquisition of non-residential houses, besides the compensation of Scheme 2 (i), (ii) and (iii), the acquisition implementation unit should bear the following costs:

4. For affected low income household or household receiving the lowest security allowance, relevant regulations and laws for them will be applied.

(i) For employees of enterprise whose production interrupted by acquisition, temporary transition subsidy should be paid. The standards are: 25 CNY/m2/month for commercial houses used for shopping mall, shops, markets and business houses next to street; 12.5 CNY/m2/month for non-commercial houses used for office, storage, production, garages and others; 5 CNY/m2/month for lands being used for production or business.

(ii) Compensation for production interruption should be paid in cash according to 20% of the total profits of the latest 2 years of the enterprise after taxed. Evaluation should be carried out for complicated situation.

D. Land Compensation

1. State-owned Land

The compensation for state-owned land should be identified according to evaluated market price. Appropriation of state-owned land should comply with relevant regulations.

2. Collective Land

The compensation for collective lands should be implemented according to “Notice on

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Implementation Land Acquisition Area Comprehensive Land Price Standards by Liaoning Provincial People's Government Office”. According to the requirement of one housing plot for one household in “Land Administration Law” of our country, compensation for housing plot within 300m2 will be paid to affected household; and compensation for part of beyond 300m2 will belong to village for administration and utilization.

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ANNEX III TOR of External M&E

1. Purpose of resettlement monitoring and evaluation

According to ADB’s resettlement policy, the resettlement work of the Project will be subject to external monitoring and evaluation. The land acquisition and resettlement work of project will be tracked and evaluated by checking the progress, funds and management of land acquisition, house demolition and resettlement, and making a comparative analysis of the variation and restoration of the production level and standard of living of AP by land acquisition and resettlement. While reports are submitted to ADB and LPMO regularly (twice a year during the implementation period); information and suggestions will also be provided as a reference for decision-making. Through external monitoring and evaluation, ADB and the implementing agencies can fully understand if the land acquisition and resettlement work is implemented on schedule and is accordance with the quality standard, point out existing issues, and propose suggestions for improvement. 2. Scope of resettlement monitoring and evaluation

(1) Monitoring and evaluation of implementation progress of land acquisition and house demolition. Including:

i) progress of land acquisition; ii) progress of temporary land occupation; iii) demolition and relocation of affected households; iv) restoration of infrastructure

(2) Monitoring and evaluation of availability and utilization of funds. Including: i) availability of funds; ii) utilization of funds (planned vs. actual)

(3) Monitoring and evaluation of the standard of living of the AP. Including: i) production level and standard living of AP before LA&R; ii) production level and standard living of AP after LA&R; iii) comparative analysis and evaluation of production level and standard living of AP before

and after LA&R (4) Capacity evaluation of the implementing agencies, public participation, complaints and

appeals.

3. External monitoring agency The external resettlement monitoring and evaluation work of the project shall be undertaken by an external monitoring agency entrusted by the LPMO and accepted by ADB.

4. Organization of resettlement monitoring and evaluation i. The LPMO shall entrust the external monitoring agency to take charge of the survey, data

collection and computational analysis for monitoring and evaluation, and to review the corresponding findings.

ii. The external monitoring agency shall set up a “resettlement monitoring and evaluation taskforce of the Project”, whose task is to monitor and evaluate the resettlement work of the project, prepare the monitoring and evaluation outline, select monitoring targets, take charge of field survey, monitoring and in-house analysis, and prepare resettlement monitoring and evaluation reports according to the ADB Policy on Involuntary Resettlement.

iii. During the field monitoring and survey by the taskforce, the LPMO and IAs shall offer assistance in staffing and traffic.

5. Methods of resettlement monitoring and evaluation i. A combination of field survey, computational analysis and comprehensive expert evaluation

shall apply to monitoring and evaluation. ii. The survey shall be conducted comprehensively. The progress, funds, organization and

management of implementation shall be surveyed in all aspects, while the displaced households shall be subject to sampling survey.

iii. The sampling survey shall be based on random sampling to track the fixed households in the

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typical sample. Sampling rates: 10-20% of severely affected HHs and a number of others, such as vulnerable HHs.

iv. The complete survey shall be conducted in the methods of structured survey (questionnaire survey), discussion and literature search, etc.

v. Tracer surveys, using the baseline survey questionnaire, will be applied to assess the change in living standard, livelihoods and income. This will be the basis to determine whether resettlement has been successfully completed.

vi. Except written materials, photos, audio and video records, real objects shall also be collected.

6.1 Monitoring Indicators

The baseline survey, as well as the follow up monitoring and post-project evaluation, will cover and not limited to the following socioeconomic indicators of targeted HHs:

i. Level of education of adults by gender ii. Occupation of adults bu gender iii. Land area by type iv. House type (quality) v. Housing area vi. Income by source vii. Expenditure by type viii. Major assets ownership ix. Cropping pattern (cultivated area of each crop).

6.2 Regular Monitoring and Evaluation During the implementation of the RP, the external monitoring agency will monitor the following indicators (fully or partly) twice a year:

x. Disbursement and amount of compensation fees; xi. The survey and coordination of and suggestions for key issues of AP and the

implementing agency during implementation; xii. The restoration and resettlement of the vulnerable groups, support to the vulnerable

groups; xiii. Restoration and reconstruction of ground affiliated and special facilities; xiv. Resettlement and restoration of production and livelihoods; xv. Compensation for property losses; xvi. Schedule for the above activities (applicable at any time); xvii. Use of compensation fees for land and income of the displaced persons； xviii. Increase in employment income of labor; xix. Whether the affected people benefit from the project; xx. Degree of satisfaction or problems identified; xxi. The degree of participation and consultation of AP during implementation; and xxii. Resettlement training and its results.

7. Reporting of external resettlement monitoring and evaluation The external monitoring agency shall submit a resettlement monitoring report to the LPMO and ADB semiannually.

No. Report Date 1 Baseline survey report April 2014 2 1st monitoring report July 2014 3 2nd monitoring report Feb. 2015 4 3rd monitoring report Aug. 2015

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No. Report Date 5 4th monitoring report Feb. 2016 6 5th monitoring report Aug. 2016 7 6th monitoring report Feb. 2017 8 Evaluation report Aug. 2017 9 Evaluation and completion report Dec. 2017

8. Monitoring Budget The bugget for each subproject is is 0.25% of the basic cost (i.e., compensation budget). A total budget for all subprojects is about CNY900,000, incldung CNY170,500 from this subproject.

Integrated Development of Key Townships in Central Liaoning€¦ · PRC: Integrated Development of Key Townships in Central Liaoning Prepared by Housing and Construction Bureau of

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